Tropical Forestry Handbook 9783642415548

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_2-1 # Springer-Verlag Berlin Heidelberg 2014

Climatic Types of Water Balances in the Tropics Thorsten Peters* Institute of Geography, Friedrich-Alexander-University Erlangen-Nuremberg, Erlangen, Germany

Abstract One of the most important climate criteria of the tropics is the absence of thermic seasons. Thus, hygric seasons become more relevant for ecosystem functioning and are of special importance for plant growth. Within this chapter different climate types of the tropics are discussed on the basis of their annual water budget. The humid climate type appears across the rain equator within or close to the ITCZ. It is distinguished by a clear water surplus and all months show a positive water balance in the long-term mean. The semi-humid climate type prevails at a certain distance from the Equator and the ITCZ. It is characterized by a distinct rainfall seasonality and the occurrence of more than 3 -4 arid months. In terms of the arid climate type the arid period is in general longer than the humid period and precipitation amounts decrease almost towards zero within the desert areas.

Keywords Tropics; Climatic Types; Hygric seasons; Humid Climate Type; Semi-Humid Climate Type; Arid Climate Type One of the most important climate criteria of the tropics is the absence of thermic seasons. Thus, hygric seasons become more relevant for ecosystem functioning and are of special importance for plant growth. Within this chapter different climate types of the tropics are discussed on the basis of their annual water budget. In opposition to the frequently used diagram type of Walter and Lieth (Fig. 1, right sketch, Walter and Lieth 1960–1967), the presented diagram type (Fig. 1, left sketch) shows the real number of humid and arid months, by comparing the monthly precipitation amounts to monthly landscape evaporation rates (calculated after Henning and Henning 1984). The geographic position of the different measuring sites presented in section “Humid Climate Type”, “SemiHumid Climate Type,” and “Arid Climate Type” is given in Fig. 2.

Humid Climate Type The humid climate type appears across the rain equator within or close to the ITCZ. It is distinguished by a clear water surplus and all months show a positive water balance in the long-term mean. Within this humid climate type, arid phases may only occur at irregular and short intervals, and a negative water balance may prevail not longer than 1 to 2 months (Lauer 1993). These dry phases are often conditioned by circulation-dynamic processes and may cause first seasonal marks in the leaf

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_2-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 1 Explanations of the presented climate diagrams (Richter 2001, Henning & Henning 1984 and Walter & Lieth 1960-1967)

Fig. 2 Geographic position of the different climate measuring sites

production and the blooming period of tropical plants. This might be the case within the seasonal tropical rainforests where a seasonal drop of leaves could be documented for singular tree species whereas the understory remains always evergreen. As shown by Fig. 3, annual temperature curves are in general very uniform across the humid tropics with only small fluctuations between the dry and rainy phases. There again, monthly precipitation amounts are often highly variable over the course of the year. This could be best demonstrated by an example from equatorial Africa where the typical tropical rainforest climate could be demonstrated by the climate diagram of the Kribi weather station in Cameroon (Fig. 3). At Kribi, the annual mean temperature is 22.2  C and annual rainfall adds up to 3,019 mm. Rainfall maxima occur twice a year during May and September/October and the climate of Kribi could be characterized as an ITZC (Intertropical Convergence Zone) climate type where both rainfall maxima depend on the course of the sun. Despite the strong monthly precipitation differences, no arid months exist and monthly precipitation sums are always higher than monthly landscape evaporation rates. Leaving the African continent, Balikpapan is given as an

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_2-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 3 Climate diagrams from the humid tropics (Richter 2001, Henning & Henning 1984). For legend and geographic position, refer to Figs. 1 and 2

example of the Indo-Malayan evergreen rainforest. The station is located at the east coast of Borneo and also demonstrates a positive water balance all over the year. The annual mean temperature is 18.8  C and annual rainfall is 1,189 mm with monthly amplitudes between 152 and 258 mm. The amount of potential land evaporation is 1,165 mm. Compared to the weather station of Kribi, monthly precipitation variations are considerably smaller and there is only a weak seasonality with almost no effect of the position of the sun. The daily precipitation regime of Balikpapan is characterized by regular tropical downpours with thunderstorms and rain in the afternoon. In general, the climate of the island of Borneo is affected by the north monsoon streaming from the north Pacific and China and the south monsoon from Australia and the Indian Ocean. Thus, monthly precipitation amounts are strongly influenced by different wind regimes. In Amazonia, the regions of highest rainfalls are situated in the northwestern and western parts toward the slopes of the eastern Andean escarpment. Here, the tropical climate is also wet all over the year with no cold or dry season. The climate station of Puyo is located close to the Equator in the upper part of the Amazon and demonstrates well the water budget of the evergreen rainforest in the northwestern Amazon region (Fig. 3). Annual rainfall is 4,249 mm whereas evapotranspiration only adds up to 1,079 mm. Compared to Kribi and Balikpapan, there is almost no seasonality in matters of monthly precipitation amounts. During summer Puyo receives its rain from solsticial rains and in winter from orographic precipitation brought up by trade winds as well as by easterly waves (Lauer 1993). Precipitation amounts are more than three times higher in Puyo than in Balikpapan and still clearly higher than in Kribi. Nevertheless, vegetation does not differ principally between these areas, and all three sites are dominated by an evergreen tropical forest where the plant cover is characterized by the most important tropical life forms trees, lianas and epiphytes. Even the high rainfall seasonality at Kribi does not affect this general pattern, as long as air humidity and precipitation amounts are high all over the year and rainfall amounts remain higher than evapotranspiration rates (Richter 2001).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_2-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 4 Climate diagrams from the semi-humid tropics (Richter 2001, Henning & Henning 1984 and Lauer 1993). For legend and geographic position, refer to Figs. 1 and 2

Semi-humid Climate Type The semi-humid climate type of the tropics prevails at a certain distance from the Equator and the ITCZ. It is characterized by a distinct rainfall seasonality and the occurrence of more than 3–4 arid months. In general, the two solar-induced precipitation maxima of the equinoctial periods converge and are converted into a twin and/or single rainfall maximum. At the same time the transient dry period shortens (small dry period) and the winter dry period (large dry period) extends (Lauer 1993). The climate diagram of São Luís demonstrates this well for the east coast of Brazil (Fig. 4). Here, mean annual temperature is 26.7  C, annual rainfall adds up to 1,956 mm, and the annual land evaporation rate is 1,345 mm. The local warm season lasts from September to December and the rainfall maximum occurs once a year during September/October when northeasterly winds dominate

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_2-1 # Springer-Verlag Berlin Heidelberg 2014

Richter (2001). The water balance of São Luís is characterized by a short dry season from February to June, when evaporation rates exceed precipitation amounts clearly. Due to the clear rainfall seasonality, the vegetation close to São Luís is dominated by wet savannahs and mangroves at the coast. A second example for the semi-humid climate type is given from the African continent. At Batouri (Cameroon) the annual mean temperature is 23.5  C, annual rainfall is 787 mm, and the annual land evaporation is 1,011 mm (Fig. 4). The rainfall seasonality of the region is marked by two precipitation maxima, one of them in the early summer and one in the early autumn. These maxima occur after the crossing of the sun through the ITCZ. The annual relation between evaporation and transpiration is negative, although 9 months show a positive water balance and only 3 months are arid. Complementary, the climate measurement series of the Mangalore station (India) demonstrates the semi-humid climate type for the Asian tropics. Here, the annual mean temperature is 27.1  C, precipitation adds up to 3,293 mm, and landscape evaporation is 1,272 mm. The climate of Mangalore is characterized by a single rainfall maximum during June/July. From November to May the climate is arid and the local vegetation type is a semievergreen rainforest. According to Lauer (1993), the water stress during the dry phase is partly compensated by ground and soil water and the critical edaphic dry limit for plant growth in not reached. Due to the clear dry period and the strong climatic seasonality, the vegetation type of this region may also be called monsoon forest. This forest type could be differentiated into a humid type (3–4 arid months) or into a semi-humid type (more than 4 arid months). Whitmore (1975) has described the semievergreen monsoon forest type as a forest which shows – in comparison to the equatorial rainforest type – lower tree formations with a reduced diversity of species and less biomass. However, these forest types may also be regarded as part of the evergreen rainforest region and do not only occur on the west coast of the Indo-Malayan Archipelago but also in the region of the southern Himalayan Mountains, in the African Gulf of Guinea close to Mount Cameroon, in Liberia, and on the Columbian and Panamanian west coast (Lauer 1993).

Fig. 5 Climate diagrams from the arid tropics (Richter 2001, Henning & Henning 1984). For legend and geographic position, refer to Figs. 1 and 2

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_2-1 # Springer-Verlag Berlin Heidelberg 2014

Arid Climate Type In the areas of the descending air masses of the Hadley circulation, the climate type of the border tropics changes to arid. Here, the arid period is in general longer than the humid period and precipitation amounts decrease almost toward zero within the desert areas. At the same time these regions are characterized by extreme climatic contrasts: Highest temperatures were recorded in the deserts of El Azizia (57.8  C, Libya) or in Furnace Creek Richter (2001) (56.7  C, Death Valley, USA), while annual rainfall amounts vary strongly from year to year. Walter and Breckle (1991) have shown for the Australian desert annual differences from 18 to 344 mma 1 and even higher differences (ratio 1:50) for the Sechura Desert in northern Peru. Even in the annual precipitation observations, the arid regions are quite different. This becomes apparent by comparing different arid climate types from Africa, Australia, and South America. The climate of Tessalit (Mali, North Africa; Fig. 5) is distinguished by a clear thermal as well as hygric seasonality. The annual mean temperature is 28.4  C, varying from 20  C in January/December to more than 35  C between June and July. The local rainfall regime is distinguished by tropical summer rainfalls during June to September, and the potential landscape evaporation is always higher than monthly precipitation. In Australia the annual rainfall distribution is quite different within the arid climate type. At Alice Springs the mean annual temperature is 20.6  C and monthly temperature fluctuations are between 12  C in December/January and 29  C in June/July. The temporal precipitation pattern is controlled by the regional precipitation regime, and little rainfall amounts can be observed all over the year with a slight rainfall maximum from June to September. The average annual rainfall is 252 mm and the annual landscape evaporation rate is 1,295 mm. Evaporation rates are higher than precipitation amounts all over the year which makes it a semiarid climate type, but its strong aridity makes it a desert climate. Another arid climate type could be described for the west coast of South America. Callao is located at the pacific coast of Peru close to Lima. Its precipitation regime is characterized by winter rains from December to March and annual rainfall adds up to 25 mm. However, these rainfalls are not the consequence of changing pressure systems but mainly result from drizzling rain during the cool fog season (Richter 2001).

References Henning I, Henning D (1984) Die klimatologische Wasserbilanz der Kontinente. M€ unstersche Geographische Arbeiten, 19th edn. F. Schöningh, Paderborn Lauer W (1993) Climatology. In: Pancel L (ed) Tropical forestry handbook, vol 1. Springer, Berlin/ Heidelberg Richter M (2001) Vegetationszonen der Erde. Klett-Perthes, Stuttgart Walter H, Breckle SW (1991) Ökologie der Erde. 1 – Grundlagen. Fischer, Stuttgart Walter H, Lieth H (1960–1967) Klimadiagramm weltatlas. G. Fischer, Jena Whitmore TC (1975) Tropical rainforest of the Far East. Clarendon, Oxford, 281 pp

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Tropical Forest Resources: Facts and Tables Jutta Pokera* and Kenneth Mac-Dickenb a Formerly Institute for World Forestry, Hamburg, Germany b Formaly FAO, Rome, Italy

Abstract More than 40 % of the world’s 4 billion hectares forests are located in tropical regions and cover 1.73 billion hectares which corresponds to nearly half of the tropical land area. Deforestation – mainly the conversion of tropical forests to agricultural land – shows signs of decreasing in several countries but continues at a high rate in others. Around 8 million hectares of tropical forest were converted to other uses or lost through natural causes each year in the last decade compared to more than 10 million hectares per year in the 1990s. Fifteen tropical countries loose more than 1 % of their forests per year, in five countries forest area is stable, and in nine countries forest area is slightly increasing by a total of 0.3 million hectares per year. Half of the world’s growing stock is located in tropical forests. In terms of carbon content, they have a share of about 60 %. On average, tropical forests in Africa and Latin America/Caribbean store 100 t carbon per ha, in Asia/Pacific 75 t carbon per ha. Primary forest, i.e., forest of native species where there are no clearly visible indications of human activities and the ecological processes have not been significantly disturbed, includes the most species-rich, diverse terrestrial ecosystems. In Africa and Asia/Pacific, the share of primary forests on total tropical forest area is 42 %, while in Latin America/Caribbean still 74 % are primary. Overall, the area of primary forests is decreasing in all tropical regions with about 3.7 million hectares per year, but the situation seems to be improving especially in Asia/Pacific, while the rates of conversion show an increasing trend in Latin America/Caribbean. About 15 % of tropical forests are designated as primary function for the conservation of biodiversity. National parks, game reserves, wilderness areas, and other legally established protected areas also cover about 15 % of the total tropical forest area. The primary function of these forests may be the conservation of biological diversity, the protection of soil and water resources, or the conservation of cultural heritage. Half of all tropical countries declare forest fires as severe problem. Severe storms, flooding, and earthquakes have also damaged areas of forests. Nearly all countries in the tropics face at least forest degradation as result of the impact of human interventions in production forests, protected areas and parks. In many tropical countries, the climate appears to be changing. Recent data provide evidence of, for example, increasing temperatures and prolonged dry periods in some regions and increased rainfall and more frequent tropical storms in others. Half of the tropical forest is designated as permanent forest estate (PFE). Again half of these, about 400 million hectares, serve production purposes. Due to accessibility problems, only parts of

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

the production forests are available for harvest. About 3 % of the permanent forest estate is planted forest. Reported wood removals amount to 1.3 billion cubic meters annually and equivalent to 0.5 % of the total growing stock. By far the most important product is fuelwood, although the statistics on this product are neither complete nor precise. Only few tropical countries are able to report on amount and value of non-timber forest products.

Keywords Biodiversity; Carbon content; Climate change; Conversion of tropical forests; Deforestation; Primary tropical forests; Tropical forests; Tropical forest resources

Introduction During the last decade, the information on tropical forests improved considerably. Though still many information gaps exist, an attempt is made to summarize current knowledge on state of the forests and forestry in tropical countries. The following analysis is based on data (see Annex) compiled from: 1. Global Forest Resources Assessment 2010 and associated remote sensing analyses (FAO 2010) 2. ITTO (Blaser et al. 2011): ITTO producer countries (33 countries representing more than 80 % of the total tropical forest area) 3. FCPF (Country Readiness Preparation Proposals: http://www.forestcarbonpartnership.org): all participating countries as supplement 4. Country data presented at official websites: all countries with low information status as supplement. Considered are all countries situated in the tropical regions as listed by ITTO and FAO (65 countries) as well as Nepal which is listed by FAO only. The descriptions follow the structure of the Forest Resources Assessment (FAO 2010). A fundamental difficulty in reporting tropical forest area is that many countries have more than one climatic domain. For example, China and the United States both have tropical forest but they are a fraction of forest area. Likewise, while Peru has substantial tropical forest and is an ITTO producer country, they also have significant forest that is not tropical. Thus, one must take care in interpreting forest area based on country alone unless the country has reported forest area by forest type. Of the analyses presented in this chapter, only the remote sensing work of the Global Forest Resources Assessment (FRA) reports forest area and change based on climatic ecozones (Table 1).

Extent of the Tropical Forest Resource Extent, Naturalness, and Designation Tropical forests form a variety of unique ecosystems leading to the rich diversity of the tropics. Tropical rainforests merge into other types of forest depending on the altitude, latitude, and various

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Table 1 Forest area (million hectares,  95 % confidence interval) by region and climatic domain. Forest area figures are presented rounded to the nearest significant digit FRA region Africa Asia

Europe

North and Central America

Oceania

South America

World

World

Climatic domain Subtropical Tropical Boreal Subtropical Temperate Tropical Boreal Subtropical Temperate Boreal Subtropical Temperate Tropical Subtropical Temperate Tropical Subtropical Temperate Tropical Boreal Subtropical Temperate Tropical

Samples 122 2,415 31 769 1,273 911 294 94 531 2,777 368 1,593 127 429 51 300 177 96 1,217 3,102 1,959 3,544 4,970 13,575

1990 4  51 % 590  6 % 16  16 % 130  12 % 70  16 % 310  8 % 800  5 % 18  26 % 270  9 % 380  2 % 90  13 % 260  6 % 70  12 % 30  25 % 21  20 % 70  19 % 20  26 % 13  33 % 820  4 % 1,200  3 % 300  7 % 630  5 % 1,860  3 % 4,000  3 %

2000 5  51 % 580  7 % 17  15 % 150  11 % 80  15 % 290  8 % 800  5 % 18  25 % 270  9 % 390  2 % 90  13 % 260  6 % 70  12 % 30  25 % 21  20 % 70  19 % 20  25 % 13  33 % 790  4 % 1,200  3 % 320  7 % 640  5 % 1,790  3 % 3,950  3 %

2010 4  52 % 560  7 % 18  16 % 160  11 % 90  15 % 280  9 % 790  5 % 18  25 % 260  9 % 380  2 % 90  12 % 250  6 % 70  12 % 30  25 % 20  20 % 70  19 % 20  25 % 13  33 % 760  4 % 1,190  3 % 330  7 % 630  5 % 1,730  3 % 3,890  3 %

Source: FAO Global Forest Resources Assessment remote sensing analysis (2014)

soil, flooding, and climate conditions. They occur in the equatorial zone, within the area bounded by latitudes 23.5 N (Tropic of Cancer) and 23.5 S (Tropic of Capricorn). One of the major characteristics of tropical forests is their distinct seasonality: winter is absent, and only two seasons may occur. The length of daylight is 12 h and varies little. The seasonal distribution of rainfalls determines the subdivision in: • Evergreen rainforest: no dry season. • Seasonal rainforest: short dry period in a very wet tropical region (the forest exhibits definite seasonal changes as trees undergo developmental changes simultaneously, but the general character of vegetation remains the same as in evergreen rainforests). • Semievergreen forest: longer dry season (the upper tree story consists of deciduous trees, while the lower story is still evergreen). • Moist/dry deciduous forest (monsoon): the length of the dry season increases further as rainfall decreases (all trees are deciduous). • http://www.srl.caltech.edu/personnel/krubal/rainforest/Edit560s6/www/where.html

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Arctic Ocean

Atlantic Ocean

Pacific Ocean

equator Indian Ocean

Pacific Ocean

Rainforests of the world

The bulk of the world’s tropical rainforest occurs in the Amazon Basin in South America. The Congo Basin and Southeast Asia, respectively, have the second and third largest areas of tropical rainforest. Rainforests also exist on some the Caribbean islands, in Central America, in India, on scattered islands in the South Pacific, in Madagascar, in West and East Africa outside the Congo Basin, in Central America and Mexico, and in parts of South America outside the Amazon. Brazil has the largest extent of rainforest of any country on Earth. According to FAO, tropical forests extend on 1.70 billion hectares in 2010 based on Landsat image analysis (Table 5, Table 1). The world’s forests are distributed unevenly with just under half the world’s forests in the tropical domain (45 % of total area), about one third in boreal (31 %) and smaller amounts in temperate (16 %) and subtropical (8 %) domains. Figure 1 shows regional differences in the rate of change in forest area. The highest rate of forest conversion to other land uses was in South America, followed by Africa and Asia. Net forest loss in the tropical domain was reasonably constant from 1990 to 2010, going from 6 million hectares per year in the 1990s to 7 million hectares per year in the 2000s. About half of the land area in the tropics is covered by forests. Forest coverage is highest in Latin America/Caribbean (56 %), followed by Africa (48 %) and Asia/Pacific (39 %). On country level, the highest coverage (85–98 %) is found in Gabon, Suriname, and French Guyana. Only few forests (4–7 % coverage) exist in Togo, Burundi, Kenya, and Haiti. ITTO producer countries are covered by 1.42 billion hectares tropical forests following FAO, but ITTO estimates the extent in a range between 1.30 and 1.39 billion hectares. While FAO includes the total forest area of India and Mexico (133 million hectares), ITTO estimates the area of tropical forests only (69 million hectares). Only ten of the 33 ITTO producer countries correspond to FAO figures. Seven countries conduct no forest inventory, 2 countries prepare for their first inventory, 10 countries request inventories only within the forest management units (FMUs), 5 countries rely on inventories conducted before 2000 and 8 countries accomplished their last inventory during the previous decade (Table 5, Annex 2).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

3000 2000

'000 ha/year

1000 0 –1000 –2000 Gains

–3000 Losses

–4000 Net change

South America

Africa

Asia

Europe

tropical

temperate

tropical

North and Central America

subtropical

temperate

subtropical

boreal

temperate

subtropical

boreal

tropical

temperate

subtropical

boreal

tropical

subtropical

tropical

temperate

subtropical

–5000

Oceania

Fig. 1 Annual change in forest land-use area (1990–2010) by region and climatic domain Table 2 Forest area and permanent forest estate in tropical countries and subdivision of the PFE in ITTO producer countries (Blaser et al. 2011) complemented by FAO 2010 Forest area Region Total tropical Total ITTO Africa Asia/Pacific Latin America/ Caribbean

'000 ha 1,730,831 1,420,513 270,067 282,006 868,440

Permanent forest estate (PFE) ‘000 ha (% of total forest area) 881,081 (51) 783,101 (55) 112,751 (42) 178,627 (63) 491,723 (57)

PFE for production PFE for production natural planted

PFE for protection ‘000 ha ‘000 ha (% of PFE) ‘000 ha (% of PFE) (% of PFE) 403,196 (52) 68,244 (62) 108,219 (61) 226,706 (46)

22,371 (3) 950 (1) 12,038 (7) 9,383 (2)

357,755 (45) 43,210 (38) 58,370 (33) 255,687 (52)

The Permanent Forest Estate in Tropical Countries ITTO reported that some 910 million hectares are primary forests, of these 870 million hectare are in ITTO producer countries. Half of the forest area serves no designated purpose. In tropical Africa 60 % of the forest area has no defined status, in Asia/Pacific its 44 % like in Latin America/Caribbean (45 %). 880 million hectares are designated as permanent forest estate (PFE), of these 780 million hectares are in ITTO producer countries. Nearly 3 % of the PFE are planted forests, i.e., 0.4 % in Africa, 7 % in Asia/Pacific, and 2 % in Latin America/ Caribbean. The PFE serves production purposes (55 % of the area) as well as protection services (45 %). In Latin America/Caribbean, the area of forests for protection exceeds that of production forests (Table 2). More than half of the tropical forest is closed forest whose tree canopy covers 60 % or more of the ground surface, when viewed from above. In Africa, on average 60 % of the forest area is closed. The

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Table 3 Status of the PFE for production in ITTO producer countries (Blaser et al. 2011) PFE for production Region Total ITTO Africa Asia/Pacific Latin America/ Caribbean

‘000 ha 403,169 68,244 108,219 226,706

PFE available for harvest % PFE ‘000 ha prod. 165,332 41 45,714 67 62,766 58 56,852 25

Forest area with management plans % PFE ‘000 ha prod. 129,062 32 26,359 39 58,013 54 44,690 20

Certified forest area ‘000 ha % PFE 2010 total 17,617 2 4,628 4 6,367 4 6,622 1

‘000 ha 7/2012 24,179 5,699 7,170 11,310

% PFE total 3 5 4 2

highest ranking is found in Liberia and Gabon, but the canopy covers less than 20 % in Ghana, Côte d’Ivoire, Nigeria, and Togo. In Asia/Pacific, on average 51 % of the forests are closed namely in Vanuatu, Papua New Guinea, and Malaysia. In contrast, India has a low proportion of closed forests. In Latin America/Caribbean, more than half of the forests (55 %) are closed in all countries except Mexico. Suriname and Guyana show the highest ranking of all ITTO producer countries in terms of closed forests.

Annual Change Rates Annual change rates in tropical forest area vary slightly between FAO and ITTO estimates (Table 4, Annex 1). Greatest discrepancies exist in Nigeria, Cameroon, Mexico, and Peru. Annual change rates range from 5, to 75 % in Togo to +1.1 % in Viet Nam. The total gross annually deforested area in the tropics between 2005 and 2010 is 8.2 million hectares, when considering new plantations, the annually affected net area is reduced to 7.9 million hectares. The highest annual losses are observed in Brazil ( 2.2 million hectares), Indonesia ( 0.7 million hectares), Nigeria and Tanzania ( 0.4 million hectares), and Cameroon, Democratic Republic of Congo Zimbabwe, Bolivia, and Venezuela (about 0.3 million hectares). In all tropical regions, deforestation is driven primarily by conversion to agricultural land use. Additionally, in Africa fuelwood gathering and charcoal production play an important role – but one that is not well quantified. The Asia/Pacific regions suffer periodically from destruction by fires. In Latin America/Caribbean, mining and infrastructure development are also important drivers. In some tropical countries, the forest area is extending namely in India and Viet Nam as well as, though on lower level, in Costa Rica and Cuba. Still, reafforestation in tropical regions reduces tropical forest losses only by about 0.3 million hectares per year.

Growing Stock and Carbon Stocks Half of the world’s growing stock is located in tropical forests. The majority is stocking in Latin America/Caribbean (62 % with 48 % in Brazil) followed by Africa (27 %) and Asia/Pacific (11 %) (Table 5, Annex 2). FRA 2010 estimates that the world’s forests store 289 gigatonnes (Gt) of carbon in their biomass alone. Tropical forests have a share of about 60 %. Carbon in tropical forests is again concentrated in Latin America/Caribbean (55 % with 37 % in Brazil) followed by Africa (29 %) and Asia/Pacific (16 %). On average. tropical forests in Africa and Latin America/Caribbean store 100 t carbon per ha, in Asia/Pacific 75 t carbon per ha. While sustainable management, planting, and rehabilitation of

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

forests can conserve or increase forest carbon stocks, deforestation, degradation, and poor forest management reduce them. Information on changes in carbon stocks is scarce. For reporting period 2005–2010, most countries report not significant changes, only Indonesia ( 1.7 t/ha/year) and Malaysia ( 0.8 t/ha/year) provided data.

Biodiversity in Tropical Forests Area of Primary Forests Forests of native species where there are no clearly visible indications of human activities and the ecological processes have not been significantly disturbed are considered as primary forests. They include the most species-rich, diverse terrestrial ecosystems. More than half of the tropical forests worldwide, i.e. 0.91 billion hectares, are primary forests (Table 6, Annex 3). In Africa and Asia/ Pacific, the share of primary forests on total tropical forest area is 42 %, while in Latin America/ Caribbean still 74 % are primary. The decrease of primary forests during the last decades is largely due to reclassification of primary forest to "other naturally regenerated forest" because of selective logging, shifting cultivation, and other human interventions. Overall, the area of primary forests is decreasing in all tropical regions at a rate of about 3.7 million hectares per year, but the situation seems to be improving especially in Asia/Pacific, while the rates of conversion show an increasing trend in Latin America/Caribbean. More than 70 % of all losses of primary tropical forests occur in Brazil although this seems to be slowing in recent years. Relatively high conversion rates are also observed in Papua New Guinea and Gabon.

Forest Area Designated for Conservation of Biological Diversity About 15 % of tropical forests are designated as primary function for the conservation of biodiversity (Table 6, Annex 3). This is more than the global average of about 13 %. Only five countries in the tropics were not able to report on biodiversity conservation areas though for instants countries like Kenya and the Dominican Republic are known for their nature reserves. The highest share of biological diversity conservation areas which are tropical forests is found in the Asia/Pacific region. Most, but by far not all of these areas are legally established protected areas. This is especially true for Latin America/Caribbean.

Tropical Forests in Protected Areas National parks, game reserves, wilderness areas, and other legally established protected areas also cover about 15 % of the total tropical forest area (Table 6, Annex 3). The primary function of these forests may be the conservation of biological diversity, the protection of soil and water resources, or the conservation of cultural heritage. In Africa and Latin America/Caribbean, the share of legally protected area is about 12 % of the total tropical forest area, while in Asia/Pacific the share amounts to 28 %. The situation varies widely between countries. The highest shares with more than half of the total forest area in a legally protected status are found in Thailand, Nicaragua, and Panama.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Health and Vitality of Tropical Forests Forest Fires

While some forest ecosystems depend on fire for their regeneration, forest fires can be devastating to others and also frequently cause loss of property and human life. In tropical forests, less than 1 % of all forests were reported to be significantly affected each year by forest fires. However, the area of forest affected by fires was severely underreported, with information missing from many countries. Still, half of all tropical countries declare forest fires as severe problem. The greatest damaged areas are reported from India, Ghana, Cameroon, and Myanmar (Table 7, Annex 4). Less than 10 % of all forest fires are prescribed burning; most are classified as wildfires.

Pests and Diseases, Natural Disasters, and Invasive Species Information availability and quality continues to be poor for most of these disturbances. Outbreaks of forest insect pests are reported from India, Mexico, El Salvador, Guatemala, Honduras, and Peru. Severe storms, flooding, and earthquakes have also damaged large areas of forests. During the last 15 years, hurricanes hit especially Myanmar, Guatemala, Honduras, Cuba, Haiti, Nicaragua, and Jamaica. Mozambique, Indonesia, Myanmar, and Thailand suffered from severe flooding. Earthquakes destroyed parts of Indonesia, Papua New Guinea, El Salvador, and Haiti. Woody invasive species are of particular concern in small island developing states, where they can threaten the habitat of endemic species.

Human-Induced Disturbances Healthy biological functioning of forest ecosystems can be affected by a variety of human actions such as encroachment, illegal harvesting, human-induced fire and pollution, grazing, mining, poaching, etc. Nearly all countries in the tropics face at least forest degradation as result of the impact of human interventions in production forests, protected areas, as well as in parks.

Climate Change ITTO producer countries were asked to specify their expectations concerning the vulnerability of their forests to climate change (Table 7, Annex 4). Blaser et al. (2011) concluded: “Climate change and climate variability could be among the most serious threats to sustainable development, with potential adverse impacts on natural resources, physical infrastructure, human health, food security and economic activity. Forests and rural landscapes in the tropics may be particularly vulnerable to the effects of climate variability, for example extreme weather events such as droughts (and associated wildfires), flooding and storms. At the same time, forests have the capability to reduce both environmental and social vulnerability. In many tropical countries the climate appears to be changing. Recent data provide evidence of, for example, increasing temperatures and prolonged dry periods in some regions, and increased rainfall and more frequent tropical storms in others. In Mexico, there has been an increase in mean annual temperature of 0.6  C in the past four decades. In Peru, average annual temperature has increased by 0.3  C in the last 50 years. In Ghana, average annual temperature has increased by 1.0  C since 1960, thus damaging the integrity of forest ecosystems. Adaptive approaches to forest management will become increasingly important in the face of climate change. Regardless of the pace of such change, healthy forests maintained under SFM will be better able to cope than those weakened and/or degraded by over-exploitation.”

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Productive Functions of Tropical Forests Areas Designated for Productive Functions Half of the tropical forest is designated as permanent forest estate (PFE). Again half of these, about 400 million hectares, serve production purposes. In Asia/Pacific, production forests have a share of more than one third of the total forests. ITTO producer countries report on their production forests in more detail (Table 3). Due to accessibility problems, only parts of the production forests are available for harvest. In Latin America/Caribbean, only one fourth of these forests can be exploited, while in Africa nearly two thirds are accessible. In Asia/Pacific, half of the production forests are covered by management plans. This share is with 20 % lowest in Latin America/Caribbean. Certification also plays a minor role in Latin America/Caribbean. Still, up to now the area of certified forests is slightly increasing throughout the tropics but especially some countries in Latin America/Caribbean observe nonrenewals of certificates because demand for certified timber is lacking.

Planted Forests About 3 % of the permanent forest estate is planted forest. During the decade 2000–2010, there is a decreasing trend in forest plantations in Angola, Burundi, Papua New Guinea, and Sri Lanka. In half of the tropical countries, the plantation area did not change significantly, but 28 countries show an increasing trend, especially Brazil, Viet Nam, Malaysia, Peru, Myanmar, Ghana, Colombia, and Ecuador.

Removals of Wood Products Reported wood removals amount to 1.3 billion cubic meters annually and equivalent to 0.5 % of the total growing stock (Table 8, Annex 5). Most countries have a stable timber production level. By far the most important product is fuelwood. Since some countries regard fuelwood as non-timber forest product (NTFP) and do not include this wood in their statistics, the actual amount of wood removals is undoubtedly higher than reported. There is also no estimate on informally and illegally removed wood. About 1.5 % of the harvested wood is exported. Forest Management for Production More than half of all tropical countries developed forestry guidelines, six of them have none (Table 5, Annex 2). Twenty out of 65 countries conducted a national forest inventory, 16 countries conduct inventories in their forest management units (FMUs), 7 countries definitely have no inventory information, the situation in the remaining counties is unknown. The monitoring capacity is low in most countries; high capacities are reported by Côte d’Ivoire, India, Malaysia, Brazil, Guyana, and Mexico. Seventeen countries contract out concessions which differ considerably in size and duration between countries (Table 8, Annex 6). Thirteen countries offer short-term harvest permits. Usually, standards for harvest are set and minimum diameter rules for species or species groups are prescribed. Ten countries are committed to reduced impact logging systems (RIL), but chainsaw logging and high grading are still widespread. Most countries rely on successful natural regeneration, but 12 countries also use enrichment planting.

Page 9 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Removals of Non-wood Forest Products Only few tropical countries are able to report on amount and value of non-timber forest products (NTFPs) such as Brazil, Colombia, India, Malaysia, Mexico, Costa Rica, El Salvador, Tanzania, and The Philippines. The major categories of NWFP removals about which countries provided the most information are (in descending order of importance): 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.

Food Exudates Other plant products Wild honey and beeswax Ornamental plants Raw materials for medicine and aromatic products Wild meat Raw materials for utensils, handicrafts and construction Living animals Hides, skins, and trophies

Some countries, especially in Latin America/Caribbean, introduced or are introducing markets to facilitate payments for environmental services (PES) such as water catchment protection, biodiversity conservation, and carbon sequestration. At the international level, the volume and value of payments is still low, but it is expected that there is substantial potential for an increase, especially for carbon sequestration.

Protective Functions of Tropical Forests Forest Area Designated for Soil and Water Conservation One of the most important protective function of forests is related to soil and water resources. Forests conserve water by increasing infiltration, reducing runoff velocity and surface erosion, and decreasing sedimentation. Forests play a role in filtering water pollutants, regulating water yield and flow, moderating floods, enhancing precipitation, and mitigating salinity. The forest area with “protection of soil and water as the primary designated function” refers specifically to the area of forests that have been set aside for the purposes of soil and water conservation, either by legal prescription or by decision of the landowner or manager. More specifically, the variable refers to soil and water conservation, avalanche control, sand dune stabilization, desertification control, and coastal protection. It does not include forests that have a protective function in terms of biodiversity conservation or those in protected areas, unless the main purpose is soil and water conservation. Following FAO, about 133 million hectares or nearly 8 % of the tropical forests have soil and water conservation as their primary objective (Table 6, Annex 3). The quantification of the protection forest area remains difficult. ITTO producer countries report much greater areas especially in Latin America. Brazil reported 43 million hectares forest designated for soil and water protection to FAO. The ITTO report states: “The Amazon Basin produces 20 % of the world’s freshwater; it is therefore vital that its soil and water resources are properly protected. An estimated 243 million hectares of forest in Brazil are managed primarily for soil and water protection.”

Page 10 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

In Africa, the greatest protective forests are located in Mozambique, Central African Republic, and the Republic of Congo. In Asia Pacific, Indonesia, Myanmar, Lao PDR, and Vietnam have the greatest protective forests. In Latin America/Caribbean, they are found in Brazil, Venezuela, and Colombia.

Socioeconomic Functions of Tropical Forests Ownership and Management Rights In African tropical countries, most of the forests are in public ownership. Significant private ownership exists in Sierra Leone (86 % belong communities), Togo (73 % belong individuals), Uganda (68 %), Kenya (61 % belong mainly communities), Zimbabwe (32 %), and Central African Republic (9 %). The holder of management rights in public forests is usually public administrations or in few cases communities. In those countries where concessions for timber harvest are granted, business entities hold management rights for a given period. In Asia/Pacific as well as in Latin America/Caribbean, private forest ownership is much more spread especially in Papua New Guinea (97 %), Fiji (95 %), Timor Leste (67 % belong communities), El Salvador (69 %), Colombia (67 %), Jamaica (65 %), Paraguay (61 %), and Guatemala (52 %). Still, the holder of management rights are mainly public administrations.

Public Expenditure and Revenue Collection Thirty-one of 65 tropical countries reported on revenues from forestry and public expenditure for forestry measures in 2005 (FAO 2010). On average, total forest revenue collection was about US$4.4 per hectare, ranging from US$0.3 per hectare in tropical Africa to US$6.6 per hectare in tropical Asia/Pacific. Public expenditures range from US$0.7 per hectare in tropical Africa to US$2.5 per hectare in Asia/Pacific. In Latin America/Caribbean, the situation is dominated by Brazil. Here, revenue collection is relatively high with more than US$5 per hectare, and public expenditures are low. Without Brazil, the relation of revenues (US$0.7 per hectare) and expenditures (US$1.9 per hectare) are similar to the African situation. Only in Asia/Pacific, namely, Malaysia and Papua New Guinea, and Brazil revenues are higher than expenditures.

Value of Wood and Non-wood Forest Product Removals Forty-four tropical countries report on values of wood and non-wood forest removals in 2005 (FAO 2010). Wood removals valued just over US$25.7 billion annually in the period 2003–2007, accounted for by industrial roundwood (60 %) and woodfuel (40 %). In Liberia, Burundi, Madagascar, Rwanda, Tanzania, India, and Myanmar, the value of woodfuel trade exceeds that of industrial roundwood. The reported value of non-wood forest product removals amounts to about US$0.8 billion for 2005. Food products account for the greatest share. However, information is still missing from many countries in which non-wood forest products are highly important, and the true value of subsistence use is rarely captured. As a result, the reported statistics probably cover only a fraction of the true

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

total value of harvested non-wood forest products. High values are reported by Brazil, Colombia, and India. Millions of people depend on food, medicine, and products from the forest in their daily life. Some ITTO producer countries estimated the number of depending people such as 45 million in the Democratic Republic of Congo, 48 million in Nigeria, 115.5 million in Cambodia, 38 million in Myanmar, more than 200 million in India, more than 5 million in Papua New Guinea, 25 million in the Philippines as well as in Thailand, and 12 million in Mexico. Payment for environmental services (PES) may generate additional income, but are not fully established yet. PES mainly for the management of water catchments is practiced in Kenya, Fiji, Brazil, Colombia, Ecuador, Guatemala, Guyana, Mexico, Costa Rica, Dominican Republic, and Paraguay. Regional initiatives or pilot projects are conducted in Madagascar, Indonesia, Vietnam, Panama, and El Salvador.

Employment During the last decade, reported employment in forest establishment, management, and use employment increased in 14 countries especially in Malaysia, Vietnam, and Paraguay – probably because roundwood production has increased faster than gains in labor productivity. Employment decreased in 9 countries, especially in Indonesia and Jamaica. Some countries reported increased employment in management of protected areas such as Nigeria, Zimbabwe, and Vietnam. Given that much forestry employment is outside the formal sector, forest work is surely much more important for rural livelihoods and national economies than the reported figures suggest.

Area of Forest Designated for Social Services The forest area designated for recreation, tourism, education, or conservation of cultural and spiritual heritage is expanding in the tropics. Roughly about 0.17 million hectares or about 10 % of the tropical forest are designated for the provision of social services. Brazil has designated more than one fifth of its forest area for the protection of the culture and way of life of forest-dependent people.

Annex Annex 1

Page 12 of 30

Total forest 000 ha Country FAO Cameroon 19,916 Central African Republic 22,605 Congo, Democratic 154,135 Republic Congo, Republic of 22,411 Côte d’Ivoire 10,403 Gabon 22,000 Ghana 4,940 Liberia 4,329 Nigeria 9,041 Togo 287 Subtotal Africa 270,067 Angola 58,480 Benin 4,561 Burundi 172 Equatorial Guinea 1,626 Gambia 480 Guinea 6,544 Guinea Bissau 2,022 Kenya 3,467 Madagascar 12,553 Mozambique 39,022 Rwanda 435 Sierra Leone 2,726 Tanzania, United Rep. of 33,428 Uganda 2,988 Zambia 49,468 Zimbabwe 15,624 Total Africa 503,663 %/a FAO 1.07 0.13 0.2 0.05 – 0 2.19 0.68 4.0 5.75

% 42 36 68 66 33 85 22 45 10 5 48 47 41 7 58 48 27 72 6 22 50 18 38 38 15 67 40 44 0.21 1.06 1.01 0.71 +0.38 0.54 0.49 0.31 0.45 0.53 +2.47 0.7 1.16 2.27 0.33 1.97

Change 05–10

% of total area

Table 4 Tropical forest area, change in area

22,400 10,400 21,700–24,600 4,680 3,330–4,390 9,000 500–1,700 226,140–282,370

000 ha ITTO 19,700–21,200 22,700–>30,000 112,000–154,000

Total forest 000 ha/a 270 43 311 33 6 90 5 4(FAO)–56 0 0 42(113,730) 0 0 23 0 n.s. 1 0 19 24 0 0 4 0 0 0 5 27(118,410)

% (000 ha) 18 10 51

Primary Deforestation forest

0.03 67 n.s. < 15 0.12 10 2.2 135 0.35 1.0 15–43 n.a. 410 5.75 20 1,310 125 50 2 10 +2 40 10 10 60 210 +10 20 400 90 170 330 2,825

%/a ITTO 0.14 0.19 0.2

Change 05–10

18,900 4,220 13,525 1,334 1,904 5,622 383 112,751 58,480 2,700 80 1,630 30 1,190 – 1,260 3,260 – – 290 13,000 1,900 3,240 910 200,721

000 ha 12,800 5,763 48,300

Permanent F. Estate

68 17 87 18 88 11 2 60

% 54 38 66

(continued)

Canopy cover > 60 %

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Page 13 of 30

Country Cambodia Fiji India Indonesia Malaysia Myanmar Papua New Guinea Philippines Thailand Vanuatu Subtotal Asia/Pacific Brunei Darussalam Lao People’s Democratic Republic Nepal Solomon Islands Sri Lanka Timor-Leste Vietnam, Socialist Republic of Total Asia/Pacific Bolivia, Plurinational State of Brazil Colombia Ecuador Guatemala Guyana Honduras

Table 4 (continued)

% 57 56 23 52 63 48 63 26 37 36 39 72 68 25 79 29 50 44 40 53 62 55 36 34 77 46

3,636 2,213 1,860 742 13,797

320,385 57,196

519,522 60,499 9,865 3,657 15,205 5,192

% of total area

Total forest 000 ha FAO 10,094 1,014 68,434 94,432 20,456 31,773 28,726 7,665 18,972 440 282,006 380 15,751

0.42 0.17 1.89 1.47 0 2.16

0.53

0 0.25 0.77 1.44 +1.08

0.47 0.49

%/a FAO 1.22 +0.34 +0.21 0.71 0.42 0.95 0.49 +0.73 +0.08 0

Change 05–10

519,000 56,900–61,500 9,900–11,200 3,700–4,600 15,200 5,800

52,400–57,200

000 ha ITTO 10,000–10,700 1,000 37,800a 94,400–98,500 18,400–18,600 30,800–35,400 28,600–33,000 7,100–7,700 15,900–19,000 440 244,440–262,140

Total forest

0.42 0.17 1.89 1.47 0.6–0 2.16

0.5

%/a ITTO 1.2 +0.34 0.21 0.7 0.42 0.95 0.47 0.9 +0.7 +0.08 0.3

Change 05–10

2,200 101 198 56 9–0 120

1,325 270

84 5 15 10 +144

000 ha/a 127 0 30–40 684 90 310 140–300 +30 +15 2 1,353 2 80 – 0 – – –

000 ha 8,300 219 36,300 68,400 14,400 22,000 10,500 6,350 12,160 0 178,629 320 –

Permanent F. Estate

92 14 40 43 45 8

316,650 15,240 8,700 2,500 12,200 3,600

38(120,940) 178,949 67 38,300

14 50 9 0 1

% (000 ha) 3 48 42 50 21 10 91 11 35 – 42(117,840) 69 9

Primary Deforestation forest

51 60 59 51 89 51

64

% 39 n.a. 13 69 79 58 79 42 32 89 51

Canopy cover > 60 %

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Page 14 of 30

33 44 53 95 44 52 56 61 51 26 41 14 98 4 31 26 44 55 50 48 48 39 56

64,802 3,251 67,992 14,758 226 46,275

868,440 1,393 2,605 2,870 1,972 287 8,082 101 337 3,114 17,582 906,783 142,0513 1,730,831 270,067 282,006 868,449

Bold: ITTO producer countries a Tropical forest only

Mexico Panama Peru Suriname Trinidad & Tobago Venezuela, Bolivarian Republic of Subtotal LAC Belize Costa Rica Cuba Dominican Republic El Salvador French Guiana Haiti Jamaica Nicaragua Paraguay Total LAC Total ITTO countries Total Africa ITTO A/P ITTO LAC ITTO 0.68 +0.9 +1.25 0 1.47 0.04 0.77 0.12 2.11 0.99

0.24 0.36 0.22 0.02 0.32 0.61

0.49 0.36 0.1 0.1 0.32 0.6

155 12 150 4 1 288

3,559 10 +23 +35 0 4 4 1 n.s. 70 180 3,770 1,297,876–1,387,436 0.43 6,222 0.45 7,920 226,410–282,370 0.48 1,310 244,440–262,140 0.48 1,325 827,026–842,926 0.39 3,559 Total gross 8,214

827,026–842,926

31,400a 3,000–4,300 68,000–71,000 14,800 226 46,700 74(648,000) 43 24 0 – 2 95 0 26 38 11 73(660,110) 61(873,570) 53(909,460) 42(113,730) 42(117,840) 74(648,000)

53 22 60 93 28 45 491,690 – – 2,870 – – 6,600 – 120 – – 501,280 783,070 880,950 112,751 178,629 491,690

12,200 2,300 38,900 7,500 200 33,400

60 51 55

56

55

35a 49 81 96 66 55

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Annex 2 Table 5 Stocks, carbon Growing stock

Carbon

Country Cameroon Central African Republic Congo, Democratic Republic of Congo, Republic of Côte d’Ivoire

Million m3 6,141 3,776

Carbon/ha Institutional framework Law Forest enforcement Million t Tonnes law capacity 2,969 135 1994 Low 2,861 127 2008 Low

35,473

19,639

127

2002

Low

4,539 2,632

3,438 1,842

153 177

Low Low

Gabon Ghana Liberia Nigeria

4,895 291 684 1,161

2,710 381 585 1,085

123 77 135 120

Togo Subtotal Africa Angola Benin Burundi Equatorial Guinea

– 59,592 2,266 161 20 268

–

–

2000 65, in prep. 2001 1998 2006 1937 in prep 2008

4,385 263 17 203

75 58 96 125

1955 1993 1985 1997

Gambia Guinea Guinea Bissau Kenya Madagascar Mozambique

18 506 61 629 2,146 1,420

32 96 96 525 1,626 1,692

66 47 47 137 130 43

Rwanda Sierra Leone Tanzania, United Republic of Uganda Zambia Zimbabwe Total Africa Cambodia Fiji

79 109 1,237

39 216 2,019

91 79 60

1998 1989 1991 2005 1997 1999/ 12 1988 1988 2002

131 2,755 596 71,994 956 –

109 2,416 492 49,736 464 –

36 49 49 99 46 –

India Indonesia Malaysia

5,489 11,343 4,239

2,800 13,017 3,212

41 138 157

Forestry guidelines 1998 None

Monitoring Inventory capacity 2004 Low 1991–93 Insufficient In FMUs Low

2005 2010

Medium Partly strong Low Low

1998 2006 1996

In FMUs None, ghg In FMUs 1985–92 None None

Low

None

None

Low Low Low

Yes

Low Low Low

In work 2000

Low Low

No Yes

2003 1973 1996

Low Low

Yes

2002 1992

Weak

1927 1999 1984

Inadequate Low

1999 1990 in work Several 2009, 10 Several

Low High Improved Medium Low Low Low

1992 Partly, FMUs 2008 10

2005

Low Medium Low Low Inadequate

In progress In FMUs

In FMUs Low 2006–08 None Yes Yes 2007

High Medium High (continued) Page 16 of 30

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Table 5 (continued) Growing stock

Carbon

Carbon/ha Institutional framework Law Forest enforcement Million t Tonnes law capacity 1,654 52 1992 Low 2,306 80 1991 Low 663 87 1975 Low 880 46 2007 Low – – 2001 Low

Forestry guidelines 2000 1993 Several

Monitoring capacity Low Low Medium Low Low

Million m3 1,430 2,726 1,278 783 – Min 28,244 72 72 – 1,074

188 68

1984 2007

Improving

– 208 – – 870

485 182 61 – 992

133 82 33 – 72

1993 2004 1995 2000 1992

Weak Low Low Low Low

Min 29,394 4,242

24,116

75

4,442

78

In work Weak

1997, 2006 in FMUs low

62,607

121

1965

2006

8,982 – 596 2,206 629 2,870 664 8,159 3,389 24 –

6,805 – 281 1,629 330 2,043 367 8,560 3,165 19 –

112 – 77 107 64 32 113 126 214 85 –

1974 In work 1996 2009 2008 2003 1994 2001 1992 In work 2008

Belize Costa Rica

Min 157,982 226 272

171 238

123 91

2000 1996

Cuba Dominican Republic El Salvador French Guiana Haiti

258 122 – 2,829 7

226 114 – 1,651 5

79 58 – 204 54

1998 1999 2002 2001 1926

Country Myanmar Papua New Guinea Philippines Thailand Vanuatu Subtotal A/P Brunei Darussalam Lao People’s Democratic Republic Nepal Solomon Islands Sri Lanka Timor-Leste Vietnam, Socialist Republic of Total A/P

Bolivia, Plurinational State of Brazil 126,221 Colombia Ecuador Guatemala Guyana Honduras Mexico Panama Peru Suriname Trinidad and Tobago Venezuela, Bolivarian Republic of Subtotal LAC

Strengthened

Partially Improving High Low Improving Low Improving Medium

None

Inventory None None 2003–05 None 1989–92

Yes Yes 1995 1996

Low 1999 In FMUs 2008–10 2000–05

None 2004 Yes Yes 1996

Partially

2003 Yes Yes None Yes

Low

Yes Yes

1980, fmus In prep. In fmus 2002–03 In fmus 2006 2004–07 In fmus In fmus In fmus 1969 In work

High Medium Medium Low High Low High Medium Medium Medium None Medium

Low Pilot study

Low

Low In fmus (continued) Page 17 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Table 5 (continued) Growing stock

Country Jamaica Nicaragua Paraguay

Million m3 52 461 –

Total LAC

Min 162,209 Min 263,597

Total Total

Carbon

Carbon/ha Institutional framework Law Forest enforcement Forestry Million t Tonnes law capacity guidelines 48 141 1996 Low Yes 349 112 2003 Improving – – 1973/ Improving 04 Min 103 93,050 527 billion m3 worldwide = 50 % 170,648 289 Gt

Monitoring Inventory capacity 2003 2007–08 Low In fmus Low

Estimate for f r a total biomass carbon

FAO 2010

Annex 3 Table 6 Biodiversity: primary forest

Country Cameroon Central African Republic Congo, Democratic Republic of Congo, Republic of Côte d’Ivoire Gabon Ghana Liberia Nigeria Togo Subtotal Africa Angola Benin Burundi Equatorial Guinea Gambia Guinea Guinea Bissau Kenya Madagascar Mozambique

Total forest 000 ha (FAO) 19,916 22,605

Primary forest

Change 90–10

Protected areas FAO % total % (‘000 ha) % / trend 000 ha forest 18 – 9,100 46 10 2.9/+ 250 1

154,135

51

–

16,300

22,411 10,403 22,000 4,940 4,329 9,041 287 270,067 58,480 4,561 172 1,626 480 6,544 2,022 3,467 12,553 39,022

33 6 90 5 4(FAO)–56 0 0 42(113,730) 0 0 23 0 n.s. 1 0 19 24 0

0.08 /= 990 810 2.1 / + 3,430 0 43 0 190 n.s / ++ 2,510 – – 33,623 – 1,860 – 1,260 0 40 – 590 n.s. 40 0 240 – – 0.3 / = – 0.65 /+ 4,750 – 4,140 0

Soil/water primary Biol.div. function prim. func 000 ha (600) 5,700

000 ha 884 226

11

(0)

26,203

4 8 16 1 4 28 – 12 3 28 23 37 8 4

(0)3,660 374 (0) 350 (0) (0)57 (45)6 (7,070)10,145 0 0 0 0 60 590 240 3,260 1,250 8,580

896 832 3,960 49 173 2,531 46 35,800 1,754 1,277 0 585 43 3,010 1,112 0 4,770 4,292

38 11

(continued)

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Table 6 (continued)

Country Rwanda Sierra Leone Tanzania, United Republic of Uganda Zambia Zimbabwe Total Africa Cambodia Fiji India Indonesia Malaysia Myanmar Papua New Guinea Philippines Thailand Vanuatu Subtotal A/P Brunei Darussalam Lao People’s Democratic Republic Nepal * Solomon Islands Sri Lanka Timor-Leste Vietnam, Socialist Republic of Total A/P Bolivia, Plurinational State of Brazil Colombia Ecuador Guatemala Guyana Honduras Mexico Panama Peru Suriname Trinidad & Tobago

Total forest 000 ha (FAO) 435 2,726 33,428

Primary forest

Change 90–10

Protected areas FAO % total % (‘000 ha) % / trend 000 ha forest 2 0 60 14 4 3.3 / = 190 7 0 – 2,000 6

2,988 49,468 15,624 503,663 10,094 1,014 68,434 94,432 20,456 31,773 28,726 7,665 18,972 440 282,006 380 15,751

0 0 5 27(118,410) 3 48 42 50 21 10 91 11 35

– – 0

Soil/water primary Biol.div. function prim. func 000 ha 50 0 0

000 ha 0 191 2,006

42(117,840) 69 0.9/= 9 0

730 10,680 800 61,003 3,090 90 19,770 37,810 4,640 2,080 310 1,800 9,430 – 79,020 20 –

24 22 5 14 31 9 29 40 23 7 1 24 50 – 28 5

0 0 470 21,570 550 304 (10,700)4,540 (22,660)26,400 (2,660)5,200 (1,270)21,100 0 (613)1,500 1,330 – (39,870)60,920 20 9,140

1,076 10,883 781 67,580 3,937 91 19,820 15,109 2,046 2,224 1,436 1,226 8,917 – 54,806 80 2,993

3,636 2,213 1,860 742 13,797

14 50 9 0 1

526 0 – 495 –

14 0

436 620 190 310 5,100

509 487 558 185 2,237

320,385 57,196

38(120,940) 67

0.5/

80,061 10,680

19 19

55,690 0

61,855 10,867

519,522 60,499 9,865 3,657 15,205 5,192 64,802 3,251 67,992 14,758 226 46,275

92 14 40 43 45 8 53 22 60 93 28 45

0.48/+ 0.17/= 0.26/= 3.7/– 0 0 0.1/++ – 0.3 = 0.1 0 –

89,540 – – – – 2,340 8,490 2,120 – 2,015 – –

17 – – – – 45 13 65 – 14 – –

(43,000)243,000 (605)3,800 2,300 (0)950 0 (1,140)1,000 0 (65)406 (n.s.)756 0 (60)37 (7,870)14,500

46,757 8,470 4,834 2,304 152 2,285 8,424 1,333 18,358 2,214 20 15,734

0/++ n.s./++ 0 0.2/+ 0 0 1.5/ 0 0 –

0/+ 0 0/++ – 1.2/+

(continued) Page 19 of 30

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Table 6 (continued)

Country Venezuela, Bolivarian Republic of Subtotal LAC Belize Costa Rica Cuba Dominican Republic El Salvador French Guiana Haiti Jamaica Nicaragua Paraguay Total LAC

Total forest 000 ha (FAO)

Primary forest

Change 90–10

Protected areas FAO % total % (‘000 ha) % / trend 000 ha forest

000 ha

000 ha

868,440 1,393 2,605 2,870 1,972 287 8,082 101 337 3,114 17,582 906,783

74(648,000) 43 24 0 – 2 95 0 26 38 11 73(660,110)

(55,040)266,750 0 290 1,350 – 10 0 0 10 190 n.s. 55,450

121,752 599 625 603 – 32 2,425 4 71 2,024 1,934 130,069

0 0 – – 0 0.1/+ – 0.07/= 2.1 0

115,185 – – 630 – 30 2,420 5 120 2,020 – 120,410

13

22 10 30 5 36 65 29

Soil/water primary Biol.div. function prim. func

Countries in bold: 1. Blaser et al.(ITTO) 2011 all: 2. FAO 2010 (in brackets)

Annex 4 Table 7 Forest fires/climate change Country

Burned 2003–07 Fire reported as 000 ha/year % Wild fire problem

Cameroon

497

93

Central African Republic Congo, Democratic Rep. of Congo, Republic of Côte d’Ivoire Gabon Ghana

500

80

Expected trend

x

Partly increased Increased of 0.15  C/ decade Increased Increased

x

Increased Increased

x

x

Liberia Nigeria Togo Angola Benin Burundi Equatorial Guinea Gambia Guinea Guinea Bissau Kenya Madagascar

x 47

40

Mean temperature Expected trend

Incr.

– Increased Increased of 0.14  C/ decade Increased of 0.21  C/ decade Increased of 0.18  C/ decade Increased of 0.03  C/ decade Increased

Mean rainfall Expected trend Decreased of 2.2 %/ decade Decreased of 2.2 %/ decade – Decreased of 2.6 %/ decade Decreased of Decreased Decreased

x x

100 100 2 16

100 100

x

(continued) Page 20 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Table 7 (continued) Country Mozambique Rwanda Sierra Leone Tanzania, United Republic of Uganda Zambia Zimbabwe Cambodia Fiji India Indonesia Malaysia Myanmar Papua New Guinea Philippines Thailand Vanuatu Brunei Darussalam Lao People’s D R Nepal Solomon Islands Sri Lanka Timor-Leste Vietnam, Socialist Republic Bolivia, Plurinational State of Brazil Colombia Ecuador Guatemala Guyana Honduras Mexico Panama Peru Suriname Trinidad & Tobago Venezuela, Bolivarian Republic Belize Costa Rica Cuba Dominican Republic El Salvador French Guiana Haiti Jamaica Nicaragua Paraguay

Burned 2003–07 Fire reported as 000 ha/year % Wild fire problem

15

100

x

90 100

x x

20

1,605 5 2 218 2 21

Expected trend

x x

100 100 100 100 100

x x xx

xx x x

Increased

Increased

Mean temperature Expected trend

Mean rainfall Expected trend

Increased of 0.18  C/ decade Increased Increased Increased Increased

No change

Increased Increased Increased incr.

Increased No long-term trend

Decreased Decreased

x x x x x x x 100 x

23 38

95 92

3 12 3

7 9 3

x x x x

Increased Increased Increased

Decreased Changing patterns

Increased Increased

Increased of 0.13  C/ decade

No trend

Increased

Increased Increased Increased

Changing patterns Changing patterns

x

100

x x

Increased

100 x x

0

63

100

x

Countries in bold: 1. Blaser et al.(ITTO) 2011 all: 2. FAO 2010

Page 21 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Annex 5 Table 8 Timber production PES Country Cameroon Central African Republic Congo, Democratic Republic Congo, Republic of Côte d’Ivoire

Fee

PFE production nat. Production Fuelwood % Total Mio m3/trend 000 ha forest % 7,600 38 14.00 = 67–85 5,200 23 3.00 = 85

22,500 15

80.00 +

15,200 68

2.60 =

1,950 19

21.50 =

Gabon Ghana

10,600 48 774 16

Liberia Nigeria

1,700 39 2,720 30 0 0

Togo Subtotal Africa* Angola Benin Burundi Equatorial Guinea Gambia Guinea Guinea Bissau Kenya Madagascar Mozambique Rwanda Sierra Leone Tanzania, United Republic Uganda Zambia Zimbabwe

Export Mio m3 1.00 0.08

High transport costs, no port; artisanal timber

85

0,22

Low-quality timber, forests are difficult to assess

NTFP

0.80

High transport costs, no port

90

0.50

3.40 = 1.32 +

45 NTFP

1.90 0,25

0.36 + 77.00 =

NTFP 90

few 0.22

6.00 =

50

0.10

Policy revision 2010, low political will Ban on unprocessed timber 2010 Log export banned since 1997, chainsaw lumber is illegal, but traded 2 of 4 ports work again >1/2 of log volume harvested by chainsaw No commercially exploitable forests left

n.s. n.s. n.s. no logs2008 n.s. 0.17 0.01 n.s. n.s. 0,01 – 0.02 0.01

68,244 25

x in prep.

2,340 1,410 15 80

4 31 9 5

5.10 = 6.70 = 10.70 + 1.00 =

75 90 95 45

n.s. 130 590 210 3,260 26,170 320 240 23,730

2 29 6 26 67 74 9 71

0.80 = 12.60 = 2.70 = 27.60 = 13.30 = 18.10 = 6.20 = 5.70 = 25.00 =

80 95 85 95 90 95 95 95 90

360 12

43.70 =

90

11,870 24 1,560 10

10.40 = 9.50 =

90 90

no logs 1,999 n.s. n.s. (continued)

Page 22 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Table 8 (continued) PES Country Total Africa Cambodia

Fee

Fiji

x

PFE production nat. Production Fuelwood Export % Total Mio 000 ha forest m3/trend % Mio m3 140,529 28 3,710 37 0.10 20 0.02 0 0

0.47 =

NTFP

0.01

Logging in natural forest banned since 1988 Remaining forest difficult to access 50 % of wood supply from non-forest resources Illegal logging equals official harvest FSC + PEFC certified, harvest from plantations Government controls teak, limited profit for others 1,8 Mio m3/a by clearance authorities for agriculture, difficult access 1988 ban on old-growth logging Logging ban in natural forests since 1988 All land is owned by individuals or clans

26,160 38

307.00 =

85

0.00

38,600 41

101.00 =

86

3.00

Malaysia

10,298 50

18.00

NTFP

4.40

Myanmar

15,800 50

43.10 =

91

1.40

Papua New Guinea

8,700 30

2.90 +

NTFP

1.90

Philippines Thailand

4,700 61 251 1

0.85 = 45.00 =

30 90

0.00 1.60

0.14 =

75

few

108,219 38 220 58

0.10 =

n.s.

banned

3,620 23

6.20 =

95

no logs

380 17

0.20 = 1.60 =

25 NTFP

banned 1.4

170 9 247 33 6,480 47

5.80 0.10 = 27.80 =

90 100 90

n.s. n.s. no logs

Logging ban

119,587 37 25,100 44

2.70 +

NTFP

0.40

No demand for certified timber

FSC + PEFC certified, 166 Mio m3 from plantations Wood is abundant, prices are low, no incentives for management

India Indonesia

Regionally

0 0

Vanuatu Subtotal A/P* Brunei Darussalam Lao People’ Democratic Republic Nepal Solomon Islands Sri Lanka Timor-Leste Vietnam, Socialist Republic Total A/P Bolivia, Plurinational State of Brazil

x

135,000 26

247.00 =

50

1.10

Colombia

x

5,500 9

13.00 =

85

n.s.

Ecuador

x

1,964 20

4.80 +

80

0.20

pilot p.

Resource exhausted by 2014

(continued)

Page 23 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Table 8 (continued) PES Country

Fee

PFE production nat. Production Fuelwood Export % Total Mio 000 ha forest m3/trend % Mio m3 Harvest in planted forests is greater

Guatemala

x

1,140 31

16.00 +

Guyana

x

11,090 73

0.30 =

Mexico

x

Panama

(x)

Peru Suriname

a

0.01

5

0.15

90

0.07

2.40 =

NTFP

0.00

1.50

90

n.s.

18,700 28 5,319 36

2.40 = 0.20 =

NTFP 1

0.50 0.05

127 56

0.05 =

NTFP

0.00

30–50 % of official production is illegal Overmature stands, industry sector underdeveloped Illegal production is three to four times higher Nonrenewals of certificates, lack of price premium Forests are considered as common goods, no political priority Log export not permitted Lack of interest, gold-mining has priority Needs imports

12,920 28

2.40 =

NTFP

n.s.

No demand for certified timber

0.20 = 4.70 = 1.90 0.90 =

– 30 70 –

n.s. 0.20 – n.s.

4.90 = 0.20 = 2.20 = 0.70 6.10 = 10.60 +

85 0 – – 15 0

0.02 n.s. – – n.s. 0.02

1,096 21

Honduras

Trinidad & Tobago Venezuela, Bolivarian Republic Subtotal LACa Belize Costa Rica Cuba Dominican Republic El Salvador French Guiana Haiti Jamaica Nicaragua Paraguay Total LAC

40

x x pilot p

none x

8,400 13 350 11

226,706 0 360 890 –

26 0 14 31

70 0 50 10 620 0 2,000

24 0 50 3 20 0 25

10.80

Subtotals contain estimates; thus cross totals do not match exactly

Page 24 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_7-1 # Springer-Verlag Berlin Heidelberg 2014

Annex 6 Table 9 Management in production forests Concessions Country

Size (ha)

Cameroon Central African Rep. Congo, Democratic Repblic Congo, Republic of Côte d’Ivoire

>200,000 42,000–475,000 Max 500,000 Mean 400,000 >25,000

Gabon Ghana

50,000–600,000 Abolished

Liberia Nigeria Togo Subtotal Africa Angola Benin Burundi Equatorial Guinea Gambia Guinea

50,000–400,000 Small None

Guinea Bissau Kenya Madagascar Mozambique

Years

Harvest permits Size Min (ha) Years dia/sp

15 30 2

Rwanda Sierra Leone Tanzania, United Republic Uganda Zambia Zimbabwe Cambodia Fiji India Indonesia

None In revision

Malaysia Myanmar

None

30–100 250 1,000– > 5,000

Peru

Mean 12,900

Suriname Trinidad &Tobago Venezuela, Bolivarian Republic Belize Costa Rica Cuba Dominican Republic El Salvador French Guiana Haiti Jamaica Nicaragua Paraguay

5,000

Harvest system

1 1 30–40 >20 N > K). This will be a valuable tool in the choice of an adequate fertilizer. Although DRIS has been developed for agricultural purposes, the system was used with success in forestry (Truman and Lambert 1980; Schutz and de Villiers 1987; Herbert and Scho¨nau 1991). The application of DRIS requires four steps (for details, see Walworth and Sumner 1987). The Creation of a Data Bank: For a specific tree species, the data bank includes plant analyses with corresponding yield data under the widest range of conditions possible. The greater the number of observations, the higher the precision of the DRIS norms. The lowest recorded data number cited by Schutz and de Villiers (1987) was 30 trees (Populus sp.), but much higher observations (>100) will be better. The population of samples is then divided into usually two subpopulations on the basis of yield (e.g., mean top height) or site index. If there are plantations of different age, it will be possible to establish for different age classes a high- and low (er)-yielding subpopulation. The Development of DRIS Norms: For the high-yielding population, each analyzed element is expressed in as many combinations as possible with other elements (N/Pf N/K, N/Ca, and so on). The mean and coefficient of variation (CV) of all ratios (testing for variance homogeneity) have to be calculated as DRIS norms. Another possibility is to use known optimum foliar data for norm calculation, if these are valid for the species, season, age, etc. The Calculation of DRIS Indices: For all trees or stands of interest not belonging to the norm population, the same calculations have to be carried out. The coefficients and means of these trees or stands will be compared with the norms by calculating DRIS indices for each element (see Walworth and Sumner 1987). These represent relative insufficiency (negative values) or relative excess (positive values). The most negative index is the most limiting. The sum of all absolute index values (N index, P index, etc.) reflects the nutrient imbalance of the whole tree or stand under study. An example is given in Table 8. The Testing of the Norms: The results should be compared with interpretation guidelines – if available – for foliar nutrient concentrations and tested by fertilization response (see Walworth and Sumner 1987). From Table 8 the main conclusions are that there seems to be no severe nutrient deficiency, although supply of especially N and Mn is insufficient. The order of requirements is N > Mn > S > Mg > Cu, Zn > Fe, etc. At first sight, these results are astonishing in view of high soil Mn and N levels, but studies show reduced N availability due to waterlogging and a highly significant correlation between foliar N and growth, while supply is limited due to lime and high pH (7.0–7.6) (Drechsel 1992). All this accentuates the sensibility of DRIS. If fertilization trials are not possible, DRIS could also be used for the interpretation of specific unknown deficiency symptoms. Table 9 shows the DRIS indices for teak trees with green leaves (1) and for only those trees with, as example, symptom 9: streaked, pronounced intercostal chlorosis (partly with first necrotic

50

A. Alvarado

Table 8 Comparison of foliar nutrient concentrations and DRIS indices for a 23-year-old Tectona grandis on a Vertisol in southern Benin [S.I. (50) = 28 m; class II]. DRIS norms have been established for two age classes (1–6, 11–45 years; n = 90) (Drechsel 1992)

Element Foliar nutrient concentration N 2.11 %  0.49 P 0.27 %  0.05 S 0.15 %  0.03 Si 11.6 %  2.50 K 2.14 %  0.37 Ca 1.30 %  0.14 Mg 0.30 %  0.04 Al 119 ppm  31 Fe 96 ppm  15 Mn 30 ppm  4 Zn 18 ppm  4 Cu 14 ppm  3 Sum of absolute index values

DRIS indices 18 8 9 13 2 11 7 14 2 14 6 6 110

Table 9 Comparison of foliar nutrient DRIS indices for green teak leaves (1) and leaves with a specific nutrient deficiency symptom (9); sampling position, age, etc., were similar (Drechsel 1992). The most negative index value indicates the most limiting nutrient Sympt. 1 9

Si 6 15

N 9 4

Cu 0 19

Al 8 18

K 1 8

Mg 1 6

Ca 4 56

Fe 2 6

Zn 2 2

Mn 1 26

P

S 4 6

3 8

patches), wrinkled leaf surface, and partly burned margins. From Table 9 the following conclusions could be made: 1. Even in green leaves we find some nutrient imbalances with, for example, relatively low N levels and relatively high Al levels. 2. The most limiting nutrient for the development of symptom 9 is Ca, followed by Si. On the other hand, there is a relative excess of Mn, Cu, and Al. Until today, several possibilities of the DRIS are not used in forestry, since as many as yield-determining factors capable of quantitative or qualitative expression could be considered in the system. Besides foliar data, this will be soil or rainfall data as well (Walworth and Sumner 1987).

Interpretation of Soil Analysis to Choose Lands for Planting Forest Species Acacia mangium: This is a rustic fast-growing pioneer species of the humid and very humid flat tropical lowlands up to 300 m elevation. The species grows better under short dry period conditions due to its large daily water consumption (Sánchez 1994). Under dry periods longer than 3 months, trees tend to die after the second or third year of age due to the fact that trees do not shed foliage (Ocan˜a 1994; Ilstedt

Plant Nutrition in Tropical Forestry

51

et al. 2004). Water excess and low-fertility conditions are not recommended since many diseases are favored causing growth problems to the trees (Ilstedt et al. 2004). Soil fertility-wise, A. mangium does not tolerate soil salinity (Martı´nez 1987; Sánchez 1994) but takes acid with pH between 3.4 and 5.0 (Otsamo et al. 1995), low organic matter content (Nirsatmanto et al. 2004; Kim et al. 2008), and low available P with a minimum of 100 μmol P to maximize nodulation (Ribet and Drevon 1996). Acacia growth is severely reduced at bulk density values between 1.35 and 1. 52 Mg m 3 in clayey shallow Ultisol of Panama and Malaysia but drives well in sandy soils and mine spoil residues (Majid et al. 1998). Alnus acuminata: This species possesses an extended lateral root system that favors chances for colonizing hilly lands where it is used to protect and restore eroded sites and road cuts, particularly in well-drained soils of alluvial or volcanic origin and unfertile and rocky soils (Tarrant and Trappe 1971; Cervantes and Rodrı´guez 1992; Budowski and Russo 1997; Mun˜oz 1998). It grows well between 1,500 and 2,600 masl with reported limits of 610 in Costa Rica (Horn and Rodgers 1997) and 3,050 masl in Ecuador (Nieto et al. 1998). Alnus species are considered as pioneers that grow well under extreme climatic and soil conditions. Soil fertilitywise it grows well in a wide range of soil conditions like pH water 4.7–6.4, cation exchange capacity 0.4–18.7 cmol (+) 100 g 1 soil, organic matter content 0.6–28.1 %, exchangeable Mg 0.1–6.5 cmol (+) 100 g-1 soil, exchangeable Na 0.2–8.8 cmol (+) 100 g 1 soil, N 0.01–1.5 %, and a C/N ratio 1.4–38.9 (Camacho 1983; Sánchez 1985; Mun˜oz 1998; Grime 1992). The species overcome N deficiencies by fixing the element in symbiosis with Frankia (Álvarez 1956; Carlson and Dawson 1985; Mun˜oz 1998; Ritter 1989; Rondo´n and Hernández 1995) if available P is sufficient (Gardner et al. 1984; Michelsen and Rosendahl 1990; Russo 1995; An˜azco 1996; Budowski and Russo 1997; Segura et al. 2006a). Cedrela odorata: This species grows abundantly as individual trees in lowlands and piedmonts of mixed deciduous tropical and subtropical (wet and very wet) forests (Guevara 1988). Its root math development is affected by soil depth being superficial and extended if soils are shallow, but deep soils are fertile and well drained (Ponce 2010). Good soils like Cambisol and Acrisol with pH 5–7, 2–6 % organic matter, over 4 ppm P (Olsen mod.), less than 1 ppm Al (KCl), and Ca > 5, Mg > 2, K 0.12–0.65, Na < 0.2, and CIC > 15 cmol 100 g 1 soil favor high productivity of the species (Galván 1996). Castillo (2008) and Me´ndez (2012) consider that the species performance might be improved inoculating with mycorrhizae and fertilizing at planting in degraded soils. When the species is planted in leaving fences (Viera and Pineda 2004) or in plantation, the trees grow better when mixed with other trees since insect damage is reduced (Piotto et al. 2004; da Cunha and Finger 2013). High values of bulk density in Andisols (critical value 1.20 Mg m 3) reduce the growth of C. odorata (Castaing 1982), but in soils derived from calcareous materials of Me´xico, values of 1.38–1.88 Mg m 3 did not (Murillo 2008). Pinus caribaea: This species adapts to varied ecological conditions (Isolán 1972; Tobar 1976; Camacho 1983; Ortega 1986; Vásquez 1987; Vásquez and

52

A. Alvarado

Ugalde 1995; Fornaris et al. 2004; Correˆa and Bellote 2011). However, when planted in highly degraded or marginal areas, yields do not correspond with the potential of the species (Herrero 2001) and tend to decrease as total precipitation increases from 850 to 3,500 mm year 1 or temperature increases from 20  C to 27  C (Camacho 1983; Vásquez 1987; Vásquez and Ugalde 1994). According to Ladrach (1992) the species can take long dry periods on sandy dystrophic soils, but under these very conditions the author reports the dieback of trees negatively affecting site quality (Márquez et al. 1993; Fornaris et al. 2004; Correˆa and Bellote 2011). Nutritionally P. caribaea yields are positively affected by the adequate supply of Ca, K, Mg, and Na (Camacho 1983; Zamora 1986), Cu (Ortega 1986; Vásquez 1987), organic matter (Herrero et al. 1983), pH values 6–7 (Vásquez 1987), and medium to high base saturation (Correˆa and Bellote 2011). At establishment Mg salts might negatively affect the initial growth of the species in Cuba so that when Ca/Mg values vary between 1 and 5, the Mg excess causes brownyellowing color in the needles and trees to die when soil pH is over 6.7 (Acosta et al. 1975). Some authors have found good correlations between soil properties and site index for the species (Tobar 1976; Watanabe et al. 2009; Arias and Calvo 2011). Low yields can be obtained in shallow soils (less than 25 cm total), poorly drained soils, high bulk density, and effective soil depth of less than 80 cm (Isolán 1972; Ortega 1986; Vásquez 1987; Zamora 1986; Correˆa and Bellote 2011). To improve shallow or compacted soils, deep planting holes or subsoiling is being demonstrated to help to increase productivity (Hernández et al. 1976). Cordia alliodora: This species grows in clusters after clearing the forest, as individual trees or in small groups in secondary forests and grasslands in dry or humid tropical and subtropical lowlands or intercropped in cacao and coffee plantations. It is naturally found from sea level to 2,000 masl, with optimal growth below 500 msnm, and in regions with 1,300–2,000 mm of annual precipitation, short dry periods, and average mean annual temperature near 24  C (Boshier and Lamb 1997). Herrera and Finegan (1997) mention that the tree is more abundant in undulated landscapes than in stepped lands where soils have higher amounts of exchangeable acidity. According to several authors (Johnson and Morales 1972; Giraldo et al. 1980; Graves and McCarter 1990; Bergmann et al. 1994; Reyes 1997; Hummel 2000), C. alliodora grows better in soils with the following characteristics: (i) of high natural fertility (the acidity saturation should be lower than 80 % and pH greater than 5.5); (ii) medium to high contents of N, P, and K; (iii) a cation exchange capacity higher than 40 cmol (+) 100 g 1; (iv) a content of Mg that should be sufficiently low not to cause K/Mg imbalances; (v) free of seasonal floods; (vi) humid but well drained; (vii) sandy loam texture; and (viii) deep of alluvial origin (although it also grow in lateritic, clayey, moderately drained, relatively fertile, red forest lowland soil). The best stands are found in high dissected alluvial terraces of fertile soils or in deep rich soils, high in organic matter content, like Andisols. Other authors (Peck 1976; Poel 1988; Bergmann et al. 1994) do not recommend planting C. alliodora in (i) poorly or excessively drained alluvial valleys, (ii) degraded grasslands of low fertility, (iii) deep and infertile sandy soils with little organic matter, (iv) saline-sodic soils, and (v) hard, shallow lateritic soils;

Plant Nutrition in Tropical Forestry

53

poor drainage badly affects the growth and quality of the wood of C. alliodora (Pe´rez 1954). Gmelina arborea: This species adapts to an ample range of climates and soils (Arce 1997; Herasme 1997), especially to soils of high fertility, in flat to undulating landscapes, in slopes between 0 and 600 elevation, with a mean total annual precipitation of 2,500 mm, and with 2–4 months’ dry spell (Murillo 1996). Several authors have developed good correlation models between physiographic and climatic characteristics associated with the quality of the sites and the growth of Gmelina in several countries (Salazar and Palmer 1985; Hughell 1991; Stuhrman et al. 1994; Vallejos 1996; Agus 2001; Agus et al. 2001). To attain the best rates of growth of the species (Camacho 1983; Zeaser and Murillo 1992; Vásquez and Ugalde 1994; Stuhrman et al. 1994; Zech 1994; Vallejos 1996; Moya 2004; Arias and Calvo 2011; Mun˜oz et al. 2009), it should be planted in soils with the following characteristics: (i) loam to clay loam texture; (ii) pH between 6.0 and 7.0; (iii) acidity saturation lower than 7 %; (iv) more than 80 cm depth (at least 30 cm A horizon); (iv) well drained; (v) more than 8 g L 1 available P; (v) Ca 18–23, Mg 6–7, and K 0.3–0.7 cmol (+) L 1; (vi) minor elements in the ranges of Fe 29–66, Cu 5–250, and Zn 0.9–2.2 g L 1; (vi) effective exchange capacity over 20 cmol (+) 100 ml 1; (vii) high organic matter content; and (viii) irrigation in dry areas. G. arborea yields less if soils are (i) compacted (Bd > 0.9 Mg m 3), (ii) trees are planted above 500 elevation, (iii) lands are exposed to strong winds, (iv) soil acidity saturation is over 25 %, and (v) the available Ca is over 10 and Mg less than 6 cmol (+) L 1 (Obando 1989; Zeaser and Murillo 1992; Stuhrman et al. 1994; Vásquez and Ugalde 1995; Vallejos 1996; Osman et al. 2002; Alfaro 2000). Because the radical system of G. arborea is superficial, the species should not be planted in overgrazed acid soils (Ruhigwa et al. 1992) unless compaction and addition of K leached are corrected (Stuhrman et al. 1994). Swietenia macrophylla: This species grows in humid and subhumid seasonally dry tropical lowlands at elevations between 50 and 1,400 masl. It grows best in seasonally dry (up to 4 months dry) tropical areas with rainfall ranging 1,000–4,000 mm year 1 (Grogan and Schulze 2012) and an annual mean temperature range of 15–35  C (Mayhew and Newton 1998). Grogan and Landis (2009) found in old natural forests of Brazil that major factors constraining caoba growth are lianas covering the crown, the illumination of the crown, and the production of fruits, although the main limiting factor for its development is its susceptibility to the attack of the borer of the stem Hypsipyla spp. (Hauxwell 2001). Several authors (Verwer 2006; Negreros and Mize 2013) consider that the species prefers flat sites and red-brown to very dark brown soils, instead of the brown-reddish deep and often P-depleted soils; the species drive well in clayey to sandy soils with pH values 6.5–7.5, well drained and with good water holding capacity; caoba grows poorly in areas flooded for long periods of time. Under natural conditions, the best growths have been observed in grounds of volcanic origin, and although it tolerates better than other species, nutritional deficiencies do not prosper either in argillaceous black soils (Vertisols) or in shallow compacted, degraded soils, low in organic matter.

54

A. Alvarado

Tectona grandis: Teak is associated with the deciduous dry and humid forests of India (Briscoe 1995). Thiele (2008) mentions that growth is more affected by physiographic, climatic, and plantation management variables than by the chemical and physical properties of the soil; therefore, it is common to find poor quality sites on good soils due to late planting or poor weed control. Bebarta (1999) mentions that among the physical-chemical properties of the soils, nothing is more important for teak growth than the pH, which is also related to other soil variables like base saturation, Ca saturation, and acidity saturation. In acid soils the teak mycorrhizal association is also negatively affected (Raman et al. 1997; Alvarado et al. 2004), and inoculation is recommended to increase the number of leaves and the height and diameter of seedlings (Gadea et al. 2004). Sites considered as good to plant teak (Camacho 1983; Gangopadhyay et al. 1987; Drechsel and Zech 1994; Vásquez and Ugalde 1994; Vallejos 1996; Jha 1999; Kumar 2005; Favare et al. 2012; Alvarado and Mata 2013; Segura et al. 2013) should have soils with the following characteristics: (i) preferably fertile and of alluvial and calcareous origin, (ii) pH neutral, (iii) average N and K availability and average exchangeable Ca and Na, (iv) high saturation of bases (over 70 %) and low acidity saturation (below 5 %), (v) loamy textures, (vi) bulk density in the A horizon lower than 1.16 g cm 3, (vii) moderately deep (>90 cm), (viii) granular to subangular blocky structure, (ix) well drained, and (x) with low electrical conductivity. While planting teak, soils with the following properties should be avoided: (i) poorly drained depressional Vertisols with flooding problems, although according to Mun˜oz et al. (2009) teak grows well in these sites if irrigated during the dry season, (ii) shallow soils like rocky and stony Entisols, (iii) shallow soils on the top of windy slopes, (iv) sandy soils in rustic or drier environments, and (vi) regions where the levels of acidity of the soil and the subsoil are very high. Several authors have developed correlation models between the growth variables of teak and the environmental variables that determine tree growth in Mexico and Central America (Vallejos 1996; Mollinedo 2003; Vaides 2004; Bermejo et al. 2004; Sima 2010) environments where teak grows better as rainfall increases and also exchangeable Ca content increases in the soil (Rugmini et al. 2007), but is retarded when the hydric deficit increases, the annual mean air temperature increases, and the acidity saturation increases (Oliveira 2003; Alvarado and Fallas 2004; Mollinedo et al. 2005).

Amelioration of Site and Tree Nutrient Status Without Mineral Fertilizer If soil analysis indicates before planting that soil fertility will limit tree growth, the forester can reduce nutrient disturbances by: • Accumulating organic residues and conserving soil organic matter after clearcutting and during site preparation, since organic matter is a keystone of sustained productivity.

Plant Nutrition in Tropical Forestry

55

• Planting site-adapted and/or less demanding (local) species or provenances. On less suitable sites foresters should support natural regeneration. Often the quality and biomass production of native (pioneer) species is underestimated. These secondary forests should be protected in early years from livestock and could be managed by weeding and thinning as well. They may be more suited for smaller projects, e.g., on village level. Additionally, degraded soils could be ameliorated using tree legumes or other pioneer trees, like Musanga sp. in West Africa, Macaranga sp. in SE Asia, or Cedrela odorata in Central America (Piotto et al. 2004), for restoring soil fertility on “planted fallows” (Sánchez et al. 1985; Drechsel et al. 1991), before highly productive (tree) crops are introduced to the area. However, more research is needed for the establishment of site-adapted mixed plantations or natural forest management. • Improving soil and silvicultural practices by mechanically rather than chemically weeding or adding organic residues. In established stands, soil and foliar analyses will give qualitative information on the occurrence and kind of nutrient deficiencies. It is usually also possible to analyze the reasons for mineral disturbances, such as low-nutrient reserves, low or high pH, waterlogging, water stress, weed competition, etc. (see Webb et al. 2001), by the description of foliar nutrient deficiencies in conifers and broad-leaved species (Zo¨ttl and Tschinkel 1971; Cannon 1983b; Drechsel and Zech 1991). In addition, it will be possible to distinguish between weak and severe deficiency and to say which nutrient supply is more and less limited. What kinds of conclusions are possible after deficiency diagnosis? First of all, it may be possible that the magnitude of nutrient deficiency, in a few cases the deficiency itself, is man-made and avoidable (e.g., frequent controlled fires or bushfires, waterlogging due to soil compaction during site preparation, insufficient inoculation, regular litter harvesting). Secondly, it may be possible to reduce nutrient deficiency by, for example: – The promotion of N2-fixing undergrowth – Low-intensity fire to support the decomposition of long-term accumulated litter – Soil tillage to avoid inundation or to increase effective soil air volume on compacted soils Since nutrient uptake depends largely on water supply, it will be necessary: – In relatively dry environments, to control weeds longer and more frequently than usual – To keep the canopy closed or the soil covered to avoid evaporation – In semiarid regions, to establish site-adapted rainwater harvesting systems if irrigation is not possible (Drechsel et al. 1989) Generally, early thinning will increase nutrients and water available to the remaining trees. During thinning and harvesting, foliage, twigs, and bark should

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be left and crushed in situ. Slash will also be of value as mulch if there is no other understory or soil cover against erosion. Slash burning between rotations is the main reason for the second-rotation decline in South Australian pine plantations (Woods 1990). The knowledge of the restricted productivity of the site is often used to reduce the rotation period, since maximum CAI will be reached earlier. In view of later rotations, this practice will strongly deplete nutrient reserves: as discussed above, the nutrient removal per unit of biomass will be very high in short rotations in comparison with longer rotations. One possibility will be to plant soilameliorating species and/or indigenous trees or shrubs after clear felling. In plantations of smaller size (e.g., village forestry, farm forestry), non-mineral fertilizer may be available [decomposed (not fresh) farm manure, rice straw, or other compost]. Weeds or grasses used for compost may bear a lot of seeds! In established stands livestock will find shade and could browse undergrowth by “fertilizing” the plantation.

Fertilization of Forest Plantations and Natural Tropical Forests Diagnostic foliar analysis without fertilization trials is not able to provide quantitative estimates of nutrient requirements and fertilizer application. Therefore, the next step should be to establish fertilization trials using the deficient nutrients in different amounts and mixtures to establish site-adapted recommendations. How fertilizer response data could be interpreted for recommendations is described by Dahnke and Olson (1990). The alternative is to use the experiences of comparable projects (species and sites) for application of a deficiency-corresponding fertilizer. This may be suitable as a practice, since the start of fertilization at planting should first of all support the development of the root system and not of soil fertility. The most popular experiences will be dealt with in this paragraph. Fertilization trials are widespread in tropical forest plantations, since most of the soils for plantation forestry are low to moderate in fertility. Therefore, fertilization only makes sense where the soil is able to hold the nutrient in the rooting zone, especially in view of water-soluble fertilizer. This will be possible in less weathered soils or in soils with adequate amounts of organic matter (humus). Nutrient management in the tropics is for that reason also humus management. Although fertilizer trials are widespread, systematic research and reevaluation and verification of experiments and results are limited to a few countries and commercial forestry, usually for financial reasons. Conclusions from fertilization research, which may be useful in this book, should: – Result from long-term studies – Encompass a wide range of soils and climates – Encompass the major trees of commercial interest (eucalypts, pines)

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According to these basic conditions, the following experiences and recommendations summarize to a great extent results from South Africa surveyed by Herbert and Scho¨nau (1991) and May et al. (2009) and commercial and native species plantations in Latin America by Alvarado and Raigosa (2012). For regional or country-specific information and literature on fertilization of teak and Acacia mangium, see Paudyal (2012), and for Eucalyptus spp. and Pinus spp., Crane (1984), Schutz (1976), Scho¨nau and Herbert (1989), Barros and Novais (1990), Dell et al. (2001), and Rodrı´guez and Alvárez (2010) should be used; for other (multipurpose) species, see Waring (1984). No reference is made to laboratory experiments with seedlings or nursery trials. Nevertheless, nutrient deficiencies are often found even in the nursery, often due to nonoptimal inoculation with mycorrhiza, a high acid or alkaline soil pH, or inadequate irrigation. For nitrogen a careful fertilizer application to seedlings is necessary to avoid overfertilization and tree mortality or susceptibility to diseases.

Experimental Design For fertilizer trials properly replicated applications (e.g., a factorial block design) are indispensable. Forest fertilizer trial designs are described, for example, by Binns (1976) and for sloping lands by (IBSRAM 1989). Details are described by Cellier and Oorrell (1984) and in view of statistical analysis by Little and Hills (1978). A brief handbook for field trial design and statistical interpretation has been published in several languages, for example, by the German Agency for Technical Cooperation (GTZ) (Rohrmoser and Wermke 1985). The homogeneity of the area must be checked by soil sampling before planting. Hurlbert (1984) discussed how pseudoreplications and wrong statistical conclusions can be avoided.

Time of Fertilizer Application Fertilizer application must be carried out at the beginning of the rains or toward the end of the rainy season, when it is already too late for planting, but the growth of many tree species reaches a maximum. During the peak of the rainy season, fertilizer application would probably interfere too much with ongoing planting work, and nutrient losses by rain will be high. Best conditions to apply fertilizers include periods of high root activity, moderate soil temperature, moist litter and soil, and a high probability of good rains soon after the applications of the product, like the ones found at the end or the beginning of the rainy season in tropical regions (Paudyal 2012). For some elements the response is best after thinning (Crane 1982) and results will be visible soon after the treatment is applied (Torres et al. 1993), particularly on low-fertility soils; the little response to the addition of N and P in very dense plantations is attributed to the lack of area for canopy expansion of fertilized trees; however, it should be remembered that when infertility is caused for

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other reasons than low nutrient contents (shallow soil, water deficit or excess, etc.), the problem cannot be overcome with additions of nutrients. In trials with eucalypts in South Africa, the fertilizer was usually applied at planting or a few days afterward. There were declining effects from fertilizer the later it was applied after planting. A maximum tree height of 50 cm has been set as a criterion for a beneficial second application of fertilizer to E. grandis, possibly at slightly lower rates (Herbert and Scho¨nau 1991). This second application should not take place after the trees have reached a height of about 1 m (Scho¨nau 1984). Fertilizing at planting has little effect on site fertility, but promotes the development of a vigorous root system, which allows for continually improved growth (Herbert and Scho¨nau 1991). Thus, responses increase with the effective rooting depth and soil water availability of sites, as well as being larger for the faster-growing species. The situation regarding the time of fertilization for pines is slightly different. The controversy still rages whether a stand has to be thinned before a meaningful increase in growth from fertilizing existing stands is obtained. For most pine species on the other hand, fertilizing at planting gives responses when the correct fertilizer is used. As for the other species, early application after planting is essential for pines, as long as weeds are controlled. This is of far greater importance for pines than for the fast-growing eucalypts and acacias. It takes far longer for the slower-growing pines to reach and respond to the fertilizer, while in the meantime most of the advantage has gone to weeds which are then better able to compete with the trees for water and the remaining nutrients (Herbert and Scho¨nau 1991). Nambiar et al. (1984) discussed some examples on the interactions of thinning, fertilization, and water stress. Various authors mention that fertilizer application particularly that of N and P will enhance forest plantations productivity when the product is localized at planting and one or two years later when 25–50 % of the trees are thinned (Sundralingam and Ang 1975; Prasad et al. 1986; Kishore 1987; Sein and Mitlo¨hner 2011). The frequency of pine fertilization depends on the natural fertility of the soils and silvicultural practices like pruning and thinning recommending to apply fertilizer at 0, 7, and 12 years when soil fertility is high; at 0, 2, 4, 7, and 12 years if natural fertility is medium; and at 0, 1, 3, 5, 7, and 12 years when natural soil fertility is low. For Acacia mearnsii the best results were obtained if the fertilizer was applied 6 months after establishment. Broadcast applications of up to 2 t superphosphate (11.3 % P) to wattle stands between 1 1/2 and 7 years old showed increased yields at harvesting. However, these increases have been small, probably due to weed competition (Herbert and Scho¨nau 1991).

Method of Fertilizer Application A general comprehensive review on the subject for crops is available at IPNI (2012). Many different methods of applying fertilizers to eucalypts have been studied all over the world. Methods tested include applications in the planting hole, in a band, in a furrow, in or along the planting line, in one or more spots, in

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slots, in a circle or semicircle, uphill or downhill, in broadcast, 15–30 cm from the seedling, on or below the surface, covered or uncovered, mixed with the soil or concentrated, in a solution, and as a foliar spray. In large plantations fertilizers can be added with the help of tractors, helicopters, and small planes depending on the economics and type of topography (Fisher and Binkley 2000). When possible fertigation can be performed in dry areas (Sima 2010; Love-Myers et al. 2010). The results were variable and rather confusing, but depended on the type and quantity of fertilizer, texture and nutrient-fixing capacity of the soil, time of application, and weather conditions. Thus, fertilizers high in N should be placed in a radius of 30 cm to the seedling, but not in the bottom of the planting hole. Especially when the clay content of the soil is low, it is inadvisable to apply fertilizers with high nitrogen content in concentrated placing. Water-soluble P fertilizers should not be mixed in P-fixing soils but banded in a ring with a radius of 15–20 cm around the seedling or in two broad slots on either side; the larger quantities of rock phosphate should be spread over a wide area or broadcast. The depth of placement should be similar to that of the root plug (Herbert and Scho¨nau 1991; Scho¨nau and Herbert 1989). Concerning pines the picture is even more confusing than for eucalypts. One of the various methods recommended is spot placement in a surface depression some 20 cm from the tree, which seems to be the most effective and practical technique. Other methods encouraged weed growth and increased phosphate adsorption (Herbert and Scho¨nau 1991). In Queensland, if there is no aerial application or tractor, fertilizers are usually applied about in the tree base or as narrow bands along the planting row (Grant 1991). Investigations on black wattle revealed the superiority of band applications 25 cm on the upper side of the tree rows after the first spacing and weeding when the trees were 30 cm tall. The change in wattle silviculture from line sowing to planting necessitated further investigations. These indicated that applications in a circle with a radius of 15 cm generally showed the best response. Only when the rainfall was of high intensity did superphosphate applied in the planting hole under the seedling give better results. Especially during dry weather it is essential to place the fertilizer about 5 cm into the mineral soil and to cover it (Herbert and Scho¨nau 1991).

Rates of Nutrient Application The application rates depend on species requirements, stand age and density, expected competition by weeds, method of application, site characteristics (fertility, texture, etc.), and costs of fertilizer. Initial N rates may vary from 0 to 7–50 g per tree (12–80 kg ha 1), P rates from 4 to 60 g per tree (7–100 kg ha 1), and K rates up to 5 g per tree (8 kg ha 1) (Pulsford 1981). Similar amounts (initial N rates 5–50 g tree 1 and P and K 1–50 g tree 1) are reported for experiments conducted in forest plantations in Latin America by Alvarado and Raigosa (2012) with a second application of N rates 5–30 g tree 1, P rates 1–45 g tree 1, and K rates 5–25 g tree 1

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Table 10 The range of element rates used in commercial forest fertilization operations (After Ballard 1984) Application at planting Rate of application Unit N P Banded kg ha 1 30–50 50 Spot g tree 1 10–30 10–15 Broadcast application in established plantations Rate of application (kg ha 1) N P K 100–300 50–100 50–100 Application method

K 50 15

Mg 30 10

B 8 1

Cu 5 1

Mg 30–50

B 8

Cu 5

Zn 10

Zn 5–10 5

immediately after the first thinning. Lime requirements and response depend on the tolerance of species to soil acidity saturation and when required usually 1–3 t ha 1 is applied before planting. Alvarado and Raigosa’s (2012) summary concludes (Table 11) that very adapted species responded to low to medium fertilizer addition of nutrients limiting growth; in contrast more demanding species responded better to the application of larger amounts of fertilizer. The best responses to low quantities of fertilizer added correspond usually to experiments established in the 50s and 60s and to larger amounts in more intense recent plantations aiming best economic returns. In regard to micronutrients Castan˜o and Quiroga (1990) conclude that most forestry conifer and eucalypt commercial plantations respond to the addition of NPK, but in soils deficient in B and/or Zn, the fertilizer mostly contains between 5 and 8 kg ha 1 of each element to maximize growth and survival of trees. Table 10 gives information about the range of element rates used for different methods of application. In general, the upper levels are applied to fast-growing hardwoods and Eucalyptus species (Ballard 1984). Depending on fertilizer solubility, frequency of application may have a more lasting effect over time than increasing the rate of fertilization. Additionally, the balance between the nutrients (e.g., N and P) should always be considered carefully and may be more important than the absolute amounts.

Type of Fertilizer Mineral fertilizers are widely used depending on availability, price, and effectiveness. According to Scho¨nau and Herbert (1989), the most frequently used N fertilizers are water-soluble ammonium sulfate (21 % N) with an acid reaction; calcium ammonium nitrate (26 % N), which is much less acid; and the directly available form as urea (46 % N). P fertilizers are either natural rock phosphates or water-soluble superphosphates in a single, double, or triple form. In commercial forestry, triple superphosphate (ca. 19 % P) has largely replaced normal superphosphate (ca. 9 % P). The effectiveness of rock phosphate depends on its total P content, solubility in citric acid, and the degree of soil contact. The latter depends

Species Calophyllum brasiliense Terminalia amazonia Cupressus lusitanica Cedrela odorata Swietenia macrophylla Pinus caribaea Gmelina arborea Vochysia guatemalensis Cordia alliodora Acacia mangium Alnus acuminate Tectona grandis Range Fert. formula 15-15-15 12-24-12 10-30-10

Best response to the addition of elements (g tree 1) at N P Planting First thinning Planting First thinning 5 1 5 6–8 5 1–5 5 30 10 5–10 2–17 12 5–15 15 6–21 3–11 6–46 6–22 2–18 1–20 5–23 13–20 10–20 10–20 20–30 10–50 20–40 20–50 45 30–50 22–40 26 10–50 31 3–5 30 10–50 6–31 1–50 1–45 Nutrient applied with 100 g tree 1 of fertilizer 15 3 12 11 10 13 12 10 8

6–9 1–50

K Planting 3 5 5 5–10 7–26 1–20 2–20 7–14 20–35 20–50 25 5–25

6–20

5–6 20–25 10

First thinning

0.5–2.0 t line

1 t lime

5 borax 10 borax 2 borax

3 borax

Others Planting

Number of references 1 4 4 7 3 19 5 2 3 5 3 11

Table 11 Best response of tropical tree species to fertilizer application under various site conditions (Adapted from Alvarado and Raigosa 2012)

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on particle size and form of application. Since rock phosphate is less soluble than superphosphate, it shows lower leaching losses and longer duration of response. Common K fertilizers are potassium chloride (50 % K) or potassium sulfate (40 % K). The latter is preferred in semiarid climates, since it causes lower salinity. Mg is usually applied as sulfate as well or as dolomitic limestone and Ca as limestone, if available, or as CaO or Ca(OH)2. In addition to the normal functions of Ca and Mg, these fertilizers (not in sulfate form) are important in their role of adjusting the soil pH through liming up to pH 6.5, but not above this value. Many fertilization experiments were carried out with mixtures of N and P or the three primary nutrients N, P, and K, such as ammoniated superphosphates or monoor diammonium phosphate (MAP, DAP), and other commercial NPK mixtures marketed either in granular form or in tablets. The latter often contain N in a slow-release form such as urea formaldehyde. Mono Amonium Phosphate (22 % P, 13 % N) reacts with acid, while DAP reacts with alkali. The kind and amount of nutrient element in NPK fertilizers are shown in the analysis printed on the fertilizer bags. The first figure indicates the percentage (by weight) of the first element available in the fertilizer (usually N), whereas the second shows the percentage of the second nutrient (e.g., P) and so on. Traditionally, the contents of P and K are expressed as P205 and K20, but relative amounts of the pure elements are possible as well. Micronutrients (Fe, Zn, Mn) are often applied as chelates (EDTA, EDDHA), B as borax, and Cu often as CuSO4 5H2O. The figures (Table 11) of application rate of N (kg ha 1) should be multiplied by 4.7 for ammonium sulfate, by 2.1 for urea arid, and by 3.8 for ammonium chloride, the P (P2O5) figures by 11.5 (5.0) for ordinary superphosphate and by 5.0 (2.2) for triple superphosphate, the figures of K (K2O) by 2.23 (1.85) for sulfate of potash, and the figures of, for example, B by 8.8 for borax. The choice of fertilizer may best be judged from the depth and organic matter content of the topsoil, the degree of weathering of the soil, the parent material from which the soil is derived, the soil texture, and the effective rainfall. Soils high in organic matter require approx. 10 g P per tree at planting in a fertilizer with low N/P ratio (viz., 1:3), as such soils contain considerable mineralizable N. Eucalypts planted on soils low in organic matter will respond best to N on its own (10–20 g per tree) or the fertilizer N/P ratio should be higher (viz., 2:1). Soils derived from the parent material low in K-bearing minerals, highly weathered soils, or soils in drier areas may also require K in addition to N and P. For these, the K/P ratio should generally not exceed 1. More details on commonly used fertilizers in forestry are described by Pulsford (1981). Due to high precipitation and low absorption of, e.g., N, Ca, Mg, and K and high P fixation in many soils of the humid tropics as well as limited financial possibilities, research on the development of cheap, slowly soluble mineral fertilizers is strongly needed. Fertilizer bags should be stored in a dry room with low air humidity on a wooden platform.

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Magnitude of Response The magnitude of response of trees to fertilizing at planting varies depending on the site and species, type of site preparation, seedling quality, choice of fertilizer, time and method of application, and competition from weeds. It is estimated that roughly 10–20 % of applied fertilizer might be utilized by trees during the mature stage of growth; it is found that one fourth of the fertilizer is absorbed during the first years of growth, an equal amount is immobilized on micro-biomass or soil organic matter, and the rest is hard to measure or is lost by volatilization and leaching (Fisher and Binkley 2000). The residual effect of P fertilizer is considered to last up to 10 years and that of N up to 5 years (Dayson 1995). To better estimate the response to fertilizer additions, Paudyal (2012) recommends conducting an evaluation after a full expansion of canopy on variables such as foliar area, tree growth, mortality, diameter distribution, height/DBH, wood quality, susceptibility to pest and diseases, mycorrhiza development, and weed composition changes. The length of the response to fertilizer addition depends on the natural fertility of the site, land preparation for planting, and growth pattern of the species. When the site’s natural fertility is low, the response to fertilizers is immediate and long lasting. When a nutrient availability is moderate, the response to fertilizer addition cannot be estimated, but after the second year, it is due to factors like dilution of elements on the foliage, nutrient immobilization in soil biomass, or accumulation of nutrient in tissues like wood (Tanner et al. 1990). Under these conditions, empirical evidence shows that these sites will present disorders since the beginning of the plantation until harvest (Fisher and Binkley 2000). The correction and response to P fertilizer additions might by carried out as early as possible and will last until the first harvest, while N response might last only a few years and that of K is less frequent. Some authors mention 15–25 years of response after adding 50–224 kg P ha 1 (Ballard 1978; Flinn et al. 1979; Trichet et al. 2009), while conifers reach a peak of response to N 2–4 years later after being added with a decline in response after 5–10 years (Mead and Gadgil 1978). Bonneau (1978) attributes the long-term response of trees to P and K additions to the low mobility and retention of P and K in the soil and to the large amounts of nutrients applied (50–100 kg P ha 1) in relation to the needs of the trees (5–70 kg P ha 1); on the contrary N mobility is by far larger than that of P and K causing a beneficial effect only for short to medium periods of time and sometimes being negative for those leguminous species that have the ability to fix N. In Queensland, volume responses in the order of 75 % have been obtained in stands of average site quality, but on poorer soils, there have been responses in excess of 1,000 % (Grant 1991). Initial growth responses are not only maintained but also increase with time for eucalypts, pine, and wattle, as shown by Herbert and Scho¨nau (1991) in South Africa. The final height responses tend to be greater for eucalypts than wattle (1.5–3.0 m vs. 1.0–2.0 m respectively), while both of these are larger than that for pine in the summer rainfall areas (0.5–1.5 m). The magnitude of the height response thus appears directly proportional to the species early growth rate and crown development. A similar situation exists for DBH. The absolute

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difference is maintained until harvesting up to 12 years after establishment. Consequently, the basal area and the volume per ha will show an increasing response with age. The response of eucalypts in additional MAI varies between 3 and over 10 m3 ha 1 in South Africa, the lower responses being mainly due to a poorer site quality and/or unsuitable fertilizers and poor experimental design and layout. Optimum nutrient application rates for E. grandis were 0–62 kg N ha 1, 10–37 kg P per ha, and 0–40 kg K ha 1 (Herbert and Scho¨nau 1991). The examples for pine fertilizer experiments show a range of MAI response similar to that for eucalypts. In the case of P. patula, additional MAI/PAI varies in South Africa between 1 and over 8 m3 ha 1. Optimum nutrient application rates for, e.g., P. patula at planting have been 0–18 kg N ha 1, 20–70 kg P per ha, and 0–45 kg K ha 1; in older stands, rates are 63 kg N ha 1, 94 kg P per ha, and 63 kg K ha 1. In Australia and New Zealand, long-term effects of P fertilizing, partly into the second rotation, are discussed by Turner and Lambert (1986). In older P. elliottii and P. taeda stands, optimum application rates have been twice as large. Contrary to eucalypts, the higher responses of pines in the Cape seem to occur mainly on poor quality sites exhibiting acute P deficiencies. Trials with intermediate-aged pine stands in the summer rainfall areas do not exhibit acute nutrient deficiencies, and thus, nutrient balance becomes more important. Results to date suggest on strongly leached soils an increasing need for additions of N, P, and Ca for stands of pine 10–12 years after planting. However, gains from fertilizing appear greatest on good sites with deep soils and an adequate supply of soil water. Where soil water is limited, thinning may be unnecessary to boost the availability of water to individual trees (Herbert and Scho¨nau 1991). Positive responses of refertilization of 14–22-year-old pine stands in Australia are reported by Grant (1991; see section “Fertilizer Recommendations for Plantations”). Fertilization studies on other intermediate-aged species are rare. Ten- and 20-year-old T. grandis plantations were fertilized over 5 years with urea (0–300 kg N ha 1) and superphospate (0–150 kg P ha 1) in Madhya Pradesh. A significant volume increase was observed in the younger plantation (Prasad et al. 1986). The additional MAI for the slower-growing Acacia mearnsii is less than for faster-growing eucalypts (1.0–4.6 m3 ha 1). These results were obtained by maximum application rates of 0–53 kg N ha 1, 19–46 kg P ha 1, and 0–126 kg K ha 1. However, this is in agreement with the observation that the response is greatest for faster-growing species and on the best sites but that the percentage increase is greatest for slowergrowing species on poor sites. The added advantage of fertilization of wattle is the concurrent increase in bark yields which represent about half the gross income at harvesting (Herbert and Scho¨nau 1991). There is a loose relationship between the type of response to nutrient additions and the amount of nutrients accumulated in tree bark of tropical tree species (Table 12). Some of the species of low accumulation (green) correspond to species that respond to small amounts of fertilizer added while some of those that accumulate larger quantities of nutrients in the wood (pink) correspond to species that respond to the application of larger amounts of fertilizers added. It is worth to mention that some of the tropical forest species adapted to acid soils (i.e., Vochysia

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Table 12 Nutrient content on the wood of 20 tropical species (nutrient export potential) Species Eucalyptus saligna Eucalyptus deglupta Quercus costaricensis Alnus acuminata Cedrela odorata Pentaclethra macroloba Carapa guianensis Gmelina arborea Cordia alliodora Swietenia macrophylla Enterolobium cyclocarpum Quercus copeyensis Carapa guianensis Terminalia oblonga Vochysia guatemalensis Dipteryx panamensis Hieronyma alchorneoides Vochysia ferruginea Cupressus lusitanica Tectona grandis

N % 0.01 Tr. 0.04 0.06 0.01 0.18 0.05 0.10 0.21 0.11 0.10 0.03 0.08 0.09 0.04 0.07 0.13 0.06 0.00 0.12

P

Ca

Mg

K

S

ME

Total

0.03 0.06 0.03 0.04 0.03 0.04 0.04 0.04 0.04 0.10 0.04 0.02 0.04 0.04 0.09 0.27 0.05 0.25 0.26 0.27

0.20 0.17 0.24 0.20 0.37 0.21 0.29 0.23 0.32 0.29 0.25 0.36 0.33 0.72 0.11 1.25 1.61 0.84 1.16 1.01

0.02 0.05 0.03 0.05 0.02 0.03 0.08 0.05 0.09 0.03 0.05 0.08 0.06 0.04 0.13 0.30 0.12 0.33 0.37 0.23

0.01 0.10 0.09 0.15 0.08 0.10 0.11 0.33 0.10 0.23 0.36 0.11 0.23 0.26 1.04 0.02 0.46 1.84 1.81 2.16

0.01

0.006 0.007 0.014 0.031 0.012 0.003 0.054 0.021 0.025 0.054 0.021 0.248 0.170 0.103 0.035 0.036 0.015 0.032 0.040 0.031

0.29 0.39 0.45 0.53 0.53 0.56 0.62 0.77 0.78 0.81 0.82 0.87 0.91 1.25 1.44 1.95 2.38 3.35 3.64 3.82

0.01 0.01

0.02

guatemalensis and V. ferruginea and Hieronyma alchorneoides) rank in the group of species with larger content of nutrients in the wood due to their ability to accumulate total K in this tissue.

Fertilizer Recommendations for Plantations Eucalyptus: Ward et al. (1985) summarized research findings from various authors who report that during the fast growth to canopy closure stages, the response of eucalypt to N is very common, to P is rare, and to K is limited; the response to the addition of micronutrients is even more limited although the response to Mg and Fe in alkaline and calcareous soils and B in East and Central Africa and Andisols and Oxisol of South America is common. A comprehensive review of research finding on various Eucalyptus species in Brazil can be checked in Barros and Novais (1990). Based on the research carried out by the Wattle Research Institute, now Institute for Commercial Forestry Research (ICRAF), Scho¨nau and Herbert (1989) have given general recommendations for eucalypts at the time of planting in South Africa as follows (Herbert and Scho¨nau 1991):

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Table 13 Plant height of four eucalyptus species after 100 days of growth under greenhouse conditions and 0–81 ppm of Al in nutrient solution (After Neves et al. 1990)

Species Eucalyptus urophylla Eucalyptus paniculata Eucalyptus grandis Eucalyptus cloeziana

Al concentration in nutrient solution (ppm) 0 3 9 27 Plant height (cm) 45.1 43.3 33.6 17.2 40.5 32.9 27.6 8.8 26.4 21.3 14.9 5.8 1.2 10.7 3.7 0.7

81 11.1 8.5 4.4 0.4

1. On most fully cultivated (plowed and harrowed) sites, 100 g ammoniated superphosphate per tree should be applied (fertilizer composition, 3.8 % N, 12.2 % P, 9.8 % S, 17.1 % Ca; Scho¨nau 1984). 2. On sites prepared by ripping or pitting only, 100 g 2:3:2 per tree should be applied, this being changed to 100 g 3:2:1 on topsoils low in organic matter ( E. grandis > E. clo¨eziana (Neves et al. 1990). Novais et al. (1979) found a positive response of E. saligna to the addition of 2 t of lime ha 1 and of E. grandis to the application of fertilizer and lime with increments in tree height of 30–35 cm (check 1 cm) after a month of experiment establishment. Fertilizer applications to older or coppiced stands have been investigated only in a few instances and are difficult to determine, varying with site, species, and stand development. A high rate of application could make this a doubtful financial proposition. Pines: Foliar critical levels of P in pines range between 0.08 % and 1.40 % (Alvarado and Raigosa 2012), amounts that are easily fulfilled with a minimum concentration of soil P under tropical conditions (Correˆa and Bellote 2011), in the case of P. taeda and P. elliottii without showing foliar deficiencies (Reissmann and Wisniewski 2005). In South Africa and Swaziland, Carlson (2001) mentions that out of 71 fertilizer trials with P. patula, P. elliottii, P. taeda, and P. caribaea were P was added at planting, more than 80 % responded positively to the addition of 20 g P tree with a residual effect up to 9 years. However, the addition of 115 kg ha 1 of

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various fertilizer formulas showed a positive response in commercial plantations of P. radiata, P. elliottii, P. patula, and P. taeda (Donald et al. 1987). Nitrogen becomes a must after various successive rotations (Bizon 2005). The relevance of micronutrient additions on conifers can be checked in the paper of Saur (1990). For a comprehensive discussion of nutrient needs and response to fertilizer additions of P. radiata in Chile, see Rodrı´guez and Alvárez (2010). Generally accepted recommendations for fertilizing pines at planting in South Africa can be summarized as follows (Herbert and Scho¨nau 1991): 1. At planting for all pines except P. pinaster, apply 10–25 kg P per ha. In the southern Cape this could be in the form of superphosphate (up to 200 g per tree), but in the summer rainfall areas, an application of 150–200 g 2:3:2 per tree is recommended. 2. After first thinning, apply 35–90 kg P per ha (greater amounts on better soils). In the southern Cape this could be up to 60 kg P in the form of superphosphate, but in the summer rainfall areas with higher rainfall, warmer climate, and ferralitic soils, one ton of 223:2 ha 1 is recommended. 3. Manganese-deficient pines in the southern Cape should receive soil applications of MnSO4 at a rate of 20–45 kg ha 1 depending on the severity of the deficiency. In NE Australia 50 kg P per ha (superphosphate) is currently recommended for all pine plantations soon after planting (Grant 1991). Less fertile sites are partly refertilized with 50–60 kg P per ha in later years (e.g., age 14 years) (Maggs 1985). In South Australia, a second-rotation decline of Pinus radiata has been corrected with success, using a mixture of several macro- and micronutrients (Woods 1990). Acacia mearnsii: The recommendations for black wattle are according to the annual reports of the ICFR (Herbert and Scho¨nau 1991): 1. For seedlings, apply at planting 200 g per tree of a mixture made up of three parts superphosphate (10.5 % P) and one part potassium chloride (50 % K). When planting later than February, half of the mixture should be withheld and applied early in spring after the first rains. 2. For line sowings, apply 360 kg superphosphate mixed with 120 kg potassium chloride per ha after first spacing of trees to about 60 cm apart in the row.

Fertilizer Recommendations for Natural Forests Fertilizer Recommendations for Tropical Lowland Forests Very few articles on the use of fertilizers in tropical lowland forests are available. In general these ecosystems are dominated by evergreen vegetation that sometimes shed leaves along the year and grows in soils that might be very developed and low-fertility status or medium- to high-natural-fertility alluvial soils. In low-fertility soils MAI in diameter of trees increases with the addition of N, P, K, Mg, S, B, Cu,

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and Zn (Gerrish and Bridged 1984) or N (Vitousek et al. 1987; Cavalier 1992) or P (Santiago et al. 2005; Alvarez et al. 2013). Mirmanto et al. (1999) found that the addition of fertilizers containing N, P, and NP to the evergreen lowland forest at Central Kalimantan, Indonesia, significantly increased the mass of foliage deposition and its P concentration but not the diameter at breast height (DBH), indifferently of the type of fertilizer compared. In Panama foliar concentration of P, K, Ca, and Mg decreases with rainfall precipitation, while the C/N ratio increased and the N/P ratio varied from 16 to 24 suggesting that P is limiting growth in these sites (Santiago et al. 2005). Again in Panama lowland semi-deciduous forest, Cavalier (1992) shows a reduction in root distribution with soil depth due to an N low availability in the subsoil. Alvarez et al. (2013) found in a lowland tropical forest of Costa Rica dominated by Pentaclethra macroloba and the palm Socratea exorrhiza a response in basal area (63–66 % without P to 63–77 % with P) after 2.7 years with the application of 47 kg P ha year of triple superphosphate, but not in basal area, litter production, or root growth with the additions of 100 kg N ha 1 as ammonium nitrate and urea or the combination of N and P. Phosphorus addition doubled diameter growth rate of trees with diameters between 5 and 10 cm but not of those with a diameter of 10–30+ cm; the P addition also improved seedling survival from 59 % to 78 %. Alvarez et al. (2013) then conclude that P is a really limiting element for the forest community growth but rather in conjunction with other elements (heterogeneous nutrient limitation) affecting different taxa.

Fertilizer Recommendations for Mountain Tropical Forests Tanner et al. (1998) summarized literature to investigate the extent to which productivity of tropical montane rain forests is constrained by low nutrient supply. The authors mention that with increases in altitude foliar N decreases and P and K usually decrease, but Ca and Mg show no consistent trend. However, for a wide range of sites, N, P, K, Mg, and Ca show no trends. Litterfall contents of N and P and often K, Ca, and Mg are lower in montane forests than in lowland forests, mainly because of reduced litterfall mass, but N and P concentrations are also lower in forests above 1,500 m. Tropical montane soils usually have more soil organic matter per unit ground area; N mineralization levels are lower at higher altitudes in Costa Rica, and extractable and total soil P are lower in sites with lower litterfall P concentrations. Tanner et al.’s (1998) fertilization studies on volcanic ash-derived montane soils in Hawai‘i showed a trend for a switch from N limitation on young soils to P or N and P limitation on soils over older substrates. Jamaican montane trees were limited by N and by P separately. Venezuelan montane trees were limited by N. The sites in Jamaica and Venezuela have soils of indeterminate age. Taken together these results show that nutrient limitation is widespread in montane soils (all sites have responded to at least one nutrient) and that the particular nutrient(s) that limits production may differ for explicable reasons. First results from lowland forests on sandy soils in Kalimantan show N or simultaneous N and P limitation. Many more experiments, especially in lowland forests,

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are needed to test our speculation that P usually limits productivity in tropical lowland rain forests and that N limits productivity in tropical montane rain forests. Kitayama and Aiba (2002) while measuring net primary productivity of the wet tropical forest in Borneo found that available P did not significantly change with elevation from 700, 1700, 2700 to 3100 masl. In the organic horizons of the soils of the Equatorial Andes, at elevations from 1,900, 2,400 to 3,000 masl Soethe et al. (2008) found high C/N ratios (25/1 at 2,400 and 34/1 at 3,000 masl) and C/P ratio (605/1 at 2,400 and 8/1 at 3,000 masl) values that suggest low rates of mineralization or residues and low availability of N and P al higher elevations; the same authors reported foliar N/P ratios of 11/1 at 2,400 and of 8/1 at 3,000 masl suggesting that at higher elevations N availability is more critical than P availability for forest development. Soethe et al. (2008) report a reduction in the maximum tree height from 19, 12 to 9 m while moving from a 1,900, 2,400 to 3,000 masl in the mountain belt at the Cordillera de los Andes, Ecuador, accompanied by a reduction of the leaf annual production rate in the order of 862 and 433–263 g m 2 year in an elevation range of 1,900–3,000 masl. In the same Cordillera Zeaser et al. (1988) do not recommend planting trees for logging over 3,200 masl, when soil temperatures at 50 cm are below 10  C, annual rainfall is less than 500 mm, slopes are over 70 %, and soil effective depth is less than 35 cm. Vegetation composition of mountain tropical forests changes along altitudinal gradients (Holdridge et al. 1971; Grubb 1977; Soethe et al. 2008) making difficult to differentiate the effects of genetic and environmental factors on vegetation growth and diversity. From the nutritional point of view, nutrient absorption capacity of the trees decreases with elevation due to (i) a reduction of photosynthesis rates caused by cloudiness and low solar radiation, (ii) lower soil temperatures (Pregitzer and King 2005) and lower rates of respiration and transpiration, and (iii) lower nutrient availability at higher elevations due to low soil temperature and pH values that reduce rates of litter mineralization. In the cold tropical mountain forest environments, residues accumulate on the soil since their litter composition makes it hard to mineralize (Holdridge et al. 1971; Tanner et al. 1998; Montagnini and Jordan 2002; Santiago et al. 2005), there is a low population and diversity of arthropods to comminute the residues (Bruhl et al. 1999), and the presence of amorphous clays derived from volcanic ash depositions stabilizes organic compounds at middle elevations (Powers and Schlesinger 2002).

Economics of Fertilizer Application The true criterion is whether the additional investment of fertilizing earns a profit in real terms at harvesting including compound interest at present-day replacement costs and ruling timber prices. In South Africa, profitability of fertilizing eucalypts could be summarized as follows: the real internal rate of return on costs of fertilizing eucalypts varied between 15.4 % and 41.0 %. Fertilizing E. grandis with the relevant fertilizer improved the internal rate of return for fertilizing on its own amounting to approximately 25 %. Since nutrient extraction is species

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dependent, the economics of planting trees should consider where is more profitable to export large amounts of low-price wood of low quality (and nutrients) or small volumes of wood of high quality and prices (de Graff 1982); this is particularly relevant to avoid mining of nutrients and keep nutrient balance of the site (Mackensen 1999; Mackensen and Fo¨lster 1999). When plantations are established in good sites, the genetics of the species can be maximized and fertilizer responses are more likely to be profitable; choosing good land also reduces mortality and costs of land preparation and increases the possibility of commercializing some of the thinned trees with available technology. The abovementioned added to the fact that total felling in improved tropical forest plantations is being reduced to 7–8 years for Eucalyptus, Gmelina, and Acacia (Barros and Novais 1990; Mackensen 1999), 15–20 years for Alnus acuminata (Mena et al. 2000), and 20–25 for Tectona grandis and Cordia alliodora (Vallejos 1996; Montero 1999). After selecting sites and using clones of E. urophylla in Kandiustults, González et al. (2005) found an economically viable response to the addition of fertilizes only when two applications were made in the sandy soils of Brazil. Because of their generally longer rotations, the profitability of fertilizing pines at planting is less evident than for eucalypts. Profitability studies of several fertilizing trials gave the following results: application of superphosphate to P. canariensis at planting gained 13.1 % after 18 years. The compound interest rate of return for P. elliottii 15 years after application was 21.9 %. Real rates of return on investment have been 11.5–19.6 % after 8 years for P. radiata and 5.8 %, 4.2 % and 11.7 %, respectively, after nearly 9 years for P. elliottii, P. patula, and P. taeda. A conservative assessment was made of the profitability of fertilizing pines at planting in the summer rainfall areas showing that relatively the real rate of return after 10 years would be 10.5 % per annum. Fertilization of older pine stands is economically more attractive than that at planting, since the interest period is usually shorter, the quality of additional wood is better than that laid down before the first thinning, and the increment is added on to fewer trees, increasing size value of the logs and reducing harvesting costs. The internal rate of return for P. radiata in one trial was calculated to be 18.5 % per annum 10 years after application at 15 years and in another trial 58.0 % after a similar period. In the eastern Transvaal the first applications of 2:3:2 at 9.5 years earned internal rates of return of 10.7 %, 11.7 %, and 14.8 % per annum, respectively, for P. elliottii, P. patula, and P. taeda 8 years after application. In Australia refertilization of 14–22-year-old slash pines results in a yield increase of 6–14 % at the end of rotation, with real rates of return of 9–16 % of the money invested in fertilizing (Grant 1991). Profitability of fertilizing black wattle at planting over a 10-year period exceeded 20 % per annum in real terms (20.1–30.2 %).It is noticeable that these figures show a slight but firm increase in profitability over the years. These consistent and high returns include the profits from increased timber yields as well as those from bark.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Acquisition, Characteristics and Preprocessing of Passive Remote Sensing Images in Tropical Forestry Abner Josue Jimenez Galo* Geographic Information System & Remote Sensing (GIS/RS), Deutsche Gesellschaft f€ur Internationale Zusammenarbeit (GIZ) GmbH, La Libertad, El Salvador, CA University of Alcalá (UAH), Madrid, Spain Faculty of Spatial Sciences, Universidad Nacional Autónoma de Honduras (UNAH), Tegucigalpa, Honduras

Abstract Passive sensors pick up the electromagnetic radiation emitted by the earth’s surface using an external energy source. This chapter discusses the main characteristics of images from aerial or satellite passive remote sensing and explains the procedures to acquire satellite images frequently used in forestry applications, detailing their specifications and characteristics in order to understand the bases for their further interpretation and processing.

Keywords Remote sensing; Aerial photography; Satellite images; MODIS; LANDSAT

Introduction This chapter describes the main features of passive remote sensing images from aerial vertical photography to satellite images used in tropical forestry. Specifications for the acquisition are described as well as the relevant characteristics that must be considered to properly use satellite images. Special attention to the interpretation of quality bands of LANDSAT and MODIS images is provided as well as the preprocessing tasks that are necessary to prepare the images for subsequent processing and analysis.

Types of Passive Remote Sensing Images Aerial Photographs Aerial vertical photography was and continues to be an important foundation for mapping and classification of forest resources. To capture aerial photographs, flight lines are planned with lateral overlaps of approximately 30 % to ensure that no land surface is left un-photographed during the flight. An overlap of approximately 60 % is planned in the direction of the flight lines to ensure that the same areas are visible in two photographs (stereoscopic pairs). This pairing enables stereoscopic techniques for a threedimensional interpretation process (Fig. 1). Vertical aerial photographs are captured using aerial photogrammetric cameras with known interior orientation elements. These cameras capture the radiance from different surface cover types in order to *Email: [email protected] *Email: [email protected] Page 1 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 1 Flight line direction overlap (60 %) and lateral overlap (30 %) in aerial photography

generate an exit image through analog or digital sensors. Analog systems require physical support to store the acquired images in analog formats. In digital cameras, the sensor detectors make the analog-to-digital conversion by generating an electric current with an intensity that is directly proportional to the radiance captured by the sensor in a determined wavelength range. This process of recording electromagnetic energy is characterized by its nonlinear nature; photon “noise” may invade the process (particles carrying electromagnetic radiation), and in a later process, the images captured must be restored or corrected (Sobrino 2001). In addition to errors related to the process of recording the electromagnetic signal, aerial photographs can contain other geometric errors and distortions caused by the sensor itself. Some of these errors may be corrected using camera parameters, while others require the use of control points with known coordinates obtained from geodesic systems or global positioning systems (GPS). Analog photogrammetric cameras are being progressively replaced by digital cameras. Through digital aerial photography, users can obtain panchromatic, color, and infrared images directly and without the need to develop and scan the photographs. This direct process reduces the cost of expanding the coverage and number of images (greater overlap) by avoiding additional film and developing expenses. Moreover, digital images provide improved geo-referencing in each scene as they include a greater number of coordinates in the flight trajectory (direct and interpolated). Lastly, digital images have been able to avoid the problems that analog cameras encountered of image displacement with respect to a surface point as a result of the forward movement of the aircraft while the shutter is open; digital images can incorporate a system to compensate for this movement through an electronic delay that activates when the photograph is taken. Currently, digital aerial photographs have a smaller format than analog images, meaning that in most cases the flight lines must be extended to cover a surface, compared to larger-format analog images. Nonetheless, savings from the low cost of the digital cameras can offset the increased flight costs. Due to their narrower format, digital cameras need additional gyroscopic support to ensure that the camera axis is kept vertical at all times. The digital cameras are also equipped with a GPS-assisted coordinate navigation and shutter system that reduces the costs of ground support. These advantages also make it possible to install cameras in small unmanned aircraft that can be piloted remotely. Another type of digital camera being used with growing frequency allows users to capture oblique images in addition to the standard vertical images, through a sensor system configured with five cameras. In this system, one camera is oriented vertically, while the others are positioned obliquely forward, Page 2 of 30

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backward, to the left, and to the right. The geometric configuration in the five cameras is calibrated to enable measurements in the vertical and oblique images. These measurements can be input for automatic creation of 3D models that, combined with LiDAR systems, can be powerful tools to generate digital models for the analysis of the horizontal and vertical structures in forest masses. The widespread use of digital photography in cartographic processes for large land surfaces requires the creation of orthophotos that cover broad areas of terrain by linking individual continuous photographs under a defined cartographic projection system, correcting for horizontal and vertical geometric distortions to allow the photos to be used as blueprints that correspond to the topographic base maps. In this sense, an orthophoto is a mosaic of photographs that were taken from an air transport platform and that have been rectified to generate a high-resolution image of the terrain. A distinction should be made here with satellite images that are taken from space platforms and that, in many cases, are rectified and possess the same metric characteristics as orthophotos. Nonetheless, not all of the satellite images acquired are orthorectified. In general, satellite images have lesser spatial resolution than aerial photographs and a greater number of spectral bands. These distances are closing, however. Currently, satellite images are available with resolution of up to 50 cm, while multispectral and hyper-spectral sensors installed on aerial platforms have produced images with high spectral resolution. The following section will continue to explore concepts related to the acquisition of satellite images to be used in forest resource mapping and monitoring.

Satellite Images A satellite image is a photograph taken from a space or satellite platform. For mapping and cartography uses, just like aerial photographs, satellite images are captured by a sensor that has its optical axis parallel to the ground and that captures the electromagnetic radiation emitted from the earth’s surface on different wavelengths. Passive sensors use an external energy source (energy emitted by the sun, reflected by the objects, and captured by the sensor), while active sensors emit their own energy (see subchapter 3 for further detail on active sensors). This section refers to satellite images from passive sensors. A series of passive sensors have been set in orbit for the purpose of monitoring land resources. For monitoring tropical forests in particular, images from the LANDSAT missions are broadly used; this mission began in 1972 with the LANDSAT 1 satellite and continued through 1983 with the LANDSAT 2 and LANDSAT 3 satellites. From 1982 to 2012 a series of images were produced from the LANDSAT 4 and LANDSAT 5 missions. In 2013, the LANDSAT 8 satellite was launched, after its predecessor (LANDSAT 7, which had captured images since 1999) began reporting defects in its optical system starting in 2003, causing errors in data collection. The LANDSAT 8 mission, called the “LANDSAT Data Continuity Mission” (LDCM), captures images with a pass frequency for the same site of every 16 days. The images captured are transferred to ground stations, stored, and processed on USGS servers. These images are then made available to the public on the specifically designated websites. The commercial images produced by the French “SPOT” sensor (Systeme Pour l’Observation de la Terre) is another source of data that has been widely used in studies on forest resources. The SPOT 1 satellite was launched in 1986. The SPOT 2, SPOT 3, and SPOT 4 satellites were launched in 1990, 1993, and 1998, respectively. In this sense, there is an important historical record of satellite images from the 1980s and 1990s taken from LANDSAT and SPOT satellites. In the decade of the 2000s, there was an increase in the supply of satellite images for land resource monitoring. Commercial satellites began to distribute images with higher spatial resolution for forest mapping and with a level of detail similar to that of aerial photographs. Satellites such as Ikonos (starting in 1999), QuickBird (since 2001), and SPOT 5 (since 2002) began to distribute images, along with other platforms with similar characteristics launched soon after such as WorldView-1 and WorldView-2 (available since 2007 and 2010, respectively), BlackBridge or RapidEye (since 2008), GeoEye (since 2009), and SPOT 6, launched in 2012. For global Page 3 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

monitoring purposes, in 2000, the Moderate-Resolution Imaging Spectroradiometer (MODIS) sensor was mounted on the NASA EOS Terra and Aqua satellites. While MODIS images offer lower resolution than LANDSAT, they are available for free and provide a series of advantages for global forest resource monitoring, as discussed below. MODIS images are captured through instruments on board the Terra and Aqua satellites and then transferred to ground stations located in White Sands, New Mexico, through the Tracking and Data Relay Satellite System (TDRSS). These data are then sent to the EOS Data and Operations System (EDOS) at the Goddard Space Flight Center. Highly processed MODIS products are generated by the MODIS Adaptive Processing System (MODAPS) and then distributed through Distributed Active Archive Centers (DAACs). These products describe land, ocean, and atmospheric characteristics and are distributed with different levels of processing. The products for land applications may be obtained through the Land Processes Distributed Active Archive Center (LP DAAC) at the USGS EROS Data Center (EDC). Users with an appropriate reception system may also capture raw regional data directly from the satellite using the MODIS Direct Broadcast signal (NASA 2014a). Some of the products derived and distributed from MODIS images include surface reflectance in the first seven bands, surface temperature and emissivity, thermal anomalies and fires (hotspots and burned areas), vegetation indexes (VI), leaf area indexes (LAI), Fraction of Absorbed Photosynthetically Active Radiation (FAPAR), gross and net primary production, Vegetation Continuous Fields (VCF), and land coverage. Other MODIS products related to other important phenomena can be useful, especially when working in comprehensive and multidisciplinary studies on atmospheric phenomena (data on aerosol, precipitation, clouds, evapotranspiration, atmospheric profiles) or in ocean-related research (concentration of pigments and chlorophyll, suspended solids, organic material, primary ocean productivity, ocean surface temperatures) (NASA/USGS 2014). MODIS data represent an important step forward in global natural resource monitoring. Nonetheless, given that any platform has a limited useful life span and at some point sensors will cease to function, in October 2011, the Suomi National Polar-Orbiting Partnership (Suomi NPP) satellite was launched as a transitional measure to ensure the continuity of existing land surface, ocean, and atmospheric monitoring missions. The Visible Infrared Imaging Radiometer Suite (VIIRS) is one of the five sensors on board the Suomi NPP satellite, and it was built to capture radiometric information across 22 bands of the visible and infrared spectrum. For the most part, these bands coincide with the spectral range of MODIS, but they provide greater band resolution; 17 of the bands have a resolution of 750 m, and 5 bands have a resolution of 375 m (JPSS 2013). These improvements in spatial resolution with respect to MODIS will allow for improved vegetation monitoring. Another new addition to this sensor is the night-day band (NDB) that will allow it to capture images of phenomena visible in low-light conditions, which was not possible with the previous tools (NASA/NOAA 2014). The VIIRS sensor is part of a new generation of instruments being developed in the context of the Joint Polar Satellite System (JPSS), with the goal of ensuring continuity for the current NASA Earth Observing System (EOS) (NASA 2014b). In this context, the VIIRS sensor is projected as the successor to the current MODIS platforms on Terra and Aqua.

Acquisition of Satellite Images Availability of Satellite Images The images needed by a given user will depend on the objectives of the work to be done. Studies to a level of detail at 1:2,500 and 1:5,000 will use very-high-resolution images such as QuickBird, GeoEye, and WorldView. For jobs at a scale of 1:25,000, images from SPOT and BlackBridge (RapidEye) may be used.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

In both cases, the image costs vary depending on the distributor. Greater details on the costs and characteristics of these images can be found at the respective webpages. For studies at a scale of 1:50,000 and 1:100,000, LANDSAT satellite images may be obtained at no cost. Likewise, for global or regional studies at scales of 1:500,000 and 1:1,000,000, MODIS images can be obtained at no cost. In this sense, the United States Geological Survey (USGS), through the Earth Resources Observation System (EROS) on their website at http://eros.usgs.gov/, has made platforms available for free download of MODIS images from the Terra, Aqua, and LANDSAT 4, 5, 7, and 8 satellites. The links to access these platforms are listed below: • USGS Global Visualization Viewer (GloVis): http://glovis.usgs.gov/ • USGS EarthExplorer: http://earthexplorer.usgs.gov/ • NASA-USGS Land Processes Distributed Active Archive Center (LP DAAC): https://lpdaac.usgs. gov/data_access/data_pool Table 1 shows a summary of the most frequently used satellite images for tropical forestry purposes and their main characteristics. Figure 2 compares images with different spatial resolutions.

Identification of LANDSAT and MODIS Satellite Images Scene identification in LANDSAT images is done through Worldwide Reference System (WRS) notation. WRS-1 was used for LANDSAT sensors 1, 2, and 3, while the next generation of sensors, from LANDSAT
4 to LANDSAT 8, uses WRS-2. In WRS notation, each scene is identified with a path and a row. The former refers to the orbit of the satellite moving east to west; the latter refers to the interval for capturing each scene on a north-to-south axis over the course of each orbit. A path/row combination identifies each scene and corresponds relatively to the center of each image taken in this location. WRS-2 notation was generated considering that the satellite requires 16 days to complete a cycle of 233 orbits. In this sense, the tracks are numbered from 1 to 233 along the east-to-west axis. On each track, the scenes are captured at intervals of 23.92 s of satellite time, leading to 248 rows for each complete orbit (NASA 1999). In the case of MODIS images, while they capture scenes of approximately 2,330  2,340 km, for distribution purposes, these images are organized in 1,200  1,200 km scenes. Each scene is identified by column number (h) and row number (v). Columns are numbered from 0 to 35 moving from west to east; rows are numbered from 0 to 17 moving from north to south (Mas 2011). Figures 2, 3, 4, and 5 present the MODIS image index and LANDSAT images in WRS-2 notation for the tropical zones of the world.

Nomenclature of LANDSAT Images Satellite images from LANDSAT 1 to LANDSAT 8 with correction level 1 T (geometric correction) are available for download on the USGS GloVis website. Each LANDSAT 8 image is approximately 1 GB in its compressed format or 2 GB in an uncompressed format (NASA 2014c). To adequately manage satellite image files downloaded from LANDSAT image distribution platforms, it is important to understand where each element of the nomenclature is assigned. Table 2 describes the nomenclature of the LANDSAT satellite images downloaded from the USGS GloVis website.

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LANDSAT 8 (since 2013)

SPOT 6 (since 2012)

WorldView-2 (since 2010)

WorldView-1 (since 2007) BlackBridge (RapidEye) (since 2008) GeoEye-1 (since 2009)

SPOT 5 (since 2002)

MODIS (since 2000) QuickBird-2 (since 2001)

ASTER (since 2000)

Ikonos-2 (since 1999)

LANDSAT 7 (since 1999)

Image and availability LANDSAT 5 (since 1984) SPOT 4 (since 1998)

Multispectral Panchromatic Multispectral Panchromatic Multispectral Panchromatic Multispectral Panchromatic Multispectral Panchromatic Multispectral Panchromatic Multispectral Panchromatic Multispectral

Spectral bands Multispectral Panchromatic Multispectral Panchromatic Multispectral Panchromatic Multispectral Multispectral

36 bands 1 band 4 bands 2 bands 4 bands 1 band 5 bands 1 band 4 bands 1 band 8 bands 1 band 4 bands 1 band 10 bands

7 bands 1 band 4 bands 1 band 7 bands 1 band 4 bands 14 bands

Table 1 Characteristics of frequently used satellite images for tropical forestry Spatial resolution 6 of 30 m and 1 of 120 m 10 m 20 m 15 m 6 of 30 m, and 1 of 60 m 0.82 m 3.2 m 4 of 15 m 6 of 30 m 4 of 90 m 2 of 250 m, 5 of 500 m, and 29 of 1,000 m 0.6 m 2.4 m 2.5 m and 5 m 3 of 10 m and 1 of 20 m 0.5 5m 0.41 m 1.65 m 0.5 m 2m 1.5 m 6m 15 m 8 of 30 m and 2 of 100 m 185 Km

60 Km

16.4 Km

17.6 Km 77 Km 15 Km

60 Km

2,330 Km 16.5 Km

1:100,000

1:25,000

1:2,500

1:2,500 1:25,000 1:2,500

1:25,000

1:500,000 1:5,000

1:50,000

1:5,000

11.3 Km 60 Km

1:100,000

Work scale 1:100,000 1:50,000

185 Km

Swath width 185 Km 60 Km

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 2 Comparison between satellite images with different spatial resolutions

Table 3 can be used to determine the date that corresponds to a given Julian day in the LANDSAT satellite image nomenclature. We can use Table 3 to calculate the date of image LC80180502014055LGN00, in which the Julian day is 55 in the year 2014. First we verify if this is a leap year or not. In this case it is not a leap year, so we will use the references indicated for a normal year. Using Table 3, we find that February is the month of the year that corresponds to day 55. Then, from the same table, we find the function to calculate the day of the

Page 7 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 3 Index of MODIS and LANDSAT satellite images for tropical zones in the Americas

Fig. 4 Index of MODIS and LANDSAT satellite images for tropical zones in Asia and Oceania

month that corresponds to the Julian day in a normal year: DDD- 31; 55–31 = 24. As a result, the date for the image is February 24, 2014.

Nomenclature of MODIS Satellite Images MODIS satellite images and their derived products at processing levels L3 and L4 (with radiometric, atmospheric, and geometric corrections) may be downloaded directly from the data server at the Land

Page 8 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 5 Index of MODIS and LANDSAT images for tropical zones in Africa

Processes Distributed Active Archive Center (LP DAAC). These products may also be found through the USGS GloVis website. MODIS images are distributed in Hierarchical Data Format (HDF), which allows different data sources to be stored in a single file. For example, a single file may contain reflectance data for each band, vegetation indexes, and image quality data. MODIS data with L1 processing (raw data) may be downloaded from level 1 and Atmosphere Archive and Distribution System (LAADS). This section focuses on data at processing levels L3 and L4. Table 4 describes the nomenclature of MODIS products that can be downloaded from the USGS GloVis website.

Characteristics of Satellite Images from Passive Sensors Spectral Bands

It is important to remember that “visible light” between 700 and 400 nm (nm) on the electromagnetic spectrum is only a small window of the broader spectrum of radiation, which goes from gamma rays with wavelengths of 0.0001 nm to radio waves over 100 m long. Most of this radiation cannot be detected by the human eye, but it can be captured by artificial remote sensors, depending on their configuration and the objectives with which they were designed. Passive remote sensors capture the radiance emitted from the earth’s surface as a result of the solar energy absorbed, emitted, and reflected by land coverage and then captured by the sensor at different wavelength ranges corresponding to sections of the electromagnetic spectrum. This information is stored digitally on multiband images, in which each band stores the average radiance received in a determined range of the electromagnetic spectrum. Each band is an image made up of a continuous grid of squares called pixels, which represent the minimum surface unit in which information is captured and determine the spatial resolution of the image. The average radiance values detected from land surfaces thus correspond to an area in each square or pixel. Radiance is recorded in digital values in varying intensity scales, for example, from
3,000 to 10,000 (depending on satellite and data type), according to the density of the electromagnetic energy registered by the sensor in each pixel. These scales are equivalent to the reflectivity originally emitted by the different land cover types and land

Page 9 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 2 Nomenclature of LANDSAT images from the USGS GloVis website

Nomenclature Examples

Nomenclature of LANDSAT images: LsNppprrrYYYYDDDGGGVV_FT.ext Mission Sensor Path Row Year Julian day Ground station L s N ppp rrr YYYY DDD GGG L C 8 018 050 2014 055 LGN L E 7 018 050 2003 065 EDC L T 5 018 050 2001 067 XXX L T 4 018 050 1989 010 AAA L M 3 019 050 1978 166 GMD L M 2 019 050 1975 065 AAA L M 1 019 050 1973 048 FAK

Version VV 00 00 02 03 03 04 07

Source: Adapted from (USGS 2012) L = mission name: LANDSAT s = sensor type: indicates the sensor with which the images were taken O = OLI T = TIRS C = combined TIRS and OLI (for LANDSAT 8, from 2013 to present) E = ETM+ (for LANDSAT 7, from 1999 to present) T = TM (for LANDSAT 4 and LANDSAT 5, from 1982 to 2012) M = MSS (for LANDSATs 1–3, from 1972 to 1983) N = mission number ppp = path in the WRS-2 reference system (see Figs. 4, 5, and 6) rrr = row in the WRS-2 reference system (see Figs. 4, 5, and 6) YYYY = year of image acquisition DDD = day of the year of image acquisition (Julian day)** GGG = ground station identifier *VV = version _FT = file type .tar compressed file In compressed files _Bx = file for each of the image bands (e.g., B1, B2, etc.) _BQA = quality file _MTL = metadata file _MD5 = control or verification file .ext = file extension .gz = compressed file In compressed files . TIF = files in GeoTIFF format .txt = text files *Designation of ground station indicators may be found at the following websites: https://lta.cr.usgs.gov/landsat_dictionary. html, http://landsat.usgs.gov/about_ground_stations.php **In this case, Julian day refers to the number of days that have passed since the start of the year; the calendar runs from 1 to 365 in normal years and up to 366 for leap years. This clarification is made in order to avoid confusion with Julian dates (JD) widely used in astronomy, which are based on a serial date system that begins on January 1, 4713 BC

surface objects. The spectral resolution of an image is related to the number of bands and ranges on the electromagnetic spectrum registered by the sensor. The satellite images used in monitoring land resources gather information in three regions of the electromagnetic spectrum: the visible spectrum (RGB), near infrared (NIR), shortwave infrared (SWIR), and thermal infrared (TIR). Figure 6 indicates the sensors 1 nm = 0,001 mm (1 micrometer (mm) is equal to 1,000 nanometers (nm))

1

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 3 Determination of satellite image dates in the Julian calendar Julian day (DDD) In a normal year 1–31 32–59 60–90 91–120 121–151 152–181 182–212 213–243 244–273 274–304 305–334 335–365

In a leap year 1–31 32–60 61–91 92–121 122–152 153–182 183–213 214–244 245–274 275–305 306–335 336–366

Month of the year for the DDD January February March April May June July August September October November December

Calculation of the day of the month In a normal year In a leap year = DDD = DDD = DDD
31 = DDD
31 = DDD
59 = DDD – 60 = DDD – 90 = DDD – 91 = DDD – 120 = DDD – 121 = DDD – 151 = DDD – 152 = DDD – 181 = DDD – 182 = DDD – 212 = DDD – 213 = DDD – 243 = DDD – 244 = DDD – 273 = DDD – 272 = DDD – 304 = DDD – 305 = DDD
334 = DDD
366

frequently used for mapping and monitoring tropical forest resources, the wavelength ranges, and the regions of the electromagnetic spectrum in which each band is located.1 Satellite images from LANDSAT 8 are made up of 11 spectral bands, nine taken from the Operational Land Imager (OLI) instruments and two by the Thermal Infrared Sensor (TIRS) (USGS 2013). Figure 6 shows that band 4 in these images (in red), which captures radiation from 0.64 to 0.67 mm, is located within the spectrum of visible light. Band 7, which captures radiation from 2.11 to 2.29 mm, is located in the shortwave infrared (SWIR) region, and band 11, which captures information from a wavelength range between 11.50 and 12.51 mm, falls within the thermal infrared (TIR) range. As we can see in Fig. 6, while band 4 in LANDSAT 8 images corresponds to a region of the visible spectrum, band 4 in LANDSAT 7 images falls within the near-infrared (NIR) range. There is no direct correspondence between the number that identifies a band on one sensor or another. Given this variance, when working with different satellite data sources, it is important to establish the correspondence between the bands of different sensors. A code and name may be assigned to each band in order to facilitate this comparison and correspondence, as shown in Table 5, and Table 6 presents a description of each of the bands. In some satellite images, not all of the bands have the same spatial resolution. For example, LANDSAT 7 images have six bands at 30 m, one at 15 m, and one at 60 m. Figure 7 shows a comparison between the spatial resolution of the different bands on satellite images.

Visualization of Spectral Bands Each spectral band of a satellite image is a monochromatic image that can be seen on a computer screen in gray scale; each band can be combined with others to produce a color image. This operation is performed by assigning RGB primary color light (red, green, and blue) to three of the bands of the image, which when combined can generate new colors under the principles of additive color mixing. For on-screen visualization purposes, a maximum of three bands may be combined. Composite color images may be obtained through this process (Fig. 8). When red, green, and blue bands are assigned to their corresponding channels of RGB light (red band in the red channel, green band in the green channel, and blue band in the blue channel), the resulting image is reproduced in colors similar to those perceived naturally by the human eye. This composite is called the natural color composite image. However, when the red, green, and blue bands are not assigned their corresponding channels of RGB light, false color composites are produced. These composites may also contain bands outside the spectrum of visible light

Page 11 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 4 Nomenclature of MODIS images obtained from the USGS GloVis website Nomenclature

Examples

MODIS image nomenclature: SSSxxEE.AYYYYDDD.hHH.vVV.CCC.YYYYDDDHHMMSS.hdf Data type Year Julian day Column (h) Row Collection (v) SSS xxEE AYYYY DDD hHH vVV CCC MOD 09A1 A2014 153 h09 v07 005 MYD 11A2 A2014 033 h09 v07 005 MOD 13Q1 A2013 097 h09 v07 005 MOD 14A2 A2013 001 h09 v07 005 MCD 15A3 A2010 337 h09 v07 005 MYD 17A2 A2005 249 h09 v07 005 MCD 43B4 A2014 145 h09 v07 005 MOD 44B A2000 065 h09 v07 005

Source: Adapted from NASA (2001) SSS = sensor where the data are collected MOD = Terra MYD = Aqua MCD = combined Terra and Aqua xxEE = product type (xx) and specifications (EE)* 09 = surface reflectance with atmospheric correction GQ = 250 m resolution and daily; bands 1 and 2 Q1 = 250 m resolution and every 8 days; bands 1 and 2 GA = 500 m/1 km resolution and daily, bands 1–7 A1 = 500 m resolution and every 8 days; bands 1–7 CMG = 5.6 km resolution and daily; bands 1–7 11 = heat emission and land surface temperature L2 = 1 km resolution and every 5 min A1 = 1 km resolution and daily A2 = 1 km resolution and every 8 days C1 = 5.6 km resolution and daily C2 = 5.6 km resolution and every 8 days C3 = 5.6 km resolution and monthly 12 = land coverage: Q1 = 500 m resolution and yearly C1 = 5.6 km resolution and yearly 13 = vegetation indexes: Q1 = 250 m resolution and every 16 days A1 = 500 m resolution and every 16 days A2 = 1 km resolution and every 8 days A3 = 1 km resolution and monthly C3 = 5.6 km resolution and every 16 days C2 = 5.6 km resolution and monthly 14 = thermal anomalies and fires (hotspots): nd = 1 km resolution and every 5 min A1 = 1 km resolution and daily A2 = 1 km resolution and every 8 days 15 = leaf index and fraction of photosynthetically active radiation: A2 = 1 km resolution and every 8 days A3 = 1 km resolution and yearly 17 = primary raw production and net vegetation: A2 = 1 km resolution and every 8 days A3 = 1 km resolution and yearly

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

43 = adjusted reflectance (bidirectional reflectance function): A4 = 500 m resolution and every 16 days B4 = 1 km resolution and every 16 days C4 = 5.6 km resolution and every 16 days 44 = Vegetation Continuous Fields (VCF): B = 250 m resolution and yearly 45 = thermal anomalies and fires (burned areas): A1 = 500 m resolution and monthly AYYYY = year of image acquisition DDD = day of the year of image acquisition (Julian day) hHH = column (h) in the index of MODIS scenes (see Figs. 4, 5, and 6) vVV = row (v) in the MODIS scene index (see Figs. 4, 5, and 6) CCC = collection YYYYDDDHHMMSS = year, Julian day, and hour, minutes, and seconds in which processing was done (see Table 3 to determine the image date based on the Julian day) hdf = file extension in which the products are stored *The indicated products refer only to the land resources pertinent for this section on tropical forest monitoring. Nonetheless, additional products related to atmospheric and oceanic data are also generated. Other products also available from other MODIS data distribution centers include: Basic data and calibration: 01), 02), and 03) basic data from the 36 bands captured and calibration data (the rest of the data are generated from these elements) Atmospheric phenomena: 04) aerosols, 05) precipitation, 06) clouds, 07) and 08) atmospheric profiles and products, 10) snow, 16) evapotranspiration, and 35) cloud masks Water and oceans: 18) water index, 19) pigments, 20) 21) chlorophyll, 22) photosynthetically active radiation, 23) suspended solids, 24) organic material, 25) coccolith, 26) water attenuation, 27) primary ocean productivity, 28) ocean surface temperature, 29) ocean ice, 30) moisture and temperature profiles, 31) phycoerythrin, 32) ocean processes, 33) snow, 36) total absorption, 37) ocean aerosol, and 39) clean water epsilon

such as infrared and thermal, generating composite images that allow us to see characteristics of the natural conditions that would otherwise be outside the range of the human eye (Fig. 9).

Record and Storage of Spectral Information For storage purposes of the digital information recorded in each band, it is important to remember that computers store information in binary code, reducing it to combinations of two digits, 0 and 1, which represent two states of electronic pulses interpreted by the computer as off or on. An electronic value of off or on (0 or 1) makes up 1 bit (binary digit). Expressed in color, a 1-bit pixel of an image has only two possibilities: black (0) or white (1). If each pixel is assigned 2 bits there are four possible tones of gray ranging from white to black; and If each pixel is assigned 3 bits there are eight possible tones of gray; or if each pixel is assigned 4 bits there are sixteen possible tones and so on. The possible tones double by 2n, where n corresponds to the number of bits assigned to each pixel. Satellite images normally reduce radiance information captured by the sensor to 8 bits per pixel, or 28, which corresponds to 256 possible digital values or tones of gray ranging from 0 (black) to 255 (white). In a three-band color composite image in which each band is assigned its respective RGB channel, each 8-bit pixel with 256 tone possibilities is raised to a function of three, or 2563 possibilities, equivalent to 16.7 million color tones from the fusion of the three individual bands. In this context, the number of digital values that can be assigned to each pixel in a given satellite image band is called radiometric resolution. The first LANDSAT MSS (1, 2, and 3) satellite images had a radiometric resolution of 7 bits/pixel. Later, in LANDSAT TM and TM+ (4, 5, and 7) images, the radiometric resolution of each of the bands increased to 8 bits/pixel, which translated into enhanced reception of the differences in radiation captured by the sensor. Table 7 presents the radiometric resolutions from the satellite images most commonly used in tropical forestry.

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Fig. 6 Wavelength ranges and electromagnetic spectrum regions of satellite image bands used in tropical forestry

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 5 Band comparison of satellite images used in tropical forestry REGION

VISIBLE

NIR Nir Cir

SWIR

TIR

IMAGE

c

b

g

Y

R

re

Swir

tir

Pan

LANDSAT-7

-

1

2

-

3

-

4

-

5

7

6

8

LANDSAT-8

1

2

3

-

4

-

5

9

6

7

10 11

World View-2

1

2

3

4

5

6

7-8

-

-

-

Modis Terra

-

3

4

-

1

-

2

5

6

7

-

-

-

Modis 13Q1

-

3

-

-

1

-

2

-

-

7

-

-

-

Rapid Eye

-

1

2

-

3

4

5

-

-

-

-

-

5

-

-

8 9

Spot-5

-

-

1

-

2

-

3

4

-

-

-

Orthophotos

-

1

2

-

3

-

4

-

-

-

-

-

-

OTHERS*: 1 2 3 4 * Spot-6, Ikonos-2, QuickBird-2 AND GeoEye-1

-

-

-

-

-

5

Code and name of each band c = coastal: blue coastal band of water penetration b = blue g = green y = yellow r = red re = red edge NIR = near infrared cir = cirrus cloud band SWIR = short-wavelength infrared TIR = thermal infrared pan = panchromatic

In this sense, radiometric resolution determines a sensor’s sensitivity to distinguish different magnitudes of electromagnetic energy; the more bits per pixel are used to store the energy captured, the greater capacity a sensor will have to discriminate between small differences in the energy reflected or emitted from the earth’s surface.

Quality Control (QC) Bands Quality control bands are used as information to assess the quality of the information in each pixel from satellite images. These bands are especially useful in multi-temporal analysis in order to ensure that images used from different dates are consistent in terms of the quality of the information in each pixel. For example, if a vegetation index contains cloud pixels on date 1 and is included in a multi-temporal analysis, when these images are compared to the corresponding pixels from another image on date 2 in which there are no clouds, certain variations will be detected that do not correspond to natural or anthropic changes in the greenness of the vegetation; the comparison in this case is between vegetation in one image and clouds in the other. These differences may be detected using quality control bands. MODIS and LANDSAT 8 satellite images incorporate bands that provide an indication of the quality of the information contained in each pixel. These indicators are represented by decimal values that must be transformed into bit strings for interpretation. In LANDSAT 8 images, each decimal value is equal to groups of 16 bits/pixel; in MODIS the quality pixels in the different products derived from the images may contain 8, 16, and up to 32 bits/pixel. In LANDSAT 8 images each of the bits is used to provide an indication of the factors that may affect the use of these pixels for given applications, such as the presence of clouds, cirrus, snow, or occlusion of the land surface. Quality control bands in MODIS products related to reflectance are captured by the sensor work in much the same way. Other products that generate pixel-

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 7 Comparison of spatial resolution in satellite image bands

level information for basic data processing, however, also consider other indicators related to the uncertainty of the calculations, especially those products that use various entry data that may cause errors to be communicated from one process to the next (USGS EROS Center 2014). To correctly interpret the decimal values in the quality assessment bands of LANDSAT 8 and MODIS images, the decimal values contained in the pixels must be converted to bit strings. The following concepts must be understood for this conversion and interpretation: – Bit string: Numeric string of zeros and ones that represents a group of bits equivalent to the quantity of combinations or possible states of the presence or absence of one or several characteristics in each of the image pixels. A reading of individual bits within the bit string may be taken using the big-endian system (right to left) or little-endian system (left to right). Quality bands in MODIS and LANDSAT 8 images use bit strings read from right to left (big-endian). – Individual bit: Indicates the presence (1) or absence (0) of a given characteristic; its pixel-level location within the bit string is defined in function of the total number of bits (n) assigned to each pixel, in a range from 0 to n. – Bit flag (called bit-word in MODIS documentation): Within each bit string, this corresponds to groups of equal or different numbers of bits indicating the presence or absence of a given characteristic and its location within the bit string for each pixel that has been previously defined. Readings of individual bits within each bit flag are also previously defined; quality bands in MODIS images are read from left to right, while the bands in LANDSAT 8 images are read from right to left. Figure 10 shows the aforementioned concepts applied to a 16-bit binary number, 1110 0100 0001 0000, taken from a pixel from a quality assessment band in a LANDSAT 8 image.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 8 Combination of bands in a satellite image from a LANDSAT 7 sensor. “Natural color” composite and two “false color” composites. In composite 4-5-3, the orange areas correspond to broad-leaved vegetation, brown represents conifer forests, light blue shows bare ground, and dark blue corresponds to bodies of water

In the quality assessment band in LANDSAT 8 images, the first four bits (0–3) are read as individual binary values in which each one indicates the presence (1) or absence (0) of the characteristic represented. From bit 4 onward, the interpretation is taken in double bits, that is, the 1st to the 4th bit flag are taken as individual pixels, and the 5th to the 10th bit flag are made up of double bits. Table 8 shows the separate elements of the bit string and their interpretation for the example of the LANDSAT 8 images in Fig. 8. Note that the bit flags in these images are read from right to left (in the same direction as the bit string). In the previous example, the single bits have only two possibilities (1 or 0); double bits have four possibilities (0–0, 0–1, 1–0, and 1–1). Table 9 describes the interpretation of double bits in LANDSAT 8 quality assessment bands. MODIS images apply the same concepts to read the bit strings in quality bands as explained for LANDSAT 8 images, with the difference that in MODIS products the number of bits that make up each bit flag varies between products, and readings of the individual bits within each bit flag are done from left to right. Figure 11 shows the aforementioned concepts applied to a 16-bit binary number, 0001 1101 0000 0001, taken from a pixel of the quality control band of a MODIS product. Table 10 shows the separate elements of the bit string and their interpretation for the example of the MODIS product in Fig. 12. Note that the bit flags in these images are read from left to right (in the opposite direction as the bit string).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 6 Description of satellite image bands Band Blue coastal band (c) Blue band (b) Green band (g)

Yellow band (y) Red band (r)

Red-edge band (re)

Near-infrared band (NIR)

Cirrus cloud band (cir) Short-wavelength infrared band (SWIR)

Thermal infrared band (TIR) Panchromatic band (pan)

Description Allows analysis of chlorophyll in the sea; due to its capacity to penetrate in clear water, this may be used to obtain low-depth bathymetry readings and cartography of marine habitats This band is used in water-related studies to examine turbidity and contamination, as well as other marine coast studies This band is used in studies of vegetation, as this is the region with the greatest reflectivity of vegetation in the visible light spectrum (least absorption of chlorophyll), giving this band the green color that can be observed naturally in healthy vegetation This band is used in vegetation studies to improve the visualization quality of images composed in natural colors and to detect yellowing in vegetation This band has high absorption of chlorophyll (low reflectivity of vegetation), making it useful in distinguishing between different forest types and agricultural areas, as well as separating areas with no vegetation such as urban centers This band is sensitive to changes in chlorophyll content, making it useful in monitoring vegetable health of forest masses and agricultural crops, identifying vegetable species and crops, and in measuring protein and nitrogen content in biomass In contrast to the red band, this band has low chlorophyll absorption (high reflectivity of vegetation), making it very useful in separating different vegetation and crops, even when these changes may not be distinguished in the visible light spectrum. This is also used in biomass studies, outlining bodies of water, and identifying areas affected by fires and wetlands This band is used in cloud masking and for atmospheric applications This band indicates water quantity in vegetation and in the soil, making it useful in ecological and agricultural studies related to moisture content in plants and soils, differentiating between clouds and snow, identifying minerals, and hydrothermal mapping exercises This band is useful in creating thermal maps, in studies related to thermal stress on vegetation, and in identifying hot spots This band has greater spatial resolution than the rest of the bands and is used to obtain cartographic representations with greater levels of detail when fused with other bands

The diversity of MODIS products makes it difficult to take a generic approach in interpreting the quality bands; each product has its own way of reading the quality bands. In general, however, two types of quality information are recognized for each pixel: General quality assessment (wide QA): This provides a uniform quality assessment for all MODIS products from 1- to 2-bit binary flags. 2 Bits were used prior to collection 5. Later, 1-bit flags were introduced. Nonetheless, many products, including surface reflectance, temperature, and emissivity, and vegetation indexes, maintained 2 bits due to their relevance in these products (USGS EROS Center 2014). In 2-bit flags interpretation is coded in bit pairs, and in 1-bit flags each one is interpreted individually. Table 11 describes the conditions for each bit in both cases. Specific quality assessment (specific QA): A second level of quality assessment for each pixel of MODIS products describes the specific conditions with respect to the certainty or uncertainty of the calculations performed (e.g., in surface temperature or emissivity products) or external factors that may affect the quality of each pixel such as atmospheric conditions (clouds) or surface types (ocean, coastline, wetlands, inland waters). In the MODIS quality assessment bands the 1st and/or 2nd bits correspond to wide QA, and the rest of the bits are used for specific QA. The specifications of each quality band may be consulted at the MODIS product table found at https://lpdaac.usgs.gov/products/modis_products_table, clicking on the product

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 7 Radiometric resolution in satellite images Images LANDSAT 1 LANDSAT 2 LANDSAT 3 LANDSAT 4 LANDSAT 5 LANDSAT 7 SPOT 4 SPOT 5 GeoEye-1 WorldView-1 WorldView-2 QuickBird-2 Ikonos-2 MODIS RapidEye SPOT 6 LANDSAT 8

Spectral resolution 7 bits/pixel

Gray levels in each band 27 = 128: digital values from 0 to 127

8 bits/pixel

28 = 256: digital values from 0 to 255

11 bits/pixel

211 = 2,048: digital values from 0 to 2,047

12 bits/pixel

212 = 4,096: digital values from 0 to 4,095

Fig. 9 Combinations of bands in LANDSAT 5 satellite images corresponding to a mangrove forest zone in Central America

Fig. 10 Bit string nomenclature used to store information on data quality in LANDSAT 8 satellite image bands Page 19 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 11 Bit string nomenclature used to store information on data quality in MODIS satellite image bands

Table 8 Example reading of bit strings in LANDSAT 8 quality assessment bands Bit flag 1st 2nd 3rd 4th 5th 6th 7th 8th 9th 10th

Single bits and double bits 0 1 2 3 4–5 6–7 8–9 10–11 12–13 14–15

Bit value (in the example) 0 0 0 0 1–0 0–0 0–0 1–0 0–1 1–1

Characteristic represented Fill data Reserved for dropped frame Territory occlusion Reserved for future use Level of confidence for water Reserved for future use Level of confidence for vegetation Level of confidence for snow/ice Level of confidence for cirrus clouds Level of confidence for clouds

Table 9 Example reading of double bits in LANDSAT 8 quality assessment bands Double bits 0–0 0–1 1–0 1–1

Interpretation Status of this condition was not determined Little confidence that this condition exists Medium confidence that this condition exists High confidence that this condition exists

Presence or absence of the represented characteristic No No Maybe Yes

Table 10 Example reading of bit strings in MODIS quality control bands Bit flag 1st 2nd 3rd 4th 5th 6th 7th

Single bits 1–0 3–2 7–6–5–4 11–10–9–8 12 13 15–14

Bit value (in the example) 01 00 0000 1101 1 0 00

Interpretation The number of bit flag in each bit string may vary by product; each product thus has its own interpretation

and then the “layers” tab. Generally, the descriptions of the quality files for each product include a table with four columns. The first column contains the number(s) of bits, the second column shows the name of the parameter evaluated, the third column shows the bit values for each parameter, and the fourth column

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 11 Interpretation of general quality assessments (wide QA) in quality bands in 1- and 2-bit MODIS products 2-Bit file Double bits Interpretation 0–0 Pixel produced, good quality, not necessary to examine more detailed QA 0–1 Pixel produced with unreliable or unquantifiable quality, examination of more detailed QA is recommended 1–0 Pixel information not generated due to cloud cover 1–1 Pixel information not generated due to reasons other than cloud cover

1-Bit file Bit 0 1

Interpretation Pixel produced, good quality, not necessary to examine more detailed QA Other quality (information produced or not produced, due to unreliable or unquantifiable quality, examination of more detailed QA is recommended)

Source: USGS EROS Center (2014)

provides a description for each bit field. Table 12 shows an example description of the quality assessment band for the MOD13Q1 product corresponding to vegetation indexes. It should be noted that the values in quality assessment flags come in decimal format and must be converted to binary format for interpretation. To convert these values, first the decimal number obtained from the value of the pixel in the image is divided by 2. The result is converted to a whole number and once again divided by 2. This procedure of taking the whole number from the previous division and dividing by 2 is repeated until the quotient is 1. Lastly, the remainders of each division are calculated to obtain values of 0 and 1. Each of these remainders corresponds to one bit. This operation should be conducted taking into account that the order of the division should go from right to left in order to obtain each bit in the sequence corresponding to the binary number. Figure 12 shows an example in which the value of a group of pixels is calculated from a LANDSAT 8 satellite image with the decimal value of 58.384. This figure illustrates the procedure, explaining how to obtain the resulting binary number of 1110 0100 0001 0000. The figure explains the interpretation for single and double bits.

Preprocessing of Passive Remote Sensor Images The previous section discussed different sources to obtain commercial or freely distributed satellite images from passive remote sensors, with special attention paid to LANDSAT and MODIS images thanks to their widespread use in tropical forest resource studies. Once images have been acquired, a series of preprocessing tasks must be performed in order to prepare the images for subsequent processing and analysis. This section explains the main procedures to conduct geometric, atmospheric, and topographic correction of satellite images and to integrate the bands into a single multilayer file for visualization.

Radiometric Calibration and Atmospheric, Geometric, and Topographic Correction The methodological foundations that are explained in this section are based on Chuvieco (2002) and Jensen (2005). Of the different types of energy reflected from the earth’s surface, many do not escape the atmosphere or are so distorted that they cannot be detected by satellite sensors. Remote sensors used in land

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Table 12 Interpretation of specific quality assessment (specific QA) in quality bands in MODIS MOD13Q1 products Bit 0–1

Long name MODLAND_QA

2–5

VI usefulness

6–7

Aerosol quantity

8

Adjacent cloud detected

9

Atmosphere BRDF correction performed

10

Mixed clouds

11–13

Land/water flag

14

Possible snow/ice

15

Possible shadow

Value 0 1 10 11 0 1 10 100 1000 1001 1010 1100 1101 1110 1111 0 1 10 11 1 0 1 0 1 0 0 1 10 11 100 101 110 111 1 0 1 0

Key VI produced, good quality VI produced, but check other QA Pixel produced, but probably cloudy Pixel not produced due to other reasons than clouds Highest quality Lower quality Decreasing quality Decreasing quality Decreasing quality Decreasing quality Decreasing quality Lowest quality Quality so low that it is not useful L1B data faulty Not useful for any other reason/not processed Climatology Low Average High Yes No Yes No Yes No Shallow ocean Land (nothing else but land) Ocean coastlines and lake shorelines Shallow inland water Ephemeral water Deep inland water Moderate or continental ocean Deep ocean Yes No Yes No

applications are limited to gathering information from certain portions of the electromagnetic spectrum in which they can capture the frequencies that escape the atmosphere relatively unaltered. In the process of capturing images and recording the spectral information obtained by the optical sensors, the substances that make up the atmosphere alter the electromagnetic intensity transmitted from the earth and captured by the sensors. These substances include oxygen, water vapor, and dust or smoke particles. As a result of atmospheric interference and other factors for the sensor recording mechanisms, the digital values stored in the pixels of a satellite image do not faithfully reflect the radiance values captured by the sensor and the

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0

12

1

57

57 / 2

28.5

11

10

Level Confidence Snow / Ice

0

28

28 / 2

14.0

0

228

228 / 2

114.0

8

0 0 1 1

0 1

7

6

1

3649

3649 / 2

1,824.5

5

4

Level Confidence Water

0

1824

1824 / 2

912.0

2

Terrain Occlusion

0

14,596.0

14596 / 2

7,298.0

1

Dropped Frame

0

29192

29192 / 2

14,596.0

Bit 8-9 = 00 : not determined Bit 10-11 : 10 : could be snow/ice Bit 12-13 : 01 : not cirrus cloud Bit 14-15 : 11 : cloudy

Bit 2 = 0 : not terrain occluded Bit 3 = 0: not determined Bit 4-5 = 10 : could be water

(1 - 0) Algorithm has medium confidence that this condition exists (34-66% confidence) (1 - 1) Algorithm has high confidence that this condition exists (67-100% confidence)

Bit 6-7 = 00 : not determined

Bit 1 = 0 : not a dropped frame

(0 - 1) Algorithm has low to no confidence that this condition exists (0-33% confidence)

0

Designated Fill

0

58384

58384 / 2

(0) No, this condition does not exist (1) Yes, this condition exists

= Bit position

= BITS

WHOLE NUMBER

29,192.0 DECIMAL NUMBER

Bit 0 = 0 : not fill

EXAMPLE: 58384 = 1110 0100 0001 0000

3

Reserved

0

7298

7298 / 2

3,649.0

(0 - 0) Algorithm did not determine the status of this condition

INTERPRETATION OF INDIVIDUAL BITS (Positions 0, 1, 2, 3 )

0 1 0 1

0

912

912 / 2

456.0

Reserved for Cloud Shadow

0

456

456 / 2

228.0

Perform reading the bit pairs from right to left (example bit 4-5 = 1-0)

9

Level Confidence Vegetation

0

114

114 / 2

57.0

INTERPRETATION OF BITS DOUBLE (Positions 4-5; 6-7; 8-9; 10-11; 12-13 y 14-15 )

14

13

1

14

14 / 2

15

1

1

7

7/2

7.0

Level Confidence Cirrus

3

1

3.5

Level Confidence Cloud

3/2

1/2

1.5

Fig. 12 16-Bit decimal value conversion in LANDSAT 8 quality bands, and example interpretations for each bit (Sources: Adapted from USGS 2014)

Yes

No

Yes

Maybe

No

Not Determined

REMAINDERS =

DIVISION =

0.5

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

reflectance emitted by different land surface cover types. It is thus necessary to convert those digital values to radiance and reflectance values and to correct for interference from the atmosphere or the land relief.

Radiance Calculation The process of recording spectral information through an optical sensor is done by converting the radiation received from the earth to a digital value by way of an electric current with an intensity directly proportional to the radiance that reaches the sensor at different wavelengths and is then stored in digital values. In the process of recording electromagnetic signals in digital values, certain alterations are produced in the particles carrying the electromagnetic radiation; these alterations may be provoked by the sensor capture mechanisms themselves or by other factors, and it is necessary to restore the original radiance values. The process of converting digital values of an image to the magnitude of the radiance at the moment the image was captured is called radiometric correction or calibration, which is performed by using a linear adjustment between the digital numbers of the image (DN) and the radiance, where for each sensor, the quotients for the slope represent GAIN and the quotients for the intercept represent deviation (OFFSET or BIAS): Radiance ¼ BIAS þ GAIN  ND Another method to calculate radiance values is based on the minimum (Lmin) and maximum (Lmax) values of each band: Radiance ¼ Lmin þ ððDN = maximum DNÞ  ðLmax
LminÞÞ Both methods are valid, and their use will depend on the quotient provided in the image metadata. Radiance calculations are performed individually for each band.

Reflectance Calculation As discussed, the values contained in the pixels within satellite-acquired images are coded in values that do not represent the true reflectivity of the different coverages in each band, rather they correspond to relative values that must undergo certain procedures in order to recover the value of the reflectivity of ground objects at the time that the image was taken. The digital numbers in the images acquired from any provider contain whole numbers in each pixel (e.g., ranging from 0 to 255 in images of 8 bits) while the reflectivity captured by the sensor ranges from 0 to 1. When using a black-white monochrome palette, the lowest values in each band correspond to the land covers that absorb radiation and will be shown in darker tones or even black for a surface such as water. The highest values have greater reflectance and will appear in lighter tones ranging to white. In each spectral band, reflectivity depends on the energy reflected (radiation coming from the ground and received by the sensor), which is conditioned by solar radiation at the top of the atmosphere, the reflectivity of the land coverage (apparent reflectivity), and the conditions for image acquisition related to the distance between the earth and the sun, and the zenith angle of incidence (formed by the vertex of the sensor, the ground, and solar rays), considering in a simplified format a flat terrain with no topographic effects. A calculation of surface reflectivity, or apparent reflectivity, is important for purposes of land surface coverage interpretation, and this may be obtained through the following steps: 1. Calculate radiance (R). 2. Obtain the values for top-of-atmosphere radiance for each of the bands (I).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

3. Obtain the date of image acquisition, and use this date to calculate the zenith angle of incidence (y) and the correction factor of the distance from the earth to the sun (D). 4. Apply the following formula to each of the bands of the image: Reflectivity : ðDp  RÞ = ðI  cosyÞ When working with a single satellite image for a given date, it is not as essential to perform adjustments to radiance and reflectance values. When comparing between two or more images from different dates or when the study area is covered by several images, it is recommended to convert the digital values to radiance and reflectance values in order to eliminate the intrinsic variations in the images, making them comparable to other similarly calibrated images.

Atmospheric Corrections True reflectance and radiance can be restored from observed digital values by applying light incidence corrections mentioned above to the observed digital values of the image, only by assuming that the process of capturing and recording the electromagnetic signal has no atmospheric interference. Nevertheless, the different molecules that make up the earth’s atmosphere interfere with and alter the electromagnetic signals that return to the sensor at different wavelengths, making the radiation intensity that eventually reaches and is captured different from the initial radiation of a given earth’s surface. In this sense, to learn the true reflectivity in each of the bands of a satellite image, it is important to calculate atmospheric transmittance, diffuse radiance, and radiance from atmospheric scattering. Obtaining these parameters requires complex calculation processes and data on the atmospheric conditions at the time the images were captured. In most cases these data are not available, and alternative methods are sought based on parameters that may be obtained from the images themselves. One of the most widely used methods for these calculations is based on the dark object subtraction proposed by Chavez (1975) and improved in later studies. This method produces an equivalent value to atmospheric radiance due to scattering (A) based on the subtraction of the dark objects in the images. This value is subtracted from the radiance captured by the sensor through an equation used to calculate reflectivity: Reflectivity : ðDp  ðR
AÞ = ðI  cosy2Þ The value of atmospheric radiance due to scattering (A) is calculated using the minimum value obtained from a surface with no reflectivity in the image, that is, those surfaces with spectral radiance near zero such as bodies of water or shadows. In contrast to the calculation of apparent reflectivity, in the equation used to calculate reflectivity based on the dark object, an adjustment is made to the zenith angle of incidence (y) due to atmospheric thickness. Other authors propose using standard transmittance (ts) to adjust each of the bands rather than correcting the angle of incidence. For LANDSAT TM images, Gilabert et al. (1994) propose the following standard transmittance: Reflectivity : ðDp  ðR
AÞ = ðI  cosy  tsÞ Most satellite images are acquired without radiometric and atmospheric correction, with the exception of MODIS images that may be acquired with different levels of calibration. MODIS images with processing level L1A contain raw radiance values in the 36 bands and quotients to perform radiometric calibrations

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

and geometric corrections, which generate radiometrically corrected and calibrated L1B images. When data at level L1B undergo atmospheric corrections to calculate geophysical variables of interest, an L2 image is produced, in scenes that maintain the original size of the images captured. In level L2G, the images are projected on a uniform grid with 1,200 km  1,200 km squares in a sinusoidal map projection. Lastly, processing levels L3 and L4 generate different products derived from L2 data for different resolutions, at 250 m, 500 m, 1 km, and up to 5.6 km. Composite images are created that correspond to different time periods from 1, 8, 16, to 30 days, and images are distributed using the 1,200  1,200 grid for L2G products.

Geometric and Topographic Corrections Geometric correction is the procedure through which the cell locations are adjusted geometrically and assigned coordinates associated to a cartographic reference system. These adjustments are made using reference and control points obtained from the field, topographic maps, or even from other previously corrected images. When control points are taken from topographical or other specific maps, it is recommended to use other stable infrastructure elements as points of reference for location, such as road intersections or visible building corners, as these constructions should not have changed position over time. The use of elements such as river or lakes may lead to mistakes, as waterways may change course over time, change shape, or change in size. A minimum of 15 reference points are recommended for a moderate relief image, and these points should be distributed throughout the image. However, the number of control points will depend on the complexity of the elevation; images of flat surfaces will require fewer control points than terrain with steep slopes. The correction process involves identifying the control points in the reference image and in the image to be corrected. Image processing programs offer tools to perform geometric corrections and allow users to view the reference image or map in one window and the uncorrected image in another. Adjustments are made using a correlation function between the coordinates of the image to be corrected and the corresponding points in the map or reference image. The most simple adjustments may be made through linear functions, but in cases of complex topography, transformation functions from second- to third-order polynomials are recommended. The quotients of the transformation functions are calculated from the control points, and method of least squares is the most common approach. The level of the adjustment is measured by the residuals of the regression. The residual is the difference between the estimated and the observed values and is calculated for each of the control points. Higher differences require smaller adjustments. The square root of the residuals produces the root-mean-square error (RMSE) for each point, which defines the distance between the real and the estimated coordinates. The total RMSE is calculated by the average of the residuals. In evaluating the precision of geometric corrections, a margin of error smaller than the size of the image pixel is normally accepted. Figure 13 shows an example of the geometric correction module. The majority of satellite images have a degree of geometric correction. The image metadata may be consulted to learn more about the details of the respective corrections. LANDSAT 8 images are distributed in GeoTIFF format with geographic corrections that are geo-referenced in the Universal Transverse Mercator (UTM) projection and with datum referenced in the World Geodetic System (WGS84). The images are corrected to level 1 T, which consists of geometric correction using control points from the field obtained from Global Land Survey (GLS2000) data and global terrain elevation models such as the Shuttle Radar Topography Mission (STRM) (NASA 2014c). MODIS images obtained at processing level L2G also contain these geometric corrections and are projected on a uniform grid of 1,200 km  1,200 km squares in a sinusoidal map projection. One advantage of working with geometrically corrected satellite images is that a pixel in one image corresponds exactly to the same point in the terrain represented in the pixel of another image, even if they Page 26 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 13 Geometric correction module

were taken on different dates. This characteristic is particularly important in multi-temporal studies of forest coverage changes that must ensure that the changes identified in comparing images from different dates correspond to different spectral responses in the pixels and not discrepancies in geo-referencing. Another type of correction seeks to reduce the effect of illumination due to the slope and exposure of the terrain in relation to the sun. The result of this process is an image with more uniform illumination of the terrain; this is called topographic correction. The solar azimuth and elevation at the time of image capture must be known in order to perform this correction, along with a land elevation model. Satellite image processing programs have tools to perform these types of corrections.

Band Fusion and Contrast Stretching In images with a higher-resolution panchromatic band, this band may be fused with others to create a multispectral image with the same resolution as the panchromatic band (Fig. 14). To store the light variance within a wavelength in a channel, most sensors have a range of 255 levels of gray in 8-bit images (radiometric resolution varies). To store the light variance within a wavelength in a channel, some sensors have a range of 255 levels of gray in 8-bit images (note that this range varies according to the radiometric resolution of the sensor), so we use it as an example in this explanation. The most part the variation of the light received and represented in a satellite image only covers a small portion of those levels. To use the range of this effective portion in 8-bit images, a value of 0 must be assigned to the lowest level registered and a value of 255 must be assigned to the highest value. This way, the differences in the gray scale within the range are adjusted to these new values. This procedure is called “contrast stretching” and it is part of the method of linear normalization of maximum and minimum values. Through this procedure the human eye can make out objects that were not previously visible. The interpreter of the image looking for forest coverage is mainly interested in the visual contrasts in the forest surface; objects outside the forest are of lesser interest. To optimize the contrast within the forest and set aside other objects outside the forest coverage, a value of 0 is assigned to the pixels corresponding to the darkest forest type, and 255 is assigned to the brightest forests. The intermediate values in this new range can then be adjusted, producing an image in

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 14 Fusion of 2.4 m multispectral bands with the 0.6 m panchromatic band in a QuickBird image

which the brightest areas in the forest will appear white, the darkest areas of the forest will appear black, and forest coverage will be shown in high contrast. This procedure is repeated for each band in the RGB channels of the composite, as a forest type may appear brighter in one channel and darker in another. The two previous procedures are based on the concept of linear expansion of contrast which distributes only the extreme values of an image. With other types of procedures, it is possible to apply an expansion proportional to the frequency of the appearance of each of the values of the gray scale. In this process, the levels of gray with a greater number of pixels would occupy a proportionally larger range of the visualization. Just as with a linear expansion, this operation can also be applied by restricting the analysis to a range of values that corresponds only to forest coverage. Specialized computer programs for satellite image processing incorporate algorithms that have automated these and other processes to produce automatic contrast adjustment using statistics and histograms for image bands. These algorithms include other options such as stretching by standard deviation, emphasizing variations in values with respect to the median, or modified sigmoid stretching that uses an “S” curve to find a median value and keep the values from extending to the extremes. Figure 15 shows some examples of this contrast stretching.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_108-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 15 Contrast stretching applied to a LANDSAT 7 image: (a) without stretching, (b) linear stretching with restrictions for minimum and maximum values of forest coverage, (c) stretching by standard deviation

References Chuvieco E (2002) Teledetección Ambiental. La observación de la tierra desde el espacio. Editorial Ariel, Barcelona, España Gilabert, M. A., Conese, C., & Maselli, F. (1994). An atmospheric correction method for the automatic retrieval of surface reflectances from TM images. International Journal of Remote Sensing, 15(10), 2065–2086 Jensen JR (2005) Introductory Digital Image Processing, 3rd edn, Prentice Hall Series in Geographic Information Science. Prentice Hall, United States JPSS (June 16, 2013) STAR joint polar satellite system website (JPSS). Viewed on June 17, 2014, at Visible Infrared Imaging Radiometer Suite (VIIRS): http://www.star.nesdis.noaa.gov/jpss/VIIRS.php Mas JF (2011) Aplicación del sensor MODIS para el monitoreo del territorio. SEMARNAT, México DF NASA (2014a) MODIS. Viewed on June 17, 2014, at MODIS website: http://modis.gsfc.nasa.gov/data/ NASA (2014b) Polar-orbiting missions. Viewed on June 17, 2014, at Joint Polar Satellite System (JPSS): http://npp.gsfc.nasa.gov/jpss_mission.html NASA (December 4, 2001) MODIS land quality assessment. Viewed on June 16, 2014, at MODLAND Product Filename Convention: http://landweb.nascom.nasa.gov/cgi-bin/QA_WWW/newPage.cgi? fileName=hdf_filename NASA (1999, March 11) LANDSAT 7 system zero-R distribution product data format control book. Volumen 5, Book 1. NASA. Viewed on June 16, 2014, at LANDSAT 7 Product website: http:// landsathandbook.gsfc.nasa.gov/data_prod/ NASA (2014c, May 3) LANDSAT missions. Viewed on June 16, 2014, at LANDSAT 8: http://landsat. usgs.gov/landsat8.php

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NASA/NOAA (2014, March 17) Suomi NPP – VIIRS land (Visible infrared imaging radiometer suite). Viewed on June 17, 2014 at VIIRS Products: http://viirsland.gsfc.nasa.gov/Products.html NASA/USGS (2014, April 14) MODIS data products table. Viewed on May 25, 2014, at LP DAAC:: NASA Land Data Products and Services website: https://lpdaac.usgs.gov/products/modis_products_ table Sobrino JA (ed) (2001) Teledetección. Universitat de València USGS EROS Center (2014) MODIS land products quality assurance tutorial. NASA, Sioux Falls USGS (2012) LANDSAT data continuity mission (LDCM) Level 1 (L1) Data Format Control Book (DFCB). Version 6. USGS USGS (2014, February 4) LANDSAT missions. Viewed on June 19, 2014 at LANDSAT 8 Quality Assessment Band: http://landsat.usgs.gov/L8QualityAssessmentBand.php USGS (2013, November 27) LANDSAT missions. Viewed on March 8, 2014 at Frequently Asked Questions about the LANDSAT Missions: http://landsat.usgs.gov/band_designations_landsat_satel lites.php

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_110-1 # Springer-Verlag Berlin Heidelberg 2015

Tree Species Identification in the Tropics Michelle Szejnera* and Patricio Emanuellib a Sectorial Specialist, National advisor for Panamá, German Cooperation Agency (GIZ), Panamá, Panamá b Sud-Austral Consulting SpA, Santiago, Chile

Abstract There are some requirements and tips for the identification of tree species in tropical forests. For example check the available floristic information as books, thesis, inventories, etc. and count with a local expert to join you in the field. Collect the best specimen, take notes and photographs of each part of the plant, better if you found reproductive material (flowers and fruits). Upon completion of the fieldwork, it’s necessary to press and mount all samples collected. The presses must remain in the driest place possible. Each herbarium has clear instructions on how to dry and set up samples. To start the identification process, is recommended to have a stereo microscope and the help of literature and the herbarium collection. The importance of a good plant identification remains in the quality of information for the forest inventories. In carbon inventories, species play an important role for their data on wood density, carbon content, etc. This is why it is an essential priority that species recorded in forest inventories are properly identified.

Keywords Species identification processes; Plant material collection; Forestry inventory; Tropical tree species

Introduction Biodiversity, particularly floristic diversity, is high in the tropics. Phenotypic variability, the ability of some taxonomic groups to hybridize faster than others and the variety of common names associated with each species, are examples of how the complexity of the in situ taxonomic identification may increase. This section describes the minimum requirements for observing tree species in tropical forests in order to facilitate their recognition in the first case. Then, if necessary, the specimen is collected and samples are transported to a herbarium, where the second step of the species identification process is carried out, with the support of herbarium records, books, and all the tools that most indexed herbariums have worldwide. In order to have the confidence to identify species at a glance, the identification of tree species in the tropics requires many years of experience in the field. If the person has no field experience or has not become familiar with the living area or ecosystem in which it is located, it is recommended to consider the advice of botanists, in spite of having few of these professionals in the tropics. Another option that is recommended is to contact local experts who are familiar with the local flora and who recognize plants, usually by their common name. Within the context of national forest inventories, the process for identifying species is crucial and must be one of the most important components. The identification of samples must have a scientific rigor, a dendrologist must validate the species and collected samples must be submitted to a herbarium of the country where the inventory is being conducted. Having an inventory whose species have been correctly *Email: [email protected] Page 1 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_110-1 # Springer-Verlag Berlin Heidelberg 2015

identified can lead to important conclusions on the state of succession and forest degradation. In carbon inventories, species play an important role for their data on wood density, carbon content, etc., this is why it is an essential priority that species recorded in forest inventories are properly identified.

Field Work Minimum Equipment to consider

Before embarking on a field trip for identifying plant species, it is advisable to make a quick literature review of the study area. For instance, find information on: • Floristic composition • Classification of the living area, ecosystem, or plant association • Floristic or forest inventories, etc. It is recommended to have this type of literature available for comparing common names or clarifying doubts on the matter, such as species and their distribution. Once on site, it is always suggested to have the support of a local expert or park ranger that recognizes the main species; even better if this person is sufficiently observant, and that may support their observations on data about flowering and fruiting (phenology, color, size, smell, etc.). These observations will be crucial in the process of identification of species. So it is also important to give the right recognition to local researchers. When the work on identification of tree species in the field is done, it is essential to take a fieldbook and pencil to record all necessary data for the species of interest. The first step is to write in the book the general information of the site: • • • • • • •

Date Other participants of the field trip Location (with geographic details such as volcanoes, floodplains, rivers, etc.) GPS coordinates Altitude Topography Associated species or forest type

As a next step, it is necessary to list the trees or plants that are under study and record all visible features for each. For instance, you can start with the following: • • • • • • • • •

GPS coordinates Number of photographs Habit: tree, vine/climber, liana, epiphytes, ferns, shrubs, grass Shape and texture of the trunk and bark Leaves and their arrangement Presence and color of latex Translucent dots Type of aerial roots if present Pubescence (presence of fine hairs) Page 2 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_110-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 1 Checking tree features (Credit: Michelle Szejner)

Fig. 2 Taking notes of a sample in the field (Credit: José Carlos García)

• If it is possible to record the dimensions of leaves, flowers, and fruits • Colors, sizes, shapes, smell, and all those features that may not be visible in the samples, or that may change over time, or be forgotten In Figs. 1 and 2, collectors observe and then write down on their fieldbooks the characteristics of each species collected. Other, very useful, important information is the additional information that can be provided by the local expert, for instance: • Local uses of the plant • Common names • Phenology data (time of flowering and/or fruiting) Page 3 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_110-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 3 Using magnifying glass to observe details (Credit: Michelle Szejner)

Fig. 4 Extensible scissors to collect sample (Credit: Michelle Szejner)

• Other observations deemed relevant. In addition to the fieldbook, it is always recommended to have: Page 4 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_110-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 5 Correct way to take a picture, with size reference (Magnolia guatemalensis) (Credit: Michelle Szejner)

Fig. 6 Picture of a flower from a sample (Pachira aquatica) (Credit: Michelle Szejner)

• A magnifying glass to examine in detail the presence of pubescence, nectaries, translucent dots or lines, etc. (Fig. 3) • Flexible measuring tape, such as tailor’s measuring tape, it is used to measure long leaves; the size of flowers or fruits, and petioles; the diameter of trees, among others. • Binoculars, to check for flowers or fruits, the morphology and position of the leaves and any other details in the canopy. • Machete or knife to dissect flowers or fruit, bark cuts, etc. • Shears for cutting branches. • Extensible scissors to cut branches or twigs of taller trees (Fig. 4). • Slingshots, some botanists use them to bring down fruit or flowers that cannot be otherwise reached. • Camera, it is recommended for taking macro and high resolution shots, to make sure no details are missed. You need to try to photograph all parts of the plant or tree as the base of the trunk, bark, leaves, and twigs, as well as flowers and fruits when the plant has them. • Another recommendation is to place an object of standard or known size next to the specimen to be photographed, to have a visual reference of its actual size (Fig. 5). The file name of all photographs that correspond to each species should be written down on the fieldbook. • It is important to always take leather or canvas gloves, hat, compass and insect repellent.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_110-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 7 Picture of fruit from a sample (Bixa orellana) (Credit: Michelle Szejner)

Sample Collection Once an unidentified tree is found, we look around for similar specimens at their different developmental stages (seedling, sapling or adults), and the best one is selected in order to get the main parts: leaves and twigs, flowers and floral stems, fruit and seeds. The reproductive parts (flower and fruit) are essential for identifying many families, sometimes they can be found on the ground nearby, under the tree (Figs. 6 and 7). Always try to collect additional samples of the same species in a different developmental state, or in a better condition. It is convenient to have samples that show differences in size, color and shape (Queensland Herbarium 2013). It is important to collect samples of plants of both sexes, in the case of dioecious species (Liesner 1996). In some cases it will be helpful (if possible) to climb the tree to collect samples, but it is recommended that this is done by people who have been trained and have the right equipment. Houle et al. (2004), Lowman and Witman (1996), Mitchell (1982) and Moffet (1993) describe different and innovative techniques for this type of collection methods in the canopy (Newton 2007). The Herbarium Manual (Lot and Chiang 1986) including several techniques to collect samples of trees, e.g. climbing the trees assisted by spurs, the bicycle technique, the crossbow or elevator technique, and one that uses vines, branches, and other nearby trees. When the sample is collected, the most representative parts and the ones in better shape shall be pruned with scissors. Efforts should be made to gather the necessary materials, two or three samples of each specimen is sufficient for analysis in the herbarium. After taking the samples, these are labeled or marked with a permanent marker, recording the following information: • • • •

Species number or code that corresponds to the one written on the fieldbook Number of the sampling unit (plot) or site where it is located Date Name of person who took the sample

It is important to take a picture of the specimen with its label and record its number in the fieldbook. Then, all collected material is put in a large clear plastic bag, for transportation. If there are several plots, it

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Fig. 8 Example of a code for unknown species (Credit: Michelle Szejner)

Fig. 9 Code for unknown species, when its genus is known (Credit: Paul Szejner)

is recommended to have separate bags for each one, in order to prevent mixing up individuals from different plots. Examples of sample labelling: Example 1

If at sample site 1, plot B, the species is unknown, natural regeneration of the species has been observed in subplot 1, and this is the fourth individual sample collected, the code may be: M1-B-RN1-04 (Fig. 8). It is important to take care of recording all the information that may be helpful in aiding identification of the sample in the herbarium. The code must be preserved until the sample is identified and entered in the database. In each plot there are several subplots, therefore extreme care must be taken in the process of collection and identification so that the information is properly recorded on the original forms. Example 2

The species is a known herb of the family Cyperaceae for which genus is inferred, found on the plot number 16, and was collected by Cecilia Sigal, the code may be Cyper-P16-CS.

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In this case, sampling is simpler, because it is of a known plot number, and possibly there are several collectors. If the species, genus or family is known or, at least inferred, the recommendation is to write it down, so its identification is easier in the herbarium (Fig. 9). When collecting flowers and globose fruits, it is recommended to wrap them in wax paper, or when that is not possible in magazine paper. Globose fruits can be temporarily stored in cardboard boxes or plastic containers, depending on the site conditions. Archer (1945) cites a number of recommendations and caring methods that should be considered for the samples, from quarantine and cleaning of insects and fungi to the necessary care for the transferring samples to herbariums outside of the country where they were collected.

Pressing Plant Material

Upon completion of the fieldwork, it is necessary to press and mount all samples collected. All samples should be placed in newsprint paper; it is recommended that all plant sample data for the labels are written in the newspaper (date, collector, species code, and location). The pressing process depends on the type of trip on the field and whether there is access to a biological station or herbarium. If they are extended trips, we recommend doing it in the same site or the same night that samples are collected. If it is a short trip, the samples can be transported in closed plastic bags and can be pressed that day on the herbarium. It is important to follow a very careful pressing and mounting process for sample collection. For instance: • The upper and underside of leaves, type of nervation, joint of the leaf to the petiole, and leaf twig must be visible (Fig. 10) (Lot and Chiang 1986). • Large leaves (palm trees, for example) must be cut and mounted in sections, the leaves that can be folded and placed in one piece must have part of their upper and underside visible as well as the petiole. • Fleshy or succulent leaves should be placed with more layers of newsprint paper or cardboard to ensure proper drying. • For flowers, mounting in wax or magazine paper is recommended to prevent rotting and sticking to the newsprint; if they are succulent or fleshy, it is best to take several samples and to press some and preserve the others in alcohol.

Fig. 10 First step for pressing plant material collected in the field (Carpinus sp.) (Credit: Michelle Szejner)

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• To press fruits, many parts should be cut into several longitudinal sections, others into cross sections, thin sections, if possible. If they are globose, they must be preserved in alcohol or transferred in paper bags. • Each fruit or flower must be properly labeled with the same identification code of the plant material, and it must correspond to the fieldbook. It is important to consider having many samples of each species to expand the possibilities of observing more features and details; then you have to choose the best specimens to mount and press and then transfer them to the herbarium. Once the wrapping process for each specimen is completed, these must be placed, alternately, in a press, with corrugated cardboard, to accelerate the drying process. The presses must remain in the driest place possible. “Field techniques used by the Missouri Botanical Garden” (Liesner 1996) describes and illustrates the steps with important recommendations for drying and pressing each sample in the best way. If the collector is far from the herbarium or from an electric dryer, it is necessary to change the newsprint paper and cardboard on the samples, at least every other day, to prevent humidity and mold, which could make the sample unrecognizable after days.

Lab Work Drying Samples Once you have reached the scientific station or herbarium, it is necessary to immediately dry the plants. Drying time may vary depending on the humidity of the samples. In humid places, with 90–100 % relative humidity, it would be about 5–8 days; otherwise, these may dry in 3 days. Consider to change the newsprint paper every 2 or 3 days to avoid growth of mold or rotting of samples. Also, it is important to remember that the drying time depends directly on the consistency and fleshiness of each sample. Each herbarium has a quarantine protocol or clear instructions on how to dry and set up samples. It is important to follow all the recommendations so that the samples collected can be later added to the herbarium’s formal collection (Willis and Huntley 2001; Queensland Herbarium 2013; Reid et al. 2009). Special dryers are usually used for drying samples, however, there are alternatives. It is important to have a heat source (bulbs, gas, kerosene lamps), natural ventilation, or fans that allow air flow and ensure that the samples are not overheated. You can find several examples in Liesner (1996) and Blanco et al. (2006).

Identification Process When samples are already dried and are easy to handle (it is important to recognize when they are completely dry and not wilted), it is recommended to have the notebook. A stereo microscope (Fig. 12) is needed as well as the region’s literature (local and national floras, taxonomic keys, monographs, etc.) and available herbarium records (Fig. 11) (Mori et al. 2011) will also be needed. The identification process requires a lot of care in order to analyze all aspects of the sample and to determine the correct family; then more work is needed to identify the genus and species. There are written guides for identifying tree species that lack flowers or fruits, such as Gentry 1996; seed guides such as Cornejo and Janove 1996 and Royal Botanic Gardens KEW 2001. However, in the tropics it is more complicated to differentiate family, genus, and species, if you do not have any reproductive samples. One of the most common guides for families with flowers are Heywood 1993 and Smith et al. 2004, among others.

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Fig. 11 Herbarium record (Quercus crispipilis) (Credit: Michelle Szejner)

Fig. 12 Using stereoscope to observe details needed for identifying species (Credit: David Mendieta)

It is important to have the support of the herbarium’s curator or other professionals who can help in cases when there are doubts. Botanical dictionaries and illustrated guides are extremely helpful as reference in those cases where it is necessary to understand a specific term (Fig. 13).

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Fig. 13 Support material for identifying species (Credit: Samuel Secaira)

As a final step, it is advisable to look for the scientific name in accepted websites to verify the correct and updated taxonomy for each identified species. Some recommended sites are presented in the Species Selection for Forestry Chapter by L. Pancel. To summarize, the steps for the identification process, as well as materials and equipment needed, from the field to the herbarium are listed in Table 1.

Connection Between the Recognition of Species and Forest Inventories The vast diversity of plant species in the tropics has a direct impact on the results of the National or Sub-National Forest Inventories. As an example, the National Inventories carried out by the UN Food and Agriculture Organization (FAO) in Central America between 2000 and 2010, the proportion of not recognized tree species was 30–40 % of all species. This is relevant in terms of defining indexes or indicators for plant diversity and also the need to recognize species to define management schemes in tropical natural forests. A very interesting experience in terms of organizing species recognition is the implementation of a National Forest Inventory (INF, for its acronym in Spanish) in Costa Rica, in 2013 and 2014. This INF was developed through a series of steps to be able to reduce to a minimum the unidentified species, and it was implemented by six field crews who covered all the forest resources of Costa Rica. Below are the main steps or stages considered in this experience.

Step 1: Master List of Tree Species in Costa Rica An essential input when creating forest inventories in tropical forests is to have a master list of coded species (Fig. 14), which has the largest number of species expected to be found during field work. This will avoid confusion between different teams on the field and, in turn, will become the basis for incorporating new species that were not originally foreseen. Furthermore, it allows keeping things in order and functions as a permanent feedback for the teams on the field.

Step 2: Recording Tree Species on Field Forms A space is included in the forms (Fig. 15), for identifying each tree species for each tree measured in the corresponding sample units. Furthermore, for each individual there is a space for notes about the sample, photographs related to the individual or other comments that might be useful when identifying the sample. Page 11 of 18

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Table 1 List of material needed for each step of identification process for species

All field crews included a dendrologist, which significantly helped with the identification of species and sample preparation when failing to identify the specimen. Additionally, a more experienced dendrologist was in charge of inventory, training, quality control, and identification of unknown species.

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Fig. 14 Example of master list of tree species in Costa Rica

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F2 - UMP

Field form: Trees DBH >10cm National Forest Inventory of Costa Rica, Central America Programa REDD / CCAD - GIZ

N° Plot:______

Date: _____ / _____/______

Instructions: Meassure all the trees up to 10cm DBH inside the principal plot (20x 50m). Responsibles:

No. of tree

Species code

DBH

Hight (m)

(cm)

H Tmed H Total

GPS CX

CY

Notes

1 2 3 4 5 6 7 8 9 10

Fig. 15 Sampling form used in the National Forest Inventory of Costa Rica

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Fig. 16 Database with filters of individual not identified in the field and their reference information

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_110-1 # Springer-Verlag Berlin Heidelberg 2015

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Fig. 17 Digital field form and identified specie included

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Mangroove Species

Forest type

Forest plantations

Genus

Families

Grassland with trees Palm forest Secondary forest Mature forest Total 0

100

200

300

600 400 500 No. individuals

700

800

900

Fig. 18 Number of families, genera, and species identified by forest type in Phase l of the National Inventory of Costa Rica

Step 3: Dealing with Unknown Species When an unknown species is found, samples were collected and were sent to the laboratory or herbarium. Additionally, in order to keep the origin of the samples in order, periodic reports were generated from the inventories database and sent to the dendrologist in charge of the inventory. These reports (Fig. 16) feedback into the database (Fig. 17).

Potential Outcomes from Forest Inventories During phase I of the National Inventory of Costa Rica, it was possible to identify all the species recorded in the field, from 108 sample units, 116 families, 427 genera, and 788 tree species were identified (Fig. 18).

References Archer WA (1945) Collecting data and specimens for study of economic plants. U.S. Department of Agriculture, Washington, DC, Miscellaneous publication 568 Blanco M, Whitten W, Penneys D, Williams N, Neubig K, Endara L (2006) A simple and safe method for rapid drying of plant specimen using forced-air space heaters. Selbyana 27(1):83–87 Cornejo F, Janovec J (1996) Seeds of Amazonian plants. Princeton University Press, New Jersey, USA Gentry A (1996) A field guide to the families and genera of woody plants of North West South America: (Colombia, Ecuador, Peru), with supplementary notes. University of Chicago Press, Chicago Heywood VH (1993) Flowering plants of the world. Oxford University Press, New York Houle AC, Chapman C, Vickery WL (2004) Tree climbing strategies for primate ecological studies. International Journal of Primatology 25:237–260 Liesner R (1996) Técnicas de campo utilizadas por el Jardín Botánico de Missouri. MBG Field Tech Spanish Introduction. Missouri, St. Louis Lot A, Chiang F (1986) Manual de herbario. Administración y manejo de colecciones, técnicas de recolección y preparación de ejemplares botánicos. Consejo Nacional de la Flora de México, A. C. México Lowman MD, Wittman PK (1996) Forest canopies: methods, hypothesis, and future directions. Annual Review of Ecology and Systematics 27:55–81

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Mitchell AW (1982) Reaching the rain forest roof. A hanbook on techniques of access and study in the canopy. Leeds Lyterary and Philosophical Society, Leeds Moffet MW (1993) The high frontier. Harvard University Press, Cambridge, MA Mori SA, Berbov A, Gracié CA, Hecklau EF (eds) (2011) Tropical plant collecting: from the field to the internet. TECC Editora, Florianópolis Reid I, Sawyer J, Rolfe J (2009) Introduction to plant life in New Zealand. Plant Conservation Training Module 1. New Zealand Plant Conservation Network and NorthTec. Wellington Newton A (2007) Forest ecology and conservation. A handbook of techniques. Oxford University Press, New York Queensland Herbarium (2013) Collection and preserving plant specimens, a manual. Department of Science, Information Technology, Innovation and the Arts, Brisbane Royal Botanic Gardens KEW (2001) A field manual for seed collectors. Seed collecting for the millennium seed bank project. Royal Botanic Gardens KEW, UK Smith N, Mori S, Henderson A, Stevenson DW, Heald SV (2004) Flowering plants of the neotropics. Princeton University Press, Princeton Willis CK, Huntley BJ (2001) SABONET: developing capacity within Southern Africa’s herbaria and botanical gardens. Syst Geogr Plants 71:247–258

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_112-3 # Springer-Verlag Berlin Heidelberg 2015

Species Files in Tropical Forestry Laslo Pancel* Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, La Libertad, El Salvador

Abstract Compared to the total tropical genetic tree pool, only a fraction of the just over 200 species account for 98 % of the total plantations in the tropics. The 215 most frequently used species for plantations are listed below, including trees, bamboos, and rattans. The combination of a master list of plantation species along with precise species files allows for rapid and appropriate species selection. This serves as a basis for further investigation and, if necessary, corresponding field trials. The species master list includes the main possible objectives of plantations, including industrial plantation, agroforestry, rehabilitation of forestry land, enrichment planting, mining area rehabilitation, and urban plantations. The corresponding species files list the main features which are necessary to have an appropriate knowledge for decision-making on species: botanical name, taxonomy, natural occurrence, climate, soils, silviculture, production, planting objectives, timber, utilization, nursery, pests, and diseases.

Keywords Water balance; Plasticity of species; Urban plantation; Mining; Agroforestry; Rehabilitation; Enrichment planting; Industrial plantation

Introduction Once clarity is obtained around the purpose of any plantation, precise information on potential species for plantation is necessary. Structured information is provided below on the 219 most frequently and successfully used species for plantations in the tropics, so as to enable species in broad terms. However, these files do not and cannot replace in-depth research of site and species requirements; they may simply serve as a reliable orientation on successful alternatives for plantations.

Most Frequently Utilized Tree Species for Plantations in the Tropics The most successful plantation species in the tropics have all one characteristic in common: they are appreciated for their products (timber, resins, fruit, and leaves), their functions (soil conservation, air improvement, shade, and water conservation), and aesthetics or spiritual values. Nonetheless, in comparison with the genetic tree pool of the tropics, only a fraction of the approximately 200 species

*Email: [email protected] Page 1 of 157

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account for 98 % of total plantations in the tropics. The 215 most frequently used species for plantations are listed here, including trees, bamboos, and rattans. The species master list (Table 1) provides a first orientation on the potential for each species, including the main climate range and their potential for different tree plantation objectives. Each species natural and introduced occurrence is listed as well. Table 1 Master list of the most frequently utilized tree species for plantations in the tropics P

#

Species

1 2 3 4 5 6 7 8 9 10 11 12

Abatia parviflora Acacia auriculiformis Acacia crassicarpa Acacia cyclops Acacia decurrens Acacia mangium Acacia mearnsii Acacia melanoxylon Acacia nilotica Acacia rothii Acacia salicina Acacia saligna

13 14 15

Acacia senegal Acacia simsii Acacia tortilis

16 17 18 19 20

Acacia torulosa Acrocarpus fraxinifolius Agathis dammara Albizia guachapele Albizia lebbeck

AFR, AME, OCE, TIA, TSA

21 22 23 24

Albizia saman Allocasuarina decaisneana Alnus acuminata Alnus nepalensis

AFR, AME, OCE, TIA, TSA

25 26 27

Alstonia spectabilis Anacardium excelsum

28 29 30 31 32 33 34 35 36 37 38 39 40 41 42

Anacardium occidentale Andira inermis

1 2 3 4 5 6

I

A E R M U

Occurrence AME AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, TIA, TSA AFR, AME, TIA, TSA AFR, AME, TIA, TSA TIA AFR, AME, TIA, TSA AFR, AME, TSA AFR, AME, TIA, TSA TIA AFR, TSA

AFR, AME, TIA, TSA TIA AFR, AME AFR, AME, OCE, TIA, TSA

TIA AFR, AME, OCE AFR, AME, TIA, TSA OCE, TIA AME AFR, AME, OCE, TIA, TSA AFR, AME

Araucaria angustifolia Araucaria cunninghamii

OCE, TIA, TSA

Araucaria hunsteinii Aucoumea klaineana

AFR, AME, TIA

Azadirachta indica Bambusa bambos Bambusa blumeana Brachychiton populneus Breonia chinensis Brugmansia pittieri Caesalpinia violacea Calamus caesius Calamus manan

43 44

Calamus trachycoleus Calliandra calothyrsus Callitris columellaris

45

Calophyllum brasiliense var. antillanum

AFR, AME

TIA, OCE

AFR, AME, OCE, TIA, TSA TIA, TSA TIA TIA AFR AME AME, TSA TIA TIA TIA AFR, AME, OCE, TIA, TSA TIA AME

(continued)

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Table 1 (continued) 46

Calophyllum utile

47 48 49 50

Calycophyllum candidissimum Campnosperma brevipetiolatum Cariniana pyriformis Casuarina equisetifolia

51 52 53 54 55

Cedrela odorata Cedrus deodara

56 57 58 59

Cocos nucifera Colophospermum mopane Colubrina arborescens Conocarpus lancifolius Cordia alliodora

AFR, AME, OCE, TIA, TSA

Corymbia citriodora Corymbia maculata Corymbia stockeri

AFR, AME, OCE, TIA, TSA

60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89

Ceiba pentandra Cleistopholis glauca Clusia moaensis

Cryptomeria japonica Cunninghamia lanceolata Cupressus arizonica Cupressus lusitanica

AME AME OCE, TIA AME, TIA, OCE AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AME, TSA, OCE AME, TIA, TSA AME, OCE, TIA AME

AFR, TSA AME AFR, TSA AME, OCE

AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TSA AFR, AME, TIA, TSA AFR, AME, TSA AFR, AME, OCE, TIA, TSA

Cupressus macrocarpa Cupressus torulosa Dalbergia nigra

AFR, AME, OCE, TSA

Dalbergia sissoo Delonix regia Dendrocalamus giganteus Elaeagnus angustifolia

AFR, AME, TIA, TSA

Elaeis guineensis Entandrophragma utile Enterolobium cyclocarpum Erythrophleum chlorostachys Escallonia myrtilloides Escallonia paniculata Eucalyptus bicolor Eucalyptus Eucalyptus Eucalyptus Eucalyptus Eucalyptus

botryoides brassiana brockwayi camaldulensis cladocalyx

AFR, AME, OCE, TSA AME

AFR, AME, OCE, TIA, TSA TSA AME, TSA AFR, AME, OCE, TSA AFR AFR, AME, OCE, TSA TIA AME AME TIA AFR, AME, OCE, TSA AFR, AME, OCE, TIA, TSA TIA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TSA

Eucalyptus cloeziana

AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA

90 91

Eucalyptus Eucalyptus Eucalyptus Eucalyptus

92

Eucalyptus fastigata

crebra dalrympleana deglupta delegatensis

AFR, AME, OCE, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA AFR, AME, OCE, TIA, TSA

(continued)

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Table 1 (continued) 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139

Eucalyptus globulus Eucalyptus globulus sbsp. maidenii Eucalyptus gomphocephala Eucalyptus grandis Eucalyptus intertexta Eucalyptus melliodora Eucalyptus microcorys Eucalyptus paniculata Eucalyptus Eucalyptus Eucalyptus Eucalyptus

regnans robusta saligna salmonophloia

Eucalyptus tereticornis Eucalyptus tetrodonta Eucalyptus urophylla Eucalyptus viminalis Euphorbia tirucalli Faidherbia albida Falcataria moluccana Geissanthus andinus Gliricidia sepium Gmelina arborea Grevillea heliosperma Grevillea pteridifolia Grevillea robusta Guadua angustifolia Guaiacum officinale Hakea salicifolia Hevea brasiliensis Hieronyma alchorneoides Hopea seminis Jacaranda arborea Jacaranda copaia Jacaranda mimosifolia Khaya ivorensis Khaya senegalensis Leucaena leucocephala Liquidambar styraciflua Lysiloma latisiliquum Maesopsis eminii Melaleuca leucadendra Melia azederach Milicia excelsa Morella pubescens Muntingia calabura Musanga cecropioides Nauclea diderrichii

AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TSA AFR, AME, OCE, TIA, TSA TIA TIA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA TIA AFR, AME, OCE, TIA, TSA TIA AFR, AME, OCE, TIA, TSA AFR, AME, TIA AFR, OCE, TIA AFR, AME, TSA AFR, AME, OCE, TSA AME AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TSA TIA AFR, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AME AME, TSA TIA AFR, AME, TSA AME TIA AME AME AFR, AME, OCE, TIA, TSA AFR, AME, TIA AFR, AME, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AME AFR, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA OCE, TIA, TSA AFR AME AFR, AME, TIA, TSA AFR AFR

(continued)

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Table 1 (continued) 140 141

Ochroma pyramidale Octomeles sumatrana

142 143 144 145 146 147 148 149

Pachira quinata Parinari excelsa Parinari nonda Parkia biglobosa Parkinsonia aculeata Paulownia tomentosa Peltophorum pterocarpum Pericopsis elata

150 151 152 153 154 155 156 157

Phyllostachys edulis Pinus ayacahuite Pinus canariensis Pinus caribaea

158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179

Pinus Pinus Pinus Pinus Pinus Pinus

caribaea var. bahamensis caribaea var. hondurensis cubensis devoniana elliottii greggii

Pinus kesiya Pinus Pinus Pinus Pinus Pinus

latteri merkusii montezumae occidentalis oocarpa

Pinus patula Pinus pinaster Pinus pseudostrobus Pinus radiata Pinus roxburghii

AFR, AME, OCE, TIA, TSA OCE, TIA, TSA AME AFR, AME TIA AFR, AME AME AFR, AME, TIA, TSA AFR, AME, OCE, TIA, TSA AFR TSA AFR, AME AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AME AME AFR, AME, TIA AME AFR, AME, OCE, TIA, TSA AFR, AME, TSA AFR, AME, OCE, TIA, TSA AFR, OCE, TIA, TSA AFR, OCE, TIA, TSA AFR, AME, TIA AFR, AME, TIA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, TSA AFR, AME, OCE, TIA AFR, TSA

Pinus strobus Pinus tecunumanii Pithecellobium dulce

AFR, AME, OCE, TIA, TSA

Podocarpus milanjianus Populus deltoides

AFR, AME, OCE, TIA, TSA

Prosopis cineraria Prosopis juliflora Prosopis tamarugo

180

Prunus cerasoides Psidium guajava

181 182

Pterocarpus dalbergioides Roseodendron donnell-smithii

183 184 185 186

Schefflera morototoni Schinus molle Schizolobium parahyba Senna siamea

AME AFR, AME, TIA, TSA

AFR

TSA AFR, AME, OCE, TIA, TSA AME TSA AFR, AME, OCE, TIA, TSA AFR, TIA, TSA AME AME AFR, AME, OCE, TIA, TSA AME AFR, AME, TIA, TSA

(continued)

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Table 1 (continued) 187

Sesbania bispinosa

AFR, AME, OCE, TIA, TSA

188 189 190

Sesbania grandiflora Shorea leprosula Shorea parvifolia

AFR, AME, OCE, TIA, TSA

191 192 193 194 195

Shorea robusta Shorea smithiana Simarouba amara Spathodea campanulata Swietenia macrophylla

196

Swietenia mahagoni Syzygium cumini Tabebuia heterophylla Tabebuia rosea

197 198 199

TIA TIA AFR, TSA TIA AME AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AME AME, TSA

200 201 202 203

Tamarindus indica

204

Tectona grandis Terminalia amazonia Terminalia brassii Terminalia catappa Terminalia ivorensis

AFR, AME, OCE, TIA, TSA

Terminalia superba

AFR, AME, OCE, TIA, TSA

205 206 207 208 209 210 211 212 213 214 215

Tamarix aphylla Taxodium distichum Tecoma stans

Thyrsostachys siamensis Toona ciliata Triplochiton scleroxylon Weinmannia tomentosa Zanthoxylum rhodoxylum Ziziphus spina-christi

AFR, AME, TIA, TSA TSA AFR, AME, OCE, TIA, TSA AME

AME OCE, TIA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TSA

TSA AFR, AME, OCE, TIA, TSA AFR, OCE AME AME AFR, TSA

How to Use the Species Master List and the Species Files The following procedure is recommended for the species selection process: once the objective of the plantation is identified, the species master list may be consulted to identify available species (see Overview below). Thereafter, the precipitation range may be verified and compared for compatibility with the planting site, and as a third step the area of occurrence is verified. Having narrowed down the species options, the species files may be consulted to find more detailed information in order to confirm or rethink the provisional species choice.

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Species File Number

Natural and Regional Occurrence

700

AFR = Tropical and Subtropical Africa AME = Tropical and Subtropical Americas OCE = Oceania TIA = Malaysia, Indonesia, Papua New Guinea and Tropical Australia TSA = Tropical and Subtropical IndoChina, and Tropical China

600 500 400 300 200 100 0

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Water Balance at Ambon, Moluccas Island

Species Files The species files have been organized taking into account the species data sheets created by Webb et al. (1984). Furthermore, generic information from reliable sources has been included according to the following criteria: • Research results published within the framework of renowned institutions • Generally accepted information available at forestry services and from long-term projects The species files are not complete for each species; they represent a set of data available at the time of editing.

Explanatory Notes on the Species Files

The following information is presented in the species files: Serial number: identifies the species for reference purposes. Botanical name: the actual and valid botanical name according to the Plant List.1 1

The Plant List: created and managed by Royal Botanic Gardens, Kew, and the Missouri Botanical Garden (www. theplantlist.org) Page 7 of 157

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Taxonomy: the family, subfamily, synonyms, and local/trade names. Natural occurrence: the latitudes in degrees ( ) from – to of the area of natural occurrence. Areas of natural occurrence. Altitudinal range in meters (m) above sea level. Climate: mean annual precipitation in millimeters (mm). The rainfall regime is listed as uniform (evenly distributed throughout the year); including winter and summer rain. The number of dry months with less than 40 mm per month. Mean maximum temperature in degrees Celsius ( C). Mean minimum temperature in degrees Celsius ( C). Mean annual temperature in degrees Celsius ( C). Number of frost (below 0  C) and cold (below +7  C) days. Water balance: based on data of precipitation and potential evapotranspiration. The water balance is calculated by the Thornthwaite method. Soils: heavy texture includes clays, clay loams, and sandy clays; medium includes loams and sandy clay loams; and light includes sands and sandy loams. Reaction: acid = pH 6.0 and below, neutral = pH 6.1–7.4, and alkaline = pH 7.5 and above. Drainage: free drainage, moderately drained, poorly drained, and waterlogged sites. Silviculture: size, in meters (m); foliage, evergreen, semi-deciduous, and deciduous. Tree form refers to the silvicultural appearance of the species. Acceptable are tapering regular and regular branching; exceptional are full boled and branch-free lower bole (30 %); and poor are strong tapering and strong branching. Light requirements: demanding and shade tolerant. Colonizer, invasive; competes well with grasses; coppices; fixes nitrogen, mycorrhizal association. Production: the range of production levels in m3/ha/year reported on suitable sites in well-managed stands, but excluding abnormal high or low figures. If available, other production data such as on fruits or forage in metric tons or kilograms are included as well. Planting objectives: industrial tree plantation, agroforestry, enrichment planting, and rehabilitation of degraded forestlands; rehabilitation of mining lands or urban plantations. Timber: density, specific gravity (S.G.) kg/m3 (e.g., Tectona grandis 0.55 (550 kg/m3)). Natural durability: good, moderate, and poor. Preservation: fair, moderate, and poor. Sawing: easy and difficult. Seasoning: easy and poor. Fissile: splits easily and decorative. Utilization: uses are described by broad categories such as sawn timber, fuelwood, pulp and paper, fodder, resins, and ornamental. If available, data on “non-timber forestry production” are listed. Nursery: seed sources. Only the principal seed sources are listed. The seed of a large number of species is also available from major commercial seed houses. Seeds per kilogram: average range of reported values. Seed storage: e.g., specific to the species listed. Pretreatment: the most common treatments mentioned. Growth: general orientation on size and age of seedlings to be planted. Type of planting material: bare roots, cuttings, direct sowing, potted plants, and stumps. Pests and diseases: only pests and diseases of major importance are mentioned, but attacks might have regional importance without necessarily presenting a problem in other parts of the world (Webb et al. 1984).

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Files of the 215 Most Important Species in the Tropics 1. Abatia parviflora Ruiz & Pav. Taxonomy: Family, Salicaceae; synonyms, Abatia borealis L. O. Williams; local or trade names, Duraznillo, Chirlobirlo, Cordoncillo, Velitas. Natural occurrence: Latitudes, 12 N–18 S; areas, Colombia, Ecuador, Costa Rica and Peru; altitudinal range, 2,000–3,500 m. Climate: Mean min temp coldest month, 22  C; mean max temp hottest month, 31–34  C; mean annual temp, 26–28  C. Soil: Prefers moist soils; seasonally waterlogged. Silviculture: Size, 5–20 m in height; open crowned; light requirements, moderately demanding; riparian vegetation; fast-growing tree; frost resistant. Planting objectives: Rehabilitation of water sources, of eroded and mining areas, of ravine forests; urban plantation; shade and shelter. Utilization: Sawn timber, carpentry; fuel and fence posts; apiculture; ornamental. Nursery: Seeds per kg, 7,000-7,780; pretreatment, sun-dried seeds; germinates in 21 days. Pests and diseases: None of importance reported. 120 100 80 60 40 20 0 J

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Water Balance at Yucay, Urubamba, Cuzco, Peru

2. Acacia auriculiformis Benth. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, A. auriculiformis A. Cunn; local or trade name, Earpod Wattle. Natural occurrence: Latitudes, 20–7 S; areas, Coastal Queensland, Australia, Papua New Guinea, and Solomon Islands; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 1,300–1,700 mm; rainfall regime, summer; dry season, 4–6 months; mean max temp hottest month, 28–34  C; mean min temp coldest month, 20–24  C; mean annual temp, 24–29  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral-acid; seasonally, waterlogged; tolerates acid and shallow soils. Silviculture: Size, 15–25 m in height; evergreen; form, poor; light requirements, strongly demanding; fixes nitrogen; mycorrhizal association; coppices. Production: 10–20 m3/ha/year. Planting objectives: Rehabilitation of eroded and mining areas; urban plantation; shade and shelter; dune fixation and erosion controller. Timber: Density, S.G. 0.60–0.75; natural durability, good; preservation, fair; sawing, easy; seasoning, easy. Utilization: Sawn timber, furniture; building poles, fence posts, fuel, charcoal, and short fiber pulp; ornamental; tannins. Nursery: Seed sources, Malaysia, Indonesia, and Papua New Guinea; seeds per kg, 30,000–62,000; storage, dry and airtight for 1–2 years; pretreatment, boiling water until cool; planting stock, potted, direct sown, or cuttings; germinates in 5–15 days. Pests and diseases: Roots attacked by a fungus, Ganoderma lucidum. The “scolytine beetle” Hypothenemus dimorphus appears in nurseries.

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Water Balance at Goulburn, NSW, Australia

3. Acacia crassicarpa Benth. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Racosperma crassicarpum (Benth.) Pedley; local or trade names, Red Wattle, Brown Salwood, Thickpodded Salwood, Northern wattle. Natural occurrence: Latitudes, 8–20 S; areas, Papua New Guinea, North Queensland, and on islands in Torres Strait; altitudinal range, 0–900 m. Climate: Mean annual rainfall, 800–3,500 mm; rainfall regime, summer; dry season, 3–8 months; mean max temp hottest month, 32–34  C; mean min temp coldest month, 12–21  C; mean annual temp, 23–26  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutralacid; free drainage; prefers shallow and infertile soils. Silviculture: Size, 10–30 m in height; light requirements, moderately demanding; fixes nitrogen; mycorrhizal association; coppices; categorized as Vulnerable by the IUCN Red List. Timber: Density, S.G. 0.45–0.48. Planting objectives: Rehabilitation of degraded and mining areas. Utilization: Fuel, building poles, hewn building timbers, pulp, and charcoal. Nursery: Seed sources, Australia, Indonesia, Papua New Guinea; seeds per kg, 36,800–46,800; germinates in 5–25 days. Pests and diseases: Attacked by the beetle, Platypus sp., the wood borer, Sinoxylon sp. and the fungus Botryodiplodia theobromae causing root decay. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Cooktown, QLD, Australia

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4. Acacia cyclops G. Don. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Acacia cyclopsis G. Don; local or trade names, Western Coastal Wattle, Rooikrans. Natural occurrence: Latitudes, 25–33 S; areas, coastal areas of Western Australia to the Peninsula of South Australia; altitudinal range, 0–3,000 m. Climate: Mean annual rainfall, 250–750 mm; rainfall regime, winter; dry season, 4–6 months; mean max temp hottest month, 28–32  C; mean min temp coldest month, 8–10  C; mean annual temp, 22–26  C. Soil: Texture, light; reaction, alkaline-neutral; tolerates acid and saline soils. Silviculture: Size, 3–8 m in height; evergreen; form, poor; light requirements, demanding; aggressive colonizer; tolerates salty winds; slightly frost resistant; fixes nitrogen; mycorrhizal association. Rotation of 7–10 years. Timber: Fuelwood. Production: 12–60 kg dry weight/tree/year. Planting objectives: Dune stabilization, shelterbelts, and windbreaks. Utilization: Building poles, firewood; fodder, foliage. Nursery: Seed sources, W. Australia, Spain, France, Tunisia, Cyprus; seeds per kg, 23,000–30,000; pretreatment, boiling water during 2 min; germination, 50–70 % in 13–40 days. Pests and diseases: None of importance reported. 140 120 100 80 60 40 20 0

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Water Balance at Geraldton, WA, Australia

5. Acacia decurrens Willd. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Acacia decurrens var. normalis Benth; local or trade names, Acacia Blanca, Green Wattle. Natural occurrence: Latitudes, 37–25 S; areas, Victoria, New South Wales, Queensland, Australia; altitudinal range, 1,000–2,800 m. Climate: Mean annual rainfall, 900–2,000 mm; rainfall regime, summeruniform; dry season, 2–3 months; mean max temp hottest month, 16–24  C; mean min temp coldest month, 2–10  C; mean annual temp, 12–18  C. Soils: Texture, light-medium; reaction, neutral-acid; free drainage; prefers deep soils; tolerates acid soils. Silviculture: Size 6–20 m in height; DBH, 50 cm; form, poor; light requirements, shade tolerant; frost resistant, root suckers vigorously; fixes nitrogen; shade tolerant; mycorrhizal association. 12-year rotation length for fuelwood plantations. Production: 20–46 m3/ha/year. Planting objectives: Urban plantation; shade, shelter, and windbreaks. Timber: Density, S.G. 0.50–0.70; natural durability, poor. Utilization: Sawn timber, furniture and flooring; building poles, fence posts, fuel, and charcoal; green manure; ornamental; tannins. Nursery: Seed sources, South Africa, Australia; seeds per kg 70,000–80,000; storage, potted at 3–5  C with a 4.3 % of humidity reaches until 5 years of viability; pretreatment, soak seeds in boiling or freshwater during 24 h; planting stock, direct sown pretreated seed at 2 kg/ha; bare-rooted plants; germinates in 4–15 days; plantable size, 5–7 months. Pests and diseases: Defoliator, Acanthopsyche junode.

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Water Balance at Sydney, NSW, Australia

6. Acacia mangium Willd. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Racosperma mangium (Willd.) Pedley; local or trade name, Brown Salwood. Natural occurrence: Latitudes, 18–1 S; areas, N Queensland, Australia, Papua New Guinea, Moluccas Island; altitudinal range, 0–100 m. Climate: Mean annual rainfall, 1,000–2,100 mm; rainfall regime, winter; dry season, 3–4 months; mean max temp hottest month, 30–32  C; mean min temp coldest month, 13–22  C; mean annual temp, 18–28  C. Soil: Texture, medium; reaction, acid-neutral; moist soils; tolerates waterlogging; tolerates acid, very poor sites, and slight salinity; often grow on creek and swamp margins. Silviculture: Size, 25–30 m in height; fluted bole; form, acceptable; light requirements, fairly light demanding; fixes nitrogen; coppices; competes well with Imperata grass; mycorrhizal association. Production: 20–46 m3/ha/year. Planting objectives: Plantation of water catchments; firebreaks; reforestation after shifting; rehabilitation of forests, of degraded, and of mining areas. Timber: Density, S.G. 0.63–0.69; preservation, easy; sawing, easy; seasoning, fair. Utilization: Sawn timber, general construction, furniture, and boxes; veneer-plywood, short fiber pulp and particle board; fodder, foliage; medicinal. Nursery: Seed sources, Papua New Guinea, Queensland; seeds per kg, 40,000–70,000; storage, cold, sealed; planting stock, bare-rooted plants. Pests and diseases: The roots of younger plants are attacked by Phyllophaga sp. causing death in nurseries. The foliage is attacked by ants. The borer beetle, Platypus sp., causes damage in the wood.

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Water Balance at Ambon, Moluccas Island

7. Acacia mearnsii De Willd. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Racosperma mearnsii (De Willd.) Pedley; local or trade names, Black Wattle, Tan Wattle. Natural occurrence: Latitudes, 43–25 S; areas, Tasmania, Victoria, New South Wales, Queensland, S Australia; altitudinal range 1,500–2,500 m. Climate: Mean annual rainfall, 700–2,000 mm; rainfall regime; summer-uniform; dry season, 2–3 months; mean max temp hottest month, 18–24  C; mean min temp coldest month, 2–8  C; mean Annual temp, 12–18  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage; prefers deep soils; tolerates acid soils. Silviculture: Size, 10–25 m in height; form, poor; light requirements, shade tolerant; frost tender; fixes nitrogen; mycorrhizal association; moderate coppicing potential; categorized as one of the World’s Worst Invasive Alien Species by the Global Invasive Species Database. Production: 10–25 m3/ha/year. Planting objectives: Rehabilitation of degraded areas; shade and shelter, windbreaks, and erosion controller. Timber: Density, S.G. 0.65–0.85; natural durability, poor. Utilization: Sawn timber, flooring; building poles, fence posts, fuelwood, charcoal, and short fiber pulp; tannins. Nursery: Seed sources, S. Africa, E. Africa, Australia; seeds per kg, 66,000–75,000; storage, dry, cold, and airtight for several years; pretreatment, boiling water until cool; planting stock, bare rooted; direct sowing; germinates in 7–14 days; plantable size in 5–6 months. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J –50

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Water Balance at Mt. Hotham, VA, Australia

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8. Acacia melanoxylon R. Br. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Acacia arcuata Spreng; local or trade name, Australian Blackwood. Natural occurrence: Latitudes, 43–34 S; areas, SE Australia and Tasmania; altitudinal range, 1,500–2,500 m. Climate: Mean annual rainfall, 900–2,700 mm; rainfall regime, winter-summer-uniform; dry season, 0–2 months; mean max temp hottest month, 16–22  C; mean min temp coldest month, 0–12  C; mean annual temp, 12–18  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; prefers deep soils; tolerates acid soils. Silviculture: Size, 18–30 m in height; evergreen; form, acceptable; light requirements, shade tolerant in youth; fixes nitrogen; mycorrhizal association; coppices; termite resistant; vigorous roots. Production: 5–12 m3/ha/year. Planting objectives: Rehabilitation of degraded areas; urban plantation; shade, shelter, windbreaks. Timber: Density, S.G. 0.60–0.70; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, easy; fissile; decorative. Utilization: Sawn timber, light construction and fine furniture; fence posts, fuel and charcoal, and veneer-plywood; fodder, foliage; gums; ornamental. Nursery: Seed sources, Australia and East Africa; seeds per kg, 65,000–70,000; storage, dry, cold, and airtight for several years; pretreatment, boiling water until cool; planting stock, potted; stumps. Pests and diseases: Susceptible to diseases as Armillaria mellea and Phytophthora ramorum. Fungus attack by Fusarium semitectum causing shoot dieback in 2-year-old plants. 100 90 80 70 60 50 40 30 20 10 0 J

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Water Balance at Hobart, Tasmania, Australia

9. Acacia nilotica (L.) Delile. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Acacia arabica (L.) Willd; local or trade names, Babul, Kikar, Sunt, Prickly Acacia. Natural occurrence: Latitudes, 30 N–20 S; areas, India, Pakistan, Arabia, and the Nile valley; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 200–1,000 mm; rainfall regime, summer; dry season, 6–9 months; mean max temp hottest month, 32–42  C; mean min temp coldest month, 15–23  C; mean annual temp, 24–28  C; absolute maximum temp, 50  C. Soil: Texture, heavy-lightmedium; reaction, alkaline-neutral-alkaline; free drainage; tolerates waterlogged sites acid soils. Silviculture: Size, 10–15 m in height; form, poor; light requirements, strongly demanding; frost sensitive; fixes nitrogen; mycorrhizal association; rotation, 20 years. Timber: Density, S.G. 0.67–0.85; calorific value, 4,800–4,950 kcal per kg; natural durability, durable; preservation, fair; sawing, difficult; seasoning, easy. Planting objectives: Rehabilitation of degraded areas. Utilization: Sawn timber, boat building, light construction, railroad sleepers, and turnery; fuel, charcoal, and mining timber; fodder, leaves and pods; tannin, from bark and pods; gum,

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inks, paints, confectionery. Nursery: Seeds per kg, 5,000–10,000; storage, indoor temp for 1–2 years; pretreatment, soak in boiling water until cool; planting stock, direct sown, potted, cuttings. Pests and diseases: The stem borer Cerostema scabrator attacks young plantations. Occasional occurrence of defoliators as Euproctis lunata and E. subnotata. In Africa, the bruchid beetles attack the seeds. Buprestid beetles cause a dieback disease in Sudan. Fungal rots: Fomes papianus and F. badius attack unhealthy trees, and powder post beetles Sinoxylon anale and Lyctus africanus attack the sapwood of felled timber. 200

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Water Balance at Cairo, Egypt

10. Acacia rothii Bailey. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Racosperma rothii (Bailey) Pedley; local or trade name, Tooroo. Natural occurrence: Latitudes, 11–15 S; areas, from Cape York Peninsula to Palmer River, N Queensland, Australia; altitudinal ranges, 0–800 m. Climate: Mean annual rainfall 700–1,700 mm; dry season, 6 months; mean max temp hottest month, 31–37  C; mean min temp coldest month, 17–22  C. Soil: Reaction, acidneutral; grows in loam, sand, and lateritic red soils; tolerates acid and infertile soils. Silviculture: Size, 6–12 m in height; open crown; flowering period, June to September; fixes nitrogen; mycorrhizal association; coppices; regenerates from root suckers very well. Planting objectives: Rehabilitation of eroded and degraded mining areas. Utilization: Fuelwood, joinery, small posts, and poles; fodder, seeds and pods. Nursery: Viable seeds per kg, 3,000–3,300; pretreatment, immersion in boiling water for 1 min to break seed coat dormancy. Pests and diseases: None of importance reported.

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Water Balance at Cape York, QLD, Australia

11. Acacia salicina Lindl. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Racosperma salicinum (Lindl.) Pedley; local or trade names, Cooba, Willow Wattle, Doolan, Broughton Willow Wattle. Natural occurrence: Latitudes, 20–28 S; areas, semiarid zones of New South Wales and central Queensland, Australia; altitudinal range, 0–600 m. Climate: Mean annual rainfall, 300–700 mm; rainfall regime, winter-summer-uniform; dry season, 4–8 months; mean max temp hottest month, 28–36  C; mean min temp coldest month, 4–14  C; mean annual temp, 16–26  C. Soil: Texture, medium-heavy; reaction, neutral-alkaline; occurs on sandy, volcanic, stony plains, sand dunes, calcareous, shallow, and loamy soils; moderately free drainage; tolerates acid and saline soils. Silviculture: Size, 10–20 m in height; evergreen; open crowned; form, acceptable; light requirements, moderately demanding; fast growing; moderately frost resistant; fixes nitrogen; mycorrhizal association. Production: 3–5 m3/ha/year. Planting objectives: Rehabilitation of degraded areas; urban plantation; shade, shelter, and windbreak. Timber: Density, S.G. 0.75–0.80; natural durability, moderate; tough; decorative. Utilization: Fence posts, fuel and charcoal; fodder, foliage; ornamental. Nursery: Seed source, Australia; seeds per kg, 22,000–26,000; storage, dry, cold, and airtight for several years; pretreatment, boiling water until cool; planting stock, potted; germination, 10–26 days; plantable size in 4–6 months. Pests and diseases: Suffers a moderate attack by a leaf blister sawfly, Phylacteophaga sp. and lerp Cardia sp. It is damaged in Australia by “acacia rust” Uromyces fusisporus.

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Water Balance at Bodalla, NSW, Australia

12. Acacia saligna (Labill.) Wendl. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Acacia cyanophylla Lindl; local or trade names, Blue-leafed Wattle, Golden-wreath Wattle, Coojong, Amharic, Weeping Wattle. Natural occurrence: Latitudes, 27–35 S; areas, southwest of Western Australia; altitudinal range, 0–300 m. Climate: Mean annual rainfall, 300–1,200 mm; rainfall regime, winter; dry season, 0–12 months; mean max temp hottest month, 23–36  C; mean min temp coldest month, 4–9  C; mean annual temp, 13–21  C. Soil: Texture, light-mediumheavy; reaction, acid-neutral-alkaline; free drainage; occurs on swampy sites, river banks, and rocky hills; tolerates acid, calcareous, and saline soils. Silviculture: Size, 2–9 m in height; fast growing; flowering period, August to October; fixes nitrogen; mycorrhizal association; coppices. Production: 15 m3/ha/year. Annual biomass harvesting: 12–13 t/ha. Planting objectives: Urban plantation, erosion controller. Utilization: Fodder/ornamental/tannins. Nursery: Germination, 6–18 days. Pests and diseases: Susceptible to be attack by the fungus “gall rust”: Uromycladium tepperianum. Acacia saligna became a major weed in South Africa by invading and displacing the native vegetation 140 120 100 80 60 40 20 0 J

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Water Balance at Geraldton, WA, Australia

13. Acacia senegal (L.) Willd. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Mimosa senegal L; local or trade names, Gommier, Goma, Gum Arabic. Natural occurrence: Latitudes, 11–18 N; Page 17 of 157

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areas, Sahel zone of Africa from Mauritania to Sudan; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 200–500 mm; rainfall regime, summer; dry season, 6–8 months; mean max temp hottest month, 30–40  C; mean min temp coldest month, 16–28  C; mean annual temp, 22–32  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage; tolerates acid soils. Silviculture: Size, 2–5 m in height; spiny, short lived, open crowned; form, poor; light requirements, strongly demanding; coppices; requires wide spacing; fixes nitrogen; mycorrhizal association. Production: 4–7 m3/ha/year. Planting objectives: Rehabilitation of degraded areas/dune fixation and erosion control. Utilization: Fuel, fodder, and charcoal; gum arabic; bee forage. Nursery: Seed source, Sudan, Nigeria, Senegal; seeds per kg, 7,000–12,000; storage, short-lived viability; pretreatment, boiling water until cool; planting stock, potted, direct sown; plantable size in 3–4 months. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Kidal, Malí

14. Acacia simsii Benth. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Racosperma simsii (Benth.) Pedley; local or trade names, Heathlands Wattle, Sim’s Wattle. Natural occurrence: Latitudes, 3–21 S; areas, Cape York to Mackay, Northern Queensland, Australia, and Southern New Guinea; altitudinal range, 0–800 m. Climate: Mean max temp hottest month, 32–37  C; mean min temp coldest month, 13–17  C. Soil: Occurs on acidic rocks, sandy or gravely to basalt soils. Silviculture: Size, 2–7 m in height; fast growing; fast soil improvement; fixes nitrogen; mycorrhizal association. Planting objectives: Erosion control/rehabilitation of bauxite mining areas/urban plantation/moderate windbreaks. Utilization: Fuelwood and fodder/ ornamental. Nursery: Seed sources, Papua New Guinea; seeds per kg, 12,500; pretreatment, immersion in boiling water for 1 min to break seed coat dormancy. Pests and diseases: None of importance reported.

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Water Balance at Townsville, QLD, Australia

15. Acacia tortilis (Forssk.) Hayne. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Mimosa tortilis Forssk; local or trade names, Karamoja, Umbrella Thorn, Israeli Babool, Mgunga. Natural occurrence: Latitudes, 15–30 N; areas, NE African Desert, Saudi Arabia; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 100–800 mm; rainfall regime, winter; dry season, 6–8 months; mean max temp hottest month, 32–45  C; mean min temp coldest month, 2–10  C; mean annual temp, 26–28  C. Soil: Texture, light; reaction, alkaline; free drainage; thrives on poor shallow soils; tolerates acid soils. Silviculture: Size, 4–21 m in height; deciduous; thorny; form, poor; coppices; 10-year fuelwood rotation; fixes nitrogen; mycorrhizal association. Planting objectives: Rehabilitation of degraded area/dune stabilization. Utilization: Posts, tools, and firewood; fodder, foliage; bee forage. Nursery: Seed sources, France, Kenya, Netherlands; seeds per kg, 12,000–15,000; storage, dry, cold, airtight; pretreatment, soak in water 24 h or conc. H2SO4 for 40 min; planting stock, potted; germination 40 % in 4 days; plantable size in 12 months. Pests and diseases: Bruchid beetles of the Bruchinae family attack seeds. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Guinda, Eritrea

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16. Acacia torulosa Benth. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonym, Racosperma torulosum (Benth.) Pedley; local or trade names, Torulosa Wattle, Deep-gold Wattle, Thancoupie. Natural occurrence: Latitudes, 11–22 S; areas, north of the Northern Territory and Cape York Peninsula, Queensland, Australia; altitudinal range, 0–350 m. Climate: Mean annual rainfall, 700–1,200 mm; rainfall regime, summer; dry season, 5–8 months; mean max temp hottest month, 34–38  C; mean min temp coldest month, 11–17  C; mean annual temp, 23–30  C. Soil: Texture, light-medium. Reaction, alkaline-neutral-acid; free drainage; intolerant to high soil alkalinity; occurs on alluvial, sandy, deeps sands, rocky skeletals, silts, and loam soils; tolerates acid and infertile soils. Silviculture: Size, 5–12 m in height/fast growing/fixes nitrogen/mycorrhizal association/poor coppicing potential. Planting objectives: Rehabilitation of mining areas/urban plantation/low shelter and slightly windbreaks. Utilization: Fuel, posts, building poles, fodder, and charcoal/ornamental. Nursery: Viable seeds per kg, 26,700; pretreatment, immersion in boiling water for 1 min to break seed coat dormancy. Pests and diseases: Attacked by “sapsucker” Eriococcus coriaceus. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Daly Waters, NT, Australia

17. Acrocarpus fraxinifolius Arn. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Acrocarpus combretiflorus Teijsm & Binn; local or trade name, Shingle Tree. Natural occurrence: Latitudes, 23–27 N; areas, Western India, Assam, and Burma; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 1,100–1,600 mm; rainfall regime, summer; dry season, 0–4 months; mean max temp hottest month 23–35  C; mean min temp coldest month, 16–22  C; mean annual temp, 19–28  C. Soil: Texture, medium; reaction, neutral-acid; free drainage; prefers deep soils. Silviculture: Size, 30–50 m in height; deciduous; form, poor; light requirements, moderately demanding; frost tender; requires wide spacing. Production: 10 m3/ha/year. Planting objectives: Urban plantation/shade. Timber: Natural durability, poor; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction, furniture, and boxes/fuel and charcoal/ornamental. Nursery: Seed sources, India and Kenya; seeds per kg, 26,000–30,000; storage, cold; pretreatment, boiling water until cool; planting stock, potted; germination and growth, sporadic; 10 days to 3 months; plantable size in 3–4 months. Pests and diseases: Termites attack young plants.

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Water Balance at Gauhati, Assam, India

18. Agathis dammara (Lamb.) Rich. & A. Rich. Taxonomy: Family, Araucariaceae; synonyms, Abies dammara (Lamb.) Poir; local or trade names, Damar, Kauri. Natural occurrence: Latitudes, 11 S–20 N; areas, Malaya, Indonesia, the Philippines, New Guinea, and New Britain; altitudinal range, 100–1,600 m. Climate: Mean annual rainfall, 2,000–4,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 28–34  C; mean min temp coldest month, 20–24  C; mean annual temp, 19–28  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage-moist. Silviculture: Size, 15–60 m in height; evergreen; form, exceptional; light requirements, shade tolerant in youth; windfirm; suitable for line planting; categorized as Vulnerable by the IUCN Red List. Production: 20–30 m3/ha/year. Timber: Density, S.G. 0.45–0.50; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; spiral grain. Utilization: Sawn timber, light construction, boxes, and boat building; long fiber pulp and veneer-plywood; gums. Nursery: Seed source, Indonesia; seeds per kg, 16,000–21,000; storage, short-lived viability; pretreatment, soak in cold water for 1–2 days; planting stock, potted; seedlings require shade; germinates in 7–14 days; plantable size in 12–18 months. Pests and diseases: Dieback due to Corticium salmonicolor infection through wounds. 350 300 250 200 150 100 50 0 J

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Water Balance at Puerto Princesa, Palawan, Philippines

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19. Albizia guachapele (Kunth) Dugand. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Pseudosamanea guachapele (Kunth) Harms; local or trade names, Iguá, Gavilán. Natural occurrence: Latitudes, 18 N–11 S; areas, Southeast Mexico to Ecuador and the Caribbean; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 800–2,300 mm; dry season duration, 4–6 months; mean max temp hottest month, 30–40  C; mean min temp coldest month, 10–20  C; mean annual temp, 20–40  C. Soil: Texture, light-medium; reaction, neutral; free drainage; tolerates shallow, acid, and infertile soils. Silviculture: Size, 20–25 m in height; deciduous; light requirements, shade intolerant; flowering period, December to March; fast growing; moderate fire resistant; fixes nitrogen; coppices. Timber: Density, S.G. 0.55–0.70; natural durability, medium. Planting objectives: Rehabilitation of forest and degraded areas. Utilization: Sawn timber, heavy construction, posts, railroad foundations, boxes, and fences; fuel, pulp, fodder, and charcoal. Nursery: Seeds per kg, 20,000–22,000; pretreatment, none; planting stock, directly in the soil or pseudosticks. Pests and diseases: Seedlings roots attacked by “joboto” Phyllophaga sp. The foliage is eaten by ants: Atta sp. and Acromyrmex sp. 350 300 250 200 150 100 50 0 –50

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Water Balance at Santiago de Guayaquil, Guayas, Ecuador

20. Albizia lebbeck (L.) Benth. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Mimosa lebbek L; local or trade names, Indian Siris, Kokko, Indian Walnut. Natural occurrence: Latitudes, 11–27 N; areas, Australia, Bangladesh, India, Indonesia, Malaysia, Myanmar, Nepal, Pakistan, Thailand; altitudinal range, 0–1,400 m. Climate: Mean annual rainfall, 500–2,500 mm; rainfall regime, summer; dry season, 2–6 months; mean max temp hottest month, 26–36  C; mean min temp coldest month, 20–26  C; mean annual temp, 20–28  C. Soil: Texture, light-mediumheavy; reaction, neutral-acid; free drainage; tolerates lateritic, sandy, ultisols, vertisols, calcareous, saline, and infertile soils. Silviculture: Size, 15–30 m in height; deciduous; open crowned; form, poor; light requirements, moderately demanding; poor coppicing potential. Production: 18–28 m3/ha/year. Planting objectives: Rehabilitation of degraded and mining areas; urban plantation; shade, shelter, and windbreaks. Timber: Density, S.G. 0.55–0.65; natural durability, moderate; preservation, fair; sawing, easy; seasoning, difficult; interlocked grain; decorative. Utilization: Sawn timber, light construction and furniture; fuel, charcoal, fodder, and gums; ornamental. Nursery: Seed source, India; seeds per kg, 10,000–11,000; storage, ambient temperature for several years; pretreatment, boiling water until cool; planting stock, stumps or direct sown; germination, 60–90 % in 1–2 months; plantable size in 4–7 months. Pests and

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diseases: In Nigeria attacked by the “striped mealybug” Ferrisia virgata. Also damaged by roots rots, cankers, heart rots, spot fungi, and rusts. A wide range of insects pest including sapsuckers, wood and seed borers, and defoliators as psyllids attack A. lebbeck. 250 200 150 100 50 0 J

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Water Balance at Nakhon Ratchasima, Thailand

21. Albizia saman (Jacq.) Merr. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Inga saman (Jacq.) Willd., Pithecellobium saman (Jacq.) Benth., Samanea saman (Jacq.) Merr.; local or trade names, Rain Tree, Carreto, Filinganga, Cenízaro, Marmar. Natural occurrence: Latitudes, 5 S–11 N; areas, Northern South America, Ecuador, Colombia, and Venezuela; altitudinal range, 0–700 m. Climate: Mean annual rainfall, 800–3,000 mm; rainfall regime, summeruniform; dry season, 2–4 months; mean max temp hottest month 24–30  C; mean min temp coldest month, 18–22  C; mean annual temp, 22–28  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage; seasonally. Silviculture: Size, 15 m in height; open crowned; form, acceptable; light requirements, strongly demanding. Production: 25–35 m3/ ha/year. Planting objectives: Rehabilitation of degraded areas/shade and shelter. Timber: Density, S.G. 0.42–0.60; natural durability, moderate; preservation, easy; sawing, easy; seasoning, difficult; interlocked grain. Utilization: Sawn timber, heavy construction, light construction, furniture, and boxes; fodder, fence posts, and veneer-plywood. Nursery: Seed sources, the Philippines, Hawaii, Fiji, Colombia; seeds per kg, 4,400–7,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 14–20 days; plantable size in 4–6 months. Pests and diseases: Two species of weevil larvae Merobrochus columbinus and Stator limbatus eat the seeds.

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Water Balance at Arauca, Colombia

22. Allocasuarina decaisneana (F. Muell.) L.A.S. Johnson. Taxonomy: Family, Casuarinaceae; synonyms, Casuarina decaisneana F. Muell.; local or trade names, Desert Oak, River Jam, Wirewood, Wiry Wattle, Dogwood. Natural occurrence: Latitudes, 27–21.5 S; areas, Northern Territory, South Australia, and Western Australia; altitudinal range, 250–700 m. Climate: Mean annual rainfall, 200–250 mm; rainfall regime, summer, uniform; dry season, 4–6 months; mean max temp hottest month 20–35  C; mean min temp coldest month, 10–20  C; mean annual temp, 18–26  C. Soil: Texture, light-medium; reaction, acid-neutral; free drainage; deep soils; tolerates acid soils. Silviculture: Size, 9–15 m in height; evergreen; form, acceptable, exceptional; light requirements, demanding; fire resistant; frost resistant; fixes nitrogen. Production: 10–12 m3/ha/year. Planting objectives: Rehabilitation of degraded areas/shade and shelter. Timber: Density, S.G. 1.05–1.12; natural durability, moderate; sawing, difficult; seasoning, difficult; termite resistant. Utilization: Sawn timber, light construction; fuel, fence posts, and turnery. Nursery: Seeds per kg, 70,000–85,000; seed source, Australia; storage, indoor temp reaches viability for several years; pretreatment, none; germination, 60–90 % in 8–40 days; planting stock, potted, bare-rooted seedlings, cuttings. Pests and diseases: None of importance reported. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Alice Springs, NT, Australia

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23. Alnus acuminata Kunth. Taxonomy: Family, Betulaceae; synonyms, Alnus acutissima (H.J.P. Winkl.) Callier.; local or trade names, Aliso, Jaul. Natural occurrence: Latitudes, 18 N–28 S; areas, Central to South America; altitudinal range, 1,200–3,500 m. Climate: Mean annual rainfall, 1,000–3,000 mm; mean annual temp, 4 –27  C. Soil: Texture, light-medium; reaction, neutral; free drainage; prefers deep soils; tolerates acid soils. Silviculture: Size, 15–30 m in height; deciduous; form, acceptable; light requirements, strongly demanding; fixes nitrogen; coppices. Production: 10–15 m3/ha/year. Planting objectives: Rehabilitation of degraded and mining areas/watershed protection and soil improvement. Timber: Density, S.G. 0.50–0.60; natural durability, nondurable; sawing, easy; seasoning, easy; semi-decorative. Utilization: Sawn timber, light construction, furniture, and boxes; fuel, pulp, and veneer-plywood. Nursery: Seeds per kg, 650,000–4,400,000; storage, short lived; pretreatment, none; planting stock, bare-rooted seedlings, potted, root cuttings; plantable size in 12–24 months. Pests and diseases: None of importance reported. 140 120 100 80 60 40 20 0 J

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Water Balance at Peruvian Andes, Cajamarca, Peru

24. Alnus nepalensis D. Don. Taxonomy: Family, Betulaceae; synonyms, Alnus boshia Buch.-Ham. ex D. Don., Betula leptophylla Regel., Clethropsis nepalensis (D. Don.) Spach; local or trade names, Utis, Indian Alder. Natural occurrence: Latitudes, 15–28 N; areas, Himalaya, Burma, China, and Indochina; altitudinal range, 1,000–3,000 m. Climate: Mean annual rainfall, 500–2,500 mm; rainfall regime, summer; dry season, 4–8 months; mean max temp hottest month, 19–32  C; mean min temp coldest month, 2–8  C; mean annual temp, 13–26  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage, moist, near rivers, ravines. Silviculture: Size, 6–30 m in height; deciduous; form, poor-acceptable; light requirements, shade tolerant; fast growing; coppices; fixes nitrogen. Planting objectives: Erosion controller/rehabilitation of degraded areas/water catchment plantation. Timber: Density, S.G. 0.32–0.37; natural durability, poor; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction; fuel and fodder. Nursery: Seed sources, Nepal seeds per kg, 450,000–2,300,000; storage, dry, cold, and airtight for 1 year; pretreatment, none; planting stock, direct sown, potted, bare-rooted stock; germination, 70 % in 25–40 days; plantable size in 4–5 months. Pests and diseases: Susceptible to attack of defoliator Oreina sp.

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Water Balance at Katmandu, Nepal

25. Alstonia spectabilis R. Br. Taxonomy: Family, Apocynaceae; synonyms, Alstonia villosa Blume; local or trade names, Legaran, Tutu, Hard Alstonia, Hard Cheesewood, Jackapple, Hard Milkwood, Yellow Jacket. Natural occurrence: Latitudes, 23 N–35 S; areas, from India and Sri Lanka through mainland SE. Asia and S. China, throughout Malaysia to N. Australia. In Australia is widespread in coastal areas in northern Queensland including Cape York Peninsula and extends southwards to central Queensland. Disjunction populations occur away from the coast in the Northern Territory; altitudinal range, 0–450 m. Climate: Mean annual rainfall, 1,000–1,600 mm. Soil: Occurs in lateritic loam or sandstone. Silviculture: Size, 10–40 m in height; flowering January to May; light requirements, moderate demanding; coppices. Planting objectives: Rehabilitation of mining areas. Utilization: Sawn timber, furniture, light construction, carpentry, joinery, and boxes; fuelwood, veneer-plywood, and pulp; medicinal. Nursery: Planting stock, direct sown; germination, 50 % in 12–90 days. Pests and diseases: None of importance reported. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Kupang, Timor, Indonesia

26. Anacardium excelsum (Bertero ex Kunth) Taxonomy: Family, Anacardiaceae; synonyms, Rhinocarpus excelsa Bertero ex Kunth; local or trade names, Espavel, Mijao, Cajú. Natural occurrence: Latitudes, 1–12 N; areas, Northern Latin America along the Pacific coast, from Costa Rica to Guiana; altitudinal range, 0–800 m.

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Climate: Mean annual rainfall, 1,500–2,000 mm; rainfall regime, uniform; dry season, 0–1 months; mean annual temp, 20–27  C. Soil: Texture, light-medium; reaction, neutral-acid; found near in riparian soils; free drainage. Silviculture: Size, 40–60 m in height; evergreen; form, exceptional; light requirements, demanding, tolerates shadow in youth; mixed with Carapa guianensis, Luehea seemannii, Pentaclethra macroloba. Timber: Sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, furniture, and boxes; medicinal. Nursery: Seeds per kg, 250–300; planting stock, direct sown, potted; plantable size in 6 months. Pests and diseases: None of importance reported. 200 180 160 140 120 100 80 60 40 20 0 –20

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Water Balance at Santa Marta, Colombia

27. Anacardium occidentale L. Taxonomy: Family, Anacardiaceae; synonyms, Acajuba occidentalis (L.) Gaerth.; local or trade names, Cashew nut Tree, Mkorosho, Mkanju, Acaju. Natural occurrence: Latitudes, 30 N–2S S; areas, Tropical Americas, West Indies, Africa; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 500–3,000 mm; rainfall regime, summer, uniform; dry season, 4–6 months; mean max temp hottest month, 28–35  C; mean min temp coldest month, 9–23  C; mean annual temp, 27–33  C. Soil: Texture, light; reaction, neutral-acid; free drainage; tolerates poor soils; thrives on coastal soils in fresh groundwater available. Silviculture: Size, 5–15 m in height; evergreen; form, poor; light requirements, demanding; termite resistant; requires wide spacing; frost sensitive. Production: 800–3,000 kg nuts/ha/year. Planting objectives: Rehabilitation of mining and degraded areas/erosion control, dune stabilization, and windbreaks. Timber: Natural durability, durable; termite resistant. Utilization: Fence posts and fuel; fodder, foliage; fruits, nut (shell poisonous until roasted), edible fruit, and stalk; oil (industrial use); gum; ink; medicinal. Nursery: Seed sources, Thailand, Tropical America, Burma, France, India, Sri Lanka; seeds per kg, 140–300; storage, up to 1 year, dried, and sealed; pretreatment, soak 24 h in water; planting stock, potted, stumps, direct sown, air layering; germination of 60–70 % in 4–7 weeks; plantable size in 12 months. Pests and diseases: Helopeltis spp., a mosquito bug is a main pest. Also attacks by Plocaederus ferrugineus, a cerambycid root-shootboring beetle, and Crimissa cruralis, a chrysomelid bug that appears in Brazil.

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Water Balance at Vitoria da Conquista, Bahia, Brazil

28. Andira inermis (Wright) DC. Taxonomy: Family, Leguminosae; subfamily, Papilionoideae; synonyms, Andira coriacea Pulle; local or trade names, Moca, Angelin, Red Cabbage tree, Almendro de Rio, Saint-Martin Rouge, Tololote. Natural occurrence: Areas, Southern Mexico through Central America, Antilles down to Peru, Bolivia, and Brazil; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,000–2,500 mm; mean annual temp, 26–35  C. Soil: Texture, light-medium-heavy; poor to moderately free drainage. Silviculture: Size, 10–35 m in height; evergreen; fast growing; fixes nitrogen. Planting objectives: Erosion control; rehabilitation of mining areas; urban plantation; shade, shelter, and windbreaks. Timber: Density, S.G. 0.64; natural durability, moderate; sawing, difficult; preservation, difficult; the wood and the fruits are toxic. Utilization: Sawn timber, heavy construction, fine furniture, boat building, railways, and tools; veneerplywood and fodder; apiculture; medicinal; ornamental. Nursery: Seeds per kg, 400–500; storage, with indoor temp; viability reaches 6–8 months or at 4  C reach up to 2–3 years; germination 80–90 % in 15–20 days; planting stock, direct sown with soil and sand; plantable size in 6–8 months. Pests and diseases: Very resistant to fungus, insects, and termites. Seedlings attacked by several coleopters: Apion samson, Cleogonus armatus, C. fratellus, and C. rubetra. 250 200 150 100 50 0 J

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Water Balance at Mato Grosso, Brazil

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29. Araucaria angustifolia (Bertol.) Kuntze. Taxonomy: Family, Araucariaceae; synonyms, Araucaria brasiliensis A. Rich; local or trade name, Paraná Pine. Natural occurrence: Latitudes, 30–20 S; areas, Southern Brazil, principally Parana; altitudinal range, 1,500–2,000 m. Climate: Mean annual rainfall, 1,300–2,200 mm; rainfall regime, summer-uniform; dry season, 0–2 months; mean max temp hottest month, 18–23  C; mean min temp coldest month, 9–16  C; mean annual temp, 12–18  C. Soil: Texture, medium; reaction, neutral-acid; free drainage-moist; prefers fertile and deep soils. Silviculture: Size, 25–30 m in height; evergreen; form, exceptional; light requirements, strongly demanding; categorized as Critically Endangered by the IUCN Red List. Production: 10–23 m3/ha/year. Timber: Density, S.G. 0.50–0.57; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; thick barked. Utilization: Sawn timber, heavy construction, light construction, furniture, and boxes; transmission poles, fence posts, and long fiber pulp. Nursery: Seed sources, Brazil and Kenya; seeds per kg, 100–120; storage, short-lived viability; pretreatment, none; planting stock, potted; requires 50 % shade; germinates in 60–100 days; plantable size in 21–27 months. Pests and diseases: Liable to butt rot. 250 200 150 100 50 0 J

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Water Balance at Guarapuava, Paraná, Brazil

30. Araucaria cunninghamii Mudie. Taxonomy: Family, Araucariaceae; synonyms, Eutassa cunninghamii (Mudie) G. Don; local or trade names, Hoop Pine, Pino de Bahía Moretón. Natural occurrence: Latitudes, 32–0 S; areas, Papua New Guinea and E Australia; altitudinal range, 0–2,000 m. Climate: Mean annual rainfall, 1,000–1,800 mm; rainfall regime, summer; dry season, 2–4 months; mean max temp hottest month, 23–30  C; mean min temp coldest month, 16–23  C; mean annual temp, 16–26  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage; prefers fertile deep soils. Silviculture: Size, 35–45 m in height; evergreen; form, exceptional; light requirements, strongly demanding, shade tolerant in youth; moderately frost resistant; edible seeds. Production: 10–18 m3/ha/year. Planting objectives: Windbreaks. Timber: Density, S.G. 0.50–0.55; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; thick barked. Utilization: Sawn timber, heavy construction, light construction, furniture, and boxes; transmission poles, fence posts, long fiber pulp, veneer-plywood, and resins. Nursery: Seed sources, Papua New Guinea and Australia; seeds per kg, 2,400–2,800; storage, short-lived viability; pretreatment, none; planting stock, potted; susceptible to damping off and requires 50 % shade; plantable size in 18–24 months. Pests and diseases: Termites cause stem collapse; Vanapa oberthuri (“hoop pine weevil”) attacks stem.

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Water Balance at Grafton, NSW, Australia

31. Araucaria hunsteinii K. Schum. Taxonomy: Family, Araucariaceae; synonyms, A. klinkii Lauterb; local or trade name, Klinki Pine. Natural occurrence: Latitudes, 8–9 S; areas, high mountains on Papua New Guinea; altitudinal range, 500–1,400 m. Climate: Mean annual rainfall, 1,600–4,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 24–32  C; mean min temp coldest month, 18–24  C; mean annual temp, 20–27  C. Soil: Texture, mediumheavy; reaction, neutral; free drainage-moist; prefers deep soils. Silviculture: Size, 40–90 m in height; DBH, 1.5–3 m; evergreen; fast growing; form, exceptional; light requirements, strongly demanding; frost tender; categorized as Near Threatened by the IUCN Red List. Production: 20–30 m3/ha/year. Timber: Density, S.G. 0.40–0.48; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, furniture, and boxes; transmission poles, fence posts, long fiber pulp, and veneerplywood. Nursery: Seed sources, New Guinea; seeds per kg, 1,700–1,800; storage, short-lived viability; pretreatment, none; planting stock, potted; requires 75 % shade in early months; plantable size in 18–21 months. Pests and diseases: Armillaria mellea attacks the roots. 300 250 200 150 100 50 0 J

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Water Balance at Goroka, Papua New Guinea

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32. Aucoumea klaineana Pierre. Taxonomy: Family, Burseraceae; local or trade names, Gaboon Mahogany, Okoumé. Natural occurrence: Latitudes, 2 S–2 N; areas, rain forests of Gabon and Congo; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 1,600–3,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 28–36  C; mean min temp coldest month, 20–26  C; mean annual temp, 25–33  C. Soil: Texture, light-medium-heavy; reaction, acid; free drainage; adaptable. Silviculture: Size, 30–40 m in height; Buttresses; Form, acceptable; light requirement strong demanding; coppices; categorized as Vulnerable by the IUCN Red List. Production: 15–30 m3/ha/year. Timber: Density, S.G. 0.40–0.46; natural durability, poor; preservation, difficult; sawing, easy; seasoning, easy; wood contains silica. Utilization: Sawn timber, light construction and boxes; short fiber pulp, and veneer-plywood. Nursery: Seed sources, Gabon and Congo; seeds per kg, 9,000–12,000; storage, short-lived viability; pretreatment, none; planting stock, striplings or direct sown; requires 50 % shade for some weeks; plantable size in 3–4 months. Pests and diseases: Susceptible to borer attacks both as tree and as timber. 600 500 400 300 200 100 0

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Water Balance at Ngounie, Mouila, Gabon

33. Azadirachta indica A. Juss. Taxonomy: Family, Meliaceae; synonyms, Melia azadirachta L.; local or trade name, Neem. Natural occurrence: Latitudes, 25–5 N; areas, drier parts of India, Burma, Thailand, and Cambodia; altitudinal range, 50–1,500 m. Climate: Mean annual rainfall, 150–2,000 mm; rainfall regime, uniform; dry season, 5–7 months; mean max temp hottest month, 26–38  C; mean min temp coldest month, 24–28  C; mean annual temp, 24–32  C. Soil: Texture, lightmedium-heavy; reaction, neutral; free drainage; prefers deep soils. Silviculture: Size, 20–25 m in height; evergreen; form, poor; light requirements, moderately demanding; shade tolerant in youth; frost tender. Production: 5–18 m3/ha/year. Planting objectives: Shade and shelter. Timber: Density, S.G. 0.60–0.70; natural durability, moderate; sawing, easy; resistant to termite and insect attack. Utilization: Sawn timber, light construction, furniture, and boxes; building poles, fence posts, fuel, fodder, and charcoal; medicinal; oil. Nursery: Seed sources, India, Nigeria, Sudan; seeds per kg, 4,000–4,500; storage, short-lived viability; pretreatment, soak in cold water for 1–2 days; planting stock, potted, stumps, direct sown; rapid and uniform germination after 10–12 days; plantable size in 11–14 months. Pests and diseases: Termites attack trees of all ages.

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Water Balance at Chennai,Tamil Nadu, India

34. Bambusa bambos (L.) Voss. [Bamboo] Taxonomy: Family, Poaceae; subfamily, Bambusoideae; synonyms, Bambusa arundinacea Willd., Bambusa spinosa Roxb.; local or trade names, Giant Thorny Bamboo, Indian Thorny Bamboo, Phai-Pa, Tabasheer. Natural occurrence: Latitudes, 5–30 N; areas, S and E Asia, India, Pakistan, Sri Lanka, Bangladesh, Burma, Thailand, Laos, Kampuchea, Vietnam, and China; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 2,000–2,500 mm; rainfall regime, summer-uniform; dry season, 0–9 months; mean max temp hottest month, 25–50  C; mean min temp coldest month, 10–30  C; mean annual temp, 15–40  C. Soil: Texture, mediumheavy; free drainage; reaction, acid-neutral-alkaline; occurs in river banks or river valleys; prefers cambisols, clay soils, colluvial soils, granite soils, grassland soils, gravelly soils, lateritic soils, loess soils, luvisols soils, and red soils. Silviculture: Size, 20–30 m in height; diameter, 10–18 cm; evergreen; light requirements, moderate-strongly demanding; fast growing; thorny; sucker ability; coppices; tolerates drought, shade, and wind. Planting objectives: Erosion controller and windbreaks. Utilization: Stems used for light construction, heavy construction, water pipes, scaffolding, rafting, thatching, roofing, handcrafting, basketry, furniture, cooking utensils, fences, pulp, paneling, and fuelwood; edible shoots and seeds; fodder, foliage; medicinal. Nursery: Seeds per kg, 75,000–85,000; storage, viable seeds during 6–8 months; planting stock, seeds or cuttings; plantable size, 1 m. Pests and diseases: Under attack of leaf rollers, Algedonia bambucivora and Algedonia coclesalis. A bamboo aphid Astegopteryx bambusae and a bamboo borer Dinoderus minutus attack the tree. The fungus Sarocladium oryzae causes the bamboo blight disease.

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Water Balance at Toungo, Burma

35. Bambusa blumeana Schult. f. [Bamboo] Taxonomy: Family, Poaceae; subfamily, Bambusoideae; synonyms, Bambusa pungens Blanco; local or trade names, Blume’s Giant Thorny Bamboo, Bambu Duri, Pring Gesing, Phai Si Suk. Natural occurrence: Latitudes, 22 N–10 S; areas, Native of Indonesia and Malaysia but naturalized in SE Asia. Thailand, the Philippines, Vietnam, and China; altitudinal range, 0–300 m. Climate: Mean annual rainfall, 1,500–5,000 mm; rainfall regime, summeruniform; dry season, 0–9 months; mean max temp hottest month, 25–50  C; mean min temp coldest month, 10–30  C; mean annual temp, 15–40  C. Soil: Texture, medium-heavy; free drainage; reaction, acid-neutral-alkaline; occurs in river banks, hill slopes, and freshwater creeks. Silviculture: Size, 18–25 m in height; diameter, 8–15 cm; light requirements, moderate-strongly demanding/; thorny; sucker ability; coppices; tolerates drought, shade, and wind; evergreen; fast growing. Planting objectives: Erosion control. Utilization: Stems used for light construction, water pipes, rafting, furniture, fences, pulp, paneling, and fuelwood; edible shoots; oil; fodder, foliage. Nursery: Planting stock, seeds or cutting. Pests and diseases: The “tar spot” caused by Phyllachora shiriana and the “leaf rust” caused by Phakopsora louditiae are common diseases in this species. 350 300 250 200 150 100 50 0 J

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Water Balance at Kuala Lipis, Malaya

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36. Brachychiton populneus (Schott & Endl.) R. Br. Taxonomy: Family, Malvaceae; synonyms, Sterculia diversifolia G. Don.; local or trade names, Kurrajong, bottle tree. Natural occurrence: Latitudes, 20–40 S; areas, Southeastern Australia; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 250–760 mm; rainfall regime, winter-summer; dry season, 8 months; mean max temp hottest month, 38  C; mean min temp coldest month, 13–17  C; mean annual temp, 16–25  C. Soil: Texture, light; reaction, alkaline-neutral; free drainage but moist. Silviculture: Size, 8–15 m in height; evergreen; bole swollen at base; form, acceptable above basal swelling; frost tender; fruits, edible. Timber: Density, S.G. 0.36–0.40; natural durability, nondurable. Utilization: Sawn Timber, boxes; fuelwood, wood-wool, and fibers; fodder, foliage; bee forage. Nursery: Seed sources, Australia, Cyprus; Seeds per kg, 6,700–10,000; storage, at indoor temperature; pretreatment, soak seeds in boiling water until cool; planting stock, potted seedlings, direct sown, or cuttings; germination, 50–70 %. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Perth, WA, Australia

37. Breonia chinensis (Lam.) Capuron. Taxonomy: Family, Rubiaceae; synonyms, Anthocephalus chinensis (Lam.) Hassk.; local or trade names, Kadam, Bangkal, Takaying, Laran. Natural occurrence: Latitudes, 30 N–10 S; areas, Trough India, Malayan Peninsula, Nepal, Sri Lanka, Vietnam, Myanmar, Indonesia, Australia, Papua New Guinea, the Philippines, China; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,300–4,000 mm; rainfall regime, uniform; dry season, 0–3 months; mean max temp hottest month, 24–34  C; mean min temp coldest month, 6–26  C; mean annual temp, 20–32  C. Soil: Texture, light-medium; reaction, neutral-acid; prefers well drained, moist, and deep soils; adaptable. Silviculture: Size, 20–30 m in height; deciduous; open crowned; form, exceptional; light requirements, strongly demanding; frost tender. Production: 10–40 m3/ha/ year. Timber: Density, S.G. 0.35–0.40; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction and boxes; short fiber pulp and veneer-plywood. Nursery: Seed sources, Puerto Rico, Bangladesh, Sabah; seeds per kg, over 6,000,000; storage, dry, cold, and airtight for up to 1 year; pretreatment, none; planting stock, potted; very susceptible to damping off; germinates in 7–14 days; plantable size in 3–4 months. Pests and diseases: Defoliators including Arthroschista hilaralis.

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Water Balance at Hong Kong, China

38. Brugmansia pittieri (Saff.) Moldenke. Taxonomy: Family, Solanaceae; synonyms, B. affinis (Soff.) Moldenke., B. amesianum Lagerh., B. aurea Lagerh., Datura affinis Saff., D. aurea (Lagerh). Saff., D. pittieri Saff.; local or trade names, Borrachero, Cacao Sabanero, Floripondio, Trompeta de Angel, Golden Tree Datura, Golden Angel’s Trumpet, Guantu, Huacacachu, Huanto. Natural occurrence: Latitudes, 12 N–17 S; areas, Colombia, Ecuador, Peru, and Venezuela; altitudinal range, 600–2,700 m. Climate: Mean annual rainfall, 1,000–1,600 mm. Silviculture: Size, 2–9 m in height; high alkaloid content; light requirement, moderate demanding; frost resistant; coppices. Planting objectives: Rehabilitation of eroded and degraded mining areas/urban plantation. Utilization: Apiculture/medicinal for external uses but toxic if ingested/ornamental. Nursery: Pretreatment, sow seeds at 16  C; planting stocks, by seeds or cuttings. Pests and diseases: Angel’s trumpets are prone to attack by the “red spider mite,” which causes the leaves to appear speckled or bleached. Glasshouse whitefly and mealybugs may also be a problem. Prevent these pests with biological controls or treat infestations with approved insecticides. Nutrient deficiency or overwatering can result in discolored leaves and loss of foliage. 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Huila, Neiva, Colombia

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39. Caesalpinia violacea (Mill.) Standl. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Brasilettia violacea (Mill.) Britton & Rose., Robinia violacea Mill., Peltophorum brasiliense (L.) Urb.; local or trade names, Cante, Chacté, Yarúa. Natural occurrence: Latitudes, 13–30 N; areas, Mexico, Belize, Central America, and the Caribbean; altitudinal range, 0–300 m. Climate: Mean annual rainfall, 1,600–2,200 mm. Soil: Occurs in rocky and sandy soils of higher coast. Silviculture: Size, 15–25 m in height; evergreen; flowers in April; shade and excessive moist intolerant; fast growing. Planting objectives: Rehabilitation of degraded forest and mining areas. Utilization: Sawn timber, light construction/poles and posts. Nursery: Pretreatment, none; planting stock, direct sown or cuttings. Pests and diseases: The spider mites of the Tetranychidae family causes flecking, discoloration, and scorching of leaves, leading to leaf loss and death. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Uaxactun, Peten, Guatemala

40. Calamus caesius Blume [Climbers/Rattan] Taxonomy: Family, Arecaceae; synonyms, Calamus glaucescens Blume, Palmijuncus caesius (Blume) Kuntze, Rotang caesius (Blume) Baill.; local or trade names, Sega, Rotan Sego, Rotan Taman. Natural occurrence: Latitudes, 7 N–5 S; areas, S Thailand, Peninsular Malaysia, Sumatra, Borneo, and Palawan, Philippines; altitudinal range, 0–900 m. Climate: Mean annual rainfall, over 2,200 mm. Rainfall regime, uniform; mean max temp hottest month, 25–33  C; mean min temp coldest month, 22–31  C; mean annual temp, 22–33  C. Soil: Reaction, acid; texture, medium; performs well on acid and rich alluvial soils. Silviculture: Clustering; diameter, 7–12 mm; fast growing; cane is glossy and siliceous; grows 4–7 m per yr; light requirements, moderate demander; spiny; ability to sucker; mix with Hevea brasiliensis and Acacia mangium. Planting objectives: Protection of watersheds and buffer zones. Utilization: Matting for chairs and furniture; handcraft, basketry. Nursery: Seeds cannot withstand drying; storage, germination, 1–4 months; germination rate, 30–90 %; planting stock, wildlings; planting size, 9 months or stem with 50 cm. Pests and diseases: The “leaf spot” is a common disease caused by Curvularia spp., Colletotrichum spp., Phomopsis spp., and Pestalotiopsis spp. The blight is caused by a fungus. Colletotrichum gloeosporioides can kill seedlings in a few weeks but can be controlled by the application of fungicide.

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Water Balance at Kuala Terengganu, Malaysia

41. Calamus manan Miq. [Climbers/Rattan] Taxonomy: Family, Arecaceae; synonyms, Calamus giganteus Becc., Calamus giganteus var. robustus S.J.Pei & S.Y. Chen., Rotang manan (Miq.) Baill.; local or trade names, Rotan Manau, Manau Rattan, Ngenau. Natural occurrence: Latitudes, 7 N–6 S; areas, Sumatra, Peninsular Malaysia, S Thailand, and S Kalimantan; altitudinal range, 200–1,000 m. Climate: Mean annual rainfall, over 2,200 mm. Rainfall regime, uniform; mean max temp hottest month, 25–33  C; mean min temp coldest month, 22–31  C; mean annual temp, 22–33  C. Soil: Reaction, acid; texture, medium; occurs in sandy-loamy, gritty-loamy, or sandy clay soil; usually on slopes on well-drained soils; does not tolerate waterlogged soils. Silviculture: Single stemmed; diameter, 20–80 mm; length, 100–200 m; evergreen; fast growing; light requirements, moderate demander; spiny; grows 3–5 m per yr; mix with Hevea brasiliensis; does not regenerate once the stem has been harvested. Planting objectives: Protection of watersheds and buffer zones. Utilization: Furniture frame manufacturing; handcraft, basketry; in S Kalimantan cultivated by its edible fruits. Nursery: Seeds cannot withstand drying; storage germination, 1–4 months; germination rate, 30–90 %. Pests and diseases: A beetle larvae in the basal part of the stem causes stunted growth and, in severe cases, death. A severe disease is collar rot caused by Rhizoctonia solani and causes black streaks on the internode, decreasing the market value.

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Water Balance at Padang, Sumatra, Indonesia

42. Calamus trachycoleus Becc. [Climbers/Rattan] Taxonomy: Family, Arecaceae; local or trade name, Rotan Irit. Natural occurrence: Latitudes, 1–4 S; areas, Barito Selatan area of Central Kalimantan, Indonesia; altitudinal range, 10–200 m. Climate: Mean annual rainfall, over 2,200 mm. Rainfall regime, uniform; mean max temp hottest month, 25–33  C; mean min temp coldest month, 22–31  C; mean annual temp, 22–33  C. Soil: Reaction, acid; texture, heavy; occurs in flooded alluvial flats on soil overlying highly acidic clay soils; tolerates eroded and waterlogged soils (1–1.5 m for up to 2 months). Silviculture: clustering; stoloniferous; diameter, 7–12 mm; length, 60; fast growing; cane is glossy and siliceous; spiny; grows 4–7 m per yr; invasive behavior. Utilization: Matting for chairs and furniture; handcraft, basketry. Nursery: Planting size, 9 months or stem with 50 cm. Pests and diseases: Fungal attacks by Glomerella cingulata. 350 300 250 200 150 100 50 0 J

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Water Balance at Buntok, Borneo, Indonesia

43. Calliandra calothyrsus Meisn. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Calliandra confusa Sprague & L. Riley.; local or trade names, Calliandra, Red Calliandra, Cabello de Angel, Kaliandra Merah. Natural occurrence: Latitudes, 8–18 N; areas, Western Pacific coast of Mexico to the north coast of Central Panama; altitudinal range, 150–1,500 m. Climate: Mean annual rainfall, 150–1,500 mm; rainfall regime, winter-summer; dry season, 2–6 months; mean

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max temp hottest month, 24–32  C; mean min temp coldest month, 16–24  C; mean annual temp, 20–28  C. Soil: Texture, medium-heavy; reaction, neutral; can grow on different soils; stands even on poorly aerated soils; tolerates acidic and infertile soils. Silviculture: Size, 10 m in height; form, poor; light requirements, strongly demanding; fixes nitrogen; coppices. Production: 5–20 m3/ha/year. Dry fodder: 7–10 t/ha/year. Planting objectives: Urban plantation/ erosion control and firebreaks. Timber: Density, S.G. 0.51–0.78; calorific value, 4,500–4,750 Kcal per kg. Utilization: Fuel, fodder, and charcoal/bee forage/ornamental. Nursery: Seed pretreatment, hot water then soaked in cold water for 24 h; planting stock, potted, direct sown; plantable size in 4–6 months. Pests and diseases: Camptomeris calliandrae is a serious fungus threat in Honduras. 250 200 150 100 50 0 J

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Water Balance at Colima, Mexico

44. Callitris columellaris F. Muell. Taxonomy: Family, Cupressaceae; synonyms, Callitris glauca R.Br. ex R.T. Baker & H.G. Sm., C. intratropica R.T. Baker & H.G.Sm.; local or trade name, White Cypress Pine. Natural occurrence: Latitudes, 3–15 S; areas, Northern Territory, Australia; altitudinal range, 0–1,800 m. Climate: Mean annual rainfall, 750–1,500 mm; rainfall regime, summer-uniform; dry season, 4–6 months; mean max temp hottest month, 27–34  C; mean min temp coldest month, 8–15  C; mean annual temp, 17–24  C. Soil: Texture, light-medium; reaction, acidneutral; free drainage; deep fertile soils; tolerates slight salinity. Silviculture: Size, 18–28 m in height; DBH, 45–60 cm; evergreen; light crown; form, acceptable; light requirements, strongly demanding; coppices; termite resistant. Production: 2–5 m3/ha/year. Planting objectives: Urban plantation/windbreaks. Timber: Density, S.G. 0.46–0.80; natural durability, very durable; sawing, easy; seasoning, easy; live knots; fissile; decorative. Utilization: Sawn timber, light construction, flooring, boat building, boxes, and furniture; transmission poles, fence posts, fuelwood, veneer-plywood, and turnery; ornamental, Christmas trees; tannins. Nursery: Seed sources, Australia, South Africa; seeds per kg, 60,000–120,000; storage, dry, cold, airtight for several years; pretreatment, none; planting stock, potted; careful weeding; germination, 30–40 %. Pests and diseases: Fomes robustus may occur in trees over 20 years old.

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Water Balance at Casino, NSW, Australia

45. Calophyllum brasiliense var. antillanum (Britton) Standl. Taxonomy: Family, Clusiaceae; synonyms, Calophyllum antillanum Britton., Calophyllum jacquinii Fawc. & Rendle.; local or trade names, Ocuje, Ocuje Hembra, Ocuje Macho, Palo de Cachilbano, Galba, Palo María, Calaba, Bálsamo de María, Santa María, Antilles Calophyllum. Natural occurrence: Latitudes, 10–23 N; areas, from Cuba to Jamaica through the Minor Antilles to Granada; altitudinal range, 0–800 m. Climate: Mean annual rainfall, 1,000–1,600 mm. Soils: Tolerates waterlogged sites and eroded soils. Silviculture: Size, 12–20 m in height; evergreen; light requirements, moderate demanding; tolerates salty winds and drought; invades mangrove forests. Planting objectives: Rehabilitation of mining areas/windbreaks. Timber: Natural durability, good. Utilization: Sawn timber, fine furniture, railway sleepers, and boat construction; fodder; medicinal; oil. Nursery: Planting stock, direct sown. Pests and diseases: None of importance reported. 300 250 200 150 100 50 0 J

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Water Balance at Pinar del Rio, Cuba

46. Calophyllum utile Bisse Taxonomy: Family, Clusiaceae; local or trade name, Ocuje Colorado. Natural occurrence: Latitudes, 20–23 N; areas, Cuba; altitudinal range, 0–1,139 m. Climate: Mean annual rainfall, 300–400 mm; mean annual temp, 23–27.5  C. Silviculture: Size, 20–30 m in height. Planting objectives: Rehabilitation of degraded mining areas/urban plantation. Utilization: Ornamental. Pests and diseases: None of importance reported.

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Water Balance at Santiago de Cuba

47. Calycophyllum candidissimum (Vahl) DC. Taxonomy: Family, Rubiaceae; synonyms, Macrocnemum candidissimum Vahl., Mussaenda candidissima (Vahl.) Schult.; local or trade names, Alazano, Lemonwood, Degame, Lluvia de Plata, Madroño. Natural occurrence: Latitudes, 30 N–23 S; areas, Southern Mexico, Cuba, Central and South America. Altitudinal range: 0–900 m. Climate: Mean annual rainfall, 800–2,000 mm. Soils: Texture, medium-heavy; occurs in well-drained calcareous soils to poor-drained clay soils. Silviculture: Size, 10–30 m in height; deciduous; slow growing; rotation length, 8–10 year/300–400 trees/ha. Timber: Density, S.G. 0.67–0.81. Planting objectives: Rehabilitation of degraded forest areas/urban plantation. Utilization: Sawn timber, heavy construction and tools; archery bows, carvings, fishing rods, fuel, and poles; medicinal; ornamental. Nursery: Storage, 4  C with 5–6 % of humidity reaching 3 years of viability; pretreatment, none; germination, 60–80 % in 8–15 days/; planting stock, direct sown; plantable size, 5–6 months. Pests and diseases: Resistant to marine borers. 200 180 160 140 120 100 80 60 40 20 0 −20

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Water Balance at Magdalena, Santa Marta, Colombia

48. Campnosperma brevipetiolatum Volkens. Taxonomy: Family, Anacardiaceae; synonyms, Campnosperma brassii Merr. & L.M. Perry.; local or trade names, Terentang, Ketekete. Natural occurrence: Latitudes, 8 S–2 N; areas, Solomon Islands, Moluccas, and Papua New Guinea; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 2,000–5,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean Page 41 of 157

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max temp hottest month, 28–34  C; mean min temp coldest month, 20–24  C; mean annual temp, 23–28  C. Soil: Texture, light-medium; reaction, acid; drainage, moist; seasonally waterlogged; prefers deep soils. Silviculture: Size, 30–50 m in height; evergreen; buttresses; form, exceptional; light requirements, strongly demanding. Production: 10–20 m3/ha/year. Timber: Density, S.G. 0.28–0.41; natural durability, poor; preservation, easy; sawing, easy; seasoning, difficult. Utilization: Sawn timber, boxes; short fiber pulp and veneer-plywood. Nursery: Seed sources, Solomon Islands; seeds per kg, 2,200–3,300; storage, short viability; pretreatment, none; planting stock, potted; plantable size in 4 months. Pests and diseases: Susceptible to insects and fungal attack. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Losuia, Papua New Guinea

49. Cariniana pyriformis Miers. Taxonomy: Family, Lecythidaceae; synonyms, Cariniana clavata Novik.; local or trade names, Abarco, Colombian Mahogany. Natural occurrence: Latitudes, 1–9 N; areas, Northern Colombia and Venezuela; altitudinal range, 0–600 m. Climate: Mean annual rainfall, 2,000–4,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 25–28  C; mean min temp coldest month, 20–25  C; mean annual temp, 22–30  C. Soil: Texture, medium-heavy; reaction, acid; free drainage. Silviculture: Size, 40–50 m in height; evergreen; buttresses; form, exceptional; light requirements, moderately shade tolerant. Production: 10–20 m3/ha/year. Timber: Density, S.G. 0.60–0.75; natural durability, good, moderate; sawing, easy; seasoning, easy; silica in wood. Utilization: Sawn timber, heavy construction, light construction, and furniture; veneer-plywood. Nursery: Seed sources, Colombia; seeds per kg, 1,000; storage, dry, cold, and airtight for up to 1 year; pretreatment, none; planting stock, potted, striplings, bare-rooted plants; germinates in 8–20 days. Pests and diseases: None of importance reported.

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Water Balance at Chocó, Quibdó, Colombia

50. Casuarina equisetifolia L Taxonomy: Family, Casuarinaceae; synonyms, Casuarina excelsa Denhn. ex. Miq.; local or trade names, Nokonoko, Coast She Oak, Casuarina, Tin-yu. Natural occurrence: Latitudes, 22 N–22 S; areas, coastal dunes of SE Asia and Australia; altitudinal range, 0–1,400 m. Climate: Mean annual rainfall, 750–2,500 mm; rainfall regime, winter-summer; dry season, 3–4 months; mean max temp hottest month 20–35  C; mean min temp coldest month, 10–20  C; mean annual temp, 18–26  C. Soil: Texture, light; reaction, alkaline-neutral; free drainage; tolerates acid and saline soils. Silviculture: Size, 20–40 m in height; evergreen; light crowned; form, exceptional; light requirements, strongly demanding; fast growing; poor coppicing potential; requires wide spacing; mycorrhizal association; fixes nitrogen; resists salty winds. Production: 6–18 m3/ha/year. Planting objectives: Rehabilitation of eroded soils, degraded forest areas, and mining areas; urban plantation; erosion controller and windbreaks. Timber: Density, S.G. 0.65–0.75; natural durability, moderate; preservation, fair; sawing, easy; seasoning, difficult; very hard. Utilization: Sawn timber, heavy construction and boat building; building poles, transmission poles, fence posts, fuel, charcoal, and short fiber pulp; ornamental; tannins. Nursery: Seed sources, nearly all tropical and subtropical coastal areas; seeds per kg, 700,000–800,000; storage, indoor temp for 1–2 years; pretreatment, none; planting stock, potted, bare-rooted plants; shade in nurseries; germinates in 40 days; plantable size in 4–8 months. Pests and diseases: In nurseries “scolytine beetle” Hypothenemus birmanus attacks.

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Water Balance at Condong, NSW, Australia

51. Cedrela odorata L. Taxonomy: Family, Meliaceae; synonyms, Cedrela mexicana M. Roem.; local or trade names, Spanish Cedar, Cedro. Natural occurrence: Latitudes, 24 N–27 S; areas, Central and South America from Mexico to Bolivia and Argentina; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 1,600–2,500 mm; rainfall regime, summer-uniform; dry season, 2–4 months; mean max temp hottest month, 24–32  C; mean min temp coldest month, 11–22  C; mean annual temp, 22–32  C. Soil: Texture, light-medium-heavy; reaction, neutral; free drainage; prefers fertile soils. Silviculture: Size, 30–40 m in height; deciduous; buttresses; form, acceptable; light requirements, strongly demanding; categorized as Vulnerable by the IUCN Red List. Production: 11–22 m3/ha/year. Planting objectives: Rehabilitation of degraded forest areas/shade tree for coffee. Timber: Density, S.G. 0.37–0.45; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, easy; decorative; scented. Utilization: Sawn timber, light construction, furniture, and boxes; veneer-plywood. Nursery: Seed sources, South and Central America, Trinidad; seeds per kg, 45,000–60,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, none; planting stock, potted, striplings; prefers shade in nursery; germinates in 14–28 days; plantable size in 12–15 months. Pests and diseases: The shoot borer Hypsipyla grandella is a major pest. It attacks in the Americas and can be avoided by maintaining optimum vigor by mixing with other species. Hypothenemus pusillus or “scolytine beetle” attacks seedlings in nurseries.

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Water Balance at Balaclava, Jamaica

52. Cedrus deodara (Roxb. ex Lamb.) G. Don. Taxonomy: Family, Pinaceae; local or trade names, Deodar Cedar, Cedro del Himalaya, Dedwar. Natural occurrence: Latitudes, 7–40 N; areas, Afghanistan, China, India, Nepal, Pakistan; altitudinal range, 1,200–3,500 m. Climate: Mean annual rainfall, 200–1,800 mm; mean annual temp, 12–17  C. Silviculture: Size, 15–50 m in height; evergreen; form, pyramidal; frost resistant. Timber: Natural durability, good; sawing, easy. Planting objectives: Rehabilitation of mining areas/urban plantation. Utilization: Sawn timber, furniture, light construction, railway, carpentry; fuel, plywood; medicinal; ornamental. Nursery: Seed sources, Afghanistan, Pakistan, India, Nepal; seeds per kg, 8,100–15,000; storage, sealed containers in 1 to 5  C; pretreatment, stratify in moist sand at 4  C for 30 days; germinates in 15–20 days. Pests and diseases: Attacked by a diverse fungus species: Fomes annosus, Peridermium cedri, Pestalotiopsis cryptomeriae, and Ectropis deodarae. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Cherat, Pakistan

53. Ceiba pentandra (L.) Gaertn. Taxonomy: Family, Malvaceae; synonyms, Bombax pentandrum L.; local or trade names, Ceiba, Fromager, Kapok, Pochote, Silk Cotton Tree, Sumauma. Natural occurrence: Latitudes, 40 N–13 S; areas, Native from India, Indonesia, and the USA. Naturalized in Southern Africa; altitudinal range, 0–900 m. Climate: Mean annual rainfall, 750–3,000 mm; dry season,

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0–6 months; mean annual temp, 18–38  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage. Silviculture: Size, 40–50 m in height; deciduous; form, exceptional; buttresses; light requirements, strongly demanding; susceptible to fire. Production: 6–8 m3/ha/ year. Timber: Natural durability, poor; preservation, difficult; sawing, easy; seasoning, poor. Planting objectives: Rehabilitation of eroded soils and degraded mining areas. Utilization: Sawn timber, light construction; veneer-plywood; apiculture; fiber from fruits, Kapok; fodder, foliage; medicinal; oil, from seeds. Nursery: Seed storage, short viability; planting stock, potted; plantable size in 8–12 months. Pests and diseases: None of important reported. 450 400 350 300 250 200 150 100 50 0 -50

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Water Balance at Saugor, India

54. Cleistopholis glauca Pierre ex Engl. & Diels. Taxonomy: Family, Annonaceae; synonyms, Cleistopholis grandiflora De Willd.; local or trade names, Avom, Ovok. Natural occurrence: Latitudes, 6 S–5 N; areas, Tropical Central Africa; altitudinal range, 0–200 m. Climate: Mean annual rainfall, 1,600–5,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 28–36  C; mean min temp coldest month, 20–26  C; mean annual temp, 25–30  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage. Silviculture: Size, 30–40 m in height; evergreen; form, exceptional; light requirements, strongly demanding. Production: 25–40 m3/ha/year. Timber: Density, S.G. 0.25–0.40; natural durability, poor; preservation, easy; sawing, easy; seasoning, fair; whitewood, straight grained. Utilization: Sawn timber, light construction, joinery, and boxes; short fiber pulp and core veneer-plywood. Nursery: Seed sources, Zaire, Solomon Islands, Congo; seeds per kg, 1,200–1,500; storage, cold, sealed for several years; pretreatment, none; planting stock, potted; germinates in 28–40 days; plantable size in 6 months. Pests and diseases: None of importance reported.

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Water Balance at Axim, Ghana

55. Clusia moaensis Borhidi & O. Muñiz. Taxonomy: Family, Clusiaceae. Natural occurrence: Latitudes, 20–23 N; areas, Cuba; altitudinal range, 0–550 m. Climate: Mean annual rainfall, 1,000–1,600 mm. Silviculture: Categorized as Vulnerable by the Red List of the Vascular Flora of Cuba. Planting objectives: Rehabilitation of mining areas. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Santiago de Cuba, Cuba

56. Cocos nucifera L. Taxonomy: Family, Arecaceae; synonyms, Calappa nucifera (L.) Kuntze.; local or trade names, Red Palm, Coconut Palm, Cocotero. Natural occurrence: Latitudes, 15 N–1 S; areas, throughout the tropics worldwide; altitudinal range, 0–750 m. Climate: Mean annual rainfall, 1,250–2,500 mm; dry season, 0–3 months; mean annual temp, 26–27  C. Soil: Texture, lightmedium; prefers deep soils; sites with a groundwater table at 1–3 m deep. Silviculture: Size, 10–20 m in height; evergreen; form, acceptable; spacing, 8 m (140–160 trees/ha). Production: Copra 500–1,000 kg/ha/year. Planting objectives: Rehabilitation of eroded areas. Timber: Density, S.G. 0.68–0.85. Utilization: Stem, tools, furniture; fuelwood; fruit, copra and juice. Nursery: Seed pretreatment, none; planting stock, bare rooted; germinates in 56 days; plantable size in 7 months. Pests and diseases: None of importance reported.

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Water Balance at Bogor, West Java, Indonesia

57. Colophospermum mopane (Benth.) Leonard. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Copaifera mopane Benth.; local or trade names, Mopane, Musaru, Lipani, Turpentine tree. Natural occurrence: Latitudes, 10 N–25 S; areas, native of Central and Southern Africa. Naturalized in arid zones of India; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 200–750 mm; rainfall regime, summer; dry season, 5–8 months; mean max temp hottest month, 34–36  C; mean min temp coldest month, 12–16  C; mean annual temp, 22–28  C. Soil: Texture, heavy-medium; reaction, neutral-alkaline; tolerates waterlogged; tolerates dry saline sites. Silviculture: Size, 10–20 m in height; deciduous; form, acceptable; light requirements, light demander; coppices; fixes nitrogen. Planting objectives: Soil stabilization and rehabilitation of mining areas. Timber: Density, S.G. 0.88–1.08; natural durability, very durable; sawing, difficult; seasoning, difficult; heavy dark wood; black gum. Utilization: Sawn timber, furniture, railway sleepers, flooring, heavy construction, and boat building; mine props, turnery, fence posts, bridge piles, and firewood; fodder, fruits and foliage. Nursery: Pretreatment, none; planting stock, pod in direct sown. Pests and diseases: Gonimbrasia belina “mopane worm” feeds on leaves. Lyctus sp. beetle and termite resistant. 300 250 200 150 100 50 0 J

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Water Balance at Sao Salvador do Congo, Angola

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58. Colubrina arborescens (Mill.) Sarg. Taxonomy: Family, Rhamnaceae; synonyms, Ceanothus arborescens Mill.; local or trade names, Mabí, Coffee Colubrina, Greenheart, Wild coffee, Snakebark, Black-bead Tree, Abeyelo, Corazón de Paloma, Bijáguara, Cascalata, Bois de Fer. Natural occurrence: Latitudes, 8–30 N; areas, native to southern Florida, the Bahamas, the West Indies, and from Southern Mexico to Panama; altitudinal range, 0–600 m. Climate: Mean annual rainfall, 700–2,500 mm. Soil: Occurs in deep sands, porous limestone, and on moist and fertile soils; prefers well-drained soils; tolerates moderate amounts of salty wind and saline soils; light requirements, strongly demanding. Silviculture: Size, 3–25 m in height; evergreen. Planting objectives: Rehabilitation of mining areas, urban plantation, reclamation plantings, erosion control. Timber: Density, S.G. 0.67 0.82; preservation, difficult; sawing, difficult. Utilization: Sawn timber, light construction, railways, and fine furniture; fuel, fodder, posts, and poles; apiculture; medicinal; ornamental; seeds used in handcrafts. Nursery: Seeds per kg, 50,000 65,000; pretreatment, soaking during 2 min in concentrated sulfuric acid or mechanical scarification; germination, 40 60 % in 12–16 days without treatment. Pests and diseases: In the nursery, a virus transmitted by the “citrus aphid” Toxoptera aurantii causes leaves to exhibit mosaic-type symptoms, with a mottled appearance and curled, shriveled leaf margins. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Cayo Boca Chica, Key West, Florida, USA

59. Conocarpus lancifolius Engl. Taxonomy: Family, Combretaceae; local or trade names, Damas, Tug Tree. Natural occurrence: Latitudes, 10–11 N; areas, Somalia; altitudinal range, 0–800 m. Climate: Mean annual rainfall, 250–600 mm; rainfall regime, summer; dry season, 6–8 months; mean max temp hottest month, 25–39  C; mean min temp coldest month, 22–25  C; mean annual temp, 24–30  C. Soil: Texture, light; reaction, alkaline-neutral; seasonally waterlogged; tolerates moderately saline soils. Silviculture: Size, 15–18 m in height; evergreen; light crowned; form, acceptable; light requirements, strongly demanding; frequently used in irrigated plantations. Production: 5–10 m3/ha/year. Planting objectives: Shade and shelter. Timber: Density, S.G. 0.81; natural durability, good; sawing, easy; interlocked grain. Utilization: Sawn timber, light construction and boat building; building poles, fence posts, fodder, fuel, and charcoal. Nursery: Seed sources, Somalia, Sudan; seeds per kg, 1,000,000–2,000,000; pretreatment, none; planting stock, potted, cuttings, stumps; low germination capacity; sow uncovered; difficult to raise; germinates in 18–25 days; plantable size in 12–18 months. Pests and diseases: Susceptible to damping off.

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Water Balance at Oddur, Somalia

60. Cordia alliodora (Ruiz & Pav.) Oken. Taxonomy: Family, Boraginaceae.; synonyms, Gerascanthus alliodorus (Ruiz & Pav.) M. Kuhlm. & Mattos.; local or trade name, Laurel Blanco, Chamisso, Creole, Salmwood. Natural occurrence: Latitudes, 20 N–25 S; areas, Central America West Indies, South America, Peru, Brazil; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 1,000–4,000 mm; rainfall regime, uniform; dry season, 0–4 months; mean max temp hottest month, 26–32  C; mean min temp coldest month, 16–25  C; mean annual temp, 20–27  C. Soil: Texture, medium-heavy; reaction, alkaline-neutral; free drainage. Silviculture: Size, 25–30 m in height; deciduous; buttresses when adult; form, exceptional; light requirements, strongly demanding; coppices; requires wide spacing. Production: 10–20 m3/ha/year. Planting objectives: Rehabilitation of degraded forest/shade. Timber: Density, S.G. 0.45–0.55; natural durability, moderate; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction and furniture; veneer-plywood. Nursery: Seed sources, Tropical South and Central America and the West Indies; seeds per kg, 20,000–30,000; storage, dry, cold, airtight short-lived viability; pretreatment, none; planting stock, stumps, directly sown; germinates in 15–30 days; plantable size in 9–12 months. Pests and diseases: Very susceptible to various defoliators and cancer forming Puccinia cordiae in South America. 140 120 100 80 60 40 20 0 J

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Water Balance at Huancayo, Peru

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61. Corymbia citriodora (Hook.) K.D. Hill & L.A.S. Johnson Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus citriodora Hook.; local or trade names, Lemon-Scented Gum, Lemon Eucalyptus. Natural occurrence: Latitudes, 15–25 S; areas, Central and Northern coastal Queensland, Australia; altitudinal range, 0–1,800 m. Climate: Mean annual rainfall, 650–1,600 mm; rainfall regime, winter-summer; dry season, 2–6 months; mean max temp hottest month, 24–34  C; mean min temp coldest month, 8–12  C; mean annual temp, 17–24  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; prefers deep soils. Silviculture: Size, 30–40 m in height; evergreen; form, exceptional; light requirements, strongly demanding; poor coppicing potential. Production: 10–21 m3/ha/year. Timber: Density, S.G. 0.75–1.03; natural durability, moderate; preservation, fair; sawing, easy; seasoning, fair. Utilization: Sawn timber, heavy construction and light construction; building poles, transmission poles, fence posts, fuel, charcoal, and short fiber pulp; oil. Nursery: Seed sources, Australia and main tropical countries; seeds per kg, 200,000–220,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 4–19 days; plantable size in 5–6 months. Pests and diseases: Very liable to be attacked by termites when young. Resists attack from Gonipterus beetle. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Maryborough, QLD, Australia

62. Corymbia maculata (Hook.) K.D. Hill & L.A.S. Johnson Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus maculata Hook.; local or trade names, Spotted Gum, Broad-leaved Spotted Gum. Natural occurrence: Latitudes, 37–33 S; areas, Coastal areas of New South Wales from Manning River Valley S. to Bega, with an outlier to the S. at Mottle Range, Northeastern Victoria, Australia; altitudinal range, 0–650 m. Climate: Mean annual rainfall, 620–1,250 mm; rainfall regime, summer-uniform; dry season, 2–4 months; mean max temp hottest month, 24–32  C; mean min temp coldest month, 2–12  C; mean annual temp, 15–20  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage; prefers deep soils. Silviculture: Size, 30–45 m in height; evergreen; DBH, 1.3 m; form, exceptional; light requirements, strongly demanding; coppices; moderately fire resistant; windfirm. Production: 21–35 m3/ha/year. Timber: Density, S.G. 0.71–1.10; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, fair; interlocked grain. Utilization: Sawn timber, heavy construction, light construction, and boxes; transmission poles, fence posts, fuel, charcoal,

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and veneer-plywood. Nursery: Seed sources, Australia, S Africa, Kenya; seeds per kg, 150,000–180,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted, bare-rooted plants; germinates in 6–7 days. Pests and diseases: Very susceptible to termite attack when young. 160 140 120 100 80 60 40 20 0 J

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Water Balance at Taree, NSW, Australia

63. Corymbia stockeri (D.J. Carr & S.G. M. Carr) K.D. Hill & L.A.S. Johnson. Taxonomy: Family, Myrtaceae; synonyms, Corymbia stockeri sbsp. stockeri, Eucalyptus stockeri D.J. Carr.& S.G.M. Carr.; local or trade names: Blotchy Bloodwood, Gum-Topped Bloodwood. Natural occurrence: Latitudes, 10–20 S; areas, Found in East Coast in Northern Queensland, from Cape York Peninsula to Townsville, Australia. Climate: Mean annual rainfall, 1,000–1,600 mm. Soil: Occurs in enriched sandy, mildly acidic to mildly alkaline soils; prefers sandstone rocks or sandstone plateaus; tolerates dry to moist soils. Silviculture: Size, 6–22 m in height; evergreen; light requirements, strongly demanding/100 stems/ha. Planting objectives: Rehabilitation of bauxite mining areas/shade. Pests and diseases: None of importance reported. 160 140 120 100 80 60 40 20 0

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Water Balance at Kempsey, NSW, Australia

64. Cryptomeria japonica (Thunb. ex L.f.) D. Don. Taxonomy: Family, Cupressaceae; synonyms, Cupressus japonica Thunb. ex L.f.; local or trade names, Yoshino, Japanese Cedar, Sugi. Natural occurrence: Latitudes, 30–40 N; areas,

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China, Japan; altitudinal range, 1,500–2,400 m. Climate: Mean annual rainfall, 1,500–2,500 mm; rainfall regime, winter-summer-uniform; dry season, 0–2 months; mean max temp hottest month, 18–25  C; mean min temp coldest month, 2–13  C; mean annual temp, 10–18  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage, moist; prefers fertile and deep soils. Silviculture: Size, 35–50 m in height; evergreen; form, exceptional; light requirements, shade tolerant; tolerates salt winds; frost resistant; categorized as Near Threatened by the IUCN Red List. Production: 10–33 m3/ha/year. Planting objectives: Shade and winds. Timber: Density, S.G. 0.25–0.35; natural durability, moderately; preservation, easy; sawing, easy; seasoning, easy; soft. Utilization: Sawn timber, light construction and boxes; veneer-plywood. Nursery: Seed sources, Japan, New Zealand; seeds per kg, 330,000–400,000; pretreatment, none; planting stock, potted or cuttings. With low germination capacity, use large plants; germinates in 14–28 days; plantable size in 12 months. Pests and diseases: Resistant to cypress cancer. 350 300 250 200 150 100 50 0 J

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Water Balance at Nagasaki, Kyushú, Japan

65. Cunninghamia lanceolata (Lamb.) Hook. Taxonomy: Family, Cupressaceae; synonyms, Cunninghamia sinensis R.Br.; local or trade names, Chinese Fir, China-Fir. Natural occurrence: Latitudes, 23–35 N; areas, S China and Taiwan; altitudinal range, 500–1,800 m. Climate: Mean annual rainfall, 1,100–1,900 mm; rainfall regime, summer; dry season, 3–5 months; mean max temp hottest month, 22–27  C; mean min temp coldest month, 0–9  C; mean annual temp, 15–20  C. Soil: Texture, light; reaction, acid-neutral; free drainage. Silviculture: Size, 20–50 m in height; evergreen; form, exceptional-acceptable; light requirements, light demanding tolerant; coppices; self-pruning; rotation, 15 years for pulp, 50 years for timber; frost tolerant. Production: Up to 36 m3/ha/year. Planting objectives: Windbreaks. Timber: Density, S.G. 0.4; natural durability, very durable; sawing, easy; scented timber. Utilization: Sawn timber, construction, carpentry, boat building, and boxes; long fiber pulp. Nursery: Seed sources, France, Netherlands, Brazil, China, India; seeds per kg, 202,700; storage, dry for up to one year; planting stock, bare-rooted seedlings, stumps, cuttings; shade young trees lightly; germination, 50 % in 21 days; plantable size in 12 months. Pests and diseases: Fusarium and Rhizoctonia wilt and infect nursery stock. Agrobacterium tumefaciens root disease.

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Water Balance at Yunnan, Kunming, China

66. Cupressus arizonica Greene. Taxonomy: Family, Cupressaceae; synonyms, Cupressus glabra Sudw.; local or trade names, Arizona Cypress, Ciprés de Arizona, Ciprés Azul. Natural occurrence: Latitudes, 25–35 N; areas, Southern Arizona and New Mexico, Northern Mexico; altitudinal range, 1,500–2,800 m. Climate: Mean annual rainfall, 250–750 mm; rainfall regime, winter-uniform; dry season, 4–7 months; mean max temp hottest month, 20–35  C; mean min temp coldest month, 0–5  C; mean annual temp, 15–18  C. Soil: Texture, light-medium; reaction, alkalineneutral; free drainage. Silviculture: Size, 10–20 m in height; evergreen; open crowned; form, moderate; light requirements, shade tolerant; frost resistant. Production: 3–5 m3/ha/year. Planting objectives: Erosion controller and windbreaks. Timber: Density, S.G. 0.45–0.55; natural durability, moderate; sawing, easy. Utilization: Sawn timber, furniture and boxes/fence posts, fuel, and charcoal. Nursery: Seed sources, the USA, Mexico; seeds per kg, 88,000–100,000; storage, dry, cold, and airtight for several years; pretreatment, stratify in damp sand for 30 days; planting stock, potted; low germination capacity; germinates in 18–30 days; plantable size in 15–18 months. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Clifton, Arizona, USA

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67. Cupressus lusitanica Mill. Taxonomy: Family, Cupressaceae; synonyms, Cupressus coulteri J. Forbes, Cupressus excelsa J. Scott ex Carrière; local or trade names, Mexican Cypress, Portuguese Cedar, Kenya Cypress, Cedar of Goa. Natural occurrence: Latitudes, 2–15 N; areas, Mountains of S Mexico through Guatemala, Honduras, and El Salvador; altitudinal range, 1,300–3,300 m. Climate: Mean annual rainfall, 1,000–1,500 mm; rainfall regime, summer-uniform; dry season, 2–3 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 4–14  C; mean annual temp, 10–17  C. Soil: Texture, medium; reaction, neutral-acid; free drainage, moist; prefers deep soils. Silviculture: Size, 20–30 m in height; evergreen; form, acceptable; light requirements, shade tolerant; frost resistant. Production: 15–40 m3/ha/year. Planting objectives: Shade, shelter, and windbreaks. Timber: Density, S.G. 0.40–0.48; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, easy; fissile; fine softwood. Utilization: Sawn timber, heavy construction, light construction, joinery, furniture, and boxes; building poles, long fiber pulp, and plywood. Nursery: Seed sources, Kenya, Tanzania, Mexico, Guatemala; seeds per kg, 170,000–320,000; storage, dry, cold, and airtight for several years; pretreatment, stratify in damp sand for 30 days; planting stock, potted, bare-rooted plants; frost tender in nurseries; germinates in 35 days; plantable size in 12–24 months. Pests and diseases: Cancer Monochaetia unicornis attacks in some provenances. The timber borer Oemida gahani appears by pruning wounds degrading timber. 250 200 150 100 50 0 J

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Water Balance at Amatitlán, Guatemala

68. Cupressus macrocarpa Hartw. Taxonomy: Family, Cupressaceae; synonyms, Cupressus hartwegii Carrière, Cupressus lambertiana Carrière; local or trade name, Monterey Cypress. Natural occurrence: Latitudes, 36–37 N; areas, limited area at Monterrey on the Californian coast, USA; altitudinal range, 1,200–3,500 m. Climate: Mean annual rainfall, 700–1,600 mm; rainfall regime, winter; dry season, 2–4 months; mean max temp hottest month, 20–32  C; mean min temp coldest month, 0–11  C; mean annual temp, 14–20  C. Soil: Texture, light-medium; reaction, alkaline-neutralacid; occurs in sandy, loamy, clay soils; free drainage; tolerates moderate saline soils. Silviculture: Size, 15–25 m in height; evergreen; fast growing; form, poor; light requirements, shade tolerant; tolerates salt winds; frost resistant. Production: 11–25 m3/ha/year. Planting objectives: Urban plantation/windbreaks and dune fixation. Timber: Density, S.G. 0.42–0.51; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, fair; branching leads to knotty timber if not pruned. Utilization: Sawn timber, light construction; building poles, Page 55 of 157

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fence posts, fuel and charcoal, veneer-plywood; medicinal; ornamental. Nursery: Seed sources, the USA, New Zealand; seeds per kg, 140,000–150,000; storage, dry, cold, and airtight for several years; pretreatment, stratify in damp sand for 30 days; planting stock, potted, bare-rooted plants; low germination capacity; germinates in 20–26 days; plantable size in 24 months. Pests and diseases: Very susceptible to various cancers wherever grown. The timber borer Oemida gahani appears by pruning wounds degrading timber 140 120 100 80 60 40 20 0 -20

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Water Balance at Monterey, California, USA

69. Cupressus torulosa D. Don. Taxonomy: Family, Cupressaceae; synonyms, Thuja curviramea Miq.; local or trade name, Bhutan cypress. Natural occurrence: Latitudes, 28–32 N; areas, Western Himalayas to Bhutan; altitudinal range, 1,500–2,800 m. Climate: Mean annual rainfall, 650–1,000 mm; rainfall regime, summer-uniform; dry season, 3–4 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 2–14  C; mean annual temp, 12–19  C. Soil: Texture, lightmedium; reaction, neutral-acid; free drainage; adaptable to most soil conditions. Silviculture: Size, 30–40 m in height; evergreen; form, acceptable; light requirements, moderately demanding; frost resistant. Production: 12–17 m3/ha/year. Planting objectives: Rehabilitation of eroded areas/shade, shelter, and windbreaks. Timber: Density, S.G. 0.48–0.52; natural durability, good; preservation, difficult; sawing, easy; seasoning, difficult; not knotty unless pruned. Utilization: Sawn timber, heavy construction and light construction/building poles and fence posts. Nursery: Seed sources, Kenya, Pakistan, India; seeds per kg, 160,000–250,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, stratify in damp sand; planting stock, potted, bare-rooted plants; germinates in 14–28 days; plantable size in 12–24 months. Pests and diseases: Reported to be less susceptible to Monochaetia unicornis than other cypresses.

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Water Balance at Katmandu, Nepal

70. Dalbergia nigra (Vell.) Benth. Taxonomy: Family, Leguminosae; subfamily, Papilionoideae; synonyms, Pterocarpus niger Vell.; local or trade names, Brazilian Rosewood, Bahia Rosewood, Jacaranda. Natural occurrence: Latitudes, 17–21 S; areas, South of Bahia to Minas Gerais, Brazil; altitudinal range, 750–850 m. Climate: Mean annual rainfall, over 1,300 mm; rainfall regime, summer-uniform. Soil: Texture, medium-heavy; free drainage; prefers deep soils; tolerates acid soils. Silviculture: Size, 15–25 m in height; form, acceptable; fixes nitrogen. Timber: Density, S.G. 0.68–0.84; natural durability, good; sawing, easy; decorative, most valuable Brazil wood. Utilization: Sawn timber, furniture, cabinetry, flooring, and musical instruments; veneer. Nursery: Seeds per kg, 14,000; planting stock, cuttings or potted; germinates in 12–25 days. Pests and diseases: None of importance reported. 140 120 100 80 60 40 20 0 J

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Water Balance at Vitoria da Conquista, Bahia, Brazil

71. Dalbergia sissoo DC. Taxonomy: Family, Leguminosae; subfamily, Papilionoideae; synonyms, Amerimnon sissoo (Roxb.) Kuntze.; local or trade names, Shisham, Indian Rosewood, Sissoo, Sisu. Natural occurrence: Latitudes, 23–30 N; areas, Afghanistan, Bangladesh, Bhutan, India, Malaysia, Pakistan, and the Philippines; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 500–4,000 mm; rainfall regime, summer; dry season, up to 6 months; mean max temp hottest

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month, 34–45  C; mean min temp coldest month, 2 to 5  C; mean annual temp, 18–26  C. Soil: Texture, light-medium; reaction, neutral-acid; good, seasonally inundated; river beds and river flats. Tolerates acid soils. Silviculture: Size, 30 m in height; deciduous; form, acceptable; light requirements, strongly demanding; coppices; fixes nitrogen; frost resistant. Production: 5–8 m3/ha/year. Planting objectives: Erosion controller in gullies and dunes. Timber: Density, S.G. 0.78–0.83; natural durability, durable; preservation, sapwood easily treated; sawing, easy; seasoning, easy. Utilization: Sawn timber, carpentry, furniture, and carriages; veneer, wheels, fuelwood, transmission poles, and fence posts; fodder, foliage; bee forage. Nursery: Seed sources, India, Pakistan, Sudan, Kenya, Cyprus; seeds per kg, 45,000–55,000; storage, dry, cold, sealed for 1–2 years; pretreatment, soak in water, 48 h; planting stock, potted, stumps, root suckers, branch cuttings; germination, 85–95 % in 7–15 days; plantable size in 12–15 months. Pests and diseases: Mixed species plantations recommended to combat weeds and pests; termites attack young plants. 350 300 250 200 150 100 50 0 J

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Water Balance at Jessore, Bangladesh

72. Delonix regia (Hook.) Raf. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Poinciana regia Hook; local or trade names, Flamboyant, Flame of the Forest, Royal Poinciana, Seinban, Hang nok yung farang, Phuong. Natural occurrence: Latitudes, 12–25 S; area, Madagascar; altitude range, 0–2,000 m. Climate: Mean annual rainfall, 700–1,800 mm; rainfall regime, summeruniform; dry season, 1–6 months; mean max temp hottest month, 22–35  C; mean min temp coldest month, 6–18  C; mean annual temp, 14–26  C. Soil: Texture, light; reaction, neutral; free drainage; tolerates poor and saline soils. Silviculture: Size, 10–30 m in height; semideciduous; buttressed; light requirements, moderately demanding; fixes nitrogen; fast growing. Planting objectives: Rehabilitation of degraded areas/urban plantation/reclamation planting/ shade. Utilization: Fuel, charcoal, fodder, posts, and poles/apiculture/ornamental. Nursery: Seeds per kg, 1,600–9,300; pretreatment, 100 % germination was achieved with pre-sowing treatments (seed scarified-chipped with a scalpel) on a germination medium of 1 % agar at a cycle of 8 h of daylight at 25  C and 16 h of darkness at 10  C. Pests and diseases: None of importance reported.

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Water Balance at Mahajanga, Madagascar

73. Dendrocalamus giganteus Munro [Bamboo] Taxonomy: Family, Poaceae; subfamily, Bambusoideae; synonyms, Bambusa gigantean Wall., Sinocalamus giganteus (Munro) Keng f.; local or trade names, Giant Bamboo, BudumBans, Wabo, Phai-Po. Natural occurrence: Latitudes, 10–28 N; areas, Native from Burma, Vietnam, and Thailand; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 1,000–1,500 mm; rainfall regime, summer-uniform; mean max temp hottest month, 25–40  C; mean min temp coldest month, 2  C; mean annual temp, 15–40  C; dry season, 0–6 months. Soil: Texture, medium-heavy; free drainage; reaction, acid-neutral-alkaline; prefers rich soils in humid sites. Silviculture: Size, 30 m; DBH, 20 cm; evergreen; light requirements, moderate-strongly demanding; shade tolerant; sucker ability; coppices. Planting objectives: Urban plantation/erosion control. Utilization: Stems used for light construction, heavy construction, water pipes, paneling, fences, pulp, and fuelwood; edible shoots; fodder, foliage; ornamental. Nursery: Planting stock, seeds or cuttings. Pests and diseases: The “powder posts beetles” Dinoderus minutus causes damage to harvested culms. 350 300 250 200 150 100 50 0 J

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Water Balance at Chiang Mai, Thailand

74. Elaeagnus angustifolia L. Taxonomy Family, Elaeagnaceae; synonyms, Elaeagnus oxycarpa Schltdl.; local or trade names, Russian olive. Natural occurrence: Latitudes, 30–44 N; areas, Eastern Europe and Central and Western Asia; altitudinal range, 1,600–2,500 m. Climate: Mean annual rainfall, Page 59 of 157

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250–600 mm; rainfall regime, winter; dry season, 6–8 months; mean max temp hottest month, 30–32  C; mean min temp coldest month, 0–10  C; mean annual temp, 8–14  C. Soil: Texture, light-medium; reaction, alkaline-neutral; free drainage; tolerates saline soils. Silviculture: Size, 4–8 m in height; deciduous; spiny; form, poor; light requirements, strongly demanding; coppices; fixes nitrogen; frost resistant. Production: 3–5 m3/ha/year. Planting objectives: Erosion control, windbreaks, and dune fixation. Timber: S.G. 0.55–0.69; natural durability, poor. Utilization: Fuel and charcoal. Nursery: Seed sources, the USA, Turkey, Israel, Iran; seeds per kg, 10,000–12,000; storage, ambient temp for several years; pretreatment, stratify in damp sand for 60 days; planting stock, potted, cuttings; germinates in 30–40 days; plantable size in 6–8 months. Pests and diseases: None of importance reported. 160 140 120 100 80 60 40 20 0 −20

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Water Balance at Kayseri, Turkey

75. Elaeis guineensis Jacq. Taxonomy: Family, Arecaceae; synonyms, Palma oleosa Mill.; local or trade names, Palma Africana, Oil Palm, Palmier a Huile, Coroto de Guinea. Natural occurrence: Latitudes, 10 S–10 N; areas, found in Portuguese Guinea but occurs in all tropical wet Africa; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 1,000–3,000 mm; dry season, 0–3 months; mean annual temp, 16–26  C. Soil: Texture, medium; reaction, neutral-acid; free drainage, max 14 days waterlogged; prefers deep or clay soils; tolerates acidic soils. Silviculture: Size, 12–20 m in height; diameter 30–60 cm; evergreen; form, acceptable; light requirements, strongly demanding; spacing, 9  9  9 m/120–143 trees/ha. Production: Palm Oil 3–4 t/ ha/year. Utilization: Primarily used for palm oil extraction/fuel. Nursery: Pretreatment, dry heat method; planting stock, potted, bare-rooted stock; germinates in 60–90 days; plantable size in 12–18 months. Pests and diseases: The pests that attack the oil palm are the black-reddish bumblebees Rhynchophorus palmarum, drills and destroy internal tissues of the stem. Some defoliator worms like Opsiphanes cassina appear at 7 years, and Sibine sp. attacks the plant. One of the many diseases is the syndrome of red ring and small leaf caused by Bursaphelenchus cocophilus and usually appears at age of 5.

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Water Balance at Bissau, Portuguese Guinea

76. Entandrophragma utile (Dawe & Sprague) Sprague Taxonomy: Family, Meliaceae; synonyms, Pseudocedrela utilis Dawe & Sprague; local or trade names, Acajou, Assie, Sipo. Natural occurrence: Latitudes, 23 N–35 S; areas, tropical Africa; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 1,400–2,500 mm; dry season, 2–4 months; mean annual temp, 24–26  C. Soil: Free drainage; prefers deep soils. Silviculture: Size, 50–60 m in height; deciduous; buttresses; form, exceptional; light requirements, strongly demanding; ideal for enrichment planting. Planting objectives: Rehabilitation on degraded areas. Timber: Density, S.G. 0.53–0.75; natural durability, good; sawing, easy; seasoning, easy; similar to real mahogany. Utilization: Sawn timber, furniture and boat building; veneer-plywood; handcraft. Nursery: Seed sources, Cote d’Ivoire, Ghana; seeds per kg, 2,000–2,700; pretreatment, acid treatment; planting stock, potted; root pruning required; germinates in 14–21 days; plantable size in 12–24 months, minimum size 50 cm. Pests and diseases: Attacked by borers Hypsipyla robusta and Xylosandrus compactus. Trunk rot caused by Phellinus sp. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Kampala, Uganda

77. Enterolobium cyclocarpum (Jacq.) Griseb. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; local or trade names, Tamboril, Earpod tree, Conacaste, Guanacaste. Natural occurrence: Latitudes, 23–7 N; areas, Brazil, Colombia, Guyana, Mexico, the USA, Venezuela; altitudinal range, 0–1,200 m. Climate: Mean Page 61 of 157

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annual rainfall, 750–2,500 mm; rainfall regime, summer-bimodal; dry season, 3–6 months; mean max temp hottest month, 34–41  C; mean min temp coldest month, 14–20  C; mean annual temp, 23–28  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral-acid; free drainage; occurs in alkaline, calcareous, and acidic soils; tolerates deep moist soils, shallow sandy clays, and porous limestone. Silviculture: Size, 8–40 m in height; deciduous; light requirements, strongly demanding; fast growing; fixes nitrogen; coppices. Planting objectives: Rehabilitation on degraded forests/urban plantation/shade and shelter. Timber: Density, S.G. 0.35–0.60; natural durability, moderate; sawing, easy. Utilization: Sawn timber, light construction/fiber, fuel, posts, heavy constructions, fodder, and charcoal; medicinal; ornamental; tannins. Nursery: Seeds per kg, 830–1,300. Pests and diseases: Attacked by Hemiasphondylia enterolobii and Fusarium oxysporum. 300 250 200 150 100 50 0 J

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Water Balance at Iguala, Mexico

78. Erythrophleum chlorostachys (F. Muell.) Baill. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; local or trade names, Leguminous Ironwood, Red Ironwood, Black Bean, Cooktown Ironwood, Camel Poison. Natural occurrence: Latitudes, 11–23 S; areas, from Northeastern Queensland to the Kimberley Region of Western Australia; altitude range, 0–500 m. Climate: Mean annual rainfall, 1,000–1,800 mm. Silviculture: Size, 4–15 m in height; semi-deciduous; foliage presents toxic alkaloids. Planting objectives: Rehabilitation mining areas/urban plantation. Timber: Density, S.G. 1.22; natural durability, good/hard. Utilization: Sawn timber, furniture, railway sleepers, fences, and posts; medicinal; toxic as fodder; ornamental. Nursery: Germination, 10–26 days. Pests and diseases: Highly termite resistant.

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Water Balance at Cooktown, QLD, Australia

79. Escallonia myrtilloides L.f. Taxonomy: Family, Escalloniaceae; synonyms, Escallonia myrtilloides var. myrtilloides; local or trade names, Pagoda, Rodamonte, Tibar, Chilco, Colorado, Cuasa, Atallpa Kiwa, Chanchakuma, Putsu. Natural occurrence: Latitudes, 9 N–19 S; areas, Colombia, Costa Rica, Ecuador, Panama, Peru, Venezuela; altitudinal range, 2,000–4,500 m. Climate: Mean annual rainfall, 1,000–4,000 mm; mean annual temp, 11–17  C. Soil: Occurs along riparian soils; tolerates acidic and organic soils. Silviculture: Size, 5–15 m in height; DBH, 40–60 cm; slow growing. Planting objectives: Rehabilitation on mining areas/urban plantation/shelter. Utilization: Hedge and living fences/medicinal/ornamental. Nursery: Germination, 10–15 days; planting stock, direct sown or cuttings. Pests and diseases: None of importance reported. 160 140 120 100 80 60 40 20 0 J

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Water Balance at Otavalo, Imbabura, Ecuador

80. Escallonia paniculata (Ruiz & Pav.) Schult. Taxonomy: Family, Escalloniaceae; synonyms, Escallonia caracasana Kunth; local or trade names, Tíbar, Tobo. Natural occurrence: Latitudes, 10 N–3 S; areas, Bolivia, Colombia, Costa Rica, Panamá, Venezuela; altitudinal range, 1,000–3,300 m. Climate: Mean annual rainfall, 400–600 mm. Silviculture: Size, 5–15 m in height; diameter, 80 cm; flowering period, September to December. Planting objectives: Urban plantation/erosion control. Utilization: Fuel and posts/coal/handcraft/mining rehabilitation areas/ornamental/rehabilitation of

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watershed areas. Pests and diseases: None of importance reported. 140 120 100 80 60 40 20 0 J

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Water Balance at Cochabamba, Bolivia

81. Eucalyptus bicolor A. Cunn. ex Hook. Taxonomy: Family, Myrtaceae; synonyms, E. largiflorens F. Muell.; local or trade names, Black Box, Boj Negro, Caja de Negro. Natural occurrence: Latitudes, 35–20 S; areas, semiarid areas of Central Australia, in New South Wales, Queensland, South of Australia, and Victoria; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 250–500 mm; rainfall regime, winter-summer-uniform; dry season, 4–8 months; mean max temp hottest month, 30–36  C; mean min temp coldest month, 8–16  C; mean annual temp, 19–25  C. Soil: Texture, heavy; reaction, alkaline-neutral; seasonally waterlogged; tolerates sandy, sandy-loam, and clay; tolerates drought. Silviculture: Size, 10–18 m in height; evergreen; form, poor; light requirements, strongly demanding; coppices; frost resistant. Production: 7–9 m3/ha/year. Planting objectives: Shade, shelter, and windbreaks. Timber: Density, S.G. 0.90–1.00; natural durability, good. Utilization: Building poles, fence posts, fuel, and charcoal. Nursery: Seed sources, Australia; seeds per kg, 400,000–450,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 12–21 days; plantable size in 4–6 months. Pests and diseases: None of importance reported. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Mungindi, NSW, Australia

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82. Eucalyptus botryoides Sm. Taxonomy: Family, Myrtaceae; local or trade names, Bangalay, Southern Mahogany. Natural occurrence: Latitudes, 39–32 S; areas, Coastal Victoria and NSW. Altitudinal range: 800–1,800 m. Climate: Mean annual rainfall, 650–1,000 mm; rainfall regime, summeruniform; dry season, 0–2 months; mean max temp hottest month, 23–29  C; mean min temp coldest month, 3–10  C; mean annual temp, 16–22  C. Soil: Texture, medium-heavy; reaction, acid; seasonally waterlogged; tolerates moderately saline soils. Silviculture: Size, 20–25 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices; tolerates salt winds; moderately frost resistant. Production: 15–35 m3/ha/year. Planting objectives: Shade, shelter, and windbreaks. Timber: Density, S.G. 0.61–0.70; natural durability, moderate; preservation, fair; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, boxes, etc.; transmission poles, fence posts, fuel, charcoal, and short fiber pulp. Nursery: Seed sources, Australia, Argentina, Italy; seeds per kg, 300,000–350,000; storage, dry, cold, airtight for several years; pretreatment, none; planting stock, potted, barerooted plants; germinates in 10 days; plantable size in 6 months. Pests and diseases: Resists Gonipterus beetle attack. 140 120 100 80 60 40 20 0 J

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Water Balance at Nowra, NSW, Australia

83. Eucalyptus brassiana S. T. Blake. Taxonomy: Family, Myrtaceae; local or trade names, Cape York Red Gum, Gum-topped Peppermint, Karo, Eucalipto. Natural occurrence: Latitudes, 8–17 S; areas, Northeastern Cape York Peninsula as far as Helensvale, Queensland, Australia; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 600–2,500 mm; rainfall regime, summer; dry season, 0–7 months; mean max temp hottest month, 31–36  C; mean min temp coldest month, 8–28  C; mean annual temp, 24–27  C. Soil: Texture, medium-heavy; reaction, acid; free drainage; seasonally waterlogged; tolerates infertile soils; occurs on well-drained rocky slopes. Silviculture: Size, 30 m in height; coppices. Planting objectives: Shade and shelter. Utilization: Sawn timber, heavy construction; fuel, posts, pulp, plywood, building poles, hewn building timbers, and fences; honey. Pests and diseases: None of importance reported.

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Water Balance at Cape York, QLD, Australia

84. Eucalyptus brockwayi C.A. Gardner. Taxonomy: Family, Myrtaceae; local or trade names, Dundas Mahogany. Natural occurrence: Latitudes, 31–33 S; areas, restricted area in Western Australia; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 250–400 mm; rainfall regime, winter; dry season, 6–8 months; mean max temp hottest month, 28–34  C; mean min temp coldest month, 10–16  C; mean annual temp, 19–25  C. Soil: Texture, light-medium; reaction, alkaline-neutral; free drainage; tolerates moderately saline soils. Silviculture: Size, 15–22 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices. Production: 4–5 m3/ha/year. Planting objectives: Shade, shelter, and windbreaks. Timber: Density, S.G. 0.75–0.85; natural durability, moderate; tough. Utilization: Building posts, fence posts, fuel, and charcoal; tannins. Nursery: Seed sources, Australia, Morocco; seeds per kg, 350,000–400,000; storage, dry and airtight in ambient temp. Pretreatment, none; planting stock, potted; germinates in 12–16 days; plantable size in 6–9 months. Pests and diseases: None of importance reported. 160 140 120 100 80 60 40 20 0 J

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Water Balance at Coolgardie, WA, Australia

85. Eucalyptus camaldulensis Dehnh. Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus rostrata Schltdl.; local or trade names, River Red Gum. Natural occurrence: Latitudes, 15–38  S; areas, inland Australia;

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altitudinal range, 0–2,000 m. Climate: Mean annual rainfall, 250–1,250 mm; rainfall regime, summer-winter; dry season, 4–8 months; mean max temp hottest month, 22–36  C; mean min temp coldest month, 8–22  C; mean annual temp, 16–26  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral; seasonally waterlogged; free draining; tolerates moderately saline and shallow soils. Silviculture: Size, 30–40 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices; frost tender; tolerates extreme drought. Production: 10–25 m3/ha/year. Planting objectives: Shade and shelter. Timber: Density, S.G. 0.68–0.90; natural durability, moderate; preservation, fair; sawing, easy; seasoning, difficult; tough; interlocked grain. Utilization: Sawn timber, heavy construction, furniture, and packing cases; building poles, transmission poles, fence posts, fuel, charcoal, and short fiber pulp; medicinal. Nursery: Seed sources, Australia specifying provenance; seeds per kg, 700,000–800,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 4–15 days; plantable size in 4 months. Pests and diseases: Young plants liable to termite attack; moderately susceptible to attack by Gonipterus beetle. 160 140 120 100 80 60 40 20 0 J

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Water Balance at Adelaide, SA, Australia

86. Eucalyptus cladocalyx F. Muell. Taxonomy: Family, Myrtaceae; synonyms, E. langii Maiden & Blakely; local or trade name, Sugar Gum. Natural occurrence: Latitudes, 36–32 S; areas, disconnected occurrence in S Australia; altitudinal range, 0–600 m. Climate: Mean annual rainfall, 400–600 mm; rainfall regime, winter-summer; dry season, 3–4 months; mean max temp hottest month, 22–32  C; mean min temp coldest month, 8–18  C; mean annual temp, 15–25  C. Soil: Texture, lightmedium; reaction, neutral-acid; moderately free drainage; tolerates shallow soils and is adaptable to most soil conditions. Silviculture: Size, 8–30 m in height; evergreen; light crowned; form, acceptable; light requirements, strongly demanding; coppices; frost tender. Production: 13–22 m3/ha/year. Planting objectives: Urban plantation/shade, shelter, and windbreaks. Timber: Density, S.G. 1.00–1.10; natural durability, moderate; preservation, easy; sawing, easy; seasoning, fair. Utilization: Sawn timber, heavy construction; building poles, transmission poles, fence posts, fuel, and charcoal; ornamental. Nursery: Seed sources, Australia, S Africa; seeds per kg, 100,000–200,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 13–21 days; plantable size in 6–12 months. Pests and diseases: Immune to attack by Gonipterus beetle.

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Water Balance at Echuca, VIC, Australia

87. Eucalyptus cloeziana F. Muell. Taxonomy: Family, Myrtaceae; synonyms, E. stannariensis F.M. Bailey; local or trade names, Gympie, Messmate. Natural occurrence: Latitudes, 26–16 S; areas, Discontinuous occurrence in Queensland, Australia; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 900–1,600 mm; rainfall regime, summer; dry season, 0–2 months; mean max temp hottest month, 28–32  C; mean min temp coldest month, 6–14  C; mean annual temp, 18–26  C. Soil: Texture, medium; reaction, neutral-acid; free drainage, moist. Silviculture: Size, 35–45 m in height; evergreen; form, exceptional; light requirements, shade tolerant; coppices. Production: 15–34 m3/ha/year. Timber: Density, S.G. 0.80–0.90; natural durability, good; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction; building poles, transmission poles. Nursery: Seed sources, Australia, South Africa, Zambia; seeds per kg, 140,000–160,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; susceptible to damping off; plantable size in 4–5 months. Pests and diseases: Seedlings attacked by termites resist attacks by Gonipterus beetle. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Cooktown, QLD, Australia

88. Eucalyptus crebra F. Muell. Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus racemosa Cav.; local or trade names, Narrow-leaved Iron Bark. Natural occurrence: Latitudes, 33–23 S; areas, Inland tropical NSW and Queensland; altitudinal range, 0–1,400 m. Climate: Mean annual rainfall, Page 68 of 157

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500–700 mm; rainfall regime, summer; dry season, 5–6 months; mean max temp hottest month, 26–36  C; mean min temp coldest month, 6–18  C; mean annual temp, 18–26  C. Soil: Texture, light-medium; reaction, neutral-acid; moderately free drainage. Silviculture: Size, 20–25 m in height; evergreen; form, acceptable; light requirements, strongly demanding; moderately frost resistant. Production: 3–8 m3/ha/year. Timber: Density, S.G. 1.05–1.12; natural durability, good; timber rarely sawn. Utilization: Sawn timber, heavy construction; building poles, fence posts, fuel, and charcoal. Nursery: Seed sources, Australia; seeds per kg, 640,000–680,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 6–21 days; plantable size in 5–6 months. Pests and diseases: None of importance reported. 140 120 100 80 60 40 20 0 J

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Water Balance at Picton, NSW, Australia

89. Eucalyptus dalrympleana Maiden Taxonomy: Family, Myrtaceae; synonyms, E. dalrympleana subsp. dalrympleana; local or trade name, Mountain Gum. Natural occurrence: Latitudes, 42–32 S; areas, SE New South Wales, Victoria, and Tasmania; altitudinal range, 2,000–3,500 m. Climate: Mean annual rainfall, 750–1,500 mm; rainfall regime, winter-summer-uniform; dry season, 0–2 months; mean max temp hottest month, 18–24  C; mean min temp coldest month, 0–1  C; mean annual temp, 14  C. Soil: Texture, medium-heavy; reaction, neutral-acid; moderately free drainage. Silviculture: Size, 25–35 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices; frost resistant. Production: 8–10 m3/ha/year. Timber: Density, S.G. 0.53–0.60; natural durability, poor; preservation, easy; sawing, easy; seasoning, fair; fissile. Utilization: Sawn timber, light construction, boxes, etc.; short fiber pulp. Nursery: Seed sources, Australia; seeds per kg, 180,000–280,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 6–25 days; plantable size in 6–8 months. Pests and diseases: None of importance reported.

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Water Balance at Great Dividing Range, Charleville, QLD, Australia

90. Eucalyptus deglupta Blume. Taxonomy: Family, Myrtaceae; synonyms, E. naudiniana F. Muell.; local or trade names, Mindanao Gum. Natural occurrence: Latitudes, 11 S–8 N; areas, the Philippines, Sulawesi, Papua New Guinea, New Britain; altitudinal range, 0–1,800 m. Climate: Mean annual rainfall, 2,000–5,000 mm; rainfall regime, uniform; dry season, 0–1 months; mean max temp hottest month, 24–32  C; mean min temp coldest month, 21–26  C; mean annual temp, 32  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; prefers fertile soils. Silviculture: Size, 50–60 m in height; evergreen; form, exceptional; light requirements, strongly demanding; coppices; moderately termite resistant. Production: 14–50 m3/ha/year. Planting objectives: Rehabilitation of degraded areas. Timber: Density, S.G. 0.40–0.80; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, easy; lighter than more eucalypts. Utilization: Sawn timber, heavy construction, light construction, furniture, and boat building; fuel and charcoal, short fiber pulp, and veneer-plywood. Nursery: Seed sources, Papua New Guinea, Fiji, and many tropical countries; seeds per kg, 1,000,000–2,000,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, none; planting stock, potted; susceptible to damping off; requires shade; germinates in 4–20 days; plantable size in 3–4 months. Pests and diseases: Shoot borer Zeuzera coffeae is a serious pest in Malaya. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Malaybalay, Mindanao, Philippines

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91. Eucalyptus delegatensis F. Muell. ex R.T. Baker Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus gigantea Dehnh.; local or trade name, Alpine Ash. Natural occurrence: Latitudes, 42–35 S; areas, SE New South Wales, Victoria, and Tasmania, Australia; altitudinal range, 2,000–3,000 m. Climate: Mean annual rainfall, 1,000–2,000 mm; rainfall regime, winter; dry season, 0–2 months; mean max temp hottest month, 19–22  C; mean min temp coldest month, 0–6  C; mean annual temp, 12–15  C. Soil: Texture, medium; reaction, acid; free drainage. Silviculture: Size, 50–60 m in height; evergreen; form, acceptable; light requirements, strongly demanding; frost resistant. Production: 10–25 m3/ha/year. Timber: Density, S.G. 0.58–0.68; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, fair. Utilization: Sawn timber, light construction, furniture, and boxes; transmission poles, short fiber pulp, and veneer-plywood. Nursery: Seed sources, Australia, New Zealand; seeds per kg, 90,000–100,000; storage, dry, cold, and airtight for several years; pretreatment, stratify in damp sand for 30 days; planting stock, potted; may require mycorrhiza; germinates in 10–14 days; plantable size in 9–12 months. Pests and diseases: None of importance reported. 120 100 80 60 40 20 0 J

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Water Balance at Delegate, Mombala, NSW, Australia

92. Eucalyptus fastigata H. Deane & Maiden Taxonomy: Family, Myrtaceae; local or trade names, Brown Barrel. Natural occurrence: Latitudes, 37–30 S; areas, high land of eastern New South Wales, Australia; altitudinal range, 1,600–2,500 m. Climate: Mean annual rainfall, 750–1,100 mm; rainfall regime, wintersummer-uniform; dry season, 1–2 months; mean max temp hottest month, 22–26  C; mean min temp coldest month, 4–12  C; mean annual temp, 13–18  C. Soil: Texture, medium; reaction, acid; free drainage-moist. Silviculture: Size, 30–40 m in height; evergreen; form, exceptional-acceptable; light requirements, strongly demanding; poor coppicing potential; moderately resistant to frost. Production: 21–28 m3/ha/year. Planting objectives: Rehabilitation of mining areas. Timber: Density, S.G. 0.67–0.87; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; wood contains resin pockets. Utilization: Sawn timber, light construction and boxes; short fiber pulp and veneer-plywood. Nursery: Seed sources, Australia, South Africa, New Zealand; seeds per kg, 100,000–200,000; storage, dry, cold, and airtight for several years; pretreatment, stratify in damp sand for 30 days; planting stock, potted; very susceptible to damping off; germination, no information; plantable size in 7–9 months. Pests and diseases: None of importance reported.

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Water Balance at Orange, NSW, Australia

93. Eucalyptus globulus Labill. Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus gigantea Dehnh.; local or trade names, Blue Gum, Tasmanian Blue Gum. Natural occurrence: Latitudes, 43–38 S; areas, Southern Victoria, Australia, and Tasmania; altitudinal range, 1,500–3,000 m. Climate: Mean annual rainfall, 900–1,800 mm; rainfall regime, winter-summer; dry season, 2–3 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 4–12  C; mean annual temp, 12–18  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage-moist. Silviculture: Size, 40–50 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices; frost tender. Production: 10–40 m3/ha/year. Planting objectives: Rehabilitation of degraded areas/erosion controller and windbreaks. Timber: Density, S.G. 0.55–0.82; natural durability, moderate; preservation, easy; sawing, easy; seasoning, difficult. Utilization: Sawn timber, heavy construction, light construction, and boxes; building poles, transmission poles, fence posts, fuel and charcoal, short fiber pulp, and veneer-plywood; bee forage; oils. Nursery: Seed sources, Australia, Spain, Portugal, El Salvador, Africa; seeds per kg, 120,000–240,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted, direct sown, bare-rooted plants; germinates in 12–14 days; plantable size in 4–6 months. Pests and diseases: Susceptible to defoliating beetle Gonipterus scutellatus. 120 100 80 60 40 20 0 J

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Water Balance at Esperance, WA, Australia

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94. Eucalyptus globulus subsp. maidenii (F. Muell.) J.B. Kirkp. Taxonomy: Family, Myrtaceae; synonyms, E. maidenii F. Muell.; local or trade names, Maidens Gum. Natural occurrence: Latitudes, 35–38 S; areas, SE New South Wales and Victoria, Australia; altitudinal range, 1,000–1,200 m. Climate: Mean annual rainfall, 760–2,000 mm; rainfall regime, winter-uniform; dry season, 2–3 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 8–12  C; mean annual temp, 16–20  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage, moist. Silviculture: Size, 35–45 m in height; evergreen; form, exceptional; light requirements, strongly demanding; coppices; frost tender. Production: 20–35 m3/ha/year. Timber: Density, S.G. 0.60–0.80; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, difficult. Utilization: Sawn timber, heavy construction; building poles, transmission poles, fence posts, fuel, charcoal, and short fiber pulp. Nursery: Seed sources, Australia and E Africa; seeds per kg, 300,000–350,000; storage, dry, cold, and airtight for several years; planting stock, potted; germinates in 7–8 days; plantable size in 4–6 months. Pests and diseases: Very susceptible to termite attack when young. 140 120 100 80 60 40 20 0 J

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Water Balance at Beechworth, VIC, Australia

95. Eucalyptus gomphocephala A. Cunn. ex DC. Taxonomy: Family, Myrtaceae; synonyms, E. gomphocephala var. rhodoxylon Blakely & H. Steedman; local or trade name, Tuart. Natural occurrence: Latitudes, 33–31 S; areas, very restricted in Southwest coast of Western Australia; altitudinal range, 500–2,000 m. Climate: Mean annual rainfall, 500–1,000 mm; rainfall regime, winter; dry season, 4–6 months; mean max temp hottest month, 27–32  C; mean min temp coldest month, 6–12  C; mean annual temp, 16–22  C. Soil: Texture, light-medium; reaction, alkaline-neutral; free drainage-seasonally waterlogged; tolerates moderately saline soils. Silviculture: Size, 20–30 m in height; evergreen; form, poor; light requirements, strongly demanding; coppices; tolerates salt winds; frost tender. Production: 8–15 m3/ha/year. Planting objectives: Dune fixation. Timber: Density, S.G. 0.76–1.05; natural durability, good; sawing, easy; seasoning, easy; tough. Utilization: Fence posts, fuel, and charcoal; tannins. Nursery: Seed sources, Australia, Morocco, Cyprus; seeds per kg, 100,000–200,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 4–10 days; plantable size in 6 months. Pests and diseases: Susceptible to attack by borer Phoracantha semipunctata. Under moisture stress resists attack by Gonipterus beetle.

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Water Balance at Kunmunya, WA, Australia

96. Eucalyptus grandis W. Hill Taxonomy: Family, Myrtaceae; local or trade names, Flooded Gum, Rose Gum. Natural occurrence: Latitudes, 32–17 S; areas, Coastal Queensland and New South Wales, Australia; altitudinal range, 0–1,100 m. Climate: Mean annual rainfall, 1,000–4,000 mm; rainfall regime, summer-uniform; dry season, 0–2 months; mean max temp hottest month, 28–35  C; mean min temp coldest month, 10–18  C; mean annual temp, 17–26  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage, moist. Silviculture: Size, 40–55 m in height; evergreen; form, exceptional; light requirement, strongly demanding; coppices; moderately frost resistant; one of the most productive plantation species. Production: 24–70 m3/ha/year. Timber: Density, S.G. 0.48–0.6; natural durability, moderate; preservation, easy; sawing, difficult; seasoning, difficult. Utilization: Sawn timber, heavy construction, light construction, furniture, and boxes; building poles, transmission poles, fence posts, fuel, charcoal, short fiber pulp, and veneerplywood. Nursery: Seed sources, Australia, SE Africa; seeds per kg, 600,000–650,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 7–10 days; plantable size in 4 months. Pests and diseases: Very susceptible to termites when young, attacked by the fungus Diaporthe cubensis in Brazil. 140 120 100 80 60 40 20 0 J

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Water Balance at Newcastle, NSW, Australia

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97. Eucalyptus intertexta R.T. Baker Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus intertexta var. diminuta Blakely; local or trade name, Gum-barked Kuliba. Natural occurrence: Latitudes, 34–21 S; areas, Central and SE Australia; altitudinal range, 0–1,250 m. Climate: Mean annual rainfall, 250–400 mm; rainfall regime, summer-uniform; dry season, 6–8 months; mean max temp hottest month, 32–38  C; mean min temp coldest month, 8–13  C; mean annual temp, 18–25  C. Soil: Texture, light-medium; reaction, alkaline-neutral-acid; free drainage; tolerates moderately saline soils. Silviculture: Size, 15–20 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices. Production: 4–5 m3/ha/year. Planting objectives: Shade, shelter, and windbreaks. Timber: Density, S.G. 0.75–0.85; natural durability, moderate; tough; interlocked grain. Utilization: Fence posts, fuel, and charcoal. Nursery: Seed sources, Australia; seeds per kg, 120,000–150,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 7–14 days; plantable size in 6–8 months. Pests and diseases: None of importance reported. 140 120 100 80 60 40 20 0

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Water Balance at Swan Hill, VIC, Australia

98. Eucalyptus melliodora A. Cunn. ex Schauer Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus caerulescens Naudin; local or trade name, Yellow Box. Natural occurrence: Latitudes, 26–37 S; areas, inland New South Wales and Victoria, Australia; altitudinal range, 1,000–2,000 m. Climate: Mean annual rainfall, 600–900 mm; rainfall regime, winter-summer; dry season, 2–6 months; mean max temp hottest month, 27–33  C; mean min temp coldest month, 5–12  C; mean annual temp, 16–21  C. Soil: Texture, medium-heavy; reaction, alkaline-neutral-acid; free drainage. Silviculture: Size, 20–25 m in height; evergreen; form, poor; light requirements, strongly demanding; coppices; moderately frost resistant. Production: 2–6 m3/ha/year. Planting objectives: Rehabilitation of mining areas; shade, shelter, and windbreaks. Timber: Density, S.G. 0.75–0.85; natural durability, good; rarely sawn. Utilization: Fence posts, fuel, and charcoal. Nursery: Seed sources, Australia; seeds per kg, 300,000–330,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 5–7 days; plantable size in 9 months. Pests and diseases: None of importance reported.

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Water Balance at Melbourne, VIC, Australia

99. Eucalyptus microcorys F. Muell. Taxonomy: Family, Myrtaceae; local or trade names, Tallow Wood. Natural occurrence: Latitudes, 25–32 S; areas, NE New South Wales and SE Queensland, Australia; altitudinal range, 500–2,000 m. Climate: Mean annual rainfall, 900–1,500 mm; rainfall regime, summeruniform; dry season, 0–2 months; mean max temp hottest month, 25–35  C; mean min temp coldest month, 5–14  C; mean annual temp, 17–23  C. Soil: Texture, medium; reaction, neutralacid; free drainage; prefers fertile soils. Silviculture: Size, 25–30 m in height; evergreen; form, exceptional; light requirements, moderately tolerant to shade; coppices; frost tender. Production: 8–30 m3/ha/year. Timber: Density, S.G. 0.90–0.99; natural durability, good; preservation, easy; sawing, easy; seasoning, easy; tough. Utilization: Sawn timber, heavy construction, light construction, and furniture; building poles, transmission poles, and fence posts. Nursery: Seed sources, Australia and South Africa; seeds per kg, 250,000–280,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 12–15 days; plantable size in 4–6 months. Pests and diseases: None of importance reported. 160 140 120 100 80 60 40 20 0 J

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Water Balance at Grafton, NSW, Australia

100. Eucalyptus paniculata Sm. Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus nanglei F. Muell. ex R.T. Baker; local or trade names, Gray Ironbark. Natural occurrence: Latitudes, 28–37 S; areas, central and southern New South Wales, Australia; altitudinal range, 500–1,500 m. Climate: Mean Page 76 of 157

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annual rainfall, 750–1,300 mm; rainfall regime, summer-uniform; dry season, 2–3 months; mean max temp hottest month, 24–31  C; mean min temp coldest month, 10–15  C; mean annual temp, 18–23  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage. Silviculture: Size, 25–30 m in height; evergreen; form, exceptional; light requirements, strongly demanding; coppices; frost resistant. Production: 9–18 m3/ha/year. Timber: Density, S.G. 1.10–1.20; natural durability, good; sawing, difficult; tough; interlocked grain. Utilization: Sawn timber, heavy construction and railway sleepers; building poles, transmission poles, fence posts, fuel, and charcoal. Nursery: Seed sources, Australia, S Africa, Kenya; seeds per kg, 440,000–460,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 5–10 days; plantable size in 4–6 months. Pests and diseases: Young plants liable to be attacked by termites. 160 140 120 100 80 60 40 20 0 J

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Water Balance at Sydney, NSW, Australia

101. Eucalyptus regnans F. Muell. Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus regnans var. fastigata Ewart.; local or trade names, Mountain Ash, Victorian Ash. Natural occurrence: Latitudes, 43–37 S; areas, Victoria and Tasmania, Australia; altitudinal range, 2,000–3,200 m. Climate: Mean annual rainfall, 1,000–2,000 mm; rainfall regime, winter; dry season, 0–2 months; mean max temp hottest month, 18–25  C; mean min temp coldest month, 0–10  C; mean annual temp, 10–16  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage; prefers deep soils. Silviculture: Size, 60–100 m in height; evergreen; form, exceptional; light requirements, strongly demanding; frost resistant. Production: 11–15 m3/ha/year. Timber: Density, S.G. 0.49–0.68; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, fair; white; odor free. Utilization: Sawn timber, light construction, furniture, and boxes; transmission poles, short fiber pulp, and veneer-plywood. Nursery: Seed sources, Australia; seeds per kg, 80,000–100,000; storage, dry, cold, and airtight for several years; pretreatment, stratify in damp sand for 30 days; planting stock, potted; may require mycorrhiza; germinates in 10–14 days; plantable size in 8–9 months. Pests and diseases: Very susceptible to Gonipterus attack.

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Water Balance at Hobart, Tasmania, Australia

102. Eucalyptus robusta Sm. Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus multiflora Poir.; local or trade names, Swamp Mahogany, Swamp Messmate. Natural occurrence: Latitudes, 23–36 S; areas, Coast of S Queensland and New South Wales, Australia; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 1,000–3,000 mm; rainfall regime, summer-uniform; dry season, 1–4 months; mean max temp hottest month, 26–35  C; mean min temp coldest month, 12–20  C; mean annual temp, 18–28  C. Soil: Texture, medium-heavy; reaction, neutral-acid; seasonally waterlogged; prefers deep soils. Silviculture: Size, 25–30 m in height; evergreen; form, acceptable-poor; light requirements, strongly demanding; coppices; frost tender. Production: 14–28 m3/ha/year. Timber: Density, S.G. 0.70–0.80; natural durability, moderate; sawing, easy; seasoning, difficult; red coarse grained. Utilization: Sawn timber, heavy construction, light construction, and boxes; building poles, transmission poles, fence poles, fuel, charcoal, and short fiber pulp. Nursery: Seed sources, Australia, South Africa, Hawaii, Madagascar; seeds per kg, 500,000–600,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 7–10 days; plantable size in 4–5 months. Pests and diseases: Very susceptible to attack by Gonipterus beetle and termites when young. 250 200 150 100 50 0 J

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103. Eucalyptus saligna Sm. Taxonomy: Family, Myrtaceae; synonyms, E. grandis W. Hill.; local or trade name, Sydney Blue Gum. Natural occurrence: Latitudes, 28–35 S; areas, New South Wales and extreme SE Queensland, Australia; altitudinal range, 500–2,100 m. Climate: Mean annual rainfall, 1,000–4,000 mm; rainfall regime, summer-uniform; dry season, 0–2 months; mean max temp hottest month, 28–35  C; mean min temp coldest month, 2–12  C; mean annual temp, 15–23  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage-moist. Silviculture: Size, 30–55 m in height; evergreen; form, exceptional; light requirements, strongly demanding; coppices. Production: 20–38 m3/ha/year. Timber: Density, S.G. 0.48–0.64; natural durability, moderate; preservation, easy; sawing, difficult; seasoning, difficult. Utilization: Sawn timber, heavy construction, light construction, furniture, and boxes; building poles, transmission poles, fence posts, fuel, charcoal, short fiber pulp, and veneer-plywood. Nursery: Seed sources, Australia, S Africa, Brazil; seeds per kg, 600,000–650,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 10–20 days; plantable size in 4 months. Pests and diseases: Very susceptible to termites when young, attacked by the fungus Diaporthe cubensis in Brazil. 350 300 250 200 150 100 50 0 J

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Water Balance at Atherton, QLD, Australia

104. Eucalyptus salmonophloia F. Muell. Taxonomy: Family, Myrtaceae; local or trade names, Salmon Gum. Natural occurrence: Latitudes, 29–33 S; areas, Inland SW of Western Australia; altitudinal range, 0–1,800 m. Climate: Mean annual rainfall, 250–500 mm; rainfall regime, winter; dry season, 6–8 months; mean max temp hottest month, 30–35  C; mean min temp coldest month, 12–15  C; mean annual temp, 17–25  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral-acid; free drainage. Silviculture: Size, 18–25 m in height; evergreen; form, poor; light requirements, strongly demanding; coppices; frost tender. Planting objectives: Shade, shelter, and windbreaks. Timber: Density, S.G. 1.00–1.17; natural durability, good; preservation, difficult; sawing, easy-strong. Utilization: Sawn timber, heavy construction/building poles, fence posts, fuel, and charcoal. Nursery: Seed sources, Australia; seeds per kg, 230,000–300,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 15–19 days; plantable size in 6–8 months. Pests and diseases: None of importance reported.

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Water Balance at Cundeelee, Kalgoorlie, WA, Australia

105. Eucalyptus tereticornis Sm. Taxonomy: Family, Myrtaceae; synonyms, Eucalyptus umbellata (Gaertn.) Domin.; local or trade names, Forest Red Gum, Mysore Hybrid, Izabl. Natural occurrence: Latitudes, 5–30 S; areas, Queensland, Australia, and Papua New Guinea; altitudinal range, 0–1,800 m. Climate: Mean annual rainfall, 500–1,000 mm; rainfall regime, summer; dry season, 4–7 months; mean max temp hottest month, 28–35  C; mean min temp coldest month, 6–16  C; mean annual temp, 17–27  C. Soil: Texture, light-medium-heavy; reaction, neutral; free drainage. Silviculture: Size, 35–45 m in height; evergreen; form, acceptable to exceptional; light requirements, strongly demanding; coppices; tolerates light frosts. Production: 12–25 m3/ha/year. Timber: Density, S.G. 0.75–0.85; natural durability, good-moderate; preservation, easy; sawing, easy; seasoning, fair; interlocked grain. Utilization: Sawn timber, heavy construction, light construction, boxes, and boat building; building poles, transmission poles, fence poles, fuel, and charcoal. Nursery: Seed sources, Australia, Brazil, Sudan, India, Madagascar; seeds per kg, 300,000–800,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; germinates in 5–15 days; plantable size in 4–5 months. Pests and diseases: Very susceptible to termites when young, moderately liable to attack by Gonipterus beetle. 120 100 80 60 40 20 0 J

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Water Balance at Moruya, NSW, Australia

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106. Eucalyptus tetrodonta F. Muell. Taxonomy: Family, Myrtaceae; local or trade names, Darwin Stringybark, Messmate. Natural occurrence: Latitudes, 11–18 S; areas, Native of Western Australia through Cape York, Queensland, Australia; altitudinal range, 0–840 m. Climate: Mean annual rainfall, 700–1,500 mm.; mean max temp hottest month, 31–39  C; mean min temp coldest month, 12–22  C. Soil: Occurs in poor sandy soils on sandstone, laterite, or quartzite. Silviculture: Size, 9–30 m in height; evergreen; DBH, 0.60 cm. Planting protection: Rehabilitation of mining areas. Utilization: Sawn timber, light construction; poles; spears, woomeras, and yamsticks; medicinal. Pests and diseases: None of importance reported. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Territorio du Nord, Cape York, QLD, Australia

107. Eucalyptus urophylla S.T. Blake Taxonomy: Family, Myrtaceae; local or trade names, Timor White Gum, Popo, Ampupu, Palavao Preto, Timor Mountain Gum. Natural occurrence: Latitudes, 10–7 S; areas, Western Sunda Islands of Indonesia; altitudinal range, 200–1,500 m. Climate: Mean annual rainfall, 1,100–1,900 mm; rainfall regime, summer; dry season, 2–6 months; mean max temp hottest month, 20–26  C; mean min temp coldest month, 16–24  C; mean annual temp, 18–28  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage. Silviculture: Size, 35–45 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices; frost tender. Production: 20–30 m3/ha/year. Timber: Density, natural durability, moderate; sawing, easy. Utilization: Sawn timber, heavy construction; building poles, fence posts, fuel, charcoal, and short fiber dissolving pulp. Nursery: Seed sources, Australia and Indonesia; seeds per kg, 210,000–300,000; storage, dry, cold, and airtight; pretreatment, none; planting stock, potted; good vegetative propagation; germinates in 7–12 days; plantable size in 4 months. Pests and diseases: Susceptible to termite attack.

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Water Balance at Kupang, Timor, Indonesia

108. Eucalyptus viminalis Labill. Taxonomy: Family, Myrtaceae; synonyms, E. angustifolia Desf. ex Link; local or trade names, Manna gum. Natural occurrence: Latitudes, 43–28 S; areas, upland areas of Victoria, Tasmania, and NSW. Altitudinal range, 2,000–3,000 m. Climate: Mean annual rainfall, 750–2,500 mm; rainfall regime, winter-summer-uniform; dry season, 0–2 months; mean max temp hottest month, 20–26  C; mean min temp coldest month, 0–6  C; mean annual temp, 10–16  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid/free drainage, moist; prefers deep soils. Silviculture: Size, 25–30 m in height; evergreen; form, acceptable; light requirements, strong demanding; coppices; moderately frost resistant. Production: 10–30 m3/ha/year. Timber: Density, S.G. 0.60–0.90; natural durability, poor; preservation, easy; sawing, fair; seasoning, fair/s; quality timber. Utilization: Sawn timber, light construction, boxes, etc.; transmission poles, short fiber pulp, veneer-plywood. Nursery: Seed sources, Australia; seeds per kg, 300,000–400,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted, bare-rooted plants; germinates in 5–6 days; plantable size in 5–6 months. Pests and diseases: Very susceptible to Genypterus beetle attack. 100 90 80 70 60 50 40 30 20 10 0 J

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Water Balance at Warrnambol, VIC, Australia

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109. Euphorbia tirucalli L. Taxonomy: Family, Euphorbiaceae; synonyms, Tirucalia tirucalli (L.) P.V. Heath.; local or trade names, Firesticks Plant, Pencil Tree, Rubber hedge Euphorbia, Mgovu, Manyara. Natural occurrence: Latitudes, 23 N–20 S; areas, Angola, Eritrea, Ethiopia, Kenya, Malawi, Mauritius, Rwanda, Senegal, Sudan, Tanzania, Uganda, and India; altitudinal range, 0–2,000 m. Climate: Mean annual rainfall, 250–1,000 mm; rainfall regime, summer; dry season, 6–8 months; mean max temp hottest month, 25–37  C; mean min temp coldest month, 9–18  C; mean annual temp, 21–26  C. Soil: Texture, light; reaction, neutral-acid; drainage, good, but groundwater must be available; tolerates poor eroded and saline soils. Silviculture: Size, 3–12 m in height; succulent; form, poor; light requirements, demanding; avoid contact with the skin. Planting objectives: Rehabilitation on eroded soils and degraded mining areas; urban plantation; living hedge and windbreaks. Timber: Natural durability, poor; contains toxic latex; soft timber. Utilization: Fuelwood from large trees and charcoal; gum; toxic latex for insecticide and fish poison; medicinal; ornamental. Nursery: Planting stock, branch cuttings. Pests and diseases: None of importance reported. 250

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Water Balance at Ruaka, Nairobi, Kenya

110. Faidherbia albida (Delile) A. Chev Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Acacia albida Delile; local or trade names, Kad, Kababu, Ana tree, Winter Thor. Natural occurrence: Latitudes, 35 N–25 S; areas, Africa, excluding Rain Forest zones; altitudinal range, 0–2,000 m. Climate: Mean annual rainfall, 250–1,000 mm; rainfall regime, winter-summer; dry season, 6–9 months; mean max temp hottest month, 30–42  C; mean min temp coldest month, 6–18  C; mean annual temp, 18–30  C. Soil: Texture, medium-light; reaction, neutralacid; free drainage; tolerates seasonal waterlogging; requires high water table in lower rainfall areas; tolerates slight salinity. Silviculture: Size, 15–25 m in height; deciduous; spiny; form, poor; sometimes buttresses; light requirements, strongly demanding; coppices; termite resistant; fixes nitrogen; tolerates moderate frosts. Production: 400–600 kg pods/ha/year. Planting objectives: Rehabilitation of eroded soils; shade and shelter; soil improvement. Timber: Density, S.G. 0.58–0.71; natural durability, perishable; preservation, easy; sawing, fair; seasoning, good; weak, tends to “spring” after sawing. Utilization: Sawn timber, furniture, boxes, and boat building; household utensils, fence posts, cartwheels, fuel calorific value = 19.74 kl/kg, short fiber pulp; fodder, foliage; fruits, pods (store pods dry to avoid toxicity); tannins; gums. Nursery: Seed sources, Senegal, dry zone Africa; seeds per kg, 11,500–20,000; storage,

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several years at indoor temp. Pretreatment, soak in cold water for 24 h; planting stock, potted, direct sown; germination, 40–60 % in 6–30 days; plantable size in 4–5 months. Pests and diseases: Bruchid beetles may infest seeds. 250 200 150 100 50 0 J

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Water Balance at Zinder, Niger

111. Falcataria moluccana (Miq.) Barneby & J.W. Grimes Taxonomy: Family, Mimosaceae; synonyms, Albizia moluccana Miq., Albizia falcata (L.) Backer; local or trade name, Batai. Natural occurrence: Latitudes, 3 N–7 S; areas, North Moluccas, Indonesia, naturalized in much of Far East; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 2,000–4,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 30–34  C; mean min temp coldest month, 20–24  C; mean annual temp, 22–29  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage, moist; adaptable. Silviculture: Size, 25–35 m in height; deciduous; open crowned; form, acceptable; light requirements, strongly demanding; coppices. Production: 20–40 m3/ha/year. Planting objectives: Soil improvement/shade. Timber: Density, S.G. 0.42–0.46; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; soft and non-fissile. Utilization: Sawn timber, light construction and boxes; short fiber pulp, and veneer-plywood. Nursery: Seed sources, Malaya, Fiji, Sabah, Hawaii, Indonesia, the Philippines; seeds per kg, 38,000–44,000; storage, airtight for up to one year; pretreatment, boiling water until cool; planting stock, potted, stumps; germinates in 2–5 days; plantable size in 4–6 months. Pests and diseases: Defoliation in plantation by Eurema and Semiothisa is a problem in Malaysia.

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Water Balance at Ambon, Moluccas

112. Geissanthus andinus Mez. Taxonomy: Family, Primulaceae; local or trade name, Cucharo. Natural occurrence: Latitudes, 11 N–15 S; areas, Colombia, Ecuador, Venezuela; altitudinal range, 2,500–4,000 m. Climate: Mean annual rainfall, 1,600–2,200 mm. Silviculture: Size, 7 m in height. Planting objectives: Rehabilitation of mining areas/erosion controller/protection of watersheds. Timber: Undulated grain. Utilization: Fuel and coal. Pests and diseases: None of importance reported. 400 350 300 250 200 150 100 50 0 J

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Water Balance at Cauca, Popayán, Colombia

113. Gliricidia sepium (Jacq.) Walp. Taxonomy: Family, Leguminosae; subfamily, Papilionoideae; synonyms, Gliricidia maculata Kunth; local or trade names, Madre cacao, Kakawate, Madero negro. Natural occurrence: Latitudes, 6–19 N; areas, Tropical Americas; altitudinal range, 0–900 m. Climate: Mean annual rainfall, 800–2,300 mm; rainfall regime, summer-uniform; dry season, 4–6 months; mean max temp hottest month, 34–41  C; mean min temp coldest month, 14–20  C; mean annual temp, 22–28  C. Soil: Texture, medium; reaction, alkaline-neutral-acid; free drainage, moist; tolerates acid soils. Silviculture: Size, 5–15 m in height; deciduous; form, poor; coppices; fixes nitrogen; fast growing. Planting objectives: Rehabilitation of degraded forests; land stabilization prior to reforestation; live fences; shade. Timber: Natural durability, very durable; sawing, difficult; seasoning, easy; hard, tough; irregular grain; termite resistant. Page 85 of 157

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Utilization: Sawn timber, railway sleepers, heavy construction, and furniture; posts, tools, and fuelwood; green manure; bee forage; seeds, rat poison. Nursery: Seed sources, Nicaragua, Costa Rica; seeds per kg, 6,500–7,000; storage, up to 12 months; pretreatment, soak overnight in hot water, plant immediately; planting stock, potted, branch cuttings; germination, 90–100 % in 7 days; plantable size in 3 months. Pests and diseases: None of importance reported. 300 250 200 150 100 50 0 J −50

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Water Balance at Ahuacatlán, Nayarit, México

114. Gmelina arborea Roxb. Taxonomy: Family, Lamiaceae; synonyms, Gmelina sinuata Link; local or trade names, Yemane, Gmelina. Natural occurrence: Latitudes, 5–30 N; areas, SE Asia, from Pakistan to Cambodia and S China; altitudinal range, 0–800 m. Climate: Mean annual rainfall, 1,000–2,500 mm; rainfall regime, summer; dry season, 2–4 months; mean max temp hottest month, 24–35  C; mean min temp coldest month, 18–24  C; mean annual temp, 21–28  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage-moist; prefers fertile soils. Silviculture: Size, 20–30 m in height; deciduous; short lived; form, poor-acceptable; light requirements, strongly demanding; coppices. Production: 18–32 m3/ha/year. Planting objectives: Rehabilitation of degraded forest, of eroded soils, and of degraded mining areas; urban plantation. Timber: Density, S.G. 0.40–0.57; natural durability, poor; preservation, fair; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction and boxes/; building poles, fuel, charcoal, short fiber pulp, and veneer-plywood; ornamental. Nursery: Seed sources, most tropical or subtropical countries; seeds per kg, 700–1,400; storage, shortlived viability, up to 1 year; pretreatment, soak in cold water for 1–2 days; planting stock, stumps, potted, direct sown, cuttings; germinates in 14–28 days; plantable size in 6 months. Pests and diseases: In Latin America, Atta ants can cause serious defoliation but rarely death. Hypothenemus pusillus or “scolytine beetle” attacks seedlings in nurseries.

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Water Balance at Balehonnur, Karnataka, India

115. Grevillea heliosperma R. Br. Taxonomy: Family, Proteaceae; local or trade names, Rock Grevillea, Red Grevillea. Natural occurrence: Latitudes, 10–20 S; areas, Northern of Western Australia and Northern Territory, Australia. Climate: Mean annual rainfall, 400–800 mm. Soil: Occurs in sandy clay, red loam, sandstone, and laterite soils. Silviculture: Size, 3–8 m in height. Utilization: Rehabilitation of mining areas. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Derby, WA, Australia

116. Grevillea pteridifolia Knight. Taxonomy: Family, Proteaceae; synonyms, Grevillea pteridifolia var. mitchellii (Hook.) Domin/local or trade names, Ferny-leaved Silky Oak, Fern-leaved Grevillea, Golden Grevillea, Darwin Silky Oak, Yinungkwurra. Natural occurrence: Latitudes, 11–24 S; areas, from the Kimberley region in Northern Australia, the north of the Northern Territory, and in Queensland, stretching from the Gulf of Carpentaria and Cape York Peninsula and south to Townsville and inland to central Queensland, Australia; altitudinal range, 0–900 m. Climate: Mean annual rainfall, 500–1,600 mm; rainfall regime, bimodal; dry season, 0–6 months; mean max temp hottest month, 30–36  C; mean min temp coldest month, 24–30  C; mean annual temp, 20–30  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; seasonally waterlogged; occurs in sandy soils. Silviculture: Size, 2–18 m in height; fast growing; coppices; drought resistant; tolerates fire. Planting objectives: Rehabilitation of

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mining areas/urban plantation/land reclamation. Utilization: fuel/honey/ornamental. Nursery: Seeds per kg, 14,000; storage, indoor temp with a viability of 2 years, but with 4  C can reach much longer; pretreatment, soak the seeds for 24 h in coal water before sowing; germination, 50 %; plantable size, 3–4 months. Pests and diseases: Attacked by Macrophomina phaseolina and Dendrophthoe acacioides 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Great Dividing Range, Charleville, QLD, Australia

117. Grevillea robusta A. Cunn. ex R.Br. Taxonomy: Family, Proteaceae; synonyms, Grevillea umbratica A. Cunn. ex Meisn.; local or trade name, Southern Silky Oak. Natural occurrence: Latitudes, 27–36 N; areas, Queensland and New South Wales, Australia; altitudinal range, 800–2,100 m. Climate: Mean annual rainfall, 700–1,200 mm; rainfall regime, summer; dry season, 2–6 months; mean max temp hottest month, 20–28  C; mean min temp coldest month, 6–14  C; mean annual temp, 13–21  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage-moist; adaptable to most soils. Silviculture: Size, 25–35 m in height; evergreen; form, acceptable; light requirements, strongly demanding; frost tender. Production: 5–10 m3/ha/year. Planting objectives: Urban plantation/shade. Timber: Density, S.G. 0.49–0.66; natural durability, moderate; preservation, fair; sawing, easy; seasoning, fair; quarter-sawn resembles oak. Utilization: Sawn timber, light construction, furniture, joinery, boxes, etc.; fuel and charcoal, veneer-plywood; ornamental. Nursery: Seed sources, most subtropical countries; seeds per kg, 80,000–105,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, none; planting stock, potted-bare-rooted plants; deep roots require pruning in nursery; germinates in 20–28 days; plantable size in 12 months. Pests and diseases: None of importance reported.

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Water Balance at Stanthorpe, QLD, Australia

118. Guadua angustifolia Kunth. [Bamboo] Taxonomy: Family, Poaceae; subfamily, Bambusoideae; synonyms, Arundarbor guadua (Humb. & Bonpl.) Kuntze., Nastus guadua (Kunth) Spreng.; local or trade names, Guadua, Tacuara, Caña Brava, Caña Mansa, Tarro, Otate, Puru Puru. Natural occurrence: Latitudes, 23 N–23 S; areas, Tropical NE South America to Mexico; altitudinal range, 400 1,500 m. Climate: Mean annual rainfall, 1,800–2,500 mm; mean min temp coldest month, 2  C; mean annual temp, 18–28  C. Soils: Grows on rich to medium soils, especially along rivers and on hilly ground; occurs on sandy-loam, clay, and deeps soils. Silviculture: Size, 6–25 m in height; DBH, 20 cm; evergreen; fast growing (15–25 cm per day); light requirements, moderatestrongly demanding; thorny. Utilization: Stems used for light construction, heavy construction, water pipes, furniture, handcrafting, pulp, paneling, and musical instruments; edible shoots; medicinal. Nursery: Planting stock, seeds or cuttings; germination, 3–6 months. Pests and diseases: Rot and insect resistant. 350 300 250 200 150 100 50 0 J

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Water Balance at Libano, Colombia

119. Guaiacum officinale L. Taxonomy: Family, Zygophyllaceae; synonyms, Guaicum bijugum Stokes.; local or trade names, Lignum vitae, Guayacán, Bois de Gaoac, Saint, Pau-santo, Gayak-fran, Gaïak m^ale. Natural occurrence: Latitudes, 8–24 N; areas, Central America, Caribbean, and Northern of South America; altitudinal range, 0–200 m. Climate: Mean annual rainfall, 300–1,000 mm; Page 89 of 157

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rainfall regime, summer-uniform; dry season, 2–4 months; mean max temp hottest month, 32–38  C; mean min temp coldest month, 13–18  C; mean annual temp, 24–28  C. Soil: Texture, light-medium; reaction, alkaline-neutral; free drainage; tolerates shallow and infertile soils. Silviculture: Size, 6–10 m in height; evergreen; termite resistant; coppices; tolerates drought; categorized as Endangered by the IUCN Red List. Planting objectives: Rehabilitation of mining areas. Timber: Density, S.G. 1.05–1.26. Sawing, difficult. Utilization: Sawn timber, boat building; fuel and charcoal; resins; honey. Pests and diseases: Attacked by Aleurothrixus floccosus and Diaprepes abbreviatus. 300 250 200 150 100 50 0 J

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Water Balance at Morant Point, Jamaica

120. Hakea salicifolia (Vent.) B. L. Burtt. Taxonomy: Family, Proteaceae; synonyms, Hakea saligna (Andrews) Knight., Embothrium salignum Andrews, Embothrium salicifolium Vent.; local or trade names, Willow-leaved Hakea, Willow-leafed Hakea, Finger Hakea. Natural occurrence: Latitudes, 27–40 S; areas, native of coastal regions in Queensland and New South Wales, Australia; altitudinal range, 0–500. Climate: Mean annual rainfall, 1,000–1,600 mm. Soil: Prefers welldrained sandy, loam, or clay soils; tolerates poorly drained soils. Silviculture: Size, 3–15 m in height; evergreen; form, round; tolerates drought, moderate frost, and waterlogging; light requirements, moderate demanding; fast growing. Planting objectives: Amelioration of soils/rehabilitation of mining areas/urban plantation/windbreaks. Utilization: Ornamental. Nursery: Seeds per kg, 38,000–70,700; pretreatment, none; planting stock, direct sown or cuttings; germination, 3–12 weeks. Pests and diseases: None of importance reported.

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Water Balance at Jervis Bay, Commonwealth Territory, NSW, Australia

121. Hevea brasiliensis (Will. ex A. Juss.) M€ ull. Arg. Taxonomy: Family, Euphorbiaceae; synonyms, Siphonia brasiliensis Willd. ex A. Juss.; local or trade names, Rubberwood, Para Rubber tree, Seringa, Caucho, Jacia. Natural occurrence: Latitude, 10 S–15 N; areas, Amazon Basin; altitudinal range, 100–200 m. Climate: Mean annual rainfall, 1,500–4,000 mm; rainfall regime, uniform; mean annual temp, 25  C. Soil: Texture, light; reaction, neutral-acid; free drainage; prefers deep soils. Silviculture: Size, 18–25 m in height; deciduous; form, acceptable; light requirements, moderate. Production: Latex 1,500 kg/ha/year. Planting objectives: Rehabilitation of degraded forests, of eroded soils, and of mining areas. Timber: S.G. 0.49–0.59; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction and boxes; fuel, charcoal, pulp, and veneer-plywood; latex; oil from seeds. Nursery: Seed source, Brazil; seeds per kg, 150; planting stock, potted, cuttings, and grafted seedlings to achieve high productivity and pest resistance; germinates in 15 days; plantable size in 10–15 months. Pests and diseases: Leaves attacked by fungus, Mycrociclus ulei and Dothidella ulei, other leaf disease is Glomerella cingulate, and in nurseries Phyllosticta heveae appears. 500 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Amazonas, Belem do Para, Brasil

122. Hieronyma alchorneoides Allemão Taxonomy: Family, Phyllanthaceae; synonyms, Hieronyma caribaea Urb.; local or trade names, Mascarey, Pantano. Natural occurrence: Latitudes, 4 N–4 S; areas, from the Ecuador Page 91 of 157

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coast to the Amazon Basin; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 3,000–5,000 mm; rainfall regime, uniform; dry season, 0–3 months; mean max temp hottest month, 24–34  C; mean min temp coldest month, 20–26  C; mean annual temp, 24–32  C. Soil: Texture, medium-heavy; reaction, acid-very acid; drainage, moist, seasonally waterlogged. Silviculture: Size, 25–35 m in height; deciduous; form, acceptable; light requirements, moderately demanding; coppices; requires wide spacing. Production: 10–20 m3/ha/ year. Timber: Density, S.G. 0.7–0.8; natural durability, durable; preservation, easy; sawing, easy. Utilization: Sawn timber, heavy construction and railway sleepers; suitable for plywoodsleepers. Nursery: Seed sources, Colombia, Costa Rica, Ecuador; seeds per kg, 30,000–50,000; storage, dry and cold for several months; pretreatment, soak for 12–24 h in cold water; planting stock, potted, stumps, cuttings; germinates in 15–30 days; plantable size in 3–5 months. Pests and diseases: None of importance reported. 350 300 250 200 150 100 50 0

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Water Balance at Goias, Brazil

123. Hopea seminis de Vriese. Taxonomy: Family, Dipterocarpaceae; synonyms, Shorea seminis Slooten, Hopea lanceolata de Vriese, Isoptera seminis (de Vriese) Burkill; local or trade names, Tengkawang air, Illipe Nut, Bangkirai Tanduk, Terindah. Natural occurrence: Latitudes, 0–18 N; areas, Peninsular Malaysia, Sarawak, Brunei, Sabah, Borneo, and the Philippines; altitudinal, 300–1,000 m. Climate: Mean annual rainfall, 1,600–2,200 mm. Soil: Found on alluvium banks of sluggish rivers. Silviculture: Size, 25–50 m in height; DBH, 130; buttresses; light requirements, moderate demanding in youth; gregarious; undisturbed mixed dipterocarp forests; categorized as Critically Endangered by the UICN Red List. Production: Yields of 1,138 kg/ha of dried kernels have been reported. Planting objectives: Rehabilitation on degraded forests. Timber: Natural durability, good. Utilization: Sawn timber, light construction; fuel; balau; cosmetics; medicinal; oil. Nursery: Pretreatment, soak for 12 h in cold water; germination, 2 weeks; planting size, 30–40 cm. Pests and diseases: None of importance reported.

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Water Balance at Kuala Pilah, Malaysia

124. Jacaranda arborea Urb. Taxonomy: Family, Bignoniaceae; local or trade names, Abey, Abey de Monte Malo. Natural occurrence: Latitudes, 20–23 N; areas, Cuba. Climate: Mean annual rainfall, 1,000–1,600 mm. Silviculture: Categorized as Vulnerable by the IUCN Red List. Planting objectives: Rehabilitation of mining areas. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Santiago de Cuba, Cuba

125. Jacaranda copaia (Aubl.) D. Don. Taxonomy: Family, Bignoniaceae; synonyms, Bignonia copaia Aubl.; local or trade names, Futui, Para-para, Copaia. Natural occurrence: Latitudes, 18 N–25 S; areas, Tropical America; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 600–2,000 mm; rainfall regime, summer-uniform; dry season, 4–6 months; mean max temp hottest month, 27–38  ; mean min temp coldest month, 14–22  C; mean annual temp, 20–28  C. Soil: Texture, lightmedium-heavy; reaction, alkaline-neutral; drainage, moist, seasonally waterlogged; tolerates saline conditions and poor soils. Silviculture: Size, 27 m in height; trunk swollen at base; form, good/coppices. Protection planting: Urban plantation. Timber: Density, S.G. 0.35–0.50; natural durability, perishable; preservation, easy; sawing, easy; seasoning, easy; soft, prone to blue stain. Utilization: Sawn timber, boxes and light construction; matches, veneer-plywood, and short fiber pulp; ornamental. Nursery: Seed sources, Cyprus, France Kenya, Pakistan, Uruguay; storage, dry, cold, sealed for 1–2 years; pretreatment, none; planting stock, potted, Page 93 of 157

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cuttings; grows well through postharvest slash and weed growth. Pests and diseases: None of importance reported. 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Calí, Colombia

126. Jacaranda mimosifolia D. Don. Taxonomy: Family, Bignoniaceae; synonyms, Jacaranda ovalifolia R. Br.; local or trade names, Brazilian Rose Wood, Jacaranda, Mimosa-leaved Jacaranda, Flamboyán Azul, Carobaguaçu, Palasandro, Yetebmenja. Natural occurrence: Latitudes, 25 N–40 S; areas, native from NE Argentina, Brazil, Bolivia, and NE Paraguay. Naturalized in Tropical Americas; altitudinal range, 500–2,400 m. Climate: Mean annual rainfall, 900–1,300 mm; rainfall regime, bimodal; mean max temp hottest month, 24–34  C; mean min temp coldest month, 10–20  C; mean annual temp, 16–24  C. Soil: Texture, light; reaction, neutral; free drainage; tolerates shallow and infertile soils; tolerates high drought. Silviculture: Size, 13–20 m in height; deciduous; frost tolerant; light requirements, strongly demanding; fast growing; coppices; categorized as Vulnerable by the IUCN Red List. Planting objectives: Shade, shelter, and windbreaks. Timber: Sawing, easy. Utilization: Sawn timber, building poles; fuel; honey. Nursery: Seeds per kg, 11,000–100,000; storage, indoor temp reaches viability up to 12 months; planting stock, direct sown or cuttings; pretreatment, soak in water during 24 h; germination, 50–92 % in 10 days; planting size, 8–10 months. Pests and diseases: None of importance reported.

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Water Balance at Taguatinga, Distrito Federal, Brazil

127. Khaya ivorensis A. Chev. Taxonomy: Family, Meliaceae; synonyms, Khaya caudata Stapf ex Hutch. & Dalziel.; local or trade names, Acajou. Natural occurrence: Latitudes, 5–13 N; areas, W Africa, Ivory Coast, Ghana, Togo, Benin, Nigeria; altitudinal range, 0–500 m. Climate: Mean annual rainfall, over 1,700 mm; rainfall regime, uniform; dry season, 1–3 months; mean min temp coldest month, 18  C; mean annual temp, 24–27  C. Soil: Texture, light-medium; reaction, neutral; free drainage; prefers deep soils. Silviculture: Size, 30–50 m in height; deciduous; buttresses; 1979 form, exceptional; light requirements, strongly demanding. Planting objectives: Rehabilitation on eroded soils. Timber: S.G. 0.51–0.64; sawing, easy; seasoning, easy. Utilization: Sawn timber, furniture, light construction, and boat building; veneer-plywood. Nursery: Seeds per kg, 3,000–7,600; storage, short-lived viability; planting stock, stumps, striplings; germinates in 10–18 days; plantable size in 10 months. Pests and diseases: In pure stands severe attack by Hypsipyla grandella. 400 350 300 250 200 150 100 50 0 J

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Water Balance at Bouake, Ivory Coast

128. Khaya senegalensis (Desv.) A. Juss. Taxonomy: Family, Meliaceae; synonyms, Swietenia senegalensis Desv.; local or trade names, Cailcedrat, African Mahogany. Natural occurrence: Latitudes, 8–15 N; areas, tropical Africa; altitudinal range, 0–1,800 m. Climate: Mean annual rainfall, 700–1,500 mm;

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rainfall regime, summer-winter; dry season, 5–7 months; mean max temp hottest month, 37–40  C; mean min temp coldest month, 11–19  C; mean annual temp, 19–29  C. Soil: Texture, light-medium-heavy; reaction, neutral; free drainage, moist. Silviculture size, 20–30 m in height; deciduous; form, acceptable; light requirements, strongly demanding, tolerates 50 % shade in youth; mixture with Chlorophora excelsa and Triplochiton scleroxylon. Planting objectives: Rehabilitation of eroded soils. Timber: S.G. 0.60–0.85; natural durability, moderately durable; preservation, difficult; sawing, fair; seasoning, easy; decorative. Utilization: Sawn timber, furniture and light construction; fuelwood and veneer; tannins; medicine. Nursery: Seeds per kg, 6,000–7,000; storage, short-lived viability; pretreatment, none; planting stock, bare-rooted seedlings, potted, stumps, striplings; germinates in 10–18 days; plantable size in 10–12 months. Pests and diseases: In pure stands severe attack by Hypsipyla sp. In India, Xylosandrus compactus or “scolytine beetle” attacks nurseries. 700 600 500 400 300 200 100 0 −100

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Water Balance at Ziguinhor, Senegal

129. Leucaena leucocephala (Lam.) de Wit Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Leucaena glauca (Willd.); local or trade names, Leucaena, White lead Tree, Guaje, Ipil Ipil. Natural occurrence: Latitudes, 12–27 N; areas, Native from Mexico to Central America. Naturalized in Asia; altitudinal range, 0–800 m. Climate: Mean annual rainfall, 600–1,000 mm; rainfall regime, wintersummer; dry season, 2–6 months; mean max temp hottest month, 24–32  C; mean min temp coldest month, 16–24  C; mean annual temp, 20–28  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral; moderately free drainage; tolerates shallow soils. Silviculture: Size, 5–20 m in height; evergreen; open crowned; light requirements, strongly demanding; shade tolerant in youth; fast growing; coppices; fixes nitrogen; tolerates salt winds; moderately frost resistant, categorized as one of the World's Worst Invasive Alien Species by the Global Invasive Species Database. Production: 20–40 m3/ha/year. Planting objectives: Rehabilitation of degraded forests and mining areas/erosion controller/soil improvement/windbreaks/shade. Timber: Density, S.G. 0.50–0.59; natural durability, poor. Utilization: Sawn timber, light construction and boxes; fence posts, building poles, transmission poles, fuel, charcoal, and short fiber pulp; fodder, legume. Nursery: Seed sources, Australia, Costa Rica, Hawaii Mexico, and the Philippines; seeds per kg, 26,000–30,000; storage, indoor temp during several years; pretreatment, soak in water at 80  C for 2 min; planting stock, potted; germinates in 8–10 days. Pests and diseases: Severe attack by a psyllid Heteropsylla cubana. A defoliator Heliothis zea appeared in younger plantations of Puerto Rico. The specie is very susceptible to insect attacks.

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Water Balance at Nueva San Salvador, La Libertad, El Salvador

130. Liquidambar styraciflua L. Taxonomy: Family, Altingiaceae; synonyms, Liquidambar gummifera Salisb.; local or trade names, Bilsted, Sweetgum, Redgum, Sapwood, Alligator Tree, Ocozotl. Natural occurrence: Latitudes, 11–40 N; areas, Southern USA, Mexico to Nicaragua; altitudinal range, 1,000–2,000 m. Climate: Mean annual rainfall, 1,000–1,500 mm; rainfall regime, summer; dry season, 5–6 months; mean max temp hottest month, 25–36  C; mean min temp coldest month, 11 to 5  C; mean annual temp, 8–20  C. Soil: Texture, medium-heavy; reaction, neutral-alkaline; drainage, moist; river bottoms. Silviculture: Size, 17–50 m in height; deciduous; form, acceptable; coppices. Production: 21 m3/ha/year. Planting objectives: Rehabilitation of degraded forests/shade. Timber: Density, S.G. 0.46–0.65; natural durability, moderately durable; seasoning, fair. Utilization: Sawn timber, furniture, crates, doors, and panels; veneer-plywood, matches, and pulp; gum; medicinal; perfumes. Nursery: Seed sources, the USA, Central America, France; seeds per kg, 130,000–200,000; storage, up to 4 years at 2–4  C and 5–15 % moisture; pretreatment, stratify in damp sand at 4  C for 30–60 days; planting stock, potted, bare-rooted plants; germination, 30–70 %. Pests and diseases: Susceptible to insect attacks. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Americus, Georgia, USA

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131. Lysiloma latisiliquum (L.) Benth. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Acacia bahamensis (Benth.) Griseb.; local or trade names, Wild tamarind, Quebracho, Sabicu, Dzalam, Tzukté, Soft tropical wood. Natural occurrence: Latitudes, 15–27 N. Areas, Cuba, Haití, Puerto Rico, Dominican Republic, Bahamas, South Florida USA, Belize, Petén Guatemala; altitudinal range, 0–150 m. Climate: Mean annual rainfall, 1,000–2,900 mm; rainfall regime, summer-winter; dry season, 1–4 months; mean max temp hottest month, 29–37  C; mean min temp coldest month, 12–18  C; mean annual temp, 20–27  C. Soil: Texture, lightmedium-heavy; reaction, neutral-acid; free drainage; occurs on shallow, neutral to slightly alkaline soils formed from limestone. Silviculture: Size, 7–20 m in height; DBH, 30–120 cm; deciduous; fast growing; light requirements, strongly demanding; tolerates drought. Planting objectives: Rehabilitation of mining areas/reclamation areas/shade. Utilization: Sawn timber light construction and furniture; fodder. Pests and diseases: Attacked by “cottony cushion scale” Icerya purchasi. The thorn bugs feed on stems and may cause minor tree dieback. A “lac scale” Tachardiella mexicana causes major branch dieback or even death of tree. 300 250 200 150 100 50 0 J

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Water Balance at Camaguey, Cuba

132. Maesopsis eminii Engl. Taxonomy: Family, Rhamnaceae; synonyms, Maesopsis eminii subsp. eminii; local or trade name, Musici. Natural occurrence: Latitudes, 8 N–2 S; areas, tropical Central Africa from Liberia to Uganda; altitudinal range, 100–700 m. Climate: Mean annual rainfall, 1,200–3,000 mm; rainfall regime, summer-uniform; dry season, 0–2 months; mean max temp hottest month, 26–32  C; mean min temp coldest month, 16–24  C; mean annual temp, 22–27  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; prefers fertile and deep soils. Silviculture: Size, 30–40 m in height; deciduous; short lived; form, exceptional; light requirements, strongly demanding; very wide crowned. Production: 8–20 m3/ha/year. Planting objectives: Shade. Timber: Density, S.G. 0.38–0.48; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction, furniture, and boxes; building poles, short fiber pulp, and veneer-plywood. Nursery: Seed sources, Uganda, Tanzania; seeds per kg, 550–1,100; pretreatment, soak in cold water for 1–2 days; planting stock, potted, stripling, stumps; germinates in 14–28 days; plantable size in 12–24 months. Pests and diseases: Stem cancer caused by Fusarium solani in E Africa. Cerambycid beetles Chlorophorus varius and Monochamus scabiosus attack plantations in Zaire.

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Water Balance at Dschang, Cameroon

133. Melaleuca leucadendra (L.) L. Taxonomy: Family, Myrtaceae; synonyms, Cajuputi leucadendron (L.) A. Lyons., Leptospermum leucadendron (L.) J.R. Forst. & G. Forst., Meladendron leucocladum St.Lag., Myrtus leucadendra L.; local or trade name, Paper Bark. Natural occurrence: Latitudes, 25 S–20 N; areas, SE Asia from Burma to Indonesia, the Philippines, and tropical Australia; altitudinal range, 0–800 m. Climate: Mean annual rainfall, 800–1,600 mm; rainfall regime, summer-uniform; dry season, 8–4 months; mean max temp hottest month, 28–34  C; mean min temp coldest month, 18–22  C; mean annual temp, 22–28  C. Soil: Texture, lightmedium-heavy; reaction, alkaline-neutral-acid; seasonally waterlogged; tolerates saline soils. Silviculture: Size, 10–20 m in height; evergreen; form, poor; light requirements, strongly demanding; coppices; fire resistant. Production: 10–16 m3/ha/year. Planting objectives: Rehabilitation of eroded soils; erosion controller; shade, shelter, and windbreaks. Timber: Density, S.G. 0.60; natural durability, good; preservation, easy; sawing, easy; seasoning, fair; non-fissile. Utilization: Sawn timber, heavy construction; building poles, transmission poles, fuel and charcoal, and short fiber pulp; oils. Nursery: Seed sources Australia, Malaya, Hawaii, Fiji, Indonesia; seeds per kg, 250,000–350,000; storage, ambient temp for several years; pretreatment, soak in cold water for 1–2 days; planting stock, potted. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Wyndham, WA, Australia

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134. Melia azedarach L. Taxonomy: Family, Meliaceae; synonyms, Melia sempervirens Sw., Azadirachta indica A. Juss.; local or trade name, Chinaberry, Mei Gadau Xang, Bead Tree, Mirabobo, Persian Lilac, Piocho. Natural occurrence: Latitudes, 30 N–40 S; areas, India, Nepal, Sri Lanka, Tropical China, Thailand, Vietnam, Indonesia, Papua New Guinea, the Philippines, Tropical Australia, and Solomon Islands; altitudinal range, 0–2,200 m. Climate: Mean annual rainfall, 350–2,000 mm; mean annual temp, 23–27  C. Soil: Prefers clay, lightly sandy, sandy-loam, and well-drained soils; tolerates drought. Silviculture: Size, 6–18 m in height; DBH. 40 cm; deciduous; fast growing; tolerates shade. Planting objectives: Rehabilitation of eroded soils and mining areas/urban plantation/shade and shelter. Timber: Density, S.G. 0.47–0.61; natural durability, moderate. Utilization: Sawn timber, light construction, furniture, and cabinetry; fuel, pulp, fiber, and turned objects; medicinal; ornamental; the fruits, flowers, leaves, and sapwood are toxic and may cause death and are frequently used as insecticides. Nursery: Seeds per kg, 475–3,200; storage, at 0  C and 6–7 % of humidity can make the seeds viable for several yrs; pretreatment, soak in water within 48 h; germination, 41.5 % in 30–45 days; planting stock, direct sown, potted, or cuttings. Pests and diseases: The trees are under fungal attacks causing brownish butt rot and brownish pocket rot. Certain larvae defoliate the tree and mine the leaves. 400 350 300 250 200 150 100 50 0 J

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Water Balance at Muang Chiang Rai, Thailand

135. Milicia excelsa (Welw.) C.C. Berg. Taxonomy: Family, Moraceae; synonyms, Chlorophora excelsa (Welw.) Benth.; local or trade names, African Teak, Iroko. Natural occurrence: Latitudes, 5 S–10 N; areas, tropical Africa from Ghana to East Coast; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 1,000–1,800 mm; rainfall regime, uniform; dry season, 0–3 months; mean max temp hottest month, 23–33  C; mean min temp coldest month, 20–26  C; mean annual temp, 22–32  C. Soil: Texture, medium; reaction, neutral-acid; moderately free drainage. Silviculture: Size, 35–40 m in height; deciduous; form, exceptional; light requirements, strongly demanding; coppices; root suckers vigorously; requires wide spacing. Production: 5–8 m3/ha/year. Planting objectives: Rehabilitation of eroded soils. Timber: Density, S.G. 0.55–0.66; natural durability, good; preservation, difficult; sawing, easy; seasoning, easy; high quality; interlocked grain and calcite crystals in wood. Utilization: Sawn timber, heavy construction, light construction, furniture, boat building, and joinery; veneer-plywood; tannins; medical. Nursery: Seed sources, most tropical African countries; seeds per kg, 300,000–480,000.

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Storage, dry, cold, airtight, short-lived viability; pretreatment, none; planting stock, striplings, stumps; plant large stumps; germinates in 14–18 days; plantable size in 12–18 months. Pests and diseases: Phytoloma spp. are psyllids which forms galls on and devastating shoots. The giant snail Achatina fulica has proved a pest in East Africa. 250 200 150 100 50 0 J

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Water Balance at Soroti, Uganda

136. Morella pubescens (Humb. & Bonpl. ex Willd.) Wilbur. Taxonomy: Family, Myricaceae; synonyms, Myrica pubescens Humb. & Bonpl. ex Willd.; local or trade names, Aliso, Laurel, Laurel de Cera, Murkune, Olivo de Cera, Gagel, Tuppasaire, Cardi Laurel. Natural occurrence: Latitudes, 20 N–30 S; areas, Argentina, Bolivia, Colombia, Costa Rica, Ecuador, Jamaica, Panamá, Perú, Venezuela; altitudinal range, 1,500–4,000 m. Climate: Mean annual temp, 16–20  C. Soil: Occurs in poor, rocky, and eroded soils. Silviculture: Size, 4–16 m in height; DBH, 20–30 cm; fast growing; light requirements, strongly demanding; tolerates frost. Planting objectives: Rehabilitation of eroded soils and mining areas/urban plantation/erosion controller/watershed protection and windbreaks. Utilization: Sawn timber, light construction; fuel, charcoal, and posts; handcraft; medicinal; ornamental; rehabilitation of degraded soils. Nursery: For storage and the following stages, the seeds must be clean of wax; pretreatment, none; germination, 53 % in 24 days to 1 month planted in soil and sand (2:1); planting size, 6–7 months. Pests and diseases: None of importance reported.

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Water Balance at Santa Marta, Colombia

137. Muntingia calabura L. Taxonomy: Family, Elaeocarpaceae; local or trade names, Jamaica Cherry, Capulin, Pasito, Calabura, Pau de Seda, Chitato. Natural occurrence: Latitudes, 0–23 N; areas, Southern Mexico, Central America, northern South America, and the Greater Antilles; altitudinal range, 0–1,300 m. Climate: Mean annual rainfall, 1,000–2,000 mm. Soil: Texture, light-medium; free drainage; adapts to clay, sandy, silt, calcareous soil. Silviculture: Size, 5–13 m in height; evergreen; spreading crown; fast growing; form, poor; light requirements, moderate; fire resistant. Planting objectives: Rehabilitation of eroded soils; urban plantation/shade. Utilization: Sawn timber, light construction and barrel staves; fuel, fodder, pulp, and coal; bark provides silky fiber for cloths and cordage; fruit, sweet berries; apiculture; medicinal; ornamental. Nursery: Planting stock, direct sown or cuttings. Pests and diseases: In limestone conditions, it may be attacked by leaf spot. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Kingston, Jamaica

138. Musanga cecropioides R. Br. ex Tedie Taxonomy: Family, Moraceae; synonyms, M. smithii R. Br.; local or trade names, Umbrella tree, Parasolier. Natural occurrence: Latitudes, 8 N–6 S; areas, W and central tropical Africa; altitudinal range, 0–200 m. Climate: Mean annual rainfall, 2,000–5,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 28–36  C; mean min temp

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coldest month, 20–26  C; mean annual temp, 25–30  C. Soil: Texture, light-medium; reaction, acid; seasonally waterlogged. Silviculture: Size, 12–15 m in height; form, acceptable; light requirements, strongly demanding; coppices. Production: 30–35 m3/ha/year. Planting objectives: Soil improvement. Timber: Density, S.G. 0.20–0.35; natural durability, poor; preservation, easy; only used for pulp. Utilization: Short fiber pulp. Nursery: Seed sources, Ivory Coast, Nigeria, Uganda; seeds per kg, 850,000–1,000,000; storage, ambient temp for up to 1 year; pretreatment, none; planting stock, potted; germinates in 14–21 days; plantable size in 3–4 months. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Kinshasa, Democratic Republic of the Congo

139. Nauclea diderrichii (De Wild.) Merr. Taxonomy: Family, Rubiaceae; synonyms, Sarcocephalus trillesii Pierre ex De Wild.; local or trade names, Aloma, Gulu-maza, Opepe, Bilinga. Natural occurrence: Latitudes, 10 N–5 S; areas, W and central tropical Africa; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 2,000–4,500 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 28–34  C; mean min temp coldest month, 22–26  C; mean annual temp, 24–30  C. Soil: Texture, light-medium; reaction, neutral-acid; moderately free drainage. Silviculture size 30–40 m in height; evergreen; form, exceptional; light requirements, strongly demanding. Production: 3–10 m3/ha/year. Timber: Density, S.G. 0.70–0.78; natural durability, good; preservation, fair; sawing, easy; seasoning, fair; decorative; interlocked grain. Utilization: Sawn timber, heavy construction, boat building; transmission poles, fuel, and charcoal. Nursery: Seed sources, most W African countries especially Nigeria; seeds per kg, 60,000–100,000; pretreatment, none; planting stock, potted, stumps, striplings; requires shade during the first weeks; germinates in 14–18 days; plantable size in 12 months. Pests and diseases: Several different borers attack timber.

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Water Balance at Boende, Democratic Republic of the Congo

140. Ochroma pyramidale (Cav. ex Lam.) Urb. Taxonomy: Family, Bombacaceae; synonyms, Ochroma pyramidalis Sw.; local or trade name, Balsa. Natural occurrence: Latitudes, 19 N–20 S; areas, Central America, West Indies, and South America to Bolivia; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,500–3,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 24–30  C; mean min temp coldest month, 20–25  C; mean annual temp, 22–28  C. Soil: Texture, medium; reaction, alkaline-neutral-acid; free drainage, moist; prefers fertile and deep soils. Silviculture: Size, 15–30 m in height; evergreen; short lived; form, poor; light requirements, strongly demanding; frost tender. Production: 17–30 m3/ha/year. Planting objectives: Rehabilitation of degraded forests. Timber: Density, S.G. 0.12–0.30; natural durability, medium; sawing, easy; seasoning, fair; optimum growth rates essential to meet commercial density requirements. Utilization: Sawn timber, heat insulation, buoyancy, furniture, and boat building; short fiber pulp; tannins. Nursery: Seed sources, Central America, Ecuador, Peru; seeds per kg, 70,000–100,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, boiling water until cool; planting stock, potted or direct sown; requires 50 % shade; very susceptible to damping off; germinates in 5–18 days; plantable size in 3–4 months. Pests and diseases: Very liable to fungal and insect attack via any damage to bark. 250 200 150 100 50 0 J

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Water Balance at Robore, Bolivia

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141. Octomeles sumatrana Miq. Taxonomy: Family, Tetramelaceae; synonyms, Octomeles moluccana Teijsm. & Binn. ex Hassk.; local or trade name, Binoang. Natural occurrence: Latitudes, 10 N–10 S; areas, Indonesia, the Philippines, New Guinea, and Solomon Islands; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 2,000–5,000 mm; rainfall regime, uniform; dry season, 0–1 months; mean max temp hottest month, 24–34  C; mean min temp coldest month, 20–26  C; mean annual temp, 24–30  C. Soil: Texture, light-medium; reaction, acid; free drainage, moist; prefers deep soils. Silviculture: Size, 40–50 m in height; evergreen; buttresses; form, exceptional; light requirements, strongly demanding; moderately fire resistant. Production: 25–40 m3/ha/year. Timber: Density, S.G. 0.27–0.47; natural durability, poor; preservation, easy; sawing, easy; seasoning, difficult; very liable to stain and borers. Utilization: Sawn timber, boxes; veneer-plywood. Nursery: Seed sources, Sabah or Solomon Islands; storage, short-lived viability; pretreatment, none; planting stock, potted; germination, no information; plantable size in 4 months. Pests and diseases: Liable to severe attack by defoliators. 300 250 200 150 100 50 0

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Water Balance at Kota Tinggi, Indonesia

142. Pachira quinata (Jacq.) W.S. Alverson. Taxonomy: Family, Malvaceae; synonyms, Bombacopsis quinata (Jacq.) Dugand.; local or trade names, Pochote, Spiny Cedar, Cedro Espinoso. Natural occurrence: Latitudes, 6–14 N; areas, Central and South America, from Nicaragua to Venezuela; altitudinal range, 0–800 m. Climate: Mean annual rainfall, 800–1,200 mm; rainfall regime, summer; dry season, 3–5 months; mean max temp hottest month, 26–32  C; mean min temp coldest month, 16–24  C; mean annual temp, 20–27  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage, seasonally waterlogged. Silviculture: Size, 30–40 m in height; deciduous; spiny; form, acceptable; light requirements, strongly demanding, shade tolerant in youth; coppices. Planting objectives: Rehabilitation of degraded forests. Timber: Density, S.G. 0.38–0.42; natural durability, poor; sawing, easy; resembles cedar. Utilization: Sawn timber, light construction and furniture. Nursery: Seed sources, Venezuela and Costa Rica; seeds per kg, 2,300–2,700; pretreatment, none; planting stock, stumps. Pests and diseases: Very susceptible to beetle and weevil attack.

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Water Balance at Mariquita, Colombia

143. Parinari excelsa Sabine. Taxonomy: Family, Chrysobalanaceae; synonyms, Ferolia amazonica Kuntze, Petrocarya excelsa (Sabine) Steud.; local or trade names, Turrú, Mubura, Guinea Plum, Parinari, Mbula mbura, Rough Skinned Plum. Natural occurrence: Latitudes, 15 N–25 S; areas, Widespread in tropical Africa from Senegal to Uganda and Tanzania and southwards to Angola, Zambia, and Mozambique; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, over 2,200 mm; mean annual temp, 10–27  C. Soil: Tolerates sandy soils. Silviculture: Size, 20–45 m in height; evergreen; rounded crown; buttresses; fast growing. Planting objectives: Urban plantation/shade for other plantations like Coffea and Cinchona. Timber: Sawing, difficult. Utilization: Sawn timber, heavy construction, railway sleepers, furniture, and flooring; fuel, veneer-plywood, posts, and poles; fodder, medicinal; oil; ornamental. Nursery: Seeds per kg, 250; germination, low and takes from 2 months until 3 years; planting stocks, direct sown or cuttings. Pests and diseases: None of importance reported. 900 800 700 600 500 400 300 200 100 0 J

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Water Balance at Kissy, Sierra Leone

144. Parinari nonda F. Muell. ex Benth. Taxonomy: Family, Chrysobalanaceae; synonyms, Ferolia nonda (F. Muell. ex Benth.) Kuntze.; local or trade names, Nonda Plum, Nonda Tree, Parinari, Engam. Natural occurrence: Latitudes, 6–19 S; areas, N of the Northern Territory through Cape York Peninsula, North East Queensland, in Australia, Solomon Islands, and Papua New Guinea; altitudinal Page 106 of 157

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range, 0–1,300 m. Climate: Mean annual rainfall, 1,100–1,700 mm; mean annual temp, 26–37  C. Soil: Reaction, acid-neutral. Found on sandstone or basalt and on alluvial plains. Silviculture: Size, 6–30 m in height; evergreen; drought tolerant; root suckers. Planting objectives: Rehabilitation in mining areas; land reclamation. Timber: Sawing, difficult; the wood dust may cause dermatitis due to silica deposits. Utilization: Sawn timber, heavy construction, joiner, and railway sleepers; fuel, poles, and turnery; edible fruits. Nursery: Planting stock, direct sown. Pests and diseases: None of importance reported. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Cape York peninsula, QLD, Australia

145. Parkia biglobosa (Jacq.) G. Don Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Parkia africana R. Br.; local or trade names, Locust Bean Tree, Monkey Cutlass, Mandinka, Dadawa. Natural occurrence: Latitudes, 5–15 N; areas, Senegal to Ghana; altitudinal range, 0–300 m. Climate: Mean annual rainfall, 400–1,500 mm; rainfall regime, summer; dry season, 3–7 months; mean max temp hottest month, 28–40  C; mean min temp coldest month, 8–20  C; mean annual temp, 24–28  C. Soil: Reaction, acid; prefers latosols; tolerates acid soils. Silviculture: Size, 15–20 m in height; deciduous; form, poor; fixes nitrogen. Planting objectives: Shade and shelter tree. Timber: Density, S.G. 0.58–0.64; natural durability, moderately; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction, boxes, furniture, and tools; plywood, short fiber pulp, matches, and poles; fodder, foliage; crushed seeds are a valuable food; tannin; medicinal. Nursery: Seed source, West Africa; seeds per kg, 5,000; planting stock, budded onto rootstock, potted; germination, 75 % in 15 days. Pests and diseases: None of importance reported.

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Water Balance at Niamey, Niger

146. Parkinsonia aculeata L. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Parkinsonia thornberi M.E. Jones; local or trade names, Jerusalem Thorn, Horse Bean, Yoruba. Natural occurrence: Latitudes, 32 N–20 S; areas, North, Central, and South America, from Texas to Peru; altitudinal range, 0–1,400 m. Climate: Mean annual rainfall, 200–1,000 mm; rainfall regime, winter-summer-uniform; dry season, 6–8 months; mean max temp hottest month, 22–32  C; mean min temp coldest month, 18–24  C; mean annual temp, 20–28  C. Soil: Texture, light-medium; reaction, alkaline-neutral; free drainage; occurs especially in desert gravel and sands along valleys and canyons; tolerates moderately saline soils. Silviculture: Size, 4–9 m in height; evergreen; spiny; short lived; form, poor; light requirements, strongly demanding; fixes nitrogen; leaves have toxic hydrocyanic acid. Planting objectives: Reclamation of wastelands, gullied areas, and mining spoil; urban plantation; erosion controller; shade and shelter; windbreaks. Utilization: Fuel, poles, posts, and charcoal; fodder, foliage and pods; apiculture; ornamental; medicinal. Nursery: Seed sources, Israel, Cyprus, C and S America; seeds per kg, 12,000; storage, ambient temp up to 1 year; pretreatment, soak in cold water for 3–6 days; planting stock, potted; germinates in 10–14 days; plantable size in 4–5 months. Pests and diseases: None of importance reported. 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Cundinamarca, Bogotá, Colombia

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147. Paulownia tomentosa Steud. Taxonomy: Family, Paulowniaceae; synonyms, Bignonia tomentosa Thunb.; local or trade names, Kiri, Princess Tree, Royal Paulownia, Imperial Tree. Natural occurrence: Latitudes, 32–40 N; area, China; altitudinal range, 500–1,200 m. Climate: Mean annual rainfall, 1,300–1,800 mm; rainfall regime, summer-uniform; dry season, 0–2 months; mean max temp hottest month, 26–30  C; mean min temp coldest month, 16–20  C; mean annual temp, 20–24  C. Soil: Texture, medium; reaction, neutral-acid; free drainage-moist; prefers fertile and deep soils. Silviculture: Size, 12–16 m in height; deciduous; form, poor; light requirements, strongly demanding; wind firm; moderately frost resistant; requires wide spacing. Production: 25–35 m3/ha/year. Timber: Density, S.G. 0.45; natural durability, poor; sawing, easy; seasoning, easy; tree requires pruning in commercial uses; decorative. Utilization: Sawn timber, furniture/fuel. Nursery: Seed sources, Argentina; root cuttings found in Brazil and China; pretreatment, none; planting stock, cuttings; germinates in 20–30 days; plantable size in 4–5 months. Pests and diseases: Reports of stem cancer. Very liable to defoliator attacks, including Atta ants. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Nanking, Jiangsu, China

148. Peltophorum pterocarpum (DC.) K. Heyne. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Inga pterocarpa DC., P. ferrugineum (Decne.) Benth., P. inerme (Roxb.) Naves; local or trade names, Jemerlang Laut, Copper pod. Natural occurrence: Latitudes, 1–15 N; areas, Sri Lanka, S India, and Malaysia; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,000–1,800 mm; rainfall regime, summer; dry season, 4–6 months; mean max temp hottest month, 32–36  C; mean min temp coldest month, 9–16  C; mean annual temp, 24–27  C. Soil: Texture, medium-light; free drainage; tolerates poor soils. Silviculture: Size, 20–30 m in height; deciduous; form, acceptable; coppices; fast growing. Planting objectives: Shade in Coffea and Theobroma plantations/reclamation of Imperata grasslands. Timber: Density, S.G. 0.25–0.28; sawing, easy. Utilization: Sawn timber, boxes and furniture/fuelwood. Nursery: Seed sources, Malaysia, France, Cambodia; seeds per kg, 12,000–20,000; pretreatment, boiling water, soak until cool; planting stock, potted, stumps, large branch cuttings; germination, 60–80 % in 7 days; plantable size in 5–6 months. Pests and diseases: None of importance reported.

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Water Balance at Fraser's Hill, Malaysia

149. Pericopsis elata (Harms) Meeuwen Taxonomy: Family, Leguminosae; subfamily, Papilionoideae; synonyms, Afrormosia elata Harms; local or trade names, Afrormosia, Afromosia, African Teak, Kokrodua, Asamela. Natural occurrence: Latitudes, 1–8 N; areas, Ivory Coast, Ghana, and Zaire; altitudinal range, 150–1,000 m. Climate: Mean annual rainfall, 750–1,500 mm; rainfall regime, bimodal to uniform; dry season, 2–4 months; mean max temp hottest month, 30–35  C; mean min temp coldest month, 20–23  C; mean annual temp, 25–26  C. Soil: Texture, light; reaction, neutral; free drainage; tolerates poor and eroded soils. Silviculture: Size, 30–45 m in height; deciduous; buttresses, fluted; form, poor, acceptable; fixes nitrogen; slow growing. Planting objectives: Rehabilitation of mining areas; taungya. Timber: Density, S.G. 0.57–0.85; natural durability, very durable; preservation, difficult; sawing, easy-fair; seasoning, easy-fair; teak substitute; resists termites. Utilization: Sawn timber, heavy construction, boat building, flooring, joinery, and railway sleepers; building poles and veneer-plywood. Nursery: Seed sources, Ghana; seeds per kg, 2,200–4,500; storage, up to 3 months; planting stock, barerooted seedlings, direct sown, stem cuttings. Pests and diseases: Lamprosema lateritialis caterpillar defoliates nursery and plantation trees. 250 200 150 100 50 0 J –50

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Water Balance at Kinshasa, Democratic Republic of the Congo

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150. Phyllostachys edulis (Carrière) J. Houz. [Bamboo] Taxonomy: Family, Poaceae; subfamily, Bambusoideae; synonyms, Phyllostachys pubescens Carrière; local or trade names, Mao Zhu, Mengzong Bamboo Shoots, Moso Bamboo, Mosochiku. Natural occurrence: Latitudes, 23–40  N. Areas, China; altitudinal range, 100–1,000 m Climate: Mean annual rainfall, 400–600 mm; mean min temp, 10 to 20  C; mean annual temp, 25–29  C. Soils: Reaction, acid-neutral-alkaline; occurs in sandy, loamy, and clay soils; prefers moist soils. Silviculture: Size, 8–28 m in height; evergreen; light requirements, moderate-strongly demanding; partial shade in youth; fast growing (50–100 cm per day). Utilization: Stems are used for light construction, heavy construction, water pipes, handcrafting; edible shoots; fodder, foliage; medicinal; textile industry. Nursery: Germination, 3–6 months. Pests and diseases: A bamboo borer Dinoderus minutus attacks the plant. With wet weather or cold, “mites” Tetranychus urticae attacks the foliage. 200 180 160 140 120 100 80 60 40 20 0 –20

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Water Balance at Kinshasa, Imienpo, China

151. Pinus ayacahuite Ehrenb. ex Schltdl. Taxonomy: Family, Pinaceae; synonyms, Pinus ayacahuite var. ayacahuite; local or trade names, Mexican White Pine. Natural occurrence: Latitudes, 14–21 N; areas, E America, from SE Mexico to Guatemala; altitudinal range, 1,800–3,100 m. Climate: Mean annual rainfall, 1,200–2,500 mm; rainfall regime, summer-uniform; dry season, 0–2 months; mean max temp hottest month, 20–24  C; mean min temp coldest month, 6–12  C; mean annual temp, 13–17  C. Soil: Texture, light-medium; reaction, acid; free drainage; prefers fertile and deep soils. Silviculture: Size, 30–35 m in height; evergreen; form, acceptable; light requirements, moderately demanding. Production: 8–15 m3/ha/year. Timber: Density, S.G. 0.40–0.46; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; soft timber. Utilization: Sawn timber, light construction, furniture, and boxes; long fiber pulp and veneer-plywood; resins. Nursery: Seed sources, Mexico and S Africa; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted. Pests and diseases: None of importance reported.

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Water Balance at Hidalgo del Parral, Mexico

152. Pinus canariensis C. Sm. Taxonomy: Family, Pinaceae; local or trade names, Canary Island Pine, Pino Canario. Natural occurrence: Latitudes, 28–29 N; area, Canary Islands; altitudinal range, 1,500–2,500 m. Climate: Mean annual rainfall, 600–1,700 mm; rainfall regime, wintersummer; dry season, 2–6 months; mean max temp hottest month, 21–29  C; mean min temp coldest month, 5–14  C; mean annual temp, 14–19  C. Soil: Texture, light-medium; reaction, neutral; free drainage; prefers deep soils. Silviculture: Size, 20–30 m in height; evergreen; form, acceptable; light requirements, strongly demanding; coppices; moderately resistant to tire and frost. Production: 8–18 m3/ha/year. Planting objectives: Shade and shelter. Timber: Density, S.G. 0.50–0.60; natural durability, good; preservation, easy; sawing, easy; seasoning, easy; ideal for transmission poles. Utilization: Sawn timber, heavy construction and light construction/building poles and transmission poles/resins. Nursery: Seed sources, Spain, S Africa, Australia, the USA; seeds per kg, 8,000–9,000; storage ambient temp for several years; pretreatment, none; planting stock, potted or direct sown; very liable to damping off; germinates in 18–21 days; plantable size in 24 months. Pests and diseases: Only major disease is attack Dothistroma pini after hail damage. 140 120 100 80 60 40 20 0 J

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Water Balance at Las Palmas, Gran Canaria, Canary Islands

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153. Pinus caribaea Morelet Taxonomy: Family, Pinaceae; synonyms, Pinus recurvata Rowlee; local or trade name, Caribbean Pine. Natural occurrence: Latitudes, 22–27 N; areas, Western Cuba and Isle of pine, New Caledonia; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,000–1,800 mm; rainfall regime, summer; dry season, 2–5 months; mean max temp hottest month, 30–34  C; mean min temp coldest month, 16–20  C; mean annual temp, 24–26  C. Soil: Texture, light-medium; reaction, acid; free drainage. Silviculture: Size, 20–27 m in height; evergreen; form, exceptional; light requirements, strongly demanding; frost tender. Production: 10–28 m3/ha/year. Planting objectives: Rehabilitation of degraded forests, of eroded soils, and of mining areas. Timber: Density, S.G. 0.35–0.63; natural durability, moderate-poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, and boat building; transmission poles, fence posts, and long fiber pulp; resins. Nursery: Seed sources, Cuba and Australia; seeds per kg, 55,000–60,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, direct sown or potted; mycorrhiza essential; viable to damping off; germinates in 8–21 days; plantable size in 5–8 months. Pests and diseases: None of importance reported. 300 250 200 150 100 50 0 J

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Water Balance at Pinar del Rio, Cuba

154. Pinus caribaea var. bahamensis (Griseb.) W.H. Barrett & Golfari Taxonomy: Family, Pinaceae; synonyms, Pinus bahamensis Griseb.; local or trade name, Caribbean Pine. Natural occurrence: Latitudes, 24–27 N; area, Bahamas Islands; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,000–1,500 mm; rainfall regime, summer; dry season, 2–5 months; mean max temp hottest month, 30–32  C; mean min temp coldest month, 16–20  C; mean annual temp, 22–26  C. Soil: Texture, light; reaction, alkaline-neutral; free drainage; tolerates shallow soils. Silviculture: Size, 15–20 m in height; evergreen; form, exceptional; light requirements, strongly demanding; moderately windfirm; frost tender. Production: 10–28 m3/ha/year. Timber: Density, S.G. 0.35–0.5; natural durability, moderatepoor. Preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, and boat building; transmission poles, fence posts, and long fiber pulp; resins. Nursery: Seed sources, Bahamas, Australia, Brazil; seeds per kg, 80,000–85,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; mycorrhiza essential; liable to damping off; germinates in 8–20 days; plantable size in 5–7 months. Pests and diseases: None of importance reported.

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Water Balance at Nassau, New Providence, Bahamas Islands

155. Pinus caribaea var. hondurensis (Sénécl.) W.H. Barrett & Golfari Taxonomy: Family, Pinaceae; local or trade name, Caribbean pine. Natural occurrence: Latitudes, 12–18 N; areas, Atlantic coast of C America from Belize to N Nicaragua; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 660–4,000 mm; rainfall regime, summeruniform; dry season, 0–6 months; mean max temp hottest month, 29–34  C; mean min temp coldest month, 15–23  C; mean annual temp, 21–27  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage, occasionally waterlogged; prefers moderately fertile soils. Silviculture: Size, 35–40 m in height; evergreen; form, acceptable; light requirements, strongly demanding; moderately fire resistant; frost tender. Production: 10–40 m3/ha/year. Timber: Density, S.G. 0.35–0.50; natural durability, moderate, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, and boat building; transmission poles, fence posts, and long fiber pulp; resins. Nursery: Seed sources, Honduras, Guatemala, Belize, S Africa, Fiji, Australia; seeds per kg, 52,000–70,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; mycorrhiza essential; liable to damping off; germinates in 8–21 days; plantable size in 5–6 months. Pests and diseases: “Needle blight” Cercospora pini-densiflorae can seriously attack exotic plantations. Dendroctonus spp. beetles are major pests in Central America. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Olanchito, Yoro, Honduras

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156. Pinus cubensis Griseb. Taxonomy: Family, Pinaceae; synonyms, Pinus maestraensis (Bisse) Silba., P. wrightii Engelm.; local or trade names, Pino Cubano, Pino de Mayarí, Pino de Moa, Pino de Baracoa. Natural occurrence: Latitudes, 20–23 N; areas, endemic to eastern Cuba occurring from the Sierra Maestra and the Sierra de Nipe eastwards into the highlands, terminating at the eastern of Baracoa; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,500–3,000 mm; mean annual temp, 21–25  C. Soil: Occurs on lateritic, calcareous, permeables, and with higher contents of iron soils. Silviculture: Size, 25–45 m in height; DBH, 50–100 cm; evergreen; form, acceptable; tolerates drought. Planting objectives: Rehabilitation of mining areas. Utilization: Sawn timber, flooring, heavy construction, and light construction. Nursery: Seeds per kg, 35,000–55,000; storage, at 12  C the germination rate reaches 67 %. At indoor temp, the viability reaches 12–20 months; pretreatment, exposed to sunlight during 4–5 days for the seeds to open; germination, 75–85 % in 12–60 days; planting stock, direct sown or 3–4 seeds per bag with soil, sand, and organic matter; plantable size, 4–5 months. Pests and diseases: Lepidopterans like Dioryctria horneana attack the cones, branches, and new plants, and Ephestia cautella attacks the seeds. 250 200 150 100 50 0 J

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Water Balance at Preston, Cuba

157. Pinus devoniana Lindl. Taxonomy: Family, Pinaceae; local or trade name, Michoacan Pine. Natural occurrence: Latitudes, 16–23 N; areas, Central and S Mexico; altitudinal range, 1,000–2,300 m. Climate: Mean annual rainfall, 1,000–1,700 mm; rainfall regime, summer; dry season, 2–3 months; mean max temp hottest month, 22–26  C; mean min temp coldest month, 6–14  C; mean annual temp, 14–21  C. Soil: Texture, medium-heavy; reaction, acid free drainage; prefers deep soils. Silviculture: Size, 20–25 m in height; evergreen; form, acceptable; light requirements, strongly demanding; moderately resistant to fire and frost. Production: 6–12 m3/ha/ year. Timber: Density, S.G. 0.48–0.50; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, boxes, etc.; transmission poles, long fiber pulp, veneer-plywood; resins. Nursery: Seed sources, Mexico and S Africa; seeds per kg, 25,000–35,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, none; planting stock, potted. Pests and diseases: None of importance reported.

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Water Balance at Hidalgo del Parral, Mexico

158. Pinus elliottii Engelm. Taxonomy: Family, Pinaceae; synonyms, Pinus heterophylla (Elliot) Sudw.; local or trade name, Slash Pine. Natural occurrence: Latitudes, 28–33 N; area, SE Coastal Plains, USA; altitudinal range, 500–2,500 m. Climate: Mean annual rainfall, 650–2,500 mm; rainfall regime, summer; dry season, 2–4 months; mean max temp hottest month, 23–32  C; mean min temp coldest month, 4–12  C; mean annual temp, 15–24  C. Soil: Texture, light-mediumheavy; reaction, acid; free drainage-seasonally waterlogged; tolerates shallow soils. Silviculture: Size, 20–30 m in height; evergreen; light crowned; form, acceptable, exceptional; light requirements, strongly demanding; tolerates salt winds; frost resistant. Production: 10–20 m3/ ha/year. Timber: Density, S.G. 0.50–0.66; natural durability, moderate, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, boxes, and boat building; building poles, transmission poles, fence posts, and long fiber pulp; resins. Nursery: Seed sources, the USA, S Africa, Australia; seeds per kg, 27,000–34,000; storage, dry, cold, and airtight for several years; pretreatment, stratify in damp sand for 30 days; planting stock, potted, bare-rooted plants; requires mycorrhiza; susceptible to damping off; germinates in 15–20 days; plantable size in 6–8 months. Pests and diseases: The most resistant pine to Diplodia pinea. 250 200 150 100 50 0 J

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Water Balance at Amite, Louisiana, USA

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159. Pinus greggii Engelm. ex Parl. Taxonomy: Family, Pinaceae; synonyms, Pinus greggii var. greggii. Natural occurrence: Latitudes, 20–26 N; areas, mountains of Mexico; altitudinal range, 1,700–3,100 m. Climate: Mean annual rainfall, 650–800 mm; rainfall regime, summer; dry season, 3–5 months; mean max temp hottest month, 16–24  C; mean min temp coldest month, 5–10  C; mean annual temp, 10–17  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage; prefers deep soils but is adaptable. Silviculture: Size, 15–18 m in height; evergreen; form, acceptable; light requirements, strongly demanding; frost resistant. Production: 5–13 m3/ha/year. Planting objectives: Windbreaks. Timber: Density, S.G. 0.40–0.44; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; soft and weak timber. Utilization: Sawn timber, light construction and boxes; fence posts and long fiber pulp. Nursery: Seed sources, Mexico and S Africa; seeds per kg, 70,000–80,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted. Pests and diseases: None of importance reported. 120 100 80 60 40 20 0 J

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Water Balance at Saltillo, Coahuila, Mexico

160. Pinus kesiya Royle ex Gordon Taxonomy: Family, Pinaceae; synonyms, Pinus khasya Royle ex Parl., Pinus insularis var. khasyana (Griff.) Silba; local or trade names, Khasya Pine, Khasi Pine, Paek, Yellow Pine, Benguet Pine. Natural occurrence: Latitudes, 11–30 N; areas, India, Nepal, and Southeast Asia, Luzon Island, Philippines, and Burma; altitudinal range, 1,000–2,000 m. Climate: Mean annual rainfall, 700–1,800 mm; rainfall regime, summer; dry season, 2–6 months; mean max temp hottest month, 26–30  C; mean min temp coldest month, 14–18  C; mean annual temp, 17–22  C. Soil: Texture, light-medium-heavy; reaction, acid; free drainage; not tolerate limestone soil. Silviculture: Size, 30–35 m in height; evergreen; form, acceptable; fast growing; light requirements, strongly demanding; termite resistant; frost tender. Production: 10–30 m3/ha/year. Timber: Natural durability, good. Planting objectives: Rehabilitation of eroded soils. Timber: Density, S.G. 0.45–0.61; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; good quality timber. Utilization: Sawn timber, heavy construction, light construction, paneling, furniture, and boxes; building poles, fuel and charcoal, and veneer-plywood; resins. Nursery: Seed sources, India, Madagascar, the Philippines, Thailand, Zambia; seeds per kg, 55,000–62,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, direct sown, wildlings, or potted; requires mycorrhiza; susceptible to damping off; germinates in 8–10 days; plantable size in 4–6 months. Pests and Page 117 of 157

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diseases: Liable to Dothistroma pini attack in Africa and shoot borers in Asia. Susceptible to fungi attacks which infest the tree from the crown downwards until the tree dies. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Katmandu, Nepal

161. Pinus latteri Mason Taxonomy: Family, Myrtaceae; synonyms, Pinus ikedae Yamam., P. merkusiana Cooling & Gaussen, P. tonkinensis A. Chev.; local or trade names, Tenasserim Pine, Nan Ya Song, Shaja, Son-songbai, Tinshu. Natural occurrence: Areas, Mainland Southeast Asia; grows in the mountains of Southeastern Myanmar, northern Thailand, Laos, Cambodia, Vietnam, and on the Chinese island of Hainan. Climate: Altitudinal range, 0–1,200 m. Silviculture: Size, 30–65 m in height; DBH, 2 m; evergreen; open crowned; categorized as Near Threatened by the IUCN Red List. Timber: Density, S.G. 0.55. Utilization: Sawn timber, construction, bridge building, and musical instruments/poles. Pests and diseases: None of importance reported. 1400 1200 1000 800 600 400 200 0 J

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Water Balance at Amherst, Myanmar

162. Pinus merkusii Jungh. & de Vriese Taxonomy: Family, Pinaceae; local or trade names, Tenasserim Pine, Paek Sorng Bai, Khoua, Merkus Pine, Black Pine. Natural occurrence: Latitudes, 11 N–3 S; areas, mainland SE Asia; from NW India, Sumatra, and Cambodia; altitudinal range, 800–1,600 m. Climate: Mean annual rainfall, 1,000–3,000 mm; rainfall regime, summer-uniform; dry season, 0–5

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months; mean max temp hottest month, 23–32  C; mean min temp coldest month, 16–24  C; mean annual temp, 19–28  C. Soil: Texture, light-medium-heavy; reaction, acid; free drainage; adaptable to most soil conditions. Silviculture: Size, 30–40 m in height; evergreen; form, exceptional; light requirements, strongly demanding; fire resistant; windfirm; termite resistant. Production: 8–27 m3/ha/year. Protection plating: Rehabilitation of eroded soils. Timber: Density, S.G. 0.44–0.59; natural durability, moderate; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction, heavy construction, furniture, and boxes; fuel, transmission poles, long fiber pulp, and veneer-plywood; resins. Nursery: Seed sources, Thailand; seeds per kg, 30,000–40,000; storage, short-lived viability; seedlings require full sunlight; pretreatment, none; planting stock, seeds, direct sown, or potted; requires mycorrhiza; susceptible to damping off; germinates in 10–12 days; plantable size in 8–10 months. Pests and diseases: Attacked by “looper caterpillars” in Indonesia. 300 250 200 150 100 50 0 J

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Water Balance at Bandung, Java, Indonesia

163. Pinus montezumae Lamb. Taxonomy: Family, Pinaceae; synonyms, Pinus ocampi Roezl., Pinus devoniana Lindl., P. russelliana Lindl., P. macrophylla Lindl., P. filifolia Lindl., P. grenvilleae Gordon; local or trade names, Montezuma Pine, Ocote Blanco, Pino de Montezuma, Ocotl, Pino Colorado. Natural occurrence: Latitudes, 14–23 N; areas, Highlands of Mexico and Guatemala; altitudinal range, 1,400–3,000 m. Climate: Mean annual rainfall, 900–1,600 mm; rainfall regime, summer; dry season, 2–3 months; mean max temp hottest month, 18–24  C; mean min temp coldest month, 4–12  C; mean annual temp, 11–18  C. Soil: Texture, light-medium; reaction, acid; free drainage; prefers fertile and deep soils. Silviculture: Size, 25–30 m in height; evergreen; form, acceptable; light requirements, strongly demanding; moderately shade tolerant in youth; moderately resistant to fire and frost. Production: 6–12 m3/ha/year. Timber: Density, S.G. 0.40–0.50; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; knotty if not pruned. Utilization: Sawn timber, heavy construction, light construction, and boxes; fence posts, fuel and charcoal, long fiber pulp, and veneer-plywood; resins. Nursery: Seed sources, Mexico, Guatemala, and S Africa; seeds per kg, 35,000–50,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, none; planting stock, potted; mycorrhiza required; germination, no information available; plantable size in 18–24 months.

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Pests and diseases: None of importance reported. 400 350 300 250 200 150 100 50 0 J

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Water Balance at Veracruz, Mexico

164. Pinus occidentalis Sw. Taxonomy: Family, Pinaceae; synonyms, P. cubensis Griseb.; local or trade name, West Indian pine. Natural occurrence: Latitudes, 18–21 N; areas, Caribbean, Haiti, Hispaniola Island, and E Cuba; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 1,300–1,500 mm; rainfall regime, summer; dry season, 2–4 months; mean max temp hottest month, 26–32  C; mean min temp coldest month, 10–16  C; mean annual temp, 18–24  C. Soil: Texture, light-medium-heavy; reaction, acid; free drainage-moist; adaptable to most soil conditions. Silviculture: Size, 25–35 m in height; evergreen; light crowned; form, exceptional; light requirements, strongly demanding; termite resistant. Production: 5–10 m3/ha/year. Timber: Natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, and boxes; transmission poles, fences, and long fiber pulp; resins. Nursery: Seed sources, Cuba, Dominican Republic, and Haiti; seeds per kg, 35,000–40,000; pretreatment, none; planting stock, potted; mycorrhiza required; susceptible to damping off; plantable size in 10–12 months. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Petion-ville, Haiti

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165. Pinus oocarpa Schiede Taxonomy: Family, Pinaceae; synonyms, Pinus oocarpoides Lindl. ex Loudon; local or trade names, Ocote Pine, Mexican Yellow Pine. Natural occurrence: Latitudes, 13–28 N; area, Central America, from Central Mexico to Nicaragua; altitudinal range, 1,000–2,400 m. Climate: Mean annual rainfall, 750–1,500 mm; rainfall regime, summer; dry season, 2–6 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 8–16  C; mean annual temp, 13–21  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage; tolerates shallow soils. Silviculture: Size, 20–30 m in height; evergreen; light crowned; form, exceptional to poor; light requirements, strongly demanding; termite resistant; provenance variation. Production: 10–40 m3/ha/year. Timber: Density, S.G. 0.45–0.70; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction and boxes; transmission poles, fence posts, and long fiber pulp; resins. Nursery: Seed sources, Belize, Guatemala, Honduras, Nicaragua; seeds per kg, 41,000–55,000; storage, dry and cold for several years; pretreatment, none; planting stock, potted; mycorrhiza required; susceptible to damping off; germinates in 14–21 days; plantable size in 6–8 months. Pests and diseases: The “weevil borer” Dendroctonus sp. makes severe attacks to the sapwood. 120 100 80 60 40 20 0

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Water Balance at Michoacan, Ocampo Mexico

166. Pinus patula Schiede ex Schltdl. & Cham. Taxonomy: Family, Pinaceae; local or trade name, Patula Pine. Natural occurrence: Latitudes, 18–20 N; area, S Central Mexico; altitudinal range, 1,400–3,200 m. Climate: Mean annual rainfall, 750–2,000 mm; rainfall regime, summer; dry season, 0–3 months; mean max temp hottest month, 20–29  C; mean min temp coldest month, 6–12  C; mean annual temp, 12–18  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainagemoist; prefers deep soils. Silviculture: Size, light-medium m in height; evergreen; form, acceptable to exceptional; light requirements, strongly demanding; moderately frost resistant. Production: 15–40 m3/ha/year. Timber: Density, S.G. 0.38–0.58; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; light and of only moderate strength. Utilization: Sawn timber, light construction and boxes; transmission poles, fence posts, and long fiber pulp. Nursery: Seed sources, most E and S African countries and Mexico; seeds per kg, 100,000–140,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, requires mycorrhiza; susceptible to damping off; germinates in 15–16 days; plantable size in 6–12 months. Pests and diseases: Attack by Diplodia pinea causes cankers and dieback. Page 121 of 157

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Water Balance at Xalacingo, Veracruz, Mexico

167. Pinus pinaster Aiton. Taxonomy: Family, Pinaceae; synonyms, Pinus maritima Lam.; local or trade names, Maritime pine, Cluster pine, Stern-Kiefer, Pino Gallego, Pinheiro-bravo. Natural occurrence: Latitudes, 48–34 N; areas, Western and S Western Mediterranean region, Italy, Morocco, Spain, S of France, and Portugal; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 400–1,200 mm; rainfall regime, winter; dry season, 0–4 months; mean max temp hottest month, 15–26  C; mean min temp coldest month, 0–6  C; mean annual temp, 10–23  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; occurs in acidic, sandy, and infertile soils; tolerates saline soils. Silviculture: Size, 20–35 m in height; evergreen; light requirements, strongly demanding; tolerates drought of wind and salt; categorized as one of the World’s Worst Invasive Alien Species by the Global Invasive Species Database. Protection planting: Urban plantation. Timber: Density, S.G. 0.39–0.50; natural durability, resistant; sawing, easy. Utilization: Sawn timber, transmission poles, posts, and light construction; fuel, pulp, and resins; medicinal; ornamental; afforestation. Pests and diseases: Attacks Tapesia strobilicola making the tree throw the cones 140 120 100 80 60 40 20 0 J

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Water Balance at Coimbra, Portugal

168. Pinus pseudostrobus Lindl. Taxonomy: Family, Pinaceae; local or trade names, Pacingo, Pino Ortiguillo, Pino Canís, Pino Real, Pino Blanco. Natural occurrence: Latitudes, 14–26 N; areas, Highlands of Page 122 of 157

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Mexico, Guatemala, and Honduras; altitudinal range, 1,300–2,800 m. Climate: Mean annual rainfall, 1,000–1,500 mm; rainfall regime, summer-uniform; dry season, 0–3 months; mean max temp hottest month, 20–26  C; mean min temp coldest month, 6–12  C; mean annual temp, 13–18  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage. Silviculture: Size, 25–35 m in height; evergreen; form, exceptional; light requirements, moderately demanding; moderately frost resistant. Production: 15–30 m3/ha/year. Timber: Density, S.G. 0.40–0.50; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; knotty nodes unless pruned. Utilization: Sawn timber, light construction and boxes; fence posts, fuel, charcoal, and long fiber pulp; resins. Nursery: Seed sources, Mexico, Guatemala, Honduras, S Africa; seeds per kg, 50,000–60,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted; very liable to damage in nursery and susceptible to damping off; germination, 8–12 days; plantable size in 15–18 months. Pests and diseases: Probably as susceptible as Pinus patula to attacks of Diplodia pinea. 350 300 250 200 150 100 50 0 J

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Water Balance at Comayagua, Honduras

169. Pinus radiata D. Don. Taxonomy: Family, Pinaceae; synonyms, P. insignis Dougl.; local or trade names, Radiata, Monterey pine. Natural occurrence: Latitudes, 36–37 N; areas, isolated localities on the Californian coast; altitudinal range, 1,500–3,000 m. Climate: Mean annual rainfall, 650–1,600 mm; rainfall regime, winter-uniform; dry season, 2–3 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 2–12  C; mean annual temp, 11–18  C. Soils: Texture, light to medium; reaction, neutral to acid; free drainage. Silviculture: Size, 25–35 m in height; evergreen; form, acceptable; light requirements, moderately demanding; tolerates salt winds; frost tender. Production: 12–30 m3/ha/year. Planting objectives: Windbreaks. Timber: Density, S.G. 0.38–0.50; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, and boxes; building poles, transmission poles, fence posts, long fiber pulp, and veneer-plywood. Nursery: Seed sources, Australia, Chile, New Zealand, Spain, South Africa, the USA; seeds per kg, 33,000–50,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted, bare-rooted plants; requires mycorrhiza; susceptible to damping off; germination, rapid and uniform; plantable size, 12 months or less. Pest and diseases: Attack by Diplodia pinea.

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Water Balance at Monterey, California, USA

170. Pinus roxburghii Sarg. Taxonomy: Family, Pinaceae; synonyms, P. longifolia Roxb. ex Lamb; local or trade names, Chir Pine. Natural occurrence: Latitudes, 26–35 N; areas, the Himalaya, from Afghanistan to Bhutan; altitudinal range, 1,200–2,500 m. Climate: Mean annual rainfall, 750–1,100 mm; rainfall regime, summer; dry season, 2–4 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 4–12  C; mean annual temp, 12–20  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage; tolerates shallow soils. Silviculture: Size, 30–35 m in height; evergreen; open crowned; form, acceptable; light requirements, strongly demanding; fire resistant; frost resistant. Production: 7–14 m3/ha/ year. Planting objectives: Rehabilitation on degraded forests/erosion controller. Timber: Density, S.G. 0.45–0.55; natural durability, moderate; preservation, easy; sawing, easy; seasoning, easy; spiral grain in timber. Utilization: Sawn timber, light construction and boxes; building poles, fence posts, and long fiber pulp; resins. Nursery: Seed sources, India, Pakistan, Nepal, S Africa; seeds per kg, 11,000–13,000; storage, dry, cold, and airtight for several years; pretreatment, none; planting stock, potted or direct sown, bare-rooted plants; germinates in 25–30 days; plantable size in 24 months. Pests and diseases: None of importance reported. 250 200 150 100 50 0

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Water Balance at Rawalpindi, Pakistan

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171. Pinus strobus L. Taxonomy: Family, Pinaceae; synonyms, Pinus strobus subsp. chiapensis Martinez A.E. Murray; local or trade names, Tree of Great Peace, Pino Canadiense, Weymouth Pine, Eastern White Pine. Natural occurrence: Latitudes, 15–20 N; areas, S Mexico and Guatemala; altitudinal range, 600–1,800 m. Climate: Mean annual rainfall, 1,000–1,600 mm; rainfall regime, summer; dry season, 2–3 months; mean max temp hottest month, 24–28  C; mean min temp coldest month, 14–20  C; mean annual temp, 17–23  C. Soil: Texture, light; reaction, acid; free drainage; prefers fertile and deep soils. Silviculture: Size, 25–30 m in height; evergreen; form, exceptional/; light requirements, strongly demanding; light feathery crown. Production: 10–20 m3/ha/year. Timber: Density, S.G. 0.34–0.45; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction, furniture, and boxes; long fiber pulp; resins. Nursery: Seed sources, Mexico, Guatemala; seeds per kg, 55,000–65,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, none; planting stock, potted; requires mycorrhiza; susceptible to damping off; germinates in 12–30 days; plantable size in 5–8 months. Pests and diseases: None of importance reported. 140 120 100 80 60 40 20 0 -20

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Water Balance at Stephenville, Newfoundland, Canada

172. Pinus tecunumanii F. Schwerdtf. ex Eguiluz & J.P. Perry. Taxonomy: Family, Pinaceae; synonyms, Pinus oocarpa var. ochoterenae Martínez; local or trade names, Schwerdtfeger’s Pine, Pino Tecun Uman, Pinheiro. Natural occurrence: Latitudes, 12–19 N; areas, Guatemala, Honduras, Nicaragua; altitudinal range, 440–2,800 m. Climate: Mean annual rainfall, 1,000–3,000 mm; rainfall regime, summer; dry season, 2–4 months; mean max temp hottest month, 22–35  C; mean min temp coldest month, 10–18  C; mean annual temp, 15–23  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage; tolerates shallow and infertile soils. Silviculture: Size, 40–55 m in height; evergreen; form, exceptional; tolerates drought. Timber: Density, S.G. 0.41–0.57; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, flooring, furniture, and boxes; veneer-plywood, particleboard, poles, turnery, and long fiber pulp; resins. Nursery: Seed sources, Honduras, Guatemala, Nicaragua; seeds per kg, 90,000; storage, dry, cold, sealed; pretreatment, none; planting stock, potted, bare-rooted seedlings. Pests and diseases: Attack by Dendroctonus frontalis.

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Water Balance at Salama, Baja Verapaz, Guatemala

173. Pithecellobium dulce (Roxb.) Benth. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Inga dulcis (Roxb.) Willd., Mimosa dulcis Roxb.; local or trade names, Guamúchil, Opiuma, Me Keo, Mchonogoma, Mangollano, Manila Tamarind, Ingarana, Gallinero, Sweet Inga. Natural occurrence: Latitudes, 3–28 N; areas, across the Pacific Ocean in Mexico and the S of California, through Central America to the N of Colombia and Venezuela; altitudinal range, 0–1,550 m. Climate: Mean annual rainfall, 250–1,800 mm; rainfall regime, summer-bimodal; dry season, 4–6 months; mean max temp hottest month, 32–41  C; mean min temp coldest month, 8–20  C; mean annual temp, 18–26  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral; free drainage; tolerates clay, rocky, sandy, eroded, shallow, saline, salty, and infertile soils. Silviculture: Size, 5–22 m in height; semievergreen; light requirements, strongly demanding; fixes nitrogen; tolerates harsh sites, heat, drought, fire, weeds, and heavy cutting; regenerate rapidly; fast growing; coppices. Planting objectives: Rehabilitation on mining areas. Utilization: Fuel, posts, building poles, and charcoal; fodder; honey; medicinal; reforestation; resins; oils. Nursery: Seeds per kg, 6,700–25,700; the seeds reaches 6 months viability in the storage stage; pretreatment, none; germination, 1–2 days; planting stock, direct sown or cuttings. Pests and diseases: In Hawaii, the fruits and seeds are susceptible to the attack of larvae of Subpandesma anysa. In India, the larvae of Indarbela sp. have been reported as a borer of the tree. In the Reunion Island on the Pacific Ocean, they have been reported as a severe pest of a lepidopter Polydesma umbricola.

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Water Balance at La Argentina, Alajuela, Costa Rica

174. Podocarpus milanjianus Rendle Taxonomy: Family, Podocarpaceae; synonyms, Podocarpus ulugurensis Pilg.; local or trade names, Podo, Tawaso, Yellow Wood. Natural occurrence: Areas, Kenya, Sudan, Uganda, Rwanda; altitudinal range, 1,600–3,100 m. Climate: Mean annual rainfall, 1,000–1,500 mm; mean annual temp, 15–19  C. Soil: Texture, light-medium; free drainage; prefers deep soils. Silviculture: Size, 30 m in height; form, exceptional; light requirements, shade species. Timber: Density, S.G. 0.45–0.51; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy. Utilization: Sawn timber, heavy construction, light construction, furniture; pulp and veneer-plywood. Nursery: Seed sources, Kenya, Zambia; seeds per kg, 2,800; storage, short-lived viability; planting stock, potted; requires shading in nursery; plantable size in 8 months. Pests and diseases: Stem and root damage by Armillaria mellea and Ganoderma applanatum; principal wood damage with older trees is caused by Oemida gahani. 400 350 300 250 200 150 100 50 0 J

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Water Balance at Dschang, Cameroon

175. Populus deltoides Marshall Taxonomy: Family, Salicaceae; synonyms, P. deltoides var. missouriensis (A. Henry) A. Henry; local or trade names, Carolina poplar, Eastern Cottonwood. Natural occurrence: Latitudes, 30–40 N; areas, Missouri-Mississippi Basin of the USA; altitudinal range, 2,000–3,000 m. Climate: Mean annual rainfall, 1,200–3,000 mm; rainfall regime, uniform; Page 127 of 157

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dry season, 0–1 month; mean max temp hottest month, 22–30  C/; mean min temp coldest month, 2–12  C; mean annual temp, 12–16  C. Soil: Texture, medium; reaction, neutralmoderately acid; free drainage, moist; occasionally seasonally waterlogged; prefers fertile and deep soils. Silviculture: Size, 25–30 m in height; deciduous; form, acceptable; light requirements, strongly demanding; root suckers vigorously; requires wide spacing. Production: 20–40 m3/ha/year. Planting objectives: Urban plantation; shade and shelter; windbreaks. Timber: Density, S.G. 0.37–0.45; natural durability, poor; preservation, difficult; sawing, easy; seasoning, fair; soft, mainly used for match making. Utilization: Sawn timber, boxes; short fiber pulp and veneer-plywood; ornamental. Nursery: Seed sources, the USA and Argentina; seeds per kg, 770,000; storage, short-lived viability; planting stock, cuttings; susceptible to damping off; sow uncovered; germinates in 1–4 days; rapid growth in nursery. Pests and diseases: Very susceptible to defoliators and to leaf rusts. Borers cause degradation of timber. 180 160 140 120 100 80 60 40 20 0 –20

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Water Balance at Columbia, Missouri, USA

176. Prosopis cineraria (L.) Druce Taxonomy: Family, Mimosaceae; synonyms, Prosopis spicigera L.; local or trade names, Jand, Khejri, Ghaf. Natural occurrence: Latitudes, 9–30 N; areas, Northwestern India, Pakistan, Afghanistan, Iran, Saudi Arabia; altitudinal range, low altitudes. Climate: Mean annual rainfall, 75–850 mm; dry season, 2–6 months; maximum temp, 40–50  C. Soil: Texture, light-medium-heavy; reaction, alkaline. Silviculture: Size, 5–9 m in height; open crown; form, poor; light requirements, strongly demanding. Production: 2.9 m3/ha/year. Planting objectives: Sand fixation. Timber: Sawing, fair; seasoning, fair. Utilization: Sawn timber, light construction and boat building; fence posts. Nursery: Storage, at ambient temp; pretreatment, soak in boiling water until cool; planting stock, potted, direct sown; plantable size in 5–8 months. Pests and diseases: Attacked by fungus and insects.

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Water Balance at Rajkot, Gujarat, India

177. Prosopis juliflora (Sw.) DC Taxonomy: Family, Mimosaceae; synonyms, Neltuma juliflora (Sw.) Raf.; local or trade names, Mesquite, Algarobo. Natural occurrence: Latitudes, 35 N–3 S; areas, SW the USA through C America to Ecuador; altitudinal range, 0–2,000 m. Climate: Mean annual rainfall, 200–600 mm; rainfall regime, winter-summer; dry season, 6–8 months; mean max temp hottest month, 22–34  C; mean min temp coldest month, 14–22  C; mean annual temp, 16–28  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral; free drainage; tolerates saline soils. Silviculture: Size, 5–10 m in height; evergreen; spiny; form, poor; light requirements, strongly demanding; coppices; root suckers vigorously; rapidly spread in animal droppings. Production: 3–5 m3/ha/year. Planting objectives: Rehabilitation of mining areas; erosion controller; shade and shelter; windbreaks; dune fixation. Timber: Density, S.G. 0.63–0.80; natural durability, good. Sawing, easy. Utilization: Fence posts, fuel, and charcoal; fodder, pods. Nursery: Seed sources, available throughout its natural range; seeds per kg, 20,000–26,000; storage, without difficulty at indoor temp. Pretreatment, boiling water until cool; planting stock, potted or direct sown; germinates in 5–6 days; plantable size in 3–4 months. Pests and diseases: None of importance reported. 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Chiquimula, Guatemala

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178. Prosopis tamarugo Phil. Taxonomy: Family, Leguminosae; subfamily, Mimosoideae; synonyms, Prosopis chilensis (Molina) Stuntz; local or trade names, Tamarugo, Tamarugal. Natural occurrence: Latitudes, 22–19 S; areas, N Chile; altitudinal range, 1,500–2,500 m. Climate: Mean annual rainfall, 200–400 mm; rainfall regime, winter-summer; dry season, 6–8 months; mean max temp hottest month, 22–30  C; mean min temp coldest month, 0–6  C; mean annual temp, l0–16  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral; seasonally waterlogged; tolerates saline soils. Silviculture: Size, 8–12 m in height; deciduous; form, poor; light requirements, strongly demanding; coppices. Production: 2–4 m3/ha/year. Planting objectives: Shade and shelter/windbreaks. Timber: Natural durability, good/tough. Utilization: Sawn timber, flooring, cabinetry, and furniture; fence posts, fuel, and charcoal; fodder pods. Nursery: Seed sources, Chile; seeds per kg, 20,000–25,000; storage, without difficulty, ambient temp. Pretreatment, boiling water until cool; planting stock, potted or direct sown; plantable size in 6–9 months. Pests and diseases: None of importance reported. 100 90 80 70 60 50 40 30 20 10 0 J

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Water Balance at Calama, Chile

179. Prunus cerasoides Buch. –Ham. ex D. Don Taxonomy: Family, Rosaceae; synonyms, Cerasus cerasoides (Buch. –Ham. ex D. Don) S. Ya. Sokolov. Local or trade names, Nang Paya Sua Kong, Gao Peng Ying Tao, Painyu, Wild Himalayan Cherry, Cerezo del Himalaya Silvestre, Cerezo del Himalaya Floreciente, Cerezo Enano. Natural occurrence: Latitudes, 10–30 N; areas, found in the Himalayas, also in Nepal, Bhutan, Burma, West China, and India; altitudinal range; 700–3,700 m. Soil: Reaction, neutral-alkaline; tolerates sandy, clay, and moist loamy soils; prefers free drainage; sensible to inundations. Silviculture: Size, 3–30 m in height; deciduous; light requirements, moderate demanding; fast growing. Protection planting: Urban plantation. Utilization: Sawn timber, construction; fuel; fruits are edible; apiculture; gums; medicinal; ornamental. Nursery: Seeds per kg, 3,000–4,500; seeds are shade demanding; pretreatment, soak the seeds in water for 1–2 days; planting stock, seeds or direct sown; germination, 12–21 days. Pests and diseases: None of importance reported.

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Water Balance at Katmandu, Nepal

180. Psidium guajava L. Taxonomy: Family, Myrtaceae; synonyms, Psidium aromaticum Aubl.; local or trade names, Guava, Guayaba, Araca, Jambu Batu, Guavenbaum, Trapaek Sruk, Farang. Natural occurrence: Latitudes, 25 N–24 S; areas, Tropical Americas; altitudinal range, 0–2,100 m. Climate: Mean annual rainfall, 600–3,000 mm; rainfall regime, summer-winter; bimodal, uniform; dry season, 0–8 months; mean max temp hottest month, 20–32  C; mean min temp coldest month, 9–23  C; mean annual temp, 13–26  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral-acid; free drainage; prefers well-drained soils with higher contents of organic matter; tolerates clay, eroded, saline, waterlogged, and infertile soils. Silviculture: Size, 3–20 m in height; DBH, 60 cm; deciduous; light requirements, moderately demander; tolerates frost, shade, and drought; fast growing; coppices. Production: The fruits and the orchards produce 25–40 t/ha/year. Planting protection: Rehabilitation of eroded soils and degraded mining areas; urban plantation; shade, shelter, and erosion controller. Utilization: Sawn timber, light construction, heavy construction, carving, carpentry, and turnery; fuel and hedges; fodder; insecticide; medicinal; ornamental; tannins; cultivated for sweet fruits. Nursery: Germination, 3–8 weeks; planting stock, seeds, direct sown, or cuttings. Pests and diseases: Attacked by a root rot Phytophthora sp. that in many cases kills the tree. The fruits and leaves are affected by Glomerella cingulata, an anthracnose. 450 400 350 300 250 200 150 100 50 0 –50

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Water Balance at San Andres, La Libertad, El Salvador

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181. Pterocarpus dalbergioides DC. Taxonomy: Family, Leguminosae; subfamily, Faboideae; synonyms, Pterocarpus indicus Willd.; local or trade names, Padaouk Wood, Andaman Red Wood, East Indian Mahogany, Narra. Natural occurrence: Latitudes, 11–14 N; areas, Andaman Islands in the Indian Ocean; altitudinal range, 0–600 m. Climate: Mean annual rainfall, 1,000–3,000 mm; dry season, 2–4 months; mean annual temp, 20–28  C. Soil: Texture, light-medium; reaction, neutral; free drainage; prefers deep soils. Silviculture: Size, 35–40 m in height; deciduous; buttresses; light requirements, moderately shade tolerant; ideal for enrichment planting, agroforestry; associated with Terminalia bialata, T. manii, and Albizia lebbeck. Plantations require intensive tending; termite resistant. Timber: Density, S.G. 0.70; natural durability, good; preservation, easy; sawing, fair; seasoning, difficult; decorative. Utilization: Sawn timber, heavy construction, light construction, furniture, cabinet work, and boat building; veneer. Nursery: Seed source, Venezuela; seeds per kg, 1,200–1,300; storage, dry, cold, and airtight up to 2 years; planting stock, stumps, cuttings, bare-root stock, direct sown of wildlings. Pests and diseases: In Indonesia leaf fungus Aldona stella-nigra and Fomes lamaoensis cause root disease; in Malaysia, Ganoderma lucidum causes stem rot. 600 500 400 300 200 100 0 J

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Water Balance at Port Blair, Andaman Island, India

182. Roseodendron donnell-smithii (Rose) Miranda Taxonomy: Family, Bignoniaceae; synonyms, Tabebuia donnell-smithii Rose, Cybistax donnell-smithii (Rose) Seibert; local or trade names, Primavera. Natural occurrence: Latitudes, 13–17 N; areas, Southern Mexico and Pacific coast of Guatemala; altitudinal range, 0–600 m. Climate: Mean annual rainfall, 1,000–3,000 mm; rainfall regime, summer; dry season, 2–3 months; mean max temp hottest month, 23–31  C; mean min temp coldest month, 17–23  C; mean annual temp, 23–28  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; prefers deep soils. Silviculture: Size, 25–33 m in height; deciduous; form, exceptional; light requirements, strongly demanding; coppices. Production: 20–30 m3/ha/ year. Planting objectives: Shade. Timber: Density, S.G. 0.35–0.50; natural durability, poor; preservation, easy; sawing, easy; seasoning, easy; interlocked grain. Utilization: Sawn timber, light construction, furniture, and boxes; veneer-plywood. Nursery: Seed sources, Mexico and Guatemala; storage, dry, airtight in ambient temp for up to 1 year; planting stock, potted, stumps, bare-rooted plants; germinates in 12–18 days; plantable size in 6 months. Pests and diseases: None of importance reported.

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Water Balance at San Salvador, El Salvador

183. Schefflera morototoni (Aubl.) Maguire, Steyerm. & Frodin. Taxonomy: Family, Araliaceae; synonyms, Didymopanax morototoni (Aubl.) Decne. & Planch.; local or trade names, Yagrumo macho, Matchwood, Guitarrero, Sujo, Morototo, Borracho, Caixeta, Pau-Pombo, Orumo-macho. Natural occurrence: Latitudes, 17 N–25 S; areas, West Indies, from Cuba to Trinidad and Tropical Americas from Oaxaca and Veracruz Mexico through Colombia, Venezuela, Guianas, Brazil, and Argentina; altitudinal range, 0–2,100 m. Climate: Mean annual rainfall, 1,000–8,000 mm; rainfall regime, summer-bimodal; dry season, 3–5 months; mean max temp hottest month, 23–37  C; mean min temp coldest month, 12–26  C; mean annual temp, 17–27  C. Soil: Texture, light-medium; reaction, acid; free drainage; occurs in clay, limestone, and erodes soils. Silviculture: Size, 15–30 m in height; DBH, 20–36 cm; light requirements, strongly demanding; tolerates drought. Production: In Brazil, 299 l/t of ethanol were produced. Planting objectives: Rehabilitation of mining areas. Utilization: Sawn timber, matches, light construction, furniture, boxes, and canoas building; long fiber pulp; ethanol; medicinal. Nursery: The seeds are strong and impermeable, so many scarification techniques are still in trials. The germination rate of the specie is less than 30 %. Pests and diseases: None of importance reported. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at San Juan, Dominican Republic

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184. Schinus molle L. Taxonomy: Family, Anacardiaceae; synonyms, Schinus angustifolia Sessé & Moc.; local or trade names, Pepper Tree, Molle. Natural occurrence: Latitudes, 3–25 S; areas, highlands of pacific coast of S America; altitudinal range, 1,000–3,500 m. Climate: Mean annual rainfall, 300–620 mm; rainfall regime, winter-summer-uniform; dry season, 4–8 months; mean max temp hottest month, 20–28  C; mean min temp coldest month, 5–15  C; mean annual temp, 12–20  C. Soil: Texture, light; reaction, alkaline-neutral; free drainage; tolerates moderately saline soils. Silviculture: Size, 10–15 m in height; evergreen; open crowned; form, poor; light requirements, strongly demanding; termite resistant; tolerates salt winds; moderately frost tender. Production: 3–5 m3/ha/year. Planting objectives: Urban plantation/shade and shelter/windbreaks. Timber: Natural durability, moderate. Utilization: Fence posts, fuel, and charcoal; ornamental; not usable for culinary pepper. Nursery: Seed sources, W S America and Mexico; seeds per kg, 35,000–65,000; storage, without difficulty ambient at indoor temp for several years; pretreatment, none; planting stock potted; low germination capacity. Pests and diseases: Termites attack young plants. 120 100 80 60 40 20 0 J

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Water Balance at Tacna, Taratá, Perú

185. Schizolobium parahyba (Vell.) S.F. Blake Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Caesalpinia parahyba (Vell.) Allermao, Cassia parahyba Vell., Schizolobium excelsum Vogel.; local or trade names, Brazilian Fire Tree, Faveira, Guapuruva, Judio. Natural occurrence: Latitudes, 23–35 S; areas, South Brazil coast, naturalized S Mexico to SE Brazil; altitudinal range, 0–2,200 m. Climate: Mean annual rainfall, 1,000–1,800 mm; rainfall regime, summeruniform; dry season, 0–3 months; mean max temp hottest month, 20–26  C; mean min temp coldest month, 5–9  C; mean annual temp, 14–22  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage; adaptable. Silviculture: Size, 20–35 m in height; deciduous; may buttress; form, acceptable to exceptional; fixes nitrogen; self-pruning; 6–8-year pulpwood rotation. Production: 20 m3/ha/year. Timber: Density, S.G. 0.30–0.40; natural durability, nondurable; sawing, easy-fair; seasoning, easy. Utilization: Sawn timber, boxes; fuelwood and short fiber pulp. Nursery: Seed sources, France, Central America; seeds per kg, 5,500–6,000; germinates well and rapid early growth. Pest and diseases: None of importance.

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Water Balance at Sâo Luís, Brazil

186. Senna siamea (Lam.) H.S. Irwin & Barneby. Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Cassia siamea Lam.; local or trade names, Pheasantwood. Natural occurrence: Latitudes, 1–5 N; areas, SE Asia, including India, Sri Lanka, and Malaya; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 650–950 mm; rainfall regime, summer; dry season, 4–6 months; mean max temp hottest month, 23–35  C; mean min temp coldest month, 20–24  C; mean annual temp, 22–28  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; prefers deep soils. Silviculture: Size, 6–7 m in height; evergreen; form, poor, acceptable; light requirements, strongly demanding; coppices; frost tender; root suckers vigorously. Production: 8–12 m3/ha/ year. Planting objectives: Rehabilitation of eroded soils/urban plantation/windbreaks. Timber: Density, S.G. 0.62–0.80; natural durability, durable; sawing, moderate; seasoning, moderate. Utilization: Sawn timber, fine furniture in larger sizes, musical instruments turned objects, carvings; building poles, fuel, fodder, and charcoal; ornamental. Nursery: Seed sources, most tropical countries; seeds per kg, 35,000–40,000; storage, dry, ambient temperature for several years; pretreatment, boiling water until cool; planting stock, potted, stumps, direct sown; germinates good and uniform after 7 days; plantable size in 10–12 months. Pests and diseases: Serious diseases by Phaeolus manihotis which kills roots causing dieback. 400 350 300 250 200 150 100 50 0 J

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Water Balance at Bogra, Pakistan

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187. Sesbania bispinosa (Jacq.) W. Wight Taxonomy: Family, Leguminosae; subfamily, Faboideae; synonyms, Sesbania aculeata (Willd.) Pers.; local or trade names, Prickly Sesban, Dhaincha. Natural occurrence: Latitudes, 35 N-5 S; areas, Tropical China, India, Pakistan, Sri Lanka, Uganda; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 550–1,000 mm. Soil: Texture, light-mediumheavy; reaction, alkaline-neutral-acid; seasonally waterlogged, moist; adapts well to poor soil conditions; tolerates acid and saline soils. Silviculture: Shrub-like species; size, 4–5 m in height; form, poor; light requirements, strongly demanding; fixes nitrogen; could become easily a weed; suppresses Imperata cylindrica. Planting objectives: Improve soil fertility. Timber: Density, S.G. 0.3. Utilization: Fuel, pulp; gums; useful for sizing textiles and paper products, thickening, and stabilizing solutions; fiber, jute-like quality; fodder, leaves; planted for its edible flowers. Nursery: Seed pretreatment, none; planting stock, direct sown, cuttings. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Sirsa, Haryana, India

188. Sesbania grandiflora (L.) Pers. Taxonomy: Family, Leguminosae; subfamily, Faboideae; synonyms, Agati grandiflora (L.) Desv.; local or trade names, Corkwood, West Indian Pea, Agati, Katurai. Natural occurrence: Latitudes, 30 N–10 S; areas, India, Malaysia, Indonesia, the Philippines; altitudinal range, 0–800 m. Climate: Mean annual rainfall, >1,000 mm; dry season, 0–2 months. Soil: Texture, light-medium-heavy; reaction, natural-acid; drainage, moderate; adapts to a wide range of soils; tolerates acid soils. Silviculture: Size, 10 m in height; open crown; form, acceptable; light requirements, strongly demanding; frost sensitive; fixes nitrogen. Production: 20–25 m3/ ha/year. Planting objectives: Urban plantation/erosion controller/windbreaks. Timber: Density, S.G. 0.42. Utilization: Pulp, living fences, and fuel; forage, leaves; food, leaves, pods, flowers; gum, tannins; ornamental. Nursery: Seed pretreatment, none; planting stock, potted, cuttings, direct sown, aerial sowing. Pests and diseases: Very susceptible to nematodes.

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Water Balance at Bandung, Java, Indonesia

189. Shorea leprosula Miq. Taxonomy: Family, Proteaceae; synonyms, Shorea dasyphylla Foxw.; local or trade names, Meranti Rojo Claro, Light Red Seraya, Light Red Meranti, Hellrotes Meranti, Meranti Rosso Chiaro, the Philippines Mahogany. Natural occurrence: Latitudes, 10 N–10 S; area, Southeast Asia, Borneo, Sumatra, Bangka, Belitung, Peninsular Malaysia, Thailand; altitudinal range, 0–700 m. Climate: Mean annual rainfall, over 2,200 mm. Soil: Well-drained sites on deep clay soil; lower hill slopes and valleys. Silviculture: Size, 60 m in height; DBH, 60–175 cm; buttressed; light requirements, strongly demanding; mycorrhizal association; categorized as Endangered by the IUCN Red List. Planting objectives: Rehabilitation of eroded forests and degraded mining areas. Timber: Density, S.G. 0.38–0.50; natural durability, poor; sawing, easy. Utilization: Sawn timber, furniture, joinery, carpentry, boxes, and musical instruments; plywood; resins. Nursery: Seedlings are non-tolerable to strong sunlight; storage, the tree has recalcitrant seeds and cannot be stored more than 21 days; planting stock, direct sown or cuttings. Pests and diseases: None of importance reported. 350 300 250 200 150 100 50 0 J

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Water Balance at Port Dickson, Malaysia

190. Shorea parvifolia Dyer. Taxonomy: Family, Dipterocarpaceae; local or trade names, Meranti Sarang Punai, Kantoi burng, Abang gunung. Natural occurrence: Latitudes, 20 N–10 S; areas, Sumatra, Borneo, Peninsular Malaysia, and Thailand; altitudinal range, 0–800 m. Soil: Prefer clay soils. Page 137 of 157

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Silviculture: Size, 65 m in height; DBH, 2 m; buttresses. Utilization: Rehabilitation of degraded forests. Pests and diseases: None of importance reported. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Pematangsiantar, Sumatra, Indonesia

191. Shorea robusta Gaerth. Taxonomy: Family, Dipterocarpaceae; local or trade names, Sal, Damar de I’Inde, Sakwa. Natural occurrence: Latitudes, 0 N–30 S; areas, Indo-Malayan region; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 2,000–3,800 mm; rainfall regime, summer; dry season, 4–8 months; mean annual temp, 22–28  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage. Silviculture: Size, 30–45 m in height; deciduous; form, exceptional; light requirements, strongly demanding; coppices; associated with Terminalia bellerica and Terminalia tomentosa; mixed plantation with Tectona grandis. Production: 3–11 m3/ha/ year. Timber: Density, S.G. 0.54–0.80; natural durability, moderate; sawing, good; seasoning, good. Utilization: Sawn timber, heavy construction, light construction, and furniture; veneerplywood. Nursery: Seed source, India; seeds per kg, 450–1,000; storage, short-lived viability; dry, cold, and airtight until 1 year; planting stock, direct sown, potted; plantable size in 6–8 months. Pests and diseases: The species Shorea is attacked by numerous insects, e.g., Dasychira horsfieldi, Antheraea paphia, and Euproctis latisfacia. 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Shillon, India

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192. Shorea smithiana Symington Taxonomy: Family, Dipterocarpaceae; local or trade names, Light Red Meranti, Awang, Berat, Chempaga. Natural occurrence: Areas, Indonesia, Sarawak, Sabah, West, South, and East Kalimantan, Malaysia, and Brunei; altitudinal range, 0–300 m. Soil: Occurs in ridges and hillsides with sandy soils. Silviculture: Size, 60–80 m in height; DBH, 164 cm; categorized as Critically Endangered by the IUCN Red List. Utilization: Sawn timber, flooring; fuel. Pests and diseases: None of importance reported. 350 300 250 200 150 100 50 0 J

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Water Balance at Amuntai, Borneo Island, Indonesia

193. Simarouba amara Aubl. Taxonomy: Family, Simaroubaceae; synonyms, Simarouba glauca DC., Quassia glauca (DC.) Spreng.; local or trade names, Aceituno, Marupa, Olivo, Talchocote, Palo Amargo. Natural occurrence: Latitudes, 7–30 N; areas, Florida in the USA, South of Mexico, Central America, and the Greater Antilles; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 1,000–2,000 mm. Soil: Found on sandy well-drained soils; prefers light and deeper soils. Silviculture: Size, 20–40 m in height; DBH, 30–80 cm; deciduous; flowering period, since December to April; light requirements, moderate demander. Planting objectives: Rehabilitation of eroded forests and degraded mining areas/urban plantation/erosion controller/ shade and shelter. Timber: Natural durability, medium; sawing, easy; preservation, easy. Utilization: Sawn timber, furniture, light construction, and matches; medicinal; oil; ornamental. Nursery: Seeds per kg, 1,200–1,700; pretreatment, soak in cold water during 12–24 h or in acetic acid for 5 min; planting stock, direct sown or cuttings; germination, 79 % with cold water or 93 % with acetic acid. Pests and diseases: Some nurseries report attack of a caterpillar, Atteva ergatica, and is also susceptible to Fusarium sp. or damping off, destroying almost all the plant.

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Water Balance at Jutiapa, Guatemala

194. Spathodea campanulata P. Beauv. Taxonomy: Family, Bignoniaceae; synonyms, Spathodea nilotica Seem; local or trade names, African Tulip Tree, Flame Tree, Sejagan, Arvore-da-bisnaga, Tulipan africano. Natural occurrence: Latitudes, 12 N–12 ; areas, along the Pacific Coast of Africa from Ghana to Angola, and inland across the humid center of the continent to southern Sudan and Uganda; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 1,000–3,600 mm; rainfall regime, bimodal, uniform; dry season, 0–6 months; mean max temp hottest month, 28–33  C; mean min temp coldest month, 12–31  C; mean annual temp, 26–31  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral-acid; free drainage; occurs in clay, loam, sand, calcareous, acidic, well-drained soils; tolerates shallow and infertile soils. Silviculture: Size, 15–20 m in height; DBH, 1.75 m; fast growing; buttresses; light requirements, strongly demanding; tolerates drought; rounded crown; coppices, categorized as one of the World’s Worst Invasive Alien Species by the Global Invasive Species Database. Protection planting: Urban plantation. Timber: Natural durability, poor. Utilization: Sawn timber, light construction and heavy construction; fodder; ornamental. Nursery: Seeds per kg, 102,980–280,000; planting stock, direct sown, softwoods, root suckers, or cuttings; plantable size, 5 months. Pests and diseases: Hyblaea puera, Nipaecoccus viridis, and Ceratocystis fimbriata. Heart and butt rots are common in trees older than 20–25 years. 500 450 400 350 300 250 200 150 100 50 0 J

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Water Balance at Lagos, Nigeria

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195. Swietenia macrophylla King Taxonomy: Family, Meliaceae; synonyms, Swietenia belizensis Lundell; local or trade names, Honduran Mahogany, Big-leaf Mahogany, American Mahogany, Brazilian Mahogany, American Mahogany, Acajou, Caoba. Natural occurrence: Latitudes, 18 S–20 N; areas, from Yucatan, Mexico through C America to Venezuela and Brazil; altitudinal range, 50–1,400 m. Climate: Mean annual rainfall, 1,600–4,000 mm; rainfall regime, summeruniform; dry season, 0–4 months; mean max temp hottest month, 22–30  C; mean min temp coldest month, 11–22  C; mean annual temp, 23–28  C. Soil: Texture, medium-heavy; reaction, alkaline-neutral; free drainage. Silviculture: Size, 30–40 m in height; deciduous; slightly buttresses; form, exceptional; light requirements, strongly demanding; shade tolerant in youth; coppices; moderately windfirm. Production: 7–11 m3/ha/year. Planting objectives: Rehabilitation of degraded forests and eroded soils. Timber: Density, S.G. 0.51–0.66; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, easy; decorative. Utilization: Sawn timber, light construction, furniture, and boat building; veneer-plywood. Nursery: Seed sources, C America and Trinidad; seeds per kg, 2,000–2,500; storage, dry, cold, and airtight for up to 1 year; pretreatment, none; planting stock, potted, striplings; requires full shade for 2–3 weeks then 50 % shade for 1 month; germinates in 14–28 days; plantable size in 6–24 months. Pests and diseases: A shoot borer Hypsipyla sp. is a major pest attacking young plants. The “scolytine beetle” Hypothenemus eruditus attacks nurseries. 400 350 300 250 200 150 100 50 0 J

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Water Balance at Calcutta, India

196. Swietenia mahagoni (L.) Jacq. Taxonomy: Family, Meliaceae; local or trade names, Cuban Mahogany, West Indies Mahogany, Puerto Rico Mahogany, Acajou, Mahokkani-baiyai. Natural occurrence: Latitudes, 20 N–18 S; area, Southern Florida and the Caribbean; altitudinal range, 50–1,500 m. Climate: Mean annual rainfall, 1,300–4,000 mm; rainfall regime, bimodal, uniform; dry season, 0–4 months; mean max temp hottest month, 23–28  C; mean min temp coldest month, 11–12  C; mean annual temp, 15–32  C. Soil: Texture, medium-heavy; reaction, neutral; free drainage; tolerates infertile soils. Silviculture: Tolerates wind; coppices; light requirements, strongly demanding; wind resistant; appears as Endangered in the UICN Red List. Timber: Density, 0.40–0.68; sawing, easy. Utilization: Sawn timber, furniture, light construction, heavy construction, turned objects, boat construction, carving, and musical

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instruments; fuel, veneers, fodder, and transmission poles; oils; gums; honey. Nursery: Seeds per kg, 6,000–7,000. Germination, 70 % in 18 days. Pests and diseases: Attack by the borer Hypsipyla robusta. The “mahogany webworm” Macalla thyrsisalis causes defoliation. 200 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at San Juan, Dominican Republic

197. Syzygium cumini (L.) Skeels Taxonomy: Family, Myrtaceae; synonyms, Syzygium jambolanum (Lam.) DC., Eugenia cumini (L.) Druce; local or trade names, Jambul, Jambolan, Saleng, Mak Wa, Java Plum, Pèsjua extranjera. Natural occurrence: Areas, Indostan Peninsula, Bangladesh, Burma, India, Maldives Islands, Pakistan, Nepal, the Philippines, Sri Lanka; altitudinal range, 0–1,800 m. Climate: Mean annual rainfall, 1,500–5,000 mm. Soil: Texture, light-medium; reaction, alkaline-neutral; occurs in yellow-red ferralitic soils; free drainage. Silviculture: Size, 13–30 m in height; evergreen; form, acceptable; light requirements, demanding. Planting objectives: Urban plantation/windbreaks. Timber: Density, S.G. 0.77; calorific value, 4,800 kcal per kg; natural durability, good; sawing, fair; seasoning, difficult; resistant to termites. Utilization: Sawn timber, light construction, heavy construction, furniture, and boat building; fence posts, fuel, and charcoal; bee forage; antibacterial properties; alcohol production; ornamental; tannins; the seeds used for diabetes. Nursery: Seed pretreatment, none; planting stock, seeds, direct sown, cuttings, or potted stock; germinates in 15–30 days. Pests and diseases: Moderately susceptible to white flies, scale insects, and leaf-eating caterpillars.

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Water Balance at Balehonnur, India

198. Tabebuia heterophylla (DC.) Britton Taxonomy: Family, Bignoniaceae; synonyms, Tabebuia rosea (Bertol.) Bertero ex A. DC., T. pallida (Lindl.) Miers.; local or trade names, Mayflower, Apamate, Roble. Natural occurrence: Latitudes, 2 S–20 N; areas, S Mexico to Venezuela and Ecuador including the West Indies; altitudinal range, 100–1,000 m. Climate: Mean annual rainfall, 1,250–2,500 mm; rainfall regime, summer-uniform; dry season, 0–3 months; mean max temp hottest month, 23–30  C; mean min temp coldest month, 17–22  C; mean annual temp, 22–27  C. Soil: Texture, light-medium; reaction, alkaline-neutral-acid; free drainage; seasonally waterlogged; adaptable to most soil conditions. Silviculture: Size, 25–30 m in height; deciduous; open crowned; form, acceptable; light requirements, strongly demanding; coppices. Production: 10–20 m3/ha/year. Planting objectives: Urban plantation/shade. Timber: Density, S.G. 0.52–0.62; natural durability, good; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction and furniture; veneer-plywood; ornamental. Nursery: Seed sources, Colombia, Guatemala, and Belize; seeds per kg, 40,000–72,000; storage, dry, cold, and airtight for 1–2 years; pretreatment, soak in cold water for 1–2 days; planting stock, potted or stumps, bare-rooted plants; germinates in 12–14 days; plantable size in 6 months. Pests and diseases: None of importance reported. 180 160 140 120 100 80 60 40 20 0 J

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199. Tabebuia rosea (Bertol.) Bertero ex A. DC. Taxonomy: Family, Bignoniaceae; synonyms, Bignonia fluviatilis G. Mey., Couralia rosea (Bertol.) Donn. Sm., Tabebuia heterophylla (DC.) Britton.; local or trade name, Pink Poui, Ocobo, Roble de Yugo, Rosabl€ utiger, Ipé Baum, Ebano, Guayacán. Natural occurrence: Latitudes, 20 N–2 S; areas, through the S of Mexico, Antilles to northern Venezuela, Western Andes to the coasts of Ecuador; altitudinal range, 100–1,900 m. Climate: Mean annual rainfall, 1,200–2,500 mm; rainfall regime, summer, bimodal, uniform; dry season, 0–3 months; mean max temp hottest month, 23–30  C; mean min temp coldest month, 17–22  C; mean annual temp, 19–27  C. Soil: Texture, light-medium; reaction, alkalineneutral-acid; free drainage; tolerates infertile soils. Silviculture: Size, 15–25 m in height; DBH, 1 m; deciduous; fast growing; fire and shade resistant. Planting objectives: Rehabilitation of eroded forests and soils; erosion controller; shade, shelter, and windbreaks. Timber: Density, S.G. 0.48–0.60. Utilization: Sawn timber, light construction, heavy construction, furniture, and musical instruments; fuel, long fiber pulp, and fences; apiculture; medicinal. Nursery: Seeds per kg, 35,000–50,000; pretreatment, soak in water during 24 h; planting stock, direct sown or cuttings; planting size, 4–6 months. Pests and diseases: None of importance reported. 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Chiquimula, Guatemala

200. Tamarindus indica L Taxonomy: Family, Leguminosae; subfamily, Caesalpinioideae; synonyms, Tamarindus occidentalis Gaerth.; local or trade names, Indian Tamarind, Tamarindo, Spalted Tamarind, Amli, Assam Java, Siyambala. Natural occurrence: Latitudes, 30 N-8 S; areas, native of tropical Africa, Burkina Faso, Central African Republic, Chad, Eritrea, Ethiopia, Gambia, Guinea, Guinea-Bissau, Kenya, Madagascar, Mali, Mozambique, Niger, Nigeria, Senegal, Sudan, Tanzania, Uganda, Zimbabwe. Naturalized in Asia; altitudinal range, 0–1,500 m. Climate: Mean annual rainfall, 350–2,700 mm; rainfall regime, summer-bimodal; dry season, 0–3 months; mean max temp hottest month, 30–36  C; mean min temp coldest month, 13–25  C; mean annual temp, 20–33  C. Soil: Texture, medium-heavy; reaction, alkalineneutral; free drainage; tolerates infertile soils. Silviculture: Size, 10–30 m in height; evergreen; tolerates drought; light requirements, moderately demanding; wind resistant. Planting objectives: Rehabilitation of eroded soils and degraded mining areas/windbreaks. Timber: Density, S.G. 0.68–0.85; natural durability, good; sawing, difficult. Utilization: Sawn timber, light construction, carpentry, joinery, and furniture; charcoal and fodder; oils and gums; honey.

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Nursery: Seeds per kg, 700–2,600. Pests and diseases: None of importance reported. 300 250 200 150 100 50 0 J

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Water Balance at Dakar, Senegal

201. Tamarix aphylla (L.) H. Karst. Taxonomy: Family, Tamaricaceae; synonyms, Tamarix articulata Vahl., Tetraclinis aphylla (L.); local or trade name, Tamarisk. Natural occurrence: Latitudes, 25–40 N; areas, C Asia, from Saudi Arabia to Afghanistan; altitudinal range, 0–1,400 m. Climate: Mean annual rainfall, 200–500 mm; rainfall regime, winter; dry season, 6–8 months; mean max temp hottest month, 27–40  C; mean min temp coldest month, 3–8  C; mean annual temp, 18–28  C. Soil: Texture, light-medium; reaction, alkaline-neutral; tolerates very saline soils. Silviculture: Size, 10–15 m in height; evergreen; form, poor; light requirements, strongly demanding; coppices; moderately frost resistant. Production: 3–5 m3/ha/year. Planting objectives: Erosion controller/windbreaks/dune fixation. Timber: Natural durability, good. Utilization: Sawn timber, furniture; fuel and charcoal. Nursery: Seed sources, cuttings available from some parts of natural range; planting stock, rooted cuttings; plantable size in 12 months. Pests and diseases: None of importance reported. 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Gharyan, Libya

202. Taxodium distichum (L.) Rich. Taxonomy: Family, Cupressaceae; synonyms, Cupressus disticha L., Taxodium knightii K. Koch.; local or trade names, Swamp Cypress, Bald cypress. Natural occurrence:

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Latitudes, 24–36 N; areas, SE USA; altitudinal range, 1,000–1,500 m. Climate: Mean annual rainfall, 1,000–1,600 mm; rainfall regime, winter-summer-uniform; dry season, 0–2 months; mean max temp hottest month, 20–30  C; mean min temp coldest month, 8–18  C; mean annual temp, 16–22  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral-acid; seasonally waterlogged; adaptable to most soil conditions. Silviculture: Size, 30–40 m in height; deciduous; form, acceptable; light requirements, shade tolerant in youth; coppices; frost tender; root suckers vigorously. Production: 4–8 m3/ha/year. Protection planting: Urban plantation. Timber: Density, S.G. 0.42–0.51; natural durability, good; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction and furniture; fence posts, fuel, and charcoal; ornamental. Nursery: Seed sources, the USA and Argentina; seeds per kg, 20,000; storage, short-lived viability; pretreatment, stratify in damp sand for 30 days; planting stock, potted or stumps, bare-rooted plants; germinates in 40–90 days. Pests and diseases: None of importance reported. 160 140 120 100 80 60 40 20 0 –20

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Water Balance at Aberdeen, Maryland, USA

203. Tecoma stans (L.) Juss. ex Kunth. Taxonomy: Family, Bignoniaceae; synonyms, Bignonia stans L., Stenolobium stans (L.) Seem.; local or trade names, Ginger Thomas, Roble Amarillo, Trumpet Flower, Yellow-elder. Natural occurrence: Latitudes, 33 N–23 S; areas, southern Texas, Arizona, New Mexico to Bolivia and northern Argentina, and from Florida and the Bahamas to Trinidad in the Caribbean. Climate: Mean annual rainfall, 700–1,800 mm. Soil: Grown in well-drained soils, including calcareous, infertile sands, acidic ultisols, and volcanic regolith soils. Silviculture: Size, 20 m in height; light requirements, strongly demanding; developing pollen becomes sterile when temp rises above 34  C. Planting objectives: Urban plantation/windbreaks. Utilization: Sawn timber, carpentry and furniture; fuel and turned objects; medicinal; ornamental. Nursery: Seeds per kg, 100,000–164,000; germination, in 3 days the seeds begin to germinate and finished with 97 % of germinated seeds; planting stock, direct sown or cuttings. Pests and diseases: None of importance reported.

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Water Balance at Monte Cocollar, Cumanacoa, Venezuela

204. Tectona grandis L.f. Taxonomy: Family, Verbenaceae; synonyms, Theka grandis (L.f.) Lam.; local or trade names, Teak, Tec, Teca, Burmese Teak. Natural occurrence: Latitudes, 12–25 N; areas, the Indian subcontinent, Burma, Cambodia, and Thailand; altitudinal range, 0–900 m. Climate: Mean annual rainfall, 1,200–2,500 mm; rainfall regime, summer; dry season, 3–5 months; mean max temp hottest month, 24–30  C; mean min temp coldest month, 18–24  C; mean annual temp, 22–26  C. Soil: Texture, medium-heavy; reaction, neutral-acid; free drainage; prefers fertile and deep soils; often leads to soil erosion in pure stands. Silviculture: Size, 30–40 m in height; deciduous; form, acceptable to exceptional; light requirements, strongly demanding; coppices; moderately fire resistant; early flowering spoils form. Production: 6–18 m3/ha/year. Planting objectives: Rehabilitation of degraded forests and mining areas. Timber: Density, S.G. 0.55–0.69; natural durability, good; preservation, difficult; sawing, fair; seasoning, easy; decorative; tough and strong; silica in wood; premier fine hardwood. Utilization: Sawn timber, heavy construction, light construction, furniture, boxes, and boat building; building poles, transmission poles, fence posts, fuel, charcoal, and veneer-plywood. Nursery: Seed sources, India, Thailand, Trinidad, and elsewhere established as an exotic tree; seeds per kg, 800–2,000; storage, dry, without difficulty; pretreatment, soaking frequently practiced; planting stock, stumps or potted stock; several embryos per seed; germination often protracted; plantable size in 12 months. Pests and diseases: Generally healthy; Atta ants may cause defoliation in the first year; root rots in Africa; leaf skeletonizer in Asia. Hypothenemus pusillus or “scolytine beetle” attacks seedlings in nurseries.

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Water Balance at Lashio, Myanmar

205. Terminalia amazonia (J.F. Gmel.) Exell. Taxonomy: Family, Combretaceae; synonyms, Terminalia excelsa Liebm. ex Hemsl.; local or trade names, Amarillón, Nargusta, Verdolago, Guayabo leon, Almendro, Kwai. Natural occurrence: Latitudes, 20 N–23 S; areas, from Mexico’s Gulf to South America excluding middle and southern Chile and Uruguay; altitudinal range, 40–1,200 m. Climate: Mean annual rainfall, 2,500–3,000 mm; rainfall regime, winter-uniform; dry season, 0–3 months; mean max temp hottest month, 30–35  C; mean min temp coldest month, 18–22  C; mean annual temp, 20–28  C. Soil: Texture, light-medium-heavy; reaction, neutral-acid; free drainage; grows well in coastal plains, clay, sandy, deep, lateritic, and highly toxic in aluminum soils; tolerates infertile soils. Silviculture: Size, 30–50 m in height; DBH, 40–90 cm; coppices; spacing, 4  4 (625 trees/ha). Planting objectives: Rehabilitation of degraded forests. Timber: Sawing, moderate. Utilization: Sawn timber, post, building poles, light construction, heavy construction, joinery, furniture, and boats. Nursery: Seeds per kg, 120,000–140,000; storage, at 4  C with 6–8 % of humidity; germination, 69–89 days; planting size, 8–12 months. Pests and diseases: The borer Cosula sp. causes distortions, decreasing the quality and yield of the tree. In some cases, it appears the Gomosis, a consequence of asphyxia in the root system. 600 500 400 300 200 100 0 J

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Water Balance at Cayenne, French Guiana

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206. Terminalia brassii Exell. Taxonomy: Family, Combretaceae; synonyms, Terminalia kajewskii Exell; local or trade names, Brown Terminalia, Kopika, Pepeo, Dafo, Swamp Oak. Natural occurrence: Latitudes, 4–10 S; areas, Solomon Islands, Bougainville, New Ireland, and Papua New Guinea; altitudinal range, 0–600 m. Climate: Mean annual rainfall, 2,000–5,000 mm; rainfall regime, uniform; dry season, 0–1 months; mean max temp hottest month, 28–34  C; mean min temp coldest month, 20–24  C; mean annual temp, 23–28  C. Soil: Texture, light-medium; reaction, acid; moist; seasonally waterlogged; occurs on low-lying poorly drained sites; prefers deep soils. Silviculture: Size, 30–35 m in height; evergreen; form, exceptional; light requirements, strongly demanding; buttresses. Production: 25–35 m3/ha/year. Planting objectives: Rehabilitation of eroded soils. Timber: Density, S.G. 0.43–0.49; natural durability, poor; preservation, difficult; sawing, easy; seasoning, easy; very susceptible to stain and borers. Utilization: Sawn timber, light construction, moldings, and boxes; short fiber pulp and veneer-plywood. Afforestation of swampy lowland tropical areas. Nursery: Seed sources, Solomon Islands; seeds per kg, 60,000–70,000; storage, very short lived; pretreatment, done; planting stock, potted; requires some shade in the first few weeks; germinates in 10–20 days. Pests and diseases: None of importance reported. 350 300 250 200 150 100 50 0 J

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Water Balance at Kieta, Bougainville, Solomon Islands

207. Terminalia catappa L. Taxonomy: Family, Combretaceae; synonyms, Terminalia procera Roxb.; local or trade names, Indian Almond, Tropical Almond, Ketapang, Badan, Talisae, Bàng bièn, Indischer Mandelbaum. Natural occurrence: Latitudes, 25 N–30 S; areas, East Indies and Oceania; altitudinal range, 0–800 m. Climate: Mean annual rainfall, 1,000–3,500 mm; rainfall regime, summer, bimodal, uniform; dry season, 0–6 months; mean max temp hottest month, 32–35  C; mean min temp coldest month, 15–17  C; mean annual temp, 20–26  C. Soil: Texture, light; reaction, alkaline-neutral-acid; tolerates saline soils. Silviculture: Size, 10–25 m in height; light requirements, strongly demanding; tolerates wind and shade; coppices. Planting objectives: Rehabilitation of eroded soils and degraded mining areas. Utilization: Sawn timber, post, furniture, building poles, light construction, heavy construction, joinery, boats, and boxes; plywood and fodder; gums; medicinal/; oil. Nursery: Seeds per kg, 150–860. Pests and diseases: None of importance reported.

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Water Balance at Kuala Kangsar, Malaysia

208. Terminalia ivorensis A. Chev. Taxonomy: Family, Combretaceae; local or trade names, Indigo, Black Afara, Framire. Natural occurrence: Latitudes, 4–11 N; areas, W Africa, from Guinea to Cameroons; altitudinal range, 0–700 m. Climate: Mean annual rainfall, 1,300–3,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 26–30  C; mean min temp coldest month, 22–24  C; mean annual temp, 24–26  C. Soil: Texture, light-medium; reaction, neutral-acid; free drainage; occasionally waterlogged Silviculture: Size, 35–45 m in weight; deciduous; buttresses; open crowned; form, exceptional; light requirements, strongly demanding; coppices; wide crowned requiring space. Production: 8–17 m3/ha/year. Planting objectives: Agricultural shade. Timber: Density, S.G. 0.43–0.62; natural durability, moderate; preservation, difficult; sawing, easy; seasoning, easy; decorative. Utilization: Sawn timber, heavy construction, light construction, and furniture; short fiber pulp and veneer-plywood; fuel. Nursery: Seed sources, W Africa, especially Ivory Coast; seeds per kg, 5,500–6,600; storage, dry, cold, and airtight for up to 1 year; pretreatment, alternately wet and dry; planting stock, potted, striplings, or stumps; requires light shade after germination; germinates in 14–50 days; plantable size in 4 months. Pests and diseases: Termites attack young plants; liable to attack by many defoliators. Hypothenemus pusillus or “scolytine beetle” attacks seedlings in nurseries. 400 350 300 250 200 150 100 50 0 J

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209. Terminalia superba Engl. & Diels. Taxonomy: Family, Combretaceae; local or trade names, Afara, Limba, Black Limba, White Limba. Natural occurrence: Latitudes, 10 N–6 S; areas W Africa, from Sierra Leone to Zaire; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 1,300–1,900 mm; rainfall regime, summer-uniform; dry season, 1–3 months; mean max temp hottest month, 26–32  C; mean min temp coldest month, 22–26  C; mean annual temp, 24–27  C. Soil: Texture, medium; reaction, alkaline-neutral; free drainage; prefers deep soils but is adaptable to most soil conditions. Silviculture: Size, 40–60 m in height; evergreen; buttresses; form, exceptional; light requirements, strongly demanding; coppices; wide crown; requires space for planting. Production: 10–14 m3/ha/year. Planting objectives: Rehabilitation of eroded soils/shade. Timber: Density, S.G. 0.43–0.64; natural durability, poor; preservation, fair; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction, furniture, boxes, and boat building; short fiber pulp and veneer-plywood. Nursery: Seed sources, W Africa, especially Nigeria; seeds per kg, 8,500–9,500; storage, dry, cold, and airtight for up to 1 year; pretreatment, none; planting stock, potted, striplings, or stumps; germination, no information; plantable size in 6 months. Pests and diseases: None of importance reported. 800 700 600 500 400 300 200 100 0 J

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Water Balance at Macenta, Republic of Guinea

210. Thyrsostachys siamensis Gamble [Bamboo] Taxonomy: Family, Poaceae; subfamily, Bambusoideae; synonyms, Bambusa regia Thomson ex Munro, Thyrsostachys regia (Munro) Bennet; local or trade names, Monastery Bamboo, Phai Ruak, Thailand Bamboo, Bambu Jepang, Umbrella Handle-Bamboo. Natural occurrence: Latitudes, 10–30 N; areas, Thailand, Burma, and China; altitudinal range, 0–1,000 m. Climate: Mean annual rainfall, 800–1,000 mm; rainfall regime, summer-uniform; mean min temp coldest month, 4 to 17  C; mean max temp hottest month, 25–37  C; mean annual temp, 22–33  C. Soils: Texture, light-medium-heavy; reaction, acid-neutral-alkaline; free drainage; tolerates shallow, sodic, and infertile soils. Silviculture: Size, 7–13 m in height; DBH, 6 cm; evergreen but rarely deciduous; ability to sucker; coppices. Planting objectives: Urban plantation/windbreaks. Utilization: Stems use for light construction, basketry, handcrafting, pulp, and fuelwood; edible shoots; ornamental. Nursery: Planting stock, seeds or cuttings. Pests or diseases: “Bamboo aphid”: Astegopteryx bambusifoliae attacks the plant.

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211. Toona ciliata M. Roem. Taxonomy: Family, Meliaceae; synonyms, Cedrela toona Roxb. ex Rottler; local or trade names, Australian Red Cedar, Toona, Nyom, Burma Cedar. Natural occurrence: Latitudes, 15–25 N; areas, SE Asia, from India to Thailand; altitudinal range, 0–1,200 m. Climate: Mean annual rainfall, 850–1,800 mm; rainfall regime, summer; dry season, 2–6 months; mean max temp hottest month, 28–36  C; mean min temp coldest month, 16–22  C; mean annual temp, 22–28  C. Soil: Texture, light-medium; reaction, neutral-acid; prefers rich moist soils; free drainage. Silviculture: Size, 30–35 m in height; deciduous; form, acceptable; light requirements, strongly demanding; shade tolerant in youth; coppices; root suckers vigorously. Production: 7–18 m3/ha/year. Timber: Density, S.G. 0.40–0.49; natural durability, poor; preservation, fair; sawing, easy; seasoning, easy. Utilization: Sawn timber, light construction, furniture, cabinetry, boat building, boxes, and musical instruments; fence posts and veneerplywood. Nursery: Seed sources, India; seeds per kg, 300,000–380,000; storage, short-lived viability; pretreatment, none; planting stock, stripling, potted stock. Pests and diseases: The shoot borer Hypsipyla sp. causes severe damage. 180 160 140 120 100 80 60 40 20 0 J

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Water Balance at Kerala, Coimbatore, India

212. Triplochiton scleroxylon K. Schum. Taxonomy: Family, Sterculiaceae; synonyms, Samba scleroxylon (K. Schum.) Roberty; local or trade names, Obeche, Samba, Wawa, Ayous. Natural occurrence: Latitudes, Page 152 of 157

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0.00–10 N; areas, Tropical West Africa, W Africa, from Sierra Leone to Zaire; altitudinal range, 0–500 m. Climate: Mean annual rainfall, 1,600–3,000 mm; rainfall regime, uniform; dry season, 0–2 months; mean max temp hottest month, 26–32  C; mean min temp coldest month, 20–26  C; mean annual temp, 24–29  C. Soil: Texture, light-medium; reaction, neutralacid; free drainage. Silviculture: Size, 40–50 m in height; deciduous; buttresses; form, exceptional; light requirements, strongly demanding. Production: 6–18 m3/ha/year. Planting objectives: Rehabilitation of eroded soils. Timber: Density, S.G. 0.32–0.38; natural durability, poor; preservation, difficult; sawing, easy; seasoning, easy; susceptible to borers and stain; premier quality; hardwood white and odor free. Utilization: Sawn timber, light construction, boxes, and furniture; short fiber pulp and veneer-plywood. Nursery: Seed sources, in seed years from W Africa; seeds per kg, 3,000; pretreatment, none; planting stock, stumps, potted stock, cuttings; germinates in 10–12 days; plantable size in 15 months. Pests and diseases: Susceptible to attack by defoliators. 600 500 400 300 200 100 0 J

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Water Balance at Axim, Ghana

213. Weinmannia tomentosa L.f. Taxonomy: Family, Cunoniaceae; synonyms, Windmannia tomentosa Kuntze; local or trade names, Encenillo, Roble Encenillo, Negrito, Pelotillo. Natural occurrence: Latitudes, 10 N–2 S; areas, Colombia; altitudinal range, 1,600–3,600 m. Climate: Mean annual rainfall, 1,200–3,000 mm; mean annual temp, 6–17  C. Soil: Occurs along riparian soils; prefers high soil organic matter. Silviculture: Size, 8–12 m in height. Planting objectives: Rehabilitation of mining areas/windbreaks. Utilization: posts/medicinal/tannins. Nursery: Germination, 20–50 % in 20–35 days; planting stocks, direct sown or cuttings; plantable size, 4 months. Pests and diseases: None of importance reported.

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Water Balance at Cundinamarca, Zipaquira, Colombia

214. Zanthoxylum rhodoxylum (Urb.) P. Wilson. Taxonomy: Family, Rutaceae; synonyms, Fagara cubensis (P. Wilson) Urb., Fagara juglandifolia (A. Rich.) Krug. & Urb., Fagara rhodoxylon Urb., Zanthoxylum cubense P. Wilson; local or trade names, Rosewood prickly ash, Caesar wood, Cuban Yellow-wood, Elbowlight, Clavalier à Bois Rose, Ayuá Blanca, Ayuá Hembra. Natural occurrence: Latitudes, 10–23 N; areas, the West Indies; altitudinal range, 487–610 m; DBH, 60 cm. Climate: Mean annual rainfall, 1,000–1,600 mm. Silviculture: Size, 25–50 m in height. Planting objectives: Rehabilitation of mining areas. Utilization: Sawn timber, hard construction and railroad ties. Pests and diseases: None of importance reported. 300 250 200 150 100 50 0 J

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Water Balance at St. Ann's Bay, Jamaica

215. Ziziphus spina-christi (L.) Desf. Taxonomy: Family, Rhamnaceae; synonyms, Rhamnus spina-christi L.; local or trade names, Sidr, Christ dorn. Natural occurrence: Areas, E Mediterranean, Sahel; altitudinal range, 0–2,000 m. Climate: Mean annual rainfall, 100–500 mm; rainfall regime, summerwinter; dry season, 8–10 months; mean max temp hottest month, 34  C; mean min temp coldest month, 12–19  C; mean annual temp, 24  C. Soil: Texture, light-medium-heavy; reaction, alkaline-neutral; free drainage; grows best where groundwater is available; prefers deep soils. Silviculture: Size, 3–10 m in height; deciduous; form, acceptable; light requirements, strongly Page 154 of 157

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demanding. Production: 0.5–1.2 m3/ha/year. Planting objectives: Erosion controller. Utilization: Sawn timber, light construction and household implements; fuel, charcoal, and fence posts; fodder, fruits and foliage. Nursery: Seed sources, Turkey, Jordan; seeds per kg, 15,000; pretreatment, soaked overnight in lukewarm water; planting stock, potted or cuttings; plantable size in 8–12 months. Pests and diseases: None of importance reported. 250 200 150 100 50 0 J

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Water Balance at Rumbek, Sudan

References Boland DJ, Brooker MIH, McDonald MW (2006) Forest Trees of Australia. Csiro Publishing. http:// books.google.com.sv/books?id=q2v3kb9tFsYC&printsec=frontcover#v=onepage&q&f=false. Accessed 21 Jan 2014 Bonner FT, Karrfalt RP (2008) The woody plant seed manual, Agriculture handbook 727. USDA Forest Service, Washington, DC CABI (2005) Forestry compendium. CABI Publishing, Wallingford [CD-Rom] Comisión Nacional Forestal (2014) SEMARNAT, Jalisco. http://www.conafor.gob.mx. Accessed 11 Apr 2014 Cordero J, Boshier DH (eds) (2003) Árboles de Centroamérica: un Manual para Extensionistas. CATIE, Costa Rica EBC (2014) Kew Economic Botany collection of the Royal Botanic Gardens, Kew, UK. http://kbd. kew.org/kbd/searchpage.do. Accessed 13 Jan 2014 Ecocrop (2014) FAO Rome. http://ecocrop.fao.org/ecocrop/srv/en/home. Accessed 21 Jan 2014 eFloras (2008) Plant Database. Missouri Botanical Garden/Harvard University Herbaria, St. Louis/ Cambridge, MA. http://www.efloras.org/index.aspx. Accessed 06 Feb 2014 FAO (1984a) Agroclimatological data for Asia, vol 1: A–J. FAO, Rome FAO (1984b) Agroclimatological data for Asia, vol 2: K–Z. FAO, Rome FAO (1985) Agroclimatological data for Latin America and the Caribbean. FAO, Rome Flinta C (1977) Prácticas de Plantación Forestal en America Latina. FAO, Rome Gargiullo MB, Magnuson B, Kimball L (2008) A field guide to plants of Costa Rica. A Zona Tropical Publications, Oxford IITF (2014) USDA Forest Service, Rio Piedras, Puerto Rico. http://www.fs.fed.us/global/iitf/wel come.html. Accessed 04 Feb 2014

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ILDIS World Database of Legumes (2013) The International Legume Database & Information Service – ILDIS. http://www.ildis.org. Accessed 05 Feb 2014 IUCN (2013) The IUCN red list of threatened species. http://www.iucnredlist.org/search. Accessed 11 Apr 2014 Jensen M (2005) Trees and fruits of Southeast Asia. An illustrated field guide. Orchid Press, Bangkok KBD (2014) Kew bibliographical databases of the Royal Botanic Gardens, Kew, UK. http://kbd. kew.org/kbd/searchpage.do. Accessed 06 Feb 2014 Lehmann L, Greijmans M, Shenman D (2003) Forests and trees of the Central Highlands of Xieng Khouang, Lao P.D.R. A field guide. Lao Tree Seed Project, DANIDA, Vientiane Lötschert W, Beese G (eds) (1989) Planzen der Tropen. BLV, M€ unchen Lowe S, Browne M, Boudjelas S, De Poorter M (2004) 100 de las Especies Exóticas Invasoras más dañinas del mundo. Noviembre 2004. http://www.issg.org/database/species/reference_files/ 100Spanish.pdf. Accessed 13 Jan 2014 Mather JR (1962) Average climatic water balance data of the continents. Part I Africa, vol XV, no 2, Publications in climatology. C.W. Thornthwaite Associates. Laboratory of Climotology, Centerton Mather JR (1963a) Average climatic water balance data of the continents. Part II Asia (Excluding U.S.S.R.), vol XVI, no 1, Publications in climatology. C.W. Thornthwaite Associates. Laboratory of Climotology, Centerton Mather JR (1963b) Average climatic water balance data of the continents. Part IV Australia, New Zealand, and Oceania, vol XVI, no 3, Publications in climatology. C.W. Thornthwaite Associates. Laboratory of Climotology, Centerton Mather JR (1964a) Average climatic water balance data of the continents. Part V Europe, vol XVII, no 1, Publications in climatology. C.W. Thornthwaite Associates. Laboratory of Climotology, Centerton Mather JR (1964b) Average climatic water balance data of the continents. Part VI North America (Excluding United States), vol XVII, no 2, Publications in climatology. C.W. Thornthwaite Associates. Laboratory of Climotology, Centerton Mather JR (1964c) Average climatic water balance data of the continents. Part VII United States, vol XVII, no 3, Publications in climatology. C.W. Thornthwaite Associates. Laboratory of Climotology, Centerton Mather JR (1965) Average climatic water balance data of the continents. Part VIII South America, vol XVIII, no 2, Publications in climatology. C.W. Thornthwaite Associates. Laboratory of Climotology, Centerton Nair KSS (2007) Tropical forest insect pests ecology. Ecology, impact and management. Cambridge University Press, Kerala Pancel L (ed) (1993a) Tropical forestry handbook, vol 1. Springer, Berlin/New York Pancel L (ed) (1993b) Tropical forestry handbook, vol 2. Springer, Berlin/New York Rodríguez D, Zuluaga M (2012) Rasgos de historia de vida y Propagación de Abatia parviflora Ruiz & Pav (Salicaceae) y Holodiscus argenteus Maxim L.F (Roseceae) para su uso en Restauración de Ecosistemas de Alta Montaña. Universidad Distrital Francisco José de Caldas, Colombia. http://prezi.com/rrrm81qniid-/sustentacion. Accessed 24 June 2014 Sharma JK, Maria EJ (1996) Fungal pathogens as potential threat to tropical Acacias. A case study of India. Kerala Forest Research Institute –KERI, Peechi, Thrissus. Report 13 SIDALC (2014) IICA–CATIE, Costa Rica. http://orton.catie.ac.cr. Accessed 05 Nov 2013 Speight MR, Wylie FR (2001) Insect pests in tropical forestry. CABI Publishing, Wallingford Page 156 of 157

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The Plant List (2014) Royal Botanical Gardens, Kew and the Missouri Botanical Garden. http:// www.theplantlist.org. Accessed 11 Apr 2014 The Royal Horticultural Society Horticultural Database (2014) The Royal Horticultural Society, UK. http://www.rhs.org.uk. Accessed 11 Feb 2014 The Western Australia Flora (2014) Department of parks and wildlife, Western Australian Herbarium. http://florabase.dpaw.wa.gov.au/browse/profile/6564. Accessed 04 Feb 2014 The Wood Database (2014) Eric Meier, Minneapolis, MN. http://www.wood-database.com/woodidentification/by-scientific-name. Accessed 28 Jan 2014 Thornthwaite CW, Mather JR (1957) Instructions and tables for computing potential evapotranspiration and the water balance. Publications in climatology, vol X, no 3. Drexel Institute of Technolog, Laboratory of Climatology, Centerton Tropicos (2014) Missouri botanical garden, Saint Louis. http://www.tropicos.org. Accessed 10 Apr 2014 Turnbull JW, Crompton HR, Pinyopusarerk K (eds) (1998) Recent developments in Acacia planting. In: Proceedings of an international workshop held in Hanoi, Vietnam, 27–30 Oct 1997. ACIAR proceedings no 82 von Carlowitz PG (1991) Multipurpose trees and shrubs – sources of seeds and inoculants. ICRAF, Nairobi Webb DB, Wood PJ, Smith JP, Henman GS (1984) A guide to species selection for tropical and sub-tropical plantations. Tropical Forestry papers no 15, 2nd edn rev. University of Oxford Williams JT, Ramanatha V (1994) Priority species of bamboo and Rattan. INBAR–IBPGR. Technical report no 1. India World Agroforestry Centre (2013) ICRAF, Nairobi. http://worldagroforestry.org/our_products/data bases. Accessed 19 Dec 2013 World Wide Wattle (2014) Western Australian Shire of Dalwallinu Project, Department of Conservation and Land Management & The Canberra-based Australian Tree Seed Centre. www. worldwidewattle.com. Accessed 21 Jan 2014

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

Species Selection in Tropical Forestry Laslo Pancel* Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH, La Libertad, El Salvador

Abstract At present, nearly five million hectares of trees are planted each year in tropical Africa, Asia, and the Americas, but only a fraction of the genetic tree pool is utilized for this purpose. From a total of ca. 51,000 tree species, only 215 species account for 93 % of all tree plantations in the tropics. This selection denotes the use of just 0.42 % of the available tree gene pool of the tropics. Nonetheless, the majority of plantation projects do not apply a systematic selection process for the needed species. This chapter provides an overview of the major plantation objectives with the corresponding species profiles (industrial tree plantations, protection plantations, village plantations, agroforestry systems, enrichment planting, rehabilitation of degraded forest sites, rehabilitation of mining sites, and urban plantations). The defined site characteristics, altitude, temperature, precipitation, rainfall pattern, and water balance are discussed in sufficient detail so as to allow for an appropriate selection approach. The safeguard to cope with the challenges of climate change is discussed as well. Lastly, the selection process is summarized step by step.

Keywords Species selection for plantations; Species selection for rehabilitation; Species selection for restauration; Species selection for enrichment planting; Species selection for Mining; Species selection for urban plantations

Introduction In the last 30 years, tree plantations in the tropics have become an important alternative to natural forest utilization. At present, nearly five million hectares are planted each year in tropical Africa, Asia, and America, but only a fraction of the genetic pool is utilized for this purpose. Selecting appropriate species for planting is increasingly important, especially given the serious scenario of climate change. Managers and decision-makers will have to rethink commitments and investments in the species selection process as the daily challenges facing tree plantations (including temperature extremes, prolonged drought, and catastrophic rainfall) will have a measurable effect on income generation. Only a systematic and well-orchestrated selection process can ensure the preconditions for a successful plantation that has vigorous growth throughout its entire rotation period.

Plantation Species Utilized in the Tropics There are about 51,000 tree species identified in the tropics; out of this only ca. 215 species make up to 93 % of the approximately five million hectares of yearly plantations in tropical Africa, Asia, Oceania, and *Email: [email protected] Page 1 of 15

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

Table 1 Industrial forest plantations by species per region (Indufor Plantation Databank 2014) Species Acacia Cedrela Cypress Douglas Fir Eucalyptus Mahogany Pine Rubber Teak Willow Other Total (ha)

Africa 353,937 474 138,666

Asia 2,199,101

Oceania 3,100

421,301

1,778,463 4,480 1,847,230 201,407

2,957,326 15,960 1,011,107 227,000 1,979,748

9,658 109,728 1,032,614 49,068 2,621,610

625,188 4,949,845

9,548,917 18,360,460

5,692 80,206 3,911,676

Latin America 1,300 20,705 16,843 6,783,399 10,722 5,212,421 282,072 59,443 431,780 12,818,685

Total (ha) 2,557,438 21,179 569,625 126,571 12,551,802 80,230 10,692,368 227,000 2,468,919 59,443 10,686,091 40,040,666

Latin America. This means that only 0.42 % of the genetic pool is utilized for these tree plantations. The species utilized in plantations varies significantly by continent (Table 1). While Asia has a higher variety of species utilized in plantations, in Africa and Latin America pines and eucalypts are the preferred species. According to ITTO (2009), “Eucalyptus is the most widely planted genus because of its adaptability to different soil and climate conditions, high productivity and the strong demand for eucalypt wood. There is a total of 8.5 million hectares of eucalypt plantations in tropical countries (24% of the total). Other important tree species used for industrial plantations in tropical countries are: pines (Pinus spp) (18%), used for solid wood and pulp production; rubber (Hevea brasiliensis) (18%), used for latex and solid wood; teak (Tectona grandis) (17%); and acacias (Acacia spp) (9%). Various other broadleaved species make up 14% of the tree species planted for industrial purposes.”

Importance of the Selection Process In many cases, species selection directly determines the success or failure of the plantation activity. Having decided upon a certain species, the project is committed to certain product type(s) for at least the rotation period. A replacement plantation is not often financially justifiable. Accordingly, careful procedure should precede any decision on species selection. Many managers are familiar with the advantages and disadvantages of species selection, but established time frames, tight budgets, and high revenue expectations leave little room to avoid repeated mistakes. Once the environmental and financial risks are bluntly put forward, agreement for comprehensive species selection is more easily accepted. In addition to the general plantation objectives such as industrial and agroforestry plantations, special attention has to be paid to the selection of tree species for rehabilitation of forest sites, mining areas, and urban plantations.

Experiences After examining 42 tree plantation projects in the tropics, studies found that

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

• • • •

95 % of all projects utilized exotic species. 60 % of the trial plantations were carried out simultaneously to ongoing forestation activities. All of the projects started their forestation activities prior to trial plantation. 60 % of the projects received additional species information during their life span that resulted in a new species selection. The following findings emerged with respect to the objectives of the species selection:

• 50 % of the projects selected species for the combined objectives of timber production and erosion control. • 20 % of the projects chose multipurpose tree species, e.g., timber, fodder production. • Only 20 % of the projects chose species for timber production alone. • Exotics were almost exclusively selected for plantations even though native species are generally available. The usual reasons are – Ignorance of the propagation and silvicultural possibilities of native species – The manager’s experience with certain exotics – Easy availability of seeds from certain exotics – Relatively easy handling of already known species – High yield of exotics

The Species Selection Process Species selection should follow three logical steps: 1. Defining the plantation objective and the corresponding species profiles 2. Site analysis 3. Proper selection of the species

Plantation Objectives and Corresponding Species Profiles

The first filter on the way to determining the most appropriate plantation species is to define the plantation objective. According to present experience, eight generic plantation objectives could be identified in the tropics. In real-world application, a combination of these objectives is most likely to occur. Nevertheless, these eight objectives provide a useful and practical orientation on where to put the emphasis in defining the required species. Table 2 provides an overview of these eight generic tree plantation objectives. The corresponding species profiles are a preliminary summary of the main species characteristics that must be considered for a successful selection process. Requirements of the Local Population: Species selection must also consider sociocultural and socioeconomic conditions. Major questions to be answered are • Which products does the population require on a short- and long-term basis? • What is the traditional historical background from a forestry point of view? • What is the present land use? An intimate knowledge of the situation is often required to avoid mistakes in selecting the “right” species. For example, in the Sahel, farmers were opposed to the plantation of Acacia senegal, as the

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

Table 2 Main generic tree-planting objectives and corresponding species profiles Generic objectives of tree plantations Industrial tree plantations Profitable production of marketable resources for national and international demand such as fuelwood, sawn timber, industrial fuelwood, pulpwood, plywood, nonwood products: resins, tannins, latex, in uniform and high quality and quantity

Species profiles Provenance Social acceptance Silvics Production Utilization Nursery Pests

Protection tree plantations Water, soil, resources, infrastructure and livelihood protection, restoration of biodiversity, satisfaction of local forest product needs, improvement of local livelihood

Provenance Social acceptance Soils Silvics

Production Utilization Nursery Village plantations Satisfaction of local forest product needs, marketing of forest products, improvement of local livelihood

Agroforestry systems Agrosilviculture Satisfaction of local forest product needs, additional income through forest products, balanced soil utilization, water and soil protection Silvopastoral system Livestock productivity improvement, pasture, tree-fodder, live fences, multiple products

Provenance Social acceptance Silvics Production Utilization Nursery Pests Provenance Social acceptance Silvics

Production Utilization Nursery Pests

Native or exotic species High acceptance Suitable for monocultures; fire/wind resistance; autotolerant Yield over 15–20 m3/ha/year Valuable timber, large-scale marketing possibilities Availability of proven seeds; easy (clonal) propagation Resistance to pests Native species Part of local cultural heritage Suitable for marginal lands Intensive root growth, coppicing, undemanding; good natural regeneration fire/wind resistance; robust against browsing Yield over 8–15 m3/ha/year Multiple use Locally available seeds Native or exotic species High acceptance Coppicing, short rotation Yield over 15–20 m3/ha/year Multiple use Easy propagation, locally available seeds Resistance to pests Native or exotic species High acceptance Deep rooting, light crown, coppicing, good stem form, short rotation; N2 fixation, robust against browsing Yield over 15–20 m3/ha/year Multiple use, tree fodder, live fence Easy propagation, locally available seeds Resistance to pests (continued)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

Table 2 (continued) Generic objectives of tree plantations Enrichment planting Improvement of share and growth of valuable species in natural forests

Species profiles Provenance Social acceptance Silvics

Production Utilization Nursery Pests Rehabilitation of degraded forest sites Facilitation of succession processes, which leads to increased biological productivity, reduces soil erosion, and increases soil fertility (adapted from ITTO 2009) Definition of degraded forest sites: drastic and repeated intensity with complete removal of the forest stand, loss of topsoil, and change in microclimate

Provenance Social acceptance Soils Silvics

Production Utilization Nursery Pests Rehabilitation of mining sites Restoration (as close as possible) to a premining environment which provides benefits for local communities

Provenance Social acceptance Soils

Silvics

Production Utilization Nursery Pests

Native species Part of local cultural heritage Good stem form, apical dominance, low crown diameter, naturally self-pruning, shade tolerant, good competitor, frequent flowering and fruiting, presence in A, B, or C canopy layersa Fast height growth in the early stage Timber of high economic value Locally available seeds Pests are not killing criteria Native or exotic species High acceptance Suitable for marginal lands Intensive root growth, coppicing, undemanding; good natural regeneration fire/wind resistance; robust against browsing; N2 fixation, capacity to shade out grasses Fast height growth in the early stage, yield over 15–20 m3/ha/year Traditional economic value or suitable for existing or potential markets Easy propagation, locally available seeds Resistance to pests Native or exotic species High acceptance Suitable for harsh soil conditions, ability to grow at extremely low/high pH levels, ability to grow in water-logged sites, ability of phytoremediation (removal of toxic heavy metals from mine waste areas) Intensive root growth and /or dense shallow root system can also be used because of the matting effect, coppicing, undemanding; good natural regeneration, rapid lateral growth of stems, leaves, and roots; fire/wind resistance; tolerates drought, robust against browsing; N2 fixation Fast and aggressive growth Multiple use Easy propagation, vegetative propagation, locally available seeds Resistance to pests and diseases (continued) Page 5 of 15

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Table 2 (continued) Generic objectives of tree plantations Urban plantation Air quality improvement (purity, temperature), water quality, noise levels, and general living conditions of urban population

Species profiles Provenance Social acceptance Soils Silvics

Amenity value Production Utilization Nursery Pests Special consideration: plantation of storm-prone areas Protection of infrastructure, housing, and livelihood Provenance of people from strong winds and storms Social acceptance Soils

Silvics

Amenity value Production Utilization Nursery Pests a

Native or exotic species High acceptance Suitable for marginal lands, tolerates compacted soils Low branching habit, short rotation, self-pruning, crown small to medium, provides good shadow, resistance to emissions Attractive flowers, bark, and fruits Fast growth Small fruits, no resin production of flowers and fruits Easy propagation, locally available seeds, easy transplanting of (>2 m) tall individuals Resistance to pests and diseases Native species High acceptance Suitable for harsh soil conditions, ability to grow at extremely low/high pH levels, ability to grow in water-logged sites Strong root system, ability to shed branches in a storm, branches: low centers of gravity, small leaf size Attractive flowers, bark, and fruits Fast growth Protective function, no resin production of flowers and fruits Easy propagation, locally available seeds, easy transplanting of (>2 m) tall individuals Resistance to pests and diseases

A understory layer, B canopy layer, C emergent layer

weaverbirds attracted to them can cause serious losses to cereal crops. In Cajamarca, Peru, planting of Prunus capuli has been discouraged because this species is widely cut for festivities. Product Definition: Experience shows that the defined and expected products may not be marketable when the first rotation period is completed. Transportation costs, market behavior, overall policies, and labor availability may have changed completely after 10–30 years. Selection criteria that favor species with alternative uses, e.g., sawn timber plus pulpwood instead of only pulpwood, can help avoid this problem.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

Site Conditions Once the objective of the tree plantation and the corresponding species profile has been determined, the site conditions must be analyzed to narrow down the criteria for species selection. The most important determinants of growth and yield of the plantation site are described below; the forestry manager must weigh and compare each factor and consider varying combinations. Altitude is correlated with temperature changes and changes in precipitation distribution and amounts. At different altitudes, species distribution often changes within a short linear distance (Reubens et al. 2011). The analysis of the 215 most frequently used species for plantations in the tropics showed a high adaptability to a wide range of different site conditions. Nevertheless, it is evident that species from lowland tropical forests of the inner tropics at latitudes 18 N-18 S, where the temperature variations are below 0.5  C per year, need the strongest altitudinal consideration when choosing the planting site. Acacia mangium, Eleais guineensis, and Hevea brasiliensis are good examples of species that without a proper breeding program will have little flexibility to adapt to higher elevations than the area of their natural occurrence, which is in this case 0–500 MASL. The inverse holds true as well: some species known for their intolerance to lower elevations, e.g., Abies guatemalensis, do not prosper on elevations lower than 1,800 MASL., and Araucaria angustifolia could only be used as an ornamental species if planted on altitudes below 1,500 MASL and with a higher mean annual temperature than 12–18  C. According to Webb et al. (1984), climate data at stations between 30 N and 30 S on all three continents show that • The mean annual temperature lapse rate is 0.3–0.6  C for every 100 m in altitude (this does not apply to the arid land masses of Africa north of latitude 15 N or Australia south of latitude 15 S). • The lapse rate with latitude averages some 0.15  C for every increase of one degree of latitude from the “temperature equator.” • The “temperature equator” does not coincide with the geographic equator but in all continents occurs at latitudes of some 7–10 north. Temperature: The mean annual temperature, the mean minimum temperature, the maximum temperature, and the absolute minimum temperature expressed in numbers of frost days and degrees Celsius indicate the temperature tolerance of the species. Species with a wide geographic range of distribution with their corresponding provenances have a wider range of altitudinal and latitudinal tolerance in contrast to species restricted to specific sites only (Golfari 1963). Examples from the 215 most frequently utilized species from the tropics: Examples of species with a wider geographic range: Cedrus deodora, Melia azederach, Pinus merkusii, Pinus taeda, Pithecellobium dulce, Tamarindus indica Examples of species with narrow area of occurrence: Abies guatemalensis, Ochroma piramidale, Pinus caribaea, Prosopis tamarugo Mean minimum and absolute minimum temperatures limit the distribution of most tropical and subtropical species. The cold resistance of each species is subject to various factors such as altitude and exposure of the site, number of frost and cold (7  C) days, fog, soil moisture, and the prevailing winds (adapted from Golfari 1963). Generally speaking, tropical pines are more resistant to low temperature extremes than broadleaf species. It is common knowledge that low cold temperatures 7  C could cause Page 7 of 15

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damage in young plantations with species stemming from the lowland and inner tropics. Research results are available for commercial tropical fruit trees, but for tree plantation species further research is required to determine the possible species at risk. Mean Annual Precipitation is definitively the lifeline for all tree species. It is important to know this information in order to make an appropriate decision for any species. On any site, the prevailing vegetation types and the tree species to be found are the best indicators of the amount of precipitation available for plants. Furthermore, a huge database on amount and geographic distribution of isohyets gives sufficient information for a correct estimate. Many authors regard 2,000 mm mean annual precipitation (MAP) as the natural boundary for the tropical rainforests, but in situations with even annual precipitation distribution, rainforests can be found also with 1,900 mm in South America and with 1,600 mm in Africa (Lauer 1993). The latter figure coincides with the observation in all tropical continents that production forest plantations with a minimum of 15 m3/ha/year could prevail only on sites receiving at least 1,600 mm MAP, if groundwater access and irrigation are absent (Webb et al. 1984). A good example is Acacia mangium, which grows in its area of natural occurrence on sites with MAP of 1,400–2,900 mm and with a MAI of 20–35 m3/ha/year, but in areas of its minimum tolerance of MAP (1,000 mm) the production drops to 10 m3/ha/year. According to the tolerance limits of tropical vegetation types, six precipitation ranges can be identified (see Table 3). Rainfall Regime: Analysis of precipitation patterns shows that the total amount of rainfall as well as the length of rainy season are important determinants for the distribution of vegetation types. In rainfall ranges D, E, and F (Table 3), vegetation varies less according to the total amount of rainfall than according to the length of the rainy or dry season, given that a tropical evergreen rainforest is more affected by short dry periods than by a surplus of water during the wet period. Alternately, in dry areas (A, B, C Table 3), the vegetation type is more determined by the total amount of rainfall. This holds true particularly for the shrub vegetation in semideserts and deserts, which tolerates interannual variations in precipitation much better than the succulents of the semiarid region (adapted from Lauer 1993). Uniform rainfall area conifers (Golfari 1963): Experience has shown that native species in areas with yearly uniform rainfall can be successfully established in similar regions and, under certain conditions, also in areas with seasonal rains with the maximum fall in summer, but these species are seldom adaptable to winter rainfall areas. Monsoon conifers (Golfari 1963): Experiments have shown that the species native to regions with pronounced summer rainfall can be successfully established in similar regions and sometimes also in areas with a uniformly distributed rainfall, though they seldom thrive in winter rainfall areas. Dry Season: Species naturally occurring in areas without a marked dry season (40 mm per month) will generally fail on sites where recurring and marked dry seasons prevail (Fig. 1). Water Balance refers to a summary of various data sets such as precipitation, rainfall regime throughout the year, temperature, and local insolation. If available, water balance is a very reliable climate selection criterion. It is also a management tool as it indicates the possibility of silvicultural activities throughout the year such as seedling pricking out, planting, tending, and harvesting. Furthermore, water balance curves are helpful to understand the rainfall pattern at the planting site and to match it with the site conditions of potential species (Fig. 2). For the selection process itself, it is convenient to compare the water balances from the site of provenance to the site of plantation. Three examples are provided below to illustrate the coincidence of rainfall patterns which lead to successful introduction of species to new environments. The first example

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

Table 3 Precipitation ranges considering altitude and MAT (Adapted from Webb et al. 1984) Mean annual rainfall ranges A. 250–400 mm B. 400–650 mm C. 650–1,000 mm D. 1,000–1,600 mm E. 1,600–2,200 mm F. 2,200 mm

Mean annual temperature/altitude 24  C 22–24  C (0–600 m) (600–1,000 m)

20–22  C (1,000–1,400 m)

18–20  C (1,400–1,800 m)

18  C 1,800 m

Fig. 1 Examples of tropical plantation species with specific rainfall patterns (Adapted from Golfari 1963)

is the well-documented introduction of Pinus radiata from Monterrey, California (with a relatively humble performance), to central Chile with a successful vigorous growth (Figs. 3 and 4). Soils: In selecting species, soil conditions must be considered. As a rule of thumb, species originating from soils with heavy texture or from extreme alkaline soils should be chosen for similar sites, although some species may have a wide range of tolerance. The sites available may greatly restrict the possible species choices. Extreme cases are estuaries where mangroves grow, salt marshes, and sand dunes. More common and widespread difficulties are waterlogged or shallow soils. Limestone sites are often difficult because of high alkalinity and excessive drainage. External Influences: In addition to the physical environment, external limiting influences such as fire, pests, and diseases must be considered. Care must be taken to ensure that the selected species do not attract pests and diseases and do not trigger allelopathic interactions. Data gathering of prevailing pests and diseases would often avoid catastrophic failures of newly established species. In many savanna regions, fire is an ecological factor that must be considered carefully; thin-barked fire-susceptible species should be avoided. The influence exerted by the existing plant community can be a limiting factor for the optimum production of chosen species. This effect, called allelopathy, must also be taken carefully into consideration, provided information is available.

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Optimal time of plantation

Precipitation

500 450

Rainfall season still uncertain: risky time for plantating

400 350 300 250 200 150 100 50

Potential Evapotranspiration (PE)

0 J

F

M

A

M

J

J

A

S

O

N

D

Rainfall coincides with PE highs (summer-rainfall)

Latitude

Site data 17°26’N, 102°46’E

Altitudinal range Mean annual rainfall Rainfall regime

170-600 1000-1400 mm summer-rainfall

Mean annual temp.

30-36°C

Mean min. temp. coldest month

16-25°C

Fig. 2 Example interpretation of a water balance curve at Udon Thani, Thailand

Experience: Before environmental conditions are studied in detail, more readily available and reliable information can be gained by studying already existing plantations whose numbers are growing daily throughout the tropics. Reliable stories of success and failure for certain species may also be available. Successful plantations may provide seed sources. Native species should also be examined, and among them, emphasis should be given to pioneers that have an inherent ability to spread to open areas and generally show good results on impoverished, degraded soils. Foresters are often confronted with a situation in which the original tree cover has completely disappeared. A search should thus be performed for isolated remnants of the original vegetation cover, both for information on the best-suited species as well as for the conservation of genetic resources. Exotics or Autochthonous/Native Species: Industrial tree plantations in the tropics are mostly established with exotic species, with very few exceptions (e.g., Auracaria angustifolia in Piracicaba, Brazil). Pros and cons are listed below: Pros Worldwide experience in the tropics shows that only a few species satisfy tree plantation objectives where fast growth (more than 15 m3/ha/a) is required

Cons Concentrating on a few species leaves potential options of successfully using native species unexploited (continued) Page 10 of 15

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Rainfall pattern coincides but amount of precipitation in Concepcion is considerably more abundant Successful introduction: Concepción, Chile

Origin: Monterey, California 300

300

250

250

200

200

150

150

100

100

50

50

0

0 A

S

O

N

D

J

F

M

A

M

J

J

J

F

M

A

M

J

J

A

S

O

N

D

Winter rainfall and water surplus

Latitude

Site data 36°40’N, 121°37’W 36°46’S, 73°03’W

Altitudinal range

1500-3000 m

Mean annual rainfall

650-1600 mm 1100-1300 mm

Rainfall regime

winter-uniform winter-uniform

8-120 m

Mean annual temp.

11-18°C

Mean min. temp.coldest month

2-12°C

10-18°C

7.5°C

Monterey, California Concepción, Chile

Fig. 3 Comparison between sites of natural occurrence with site of introduction for Pinus radiata

Pros Research results are already transformed to operational management for the exotic species worldwide in use Certified seeds are freely available worldwide Exotic species are free of pests and diseases from their original habitat

Cons Knowledge generation is limited to a few species, and funding for alternatives is limited Exotic species might be especially targeted by pathogens in their new surroundings

Where fast growth is the set plantation objective, known and successfully tested exotic species have an overwhelming advantage over native species. On the other hand, where protection or rehabilitation of extremely degraded sites is the plantation objective, alternatives to native species are very limited.

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Optimal time for plantation

Not very pronounced summer rainfall

Precipitation Precipitation 700

700

600

600

500

500

400

400

300

300

200

200

Optimal time for plantation

100 100 0 −100

J F M A M J J A S O N D

0 J F M A M J J A S O N D

Origin: Ziguinchor, Senegal

Successful introduction: Hanói, Vietnam

Site data Latitude Altitudinal range

12°35’N, 16°16’W 21°1’N, 105°52’E 16-19 m 12-308 m

Mean annual rainfall

1110-1550 mm

Rainfall regime

summer-rainfall

1648-1680 mm summer-rainfall

Mean annual temp.

32-38°C

Mean min. temp. coldest month

18-24°C

17-30°C

13-26°C

Ziguinchor, Senegal Hanói, Vietnam

Fig. 4 Comparison between sites of natural occurrence with site of introduction for Khaya senegalensis

Climate Change Safeguards for Species Selection Climate change will have a continuous and increasingly strong effect on all aspects of life on earth and poses a challenge to successful plantation establishment and appropriate species selection (Table 4). The safeguards to both primary and secondary climate change effects are as follows:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

Table 4 Climate change effects relevant to species selection Primary effects of climate change • Higher than average mean maximum temperatures • Higher mean temperatures at start of dry seasons • Increases in intensity and/or duration of drought (IPCC 2013) • Heavy precipitation events, increase in frequency, intensity, and/or amount of heavy precipitation (IPCC 2013) • Erratic start of rainy seasons • Patchy distribution of precipitation events • Catastrophic precipitation events during rainy seasons (100 mm/h) • Intensity and erraticity (unseasonal occurrence) of storms associated with extreme winds (over 80 km/h) and dangerous wind gusts Secondary effects of climate change • Increase and duration of wildfires • Increase of instability of soils (due to inclination, exposure, and soil types) • Decreased availability of soil nutrients • Increased risk of invasive weeds • Increased risk of pests and diseases (FAO 2008)

Safeguards for species selection Species and their provenances with higher plasticity regarding high temperature and drought (40 mm per month) tolerance have to be considered Species with aggressive root development should be considered in addition to silviculture and plantation establishment methods

Safeguards for species selection In critical area broadleaved species with fire tolerance is given the preference Soil-improving species (Leguminosae) should be considered

Species with initial fast growth and short rotation should be considered

Available Data Valuable sources of information about the selected species could be organized from research results developed or compiled by renowned institutions (e.g., CSIRO, Oxford Forestry Institute, FAO, GIZ, etc.) or from forestry services and long-term projects and programs. Additionally online or web-based databanks could be consulted. Selected databanks and institutions are listed below: • Herbarium: Collected data from preserved plants stored, cataloged, and arranged systematically by family, genus, and species serves as a continuous classification of all plants. • Database: Provides standardized information on species worldwide. • Online user service: Guides users to almost unlimited information access. • Specialization area: Provides solid information and tools for specific topics. Logo

Institution

Address

Global Biodiversity Information Facility (GBIF) Universitetsparken 15 DK-2100 Copenhagen ø, Denmark

Royal Botanic Gardens, Kew Brentford Gate, London TW9 3AB,

Missouri Botanical Garden

The Plant List

Tropicos

The Wood Database

World Agroforestry Center

4344 Shaw Ave, St. Louis, MO 63110, United States

Created and managed by Royal Botanic Gardens, Kew and

Created and managed by The Missouri

Created and managed by Eric Meier: Minneapolis, MN, United States

United Nations Ave. Gigiri, 30677, Nairobi, 00100 Kenya (continued)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

United Kingdom Website

www.gbif.org

Herbarium Database Online service Specialization area

✓ ✓ TX

www. kew.org ✓ ✓ ✓ TX

www.missouri botanicalgarden. org ✓ ✓ ✓ TX

Missouri Botanical Garden www.the plantlist.org

✓ ✓ TX

Botanical Garden http:// tropicos. org ✓ ✓ ✓ TX

www.wooddatabase.com

www.world agroforestry center.org

✓ ✓ WS

✓ ✓ AF

TX taxonomic information, WS wood sample information, AF agroforestry species information

The Selection Process Based on the aforementioned elements of species selection, a stepwise approach for the selection process as described below may ensure appropriate decision-making for a successful plantation (characterized by FAO (2001) as a plantation without yield decline after three rotations). Steps 1

Selection process Definition of the plantation objective

2

Definition of species profiles that fit the plantation objectives Analysis of already existing plantations and species Site analysis: altitude, precipitation, precipitation regime, temperature, water balance, soils, pests, and diseases Identification of potential species with their site requirements Matching identified and available species to site requirements and plantation objectives Background check of selected species

3 4

5 6 7

8 9

10

Identification of seed procurements and/or test trials Risk assessment of utilizing the selected species: susceptibility to climate change, pests, and diseases, acceptance by local communities, market stability for the rotation period Final presentation of selected species with detailed documentation of their characteristics

Main features Sets the overall requirements for the selection process: exotic versus native species Sets the overall requirements for the species selection Reduces further research to a minimum Sets the limiting environmental site conditions for the species selection Establishment of master list of potential species Reduces the potentially suitable species to the site conditions Eliminates species on available negative experience or product incompatibility with set objective

Reduces further the potential species to select Species alternatives are compared and weighed against each other and a final ranking established

Expected input General research

General research Field survey and data analysis General research at potential plantation site

General and specific research at potential plantation site including field surveys Specific research of available information Consultation of available information services. Visiting the site of origin of the selected species has shown to be appropriate for largescale forestation projects. This will help to clarify whether the species should be chosen from the center or the fringes of its natural range Site reviews and cost research of seed procurement Cost/benefit and sensitivity analysis of different species options for selection

Final species decision

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_114-2 # Springer-Verlag Berlin Heidelberg 2015

References FAO (2001) Biological sustainability of productivity in successive rotations. Report based on the work of J. Evans. Forest Plantation Thematic Papers, Working paper 2. Forest Resources Development Service, Forest Resources Division. FAO, Rome (unpublished) FAO (2008) Climate-related trans-boundary pests and diseases. Technical background document from expert consultation held on 25–27 Feb 2008. Rome Golfari L (1963) Climatic requirements of tropical and subtropical conifers. Unasylva 17(1):33–42. (FA 25-254) INDUFOR (2014) Indufor plantation databank. (unpublished data) IPCC (2013) In: Stocker TF, Qin D, Plattner G-K, Tignor M, Allen S.K, Boschung J, Nauels A, Xia Y, Bex V and Midgley PM (eds.) Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA ITTO (2009) Encouraging industrial forest plantations in the tropics. Report of a global study. Technical Series # 33 Lauer W (1993) Climatology. In: Pancel L (ed) Tropical forestry handbook, vol 1. Springer, Berlin, pp 96–164 Reubens B, Moeremans C, Poesen J, Nyssen J, Tewoldeberhan S, Franzel S, Deckers J, Orwa C, Muys B (2011) Tree species selection for land rehabilitation in Ethiopia: from fragmented knowledge to an integrated multi-criteria decision approach. Agrofor Syst 82:303–330 Webb DB, Wood PJ, Smith J, Henman GS (1984) A guide to species selection for tropical and sub-tropical plantations, 2nd edn. Tropical forestry papers 15. Commonwealth Forestry Institute, University of Oxford

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_117-2 # Springer-Verlag Berlin Heidelberg 2015

Basic Outline of Tree Plantations in the Tropics Laslo Pancel* Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH, La Libertad, El Salvador

Abstract In the future, plantation forestry will increasingly influence the timber resources availability as natural forests are under constant pressure. Today’s knowledge on tree plantations in the tropics enables the person in charge to develop a successful project. Here the main features of tree plantations are compiled, where experiences of the last 70 years are considered. Planning, layout, and technical specifications of tree plantations are available in this chapter, and under the increasing climate change challenge, site preparation, direct sowing, and plantation operation are considered accordingly. Furthermore, tending of tree plantations gives helpful orientation on how to ensure a successful plantation enterprise.

Introduction Weck (1955) rightly describes plantation management done without the necessary expenditure for a sustained yield, forest protection, and the maintenance of soil fertility as “a special form of ruthless overexploitation of the soil.” Lamprecht (1989) established the main reasons for the distinct trend throughout in the tropics toward plantations with fast-growing species as: – In plantation management, one does not have to deal with the difficult problems posed by the management of natural forests, which requires detailed ecological knowledge of the vast number of species generally involved. – Instead of a multitude of local tree species, with largely unknown ecological requirements and uncertain chances of being marketed, the operations revolve around one or more of the internationally known and well-tested plantation species. Today most of the technical questions on how to establish and manage a tree plantation in the tropics are based on examples resolved for the most prominent species plantations. The population growth and with it a thirst for raw materials and hunger for land have left tree plantations in the tropics in the twenty-first century in an exposed position. It puts tree plantations in the social-economic focus of any country. This chapter summarizes the main features necessary to successfully establish tree plantations. In combination with the other chapters of this handbook, especially those chapters discussing the participation of the rural population and indigenous people in forestry activities, this chapter sets out complete set of accrued experiences for the successful establishment of tree plantations in the tropics.

*Email: [email protected] Page 1 of 70

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_117-2 # Springer-Verlag Berlin Heidelberg 2015

A man-made forest may be defined as (FAO 2010): • Planted forest: forest predominantly composed of trees established through planting and/or deliberate seeding. • Afforestation: establishment of forest through planting and/or deliberate seeding on land that, until then, was not classified as forest. • Reforestation: reestablishment of forest through planting and/or deliberate seeding on land classified as forest. • Industrial fast-growing plantations cover the intensively managed productive plantations, i.e., seminatural planted forests and protection plantations; scattered planted woodlots are excluded (INDUFOR 2012).

Aims, Extent, and Demand of Plantation Activities in the Tropics Forestation Area An estimated 264 million ha of forests have been planted worldwide until 2010, which accounts for 6.6 % of the worlds forest areas. The evolution of plantation areas is from 81 million ha in 1965 to 1995 million ha in 1970, to 178 million ha in 1990, to 264 million ha in 2010. The yearly reforestation is at present nearly five million ha (FAO 2010). Seventy percent of the reforestation is done in temperate latitudes. These areas face an annual deforestation between 11 and 14 million ha. INDUFOR’s analysis on industrial fast-growing forest plantations allows a more differentiated view of the commitments of tropical countries to establishing planted forests (INDUFOR 2012). According to the study, the global total area of industrial fast-growing forest plantations was 54.3 million ha in 2012, which accounts for 1.3 % of the total area of planted forests; estimates suggest that this area will increase to 2–4 % by 2050. There are significant regional differences in plantation areas and the share of fast-growing industrial forest plantations as shown in Table 1. FAO’s Global Forest Resources Assessment from 2010 (FAO 2010) gives a comprehensive overview of planted forest development of the last two decades, as shown in Table 2.

Demand for Forest Plantations Several models (Metzger 2010; Bauhus et al. 2010) have estimated the demand for forest plantations considering the creation of carbon sinks for climate change mitigation, the supply of raw materials, and efforts to provide conservation services for endangered sites and ecosystems. As all these models and projections are based on assumptions that are difficult to control, here INDUFOR’s projection (2012) for

Table 1 Total plantation area in the tropics and share of fast-growing industrial forest plantations % of global industrial fastgrowing forest plantations Region Total plantation area (FAO 2010) % of global forest area (FAO 2010) (INDUFOR 2012) Africa 15.4 million ha 5.8 % 5.0 million ha 1.8 % Asia (incl. China) 123.0 million ha 46.0 % 17.7 million ha 6.7 % Latin America 14.2 million ha 5.5 % 12.8 million ha 5.3 % Oceania 4.1 million ha 1.5 % 3.7 million ha 1.4 %

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_117-2 # Springer-Verlag Berlin Heidelberg 2015

Table 2 Trends in area of planted forests by region and subregion, 1990–2010 (FAO 2010)

Region/ subregion Eastern and Southern Africa Northern Africa Western and Central Africa Total Africa East Asia South and Southeast Asia Western and Central Asia Total Asia Europe excl. Russian Federation Total Europe Caribbean Central America North America Total North and Central America Total Oceania Total South America World

Information availability % of Number total of forest countries area 23 100.0

Area of planted forest (1,000 ha)

Annual change (1,000 ha)

Annual change rate (1 %)

1990 3,500

2000 3,689

2005 3,813

2010 4,116

1990–2000 2000–2010 1990–2000 2000–2010 19 43 0.53 1.10

8

100.0

6,794

7,315

7,692

8,091

52

78

0.74

1.01

25

94.0

1,369

1,953

2,526

3,203

58

125

3.62

5.07

56 5 17

97.1 100.0 100.0

11,663 55,049 16,531

12,958 67,494 19,736

14,032 80,308 23,364

15,409 90,232 25,552

129 1,244 321

245 2,274 582

1.06 2.06 1.79

1.75 2.95 2.62

23

96.9

4,678

5,698

5,998

6,991

102

129

1.99

2.07

45 42

99.8 97.7

76,258 46,395

92,928 49,951

109,670 122,775 1,667 51,539 52,327 356

2,985 238

2.00 0.74

2.82 0.47

43 16 7

99.6 70.4 100.0

59,046 391 445

65,312 394 428

68,502 445 474

69,318 548 584

627 0
2

401 15 16

1.01 0.09
0.37

0.60 3.33 3.14

5

100.0

19,645

29,438

34,867

37,529

979

809

4.13

2.46

28

99.7

20,481

30,261

35,787

38,661

978

840

3.98

2.48

18

99.7

2,583

3,323

3,851

4,101

74

78

2.55

2.12

13

94.6

8,276

10,058

11,123

13,821

178

376

1.97

3.23

203

98.4

178,307 214,840 242,965 264,085 3,653

4,925

1.88

2.09

the demand for forest plantations is presented based on population growth, economic growth, income per capita, and product substitution. Taking these variables into consideration, INDUFOR (2012) produced global demand scenarios with a pessimistic economic outlook, a balanced economic development outlook (most likely), and an optimistic and extremely resource-intensive scenario. At present (2014), any of the existing supply scenarios from plantations only cover approximately 30 % of the total demand; the rest is met by the (managed or not managed) natural forests. Considering all options for

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_117-2 # Springer-Verlag Berlin Heidelberg 2015

6.0

Billion m3 Supply, SC1

5.0

Supply, SC2

4.0

Supply, SC3

3.0

Demand, SC1

2.0

Demand, SC2

1.0

Demand, SC3

2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 2029 2029 2030

0.0

Years

Fig. 1 Global demand and supply scenarios, 2012–2030 (Indufor Plantation Databank 2014)

improved plantation expansion,1 the supply for the global wood and wood-based material demands will likely not be covered by plantations. Therefore, pressure on natural forests will steadily increase (Fig. 1). Available land is a decisive factor in all future forest projections and plantation development. The work of the World Resource Institute (WRI 2011) gives a good approximation of the potential land available for restoration of forests and landscapes as well as the associated potential for carbon sequestration which includes agriculture, protected reserves, ecological corridors, forest regenerations, agroforestry systems, riparian plantings, and forest plantations. In the WRI report (2011), deforested and degraded forestlands were divided into four categories, resulting in data and maps of restoration opportunity areas. For the tropics, nearly 1,416 billion hectares were identified with an area of 297 million ha available for wide-scale restoration,2 an area of 1,095 million ha for mosaic restoration,3 and an area of 24 million ha for remote restoration.4 These restoration opportunities include possibilities for establishing forest plantations.

Planning Forestation Activities The degree of detail and the rationale of the planning procedure are defined by the scale and type of the tree plantation project. A large-scale industrial project needs more preparation than a small-scale plantation where only a few hectares are involved. By having guidelines at hand, the project manager can make his choice. For the success of a complex activity like a tree plantation, it is helpful to follow a formal planning procedure. This reduces the risk of overlooking, underestimating, or repeating certain project components. The planning procedure of tree plantation projects can be separated into three phases: 1

Improved plantation expansion: adopted from INDUFOR (2012): plantations are promoted, land tenure issues are actively resolved, land is made available for plantations, management is intensified, efficiency of wood production is improved, and average growth either through GMO or other means is significantly increased. 2 Less than 10 people per square kilometer and potential to support closed forest. 3 Moderate human pressure (between 10 and 100 people per square kilometer). 4 Very low human pressure (density of less than one person per square kilometer within a 500 km radius) Page 4 of 70

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_117-2 # Springer-Verlag Berlin Heidelberg 2015

Orientation of tree plantations Formulation of goals Identification of objectives Generic tree plantation Preliminary site evaluation

Planning of tree plantations Feasibility study Detailed study Site selection Species selection

Pre-feasibility study Stakeholder analysis

Environmental impact Assessment

Implementation Road construction Plantation operation plan Site preparation Plantation (transport, distribution, planting)

Monitoring Productivity of stands Quality of products Pests and diseases Social and environmental impacts

Tending (weeding, pruning)

Formulation of Goals: This helps to clarify the overall context what the project is trying to accomplish: Examples 1. Large-scale forest plantations generate income for the national economy. 2. Protection of critical watershed to assure continuous water discharge and detain soil erosion. 3. Village-based forest resources cover household needs. Identification of Objectives: Objectives are concrete statements describing what the project is trying to achieve. The objective should be specific enough so that it may be evaluated at the conclusion of a project to see whether it was achieved or not. Objectives have to be specific, measurable, attainable/achievable, realistic, and time bound (SMART) (adapted from Mochal 2014). In tree plantation projects, the identification of objectives takes into account ecological conditions, socioeconomic and cultural conditions, political frameworks, and the overall economic setting. Example objectives for the goals listed above could be formulated as follows: Examples 1. Establishment of fast-growing tree plantation (>20 m3/ha/a) on 10,000 ha with a participatory business scheme with the rural population until 2018. 2. Sites with slope grades over 40 and above 2,400 masl are planted with native species at the start of the monsoon period in XXXXXX province. 3. Woodlots in villages with a cooperation contract are established with multipurpose tree species in the XXXXXX watershed until 2020. Preliminary Site Evaluation: At this stage, the goal and the preliminary objectives are already available. The next step is the preliminary site evaluation. This step includes (adapted from Anonymous 1993): • Establishing who owns the land and who has rights to use it. If this is unclear or disputed, a mechanism for resolution will be required. • Identifying environmental reasons against developing plantations (e.g., conservation, adverse effects on catchments). • Identifying obvious socioeconomic constraints (local resistance, insufficient labor, cultural archeological sites) (Table 3). Pre-feasibility Study: After establishing a positive preliminary site evaluation, it is recommended to go ahead with a pre-feasibility study for projects above 1,000 ha. Smaller projects (10 ha Orientation on the location for plantation with areas >10 ha Planning basis for plantation with areas 1.800 mm Dry months > 100 mm (no more than 3 months) Structure: Presence of A= understory; B= canopy layer; C= emergent layer. Stand data: 510 N/Ha > 10cm DBH; 24 No. of species /ha > 2 cm DBH; Mean DBH > 10 cm = 24.7 cm; Dominant height 16.8 m Basal area 29.6 m2/ha; Volume 240 m3/ha; Carbon 91.5 ton/ha. Soils: fertile, moist, medium texture, medium rooting depth.

Fig. 3 Rain forest canopy with all layers present (Courtesy of Cuipo (2012))

Stage 2: Lightly Degraded Forest In this stage, the tree species diversity and stand structure still reflect the original forest type. There are still trees above the legal minimum harvestable DBH limit – which is in tropical countries between 35 and 70 cm. Natural regeneration can restore the original forest within a reasonable time (Sabogal 2005; Sasaki et al. 2011). Stand data (see below) do not reflect the degradation process; only a closer look on the horizontal and vertical structure indicates the alteration, as only huge or few tree individuals are eliminated at this stage (Fig. 5). In satellite images, the interventions (cutting of individual trees) are difficult to identify as the canopy layer absorbs the gaps. Light Detection and Ranging (LIDAR) images with high resolution could provide a more reliable identification tool for the first degradation stage (Figs. 6 and 7). Rehabilitation

Rehabilitation considers in the first place to protect the forest from further degradation and to promote natural regeneration. This includes tending of preexisting wildlings (seedlings, saplings) to improve light conditions – by release cutting or canopy opening (Sabogal 2005). For further details, consult the chapter on Tropical Silviculture by Bryan Finegan (2015). Stage 3: Medium Degraded Forest At this stage, the forest has lost its legally harvestable trees but retains many that are just smaller than the minimum cutting diameter (for legal harvest) (Sasaki et al. 2011). Stand data show significant differences in comparison with the original

Forest Restoration and Rehabilitation in the Tropics

9

CROWN PROJECTION

60m

LOCATION OF TRANSECT

140m Emergent Above the Cutting Limit

Below the Cutting Limit Understory

40m

140m TRANSECT

Fig. 4 Schematic views of primary tropical rain forest with crown and transect projections displaying the three canopy layers: emergent, canopy, and understory. Interventions are not identified

reference (primary) forest regarding basal area and volume reduction. The change in tree species diversity still does not reflect the magnitude of change in stand structure as pioneer species occupy the available niches (Figs. 8 and 9). Rehabilitation

Rehabilitation considers in the first place to protect the forest from further degradation and to promote natural regeneration. Enrichment planting in different forms (line, patch, underplanting) with native species is the primordial recommended action. See section “Strategies for Rehabilitating Tropical Forests.” Stage 4: Heavily Degraded Forest In this stage, most of the primary forest structure has been lost, leaving only a few tree individuals from the emergent (A), canopy (B), and understory (C) layer. Large openings occupy at least half of the area and are invaded by pioneer weeds, vines, and other secondary forest species (Sabogal 2005). The stand structure has, in comparison with the reference primary forest, shrunk considerably; see figures of

10

L. Pancel

Examplary tropical rain forest: Lightly degraded forest Structure: Presence of: A = understory B = canopy layer C = emergent layer is not present. Stand data: 500 N/ha > 10 cm DBH; 26 no. of species /ha > 2cm DBH Mean DBH > 10 cm = 24.7 cm Dominant height = 13.8 m Basal area = 22.6 m²/ha Volume = 180.7 m³/ha Carbon = 64.8 t/ha Soils: Fertile, fresh, medium texture, medium rooting depth Analysis: Structure: the emergent layer has been cut. Stand data: a diversity increase is perceivable through the appearance of pioneer species. Reduction of 23% of the basal area, a reduction of 24% in volume, and a significant change of the dominant height of the forest.

Fig. 5 Crown image of a tropical rain forest in Surinam with sporadic interventions extracting the emergent layer; see yellow arrows (Courtesy of M. Ko¨hl)

Fig. 6 LIDAR crown images testify the reconnaissance of extracted trees in Surinam (Courtesy of M. Ko¨hl)

Forest Restoration and Rehabilitation in the Tropics

11

60m

140m Emergent

Below the Cutting Limit

Above the Cutting Limit

Understory

40m

140m

Fig. 7 Schematic views of a lightly degraded forest. Crown and transect projections show the extracted emergent layer and adjacent trees felled or destroyed during the harvesting operations

exemplary forest below. The indiscriminate destruction affects likewise primary invader and pioneer species; therefore, the species composition is without a significant trend (Figs. 10 and 11). Rehabilitation

Rehabilitation considers in the first place to protect the forestland from further damage and to protect potential seed trees from destruction. Management of natural regeneration, enrichment plantation is not an option anymore. Plantation with both fast-growing and autochthonous and exotic species has to be pursued for rehabilitation. For Silviculture and Plantation Forestry, see Finegan and Pancel. Stage 5: Low-Profile Hacked Forests (Deforestation) Live or dead tree stumps, poles, and a few old trees characterize the remaining vegetation. Live roots and stumps retain their coppicing ability and grow back into secondary forests if overexploitation is halted (adapted from Sabogal (2005); Figs. 12 and 13).

12

L. Pancel

Exemplary Tropical Rain Forest 1: Medium degraded

Analysis: Structure: the emergent layer has disappeared. Stand data: there is ca. 64% of N/Ha of the primary stage, the share of invaders and pioneer species is at least 50% The basal area is reduced by 54% and the volume by 64%.

Structure: Presence of A= understory B= thinned out canopy layer Stand data: 327 N/Ha > 10cm DBH; 24 No. of species /ha > 2cm DBH; Mean DBH > 10 cm 2=1.4 cm; Dominant height = 11.3 ;m Basal area = 14.1 m²/ha; Volume = 82.1 m³/ha > 10cm DBH; Carbon = 30.1 Ton/ha . Soils: partially denuded, eroded, high runoff

Fig. 8 Sabah medium degraded forest (Photo by Rhett A. Butler/mongabay.com)

Rehabilitation

Rehabilitation considers in the first place plantation with both fast-growing and autochthonous species. Eventual natural regeneration is furthered within the plantations, giving especial attention to the protection of primary species. For silviculture and plantation forestry, see Finegan and Pancel in this handbook. Stage 6: Denuded/Destroyed Forestland (Deforestation) (also result of mining)) Tree, shrub, grass, and herb cover has disappeared. Only individual remnants of stumps or tree corpses could be found. A-soil horizon is absent; baked B-soil horizon and C-soil horizon characterize the former forestland (Fig. 14). Rehabilitation

Rehabilitation will include the following steps: stabilization to avoid further destruction through the recovery and maintenance of primary processes (hydrology, nutrient cycling, energy flows) (Maginnis and Jackson 2005). This includes reseeding with grasses and herbs, reestablishment of protective cover through plantation with fast-growing tree species, and protection of eventual natural regeneration especially of primary species. For Silviculture and Plantation Forestry, see Finegan and Pancel.

Tropical Dry Semi-deciduous and Dry Deciduous Forests Dry tropical and subtropical forests and woodlands occur in areas where the mean annual temperature is above 19  C with a total precipitation between 800 and 1,800 mm and where the potential evapotranspiration (PET) exceeds precipitation (P).

Forest Restoration and Rehabilitation in the Tropics

13

60m

140m

Emergent Above the Cutting Limit

Below the Cutting Limit Understory

40m

140m

Fig. 9 Schematic views of a medium degraded forest with the crown and transect projections displaying the presence of the canopy layer but with reduced diameter ranges. Understory species emerge into the canopy layer

Exemplary tropical rain forest 1: Heavily degraded Structure: Presence of A = understory B = remnants of canopy layer; Stand data: 40 –100 N/Ha > 10 cm DBH; 10–16 no. of species /ha > 2cm DBH Mean DBH > 10 cm = 18 cm Dominant height = 10 m Basal area 4 –8 m²/ha Volume 20 –60 m³/ha >10 cm Soils: Partially denuded, eroded, high runoff

Analysis: Structure: the emergent layer has disappeared Stand data: there is less than 80% of N/Ha of the primary stage and the number of species per area has changed significantly.

Fig. 10 Heavily degraded forest in Caracarai, Brazil (Courtesy of M. Ko¨hl (2014))

14

L. Pancel

60m

140m Emergent Above the Cutting Limit

Below the Cutting Limit Understory

40m

140m

Fig. 11 Schematic views of a heavily degraded forest with the crown and transect projections

Many forest types fall into this category which presents a transition between semidesert and rain forest (adapted from Murphy and Lugo (1986)). From the total worldwide tropical forest cover of 1,180 million ha (Coad et al. 2009) in ITTO 2011, 25 % belongs to this category; see Table 2. The original or potential extent of dry forest is difficult to assess because many savannas and scrubland vegetation or thorn woodlands are thought to be derived from disturbed dry forest. The largest proportion of dry forest ecosystems is in Africa and the world’s tropical islands, where they account for 70–80 % of the forested area. In South America, they represent only 22 % of the forested area but in Central America almost 50 % (Adapted from Murphy and Lugo (1986)). The peculiarities of the degradation processes and the corresponding rehabilitation activities on one side and the magnitude and ecological importance of dry tropical and subtropical forests on the other side justify the separate treatment. Stage 1: Primary Forest Primary forest is a naturally regenerated forest of native species, where there are no clearly visible indications of human activities and the ecological processes are not significantly disturbed (FAO 2010). The deciduous tropical forest is generally

Forest Restoration and Rehabilitation in the Tropics

15

Exemplary Tropical rain forest 1: Low-profile hacked forests Structure: Stand structure is absent Stand data: Not applicable Soils: Hard soil, often sheet or gullyeroded, usually of low fertility with limited organic matter (Sabogal 2005) Analysis: Structure: all layers have disappeared Stand data: by definition, there is not a forest remaining

Fig. 12 Low-profile hacked forest (Courtesy of M. Ko¨hl (2014))

characterized by a two-layer vertical structure with different species compositions where the understory consists mainly of accompanying species of smaller-size trees. In the transition from the humid to subhumid and semiarid tropical climate conditions, the deciduous tropical forests change from closed stands (provided the absence of anthropological interventions) with increasing presence of islands of shrub and grass vegetation (adapted from Kehl (2014)) to a sparsely populated savanna-type vegetation with scattered individual tree species (Figs. 15 and 16).1

Stage 2: Degradation of the Understory The main characteristics of the original forest still remain, but almost all of the understory such as accompanying species and shrubs has been removed. Natural regeneration remains scarce due to repeated grazing.

Rehabilitation

Rehabilitation considers in the first place to protect the forest from further degradation and to promote natural regeneration. This includes patch-wise (fenced) protection against grazing, soil preparation (scarification), and enrichment planting with valuable autochthonous species (see Figs. 17 and 18). For further details, consult the chapter on Tropical Silviculture by Bryan Finegan (2015).

1

Deciduous tropical forest in El Salvador, 10 sample plots

16

L. Pancel

60m

140m Emergent Above the Cutting Limit

Below the Cutting Limit Understory

40m

140m

Fig. 13 Schematic views of low-profile hacked forests (deforestation) with the crown and transect projections. Species remnants provide not enough information anymore to draw conclusion of original forest cover or forest type

Exemplary tropical rain forest: Denuded/destroyed forest land Structure: Stand structure is absent Stand data: Not applicable Soils: A-soil horizon missing in hard soil, often sheet or gullyeroded, usually of low fertility with limited organic matter (Adapted from Sabogal 2005) Analysis: Structure: all layers have disappeared Stand data: by definition, there is no forest remaining

Fig. 14 Denuded forestland in Dak Lak, Vietnam (Photo: L. Pancel (2008))

Forest Restoration and Rehabilitation in the Tropics

17

Exemplary data: Deciduous tropical forest 1 Site characteristics: Precipitation = 600 –1.800 mm Dry months > 100 mm = at least 5 months Structure: Presence of A = understory B = canopy layer Stand data: N/ha > 10 cm DBH = 200–300 No. of species/ha > 2 cm DBH = 20–50 Mean DBH = 10.0 cm Dominant height = 5 –11 m Basal area = 15.0 – 40 m²/ha Volume = 40 –180 m³/ha Soils: Fertile, medium texture, medium rooting depth Fig. 15 Deciduous tropical forest. Clearly visible understory and canopy layers at National Park Walter Thilo Deininger, La Libertad, El Salvador (Photo: L. Pancel (2014))

Stage 3: Degradation of the Canopy Layer On this stage, the original forest is difficult to identify, and the presence of few trees forms the canopy layer. The increased light availability produces a thick often thorny understory. Natural regeneration of primary species remains scarce due to repeated selective grazing. Typical savanna-type vegetation in structure and composition is apparent (Figs. 19 and 20).

Rehabilitation

Rehabilitation has to start with the protection of the remaining trees as seed source and preparation of sites (clearing, scarification of soil surface) for natural regeneration. Often, fencing of tree groups is necessary. Enrichment planting and plantation with valuable autochthonous species is recommended.

Stage 4: Diffuse Degradation On the diffuse degradation stage, the elements of the original forest like canopy and understory flora are available. Degradation includes the understory and canopy layer in equal parts. Neither the understory nor the canopy layer has their original growth potential (Figs. 21 and 22).

18

L. Pancel CROWN PROJECTION

80m LOCATION OF TRANSECT

140 m Canopy Layer Understory

20m

140 m TRANSECT

Fig. 16 Schematic views of primary tropical dry semi-deciduous forests in Central America with the crown and transect projections. Canopy layer, understory

Rehabilitation

Natural rehabilitation will result with appropriate protection. Rehabilitation has to start with the protection of the remaining trees as seed source and preparation of sites (clearing, scarification of soil surface) for natural regeneration. Often, fencing of tree groups is necessary. Valuable species are recommended for enrichment planting and plantations.

Strategies for Rehabilitating Tropical Forests Enabling Conditions for Rehabilitation of Tropical Forests Socioeconomic Issues Lessons learned, especially from Asia (Lee 2007), indicate that some basic issues have to be considered, promoted, and resolved before a successful rehabilitation can take place; this includes:

Forest Restoration and Rehabilitation in the Tropics

Exemplary deciduous tropical Degradation of the understory Structure: Presence of A = understory B = canopy layer B

19

forest:

Stand data: N/Ha > 10 cm DBH = 200 –300 No. of species /ha > 2 cm DBH = ~ 20 Mean DBH = ~ 10.0 cm Dominant height = 5 –11 m Basal area = 15.0 –40 m²/ha Volume = 40 –180 m³/ha Soils: Fertile, medium texture, medium rooting depth Analysis: Structure: less than 10% presence of understory, presence of more than 80% of the original canopy layer Stand data: the No. of species/ha has decreased slowly. Fig. 17 Enrichment planting with Dalbergia retusa, Swietenia humilis, and Cedrela odorata in semi-deciduous dry forest type with degraded understory with plantation remnants of Gliricidia sepium in El Salvador (Photo: H. Castaneda (2014))

• Ensure that local communities have secure tenure over land and/or access rights to the forest resources. • Establish or enhance community organization, so that the management of forest resources can be fully integrated into the local economy. • Support the development of local markets through market information systems and promotion of products. • Promote equitable sharing of benefits from forest resource exploitation among all community groups. • Mobilize long-term investments not only for the establishment of forest resources rehabilitation but also their management until returns can be obtained. • Provide communities with opportunities to establish and use forest resources for their own benefits.

Policy Issues The best practice for a successful rehabilitation is that the landowners and land users elaborate together with governments and civil society organizations a land use strategy at the landscape level. Furthermore, some enabling frame conditions need to be addressed to assure a successful involvement and ownership of all rehabilitation measures:

20

L. Pancel CROWN PROJECTION

80m LOCATION OF TRANSECT

140m Canopy Layer Understory

20m

TRANSECT 140m

Fig. 18 Schematic views of deciduous forest with the crown and transect projections. Degraded understory, the understory and shrub species, has been completely destroyed

Exemplary deciduous tropical forest: degradation of the canopy layer Structure: Presence of Understory = A Canopy Layer = B Stand data: N/Ha > 10 cm DBH = 20 –80 No. of species/ha > 2 cm DBH = ~ 20 Mean DBH = ~ 10.0 cm Dominant height = 5 –11 m Basal area = 3 –9 m²/ha Volume = 5 –20 m³/ha

Analysis: Structure: at least 80% of the understory, and only 10 –20% of the canopy layer is left Stand data: approximately 70 –75% of the Soils: Fertile, medium texture, medium rooting depth N/Ha has rapidly decreased. Almost 85% of the volume has been lost

Fig. 19 Deciduous forest of Schinopsis (quebracho) with degraded canopy layer (Courtesy of Colonia Benı´tez, Chaco, Argentina. Carlos A. Roig, 2013)

Forest Restoration and Rehabilitation in the Tropics

21 CROWN PROJECTION

80m LOCATION OF TRANSECT

140m Canopy Layer Understory

20m

TRANSECT 140m

Fig. 20 Schematic views of deciduous tropical forest with the crown and transect projections displaying the degraded canopy layer, but presence of individuals of canopy layer and understory allows the deduction of original stand structure and forest type

Exemplary deciduous tropical forest: Diffuse degradation Structure: Presence of Understory = A, Canopy layer =B Stand data: N/Ha > 10 cm DBH = 100 –200 No. of species/ha > 2 cm DBH = 20 – 40 Mean DBH = ~ 10.0 cm Dominant height = 5–8 m Basal area = 7.0–20 m²/ha Volume = 20 –100 m³/ha Analysis Soils: Fertile, medium texture, medium rooting Structure: at least 50% of the understory is present, 50% of the original canopy layer is remaining depth Stand data: N/Ha is decreasing, the No. of species/ha remains stable with a minimum loss

Fig. 21 Deciduous forest diffuse degradation (Photo: E. Steiner (2011))

22

L. Pancel CROWN PROJECTION

80m LOCATION OF TRANSECT

140m Canopy Layer Understory

20m

TRANSECT 140m

Fig. 22 Schematic views of random presence of individuals from the canopy and understory layer

• Promote market policies for products from rehabilitation initiatives, thus allowing to cover the costs of long-term forest management and to generate adequate income for the relevant stakeholders and communities. • Promote decentralization of forest management and thus assure a close to customer extension in all management issues of the forest resources. • Promote the involvement of local governments in sustainable forest management. • Promote the improvement of overall knowledge of resource rehabilitation at academic, technical, and school level.

Technical Solutions for Tropical Forest Rehabilitation Each technical restoration or rehabilitation approach of tropical forests has to cope with at least the following considerations (adapted from Kaarakka and Yirdaw (2008)): • The undertaking has to be integrated into a larger ecological matrix and/or landscape; this will ensure sufficient resilience to endure periodic stress events (Simcock 2011).

Forest Restoration and Rehabilitation in the Tropics

• • • • •

23

Improve the existing vegetation cover rather than attempting a substitution. Let natural selection processes to guide species combinations. Maximize the value of rehabilitation efforts. Protect and shade as far as possible the topsoil. On extreme degraded sites, use pragmatic solution selecting the most promising species, but without dropping the guard to create a green plague through invader species.

Technical restoration for degraded primary forests and degraded forestland will depend on the degree of degradation, the objectives of the restoration program, and the resources available. In general, four main (not necessarily mutually exclusive) restoration strategies can be pursued (adapted from Sabogal (2005)): • Protection and natural recovery • Management of natural regeneration (is dealt in this handbook by Bryan Finegan) • Enrichment planting (is dealt in this section) • Direct plantation (is dealt by L. Pancel in this handbook) • Recovery and maintenance of primary processes (is dealt in this section)

Recovery and Maintenance of Primary Processes A number of factors2 contribute to the degradation of forest which results in denuded forestlands with low soil fertility and poor soil structure, soil erosion, the absence of fungal or root symbionts, and a lack of suitable microhabitats for tree seed germination (Sabogal 2005). Sabogal (2005): “In such situations, restoration activities are better focused on the recovery and maintenance of primary processes (hydrology, nutrient cycling, energy flows), rather than on attempting to replace the original forest structure or ‘near-natural’ species’ mixes immediately. Hardy exotic species are sometimes the only option for site capture and can then subsequently act as a nurse crop.” Time Required for Rehabilitation/Restoration Although the concrete duration required for the rehabilitation/restoration varies significantly for each forest type, a correlation between the canopy cover/degree of degradation and the restoration could be found in Sasaki et al. (2011). They presented the concept (see Fig. 23) in a graph where different degrees of degradation are compared against a primary or mature forest. The categories correspond to the above description of degradation stages presented in this chapter.

2

Destructive harvesting practices, missing or wrong management, recurring fire events, indiscriminate grazing, forest crime

24

L. Pancel

Fig. 23 Schematic diagram of different states of forest degradation and time courses for restoration. The right and left Y axes represent different degrees of degradation expressed qualitatively as carbon stocks and percent canopy cover, respectively. The categories are (P0) preharvest level of primary or old growth forest (1st Stage); (a) only authorized trees are harvested (2nd Stage); (b) all trees larger than the minimum diameter for cutting are harvested (3rd Stage); (c), all marketable trees are harvested (still 3rd Stage); (d) no longer forest according to forest definition adopted by the United Nations Framework Convention on Climate Change (UNFCCC) in 2001 (Marrakesh Accord, Decision 11/CP.7) (4th Stage); (e) deforested (5th and 6th Stage). According to Sasaki et al. 2011: (A to D) degradation, (D to E) deforestation, (T1–T2) restoration period (Source: Sasaki et al. (2011))

Enrichment Planting Enrichment systems are useful where the number of marketable individuals in an initial stand is insufficient (adapted from Lamprecht (1993)). Best known is probably line planting or “enrichissement par layons” that was propagated by Aubre´ville in French-speaking Africa more than 70 years ago. It was introduced in Coˆte d’Ivoire in 1930 and in Cameroon in 1935. Today it is used, with many variants, all over the tropics. The original system provided for: • In the stand to be enriched, equidistant lines (from 10 to 25 m) are opened in an east–west direction. • On both sides, along the line axis, a 1-m-wide strip is completely cleared. • On both sides, along the line axis, at a distance of 5 m (or more), all climbers are cut; the brush layer and the small trees, with the exception of the valuable species, are cut at a height of up to 4 m. Also felled are all wide-crowned trees of the understory. • The enrichment plants are on the axis of the line, at equal distances of 5–10 m. “Stumps” or young trees that are at least 1-m high are planted; about 100–200 trees per ha are needed.

Forest Restoration and Rehabilitation in the Tropics

25

• The planted rows are regularly cleared. During the first year, up to three tending operations are needed. With increasing height of the young plants, tending can be reduced. Later, they are replaced by selective thinnings, at which time the natural forest strips successively disappear. The upper story of the final stand should be composed solely of the high-value species introduced by enrichment. A schematic view of the enrichment system illustrated by line planting is shown in Figs. 24 and 25. Its essential advantages are as follows: • Domestication occurs without clear-cutting, i.e., microclimate and soil protection are conserved first by the original and later by the introduced stocks. • Far-reaching conservation of the original species richness, at least in the lower stories of the stand, and a near-natural stratification. • Possibility to raise demanding primary forest species, which would fail under open-site conditions. • Low material and planting costs because of the small number of plants needed. The essential disadvantages are: • Considerable effort is needed to open the lines and for the intensive tendings required by the plantations.

Fig. 24 Enrichment planting in lines with Swietenia macrophylla in moist deciduous forest in El Salvador (Photo: H. Castaneda (2014))

26

L. Pancel Stand profile

40m

4m

Layout seen from above Completely Cleaned

E

Brushwood Removed Original Stand

5m

5m Planted Trees

W 4m 4m 1m 20m

4m 4m 1m 20m

4m

4m 1m

20m

20m

Fig. 25 Diagram of line enrichment planting

• Often considerable damages caused by browsing or trampling because easily accessible lines constitute preferred passages and stopping places for wild animals or cattle, as the case may be. • Insufficient light for many economic species available in the narrow and quickly closing lines (tunnel effect). No doubt the lack of light is the principal cause for the unsatisfactory growth of some enrichment plantings. In principle, improvement of the system is possible, if light, which is the limiting factor, can be enhanced. Light intensity in the lines

Forest Restoration and Rehabilitation in the Tropics

27

depends on their direction and their width, as well as on the height of the stand. A modification of the original system, proposed by Catinot (1965), assumes 5-mwide lines, running from east to west, in which all material of DBH < 15–18 cm is cut back to knee height. Over the entire area to be enriched, all trees DBH > 18 cm are girdled and if necessary poisoned. Plant distances on the line axis are 3 m. Tending operations last from 6 to 8 years. Because light intensity can reach 60–65 % of full daylight, the enrichment plants guarantee the survival of a sufficient quantity of future crop trees. Even more severe are the operations of the “me´thode du recru” which was developed in Gabon around 1958. The goals are optimal light conditions for the tree plantations without undue ecological curtailment of soil protection and forest microclimate. This objective is achieved as follows: • Removal of the initial stock in two steps: • Felling all trees of DBH < 15–18 cm. • Poisoning all or part of the larger trees, depending on the light requirements of the enrichment species, and opening of narrow planting lines at distances of 4–6 m in the developing coppices. Planting distances in the lines are also 4–6 m, so that 280–625 plants/ha are needed; 1–2-m-high saplings or large stumps are planted. • Tending measures concentrate on the systematic crown liberation of the valuable trees. The secondary stand that develops from both stock rejuvenation and spontaneous natural regeneration must absolutely be conserved in order to protect the soil and the stems of the enrichment species. The “me´thode du recru´” has been successfully used in enrichments with such light-demanding species as Aucoumea klaineana and others. The method can be only marginally counted as a transformation system. Classification with the conversion systems might perhaps be even less justifiable, since it is distinguished from the latter in that the cultures are planted among the remains of the heavily cut back original stands. Additional variants of enrichment are: • “Placeaux Anderson” • Mexican System • “Me´todo Caimital” The Placeaux Anderson differs from the original system in that not individuals but groups of plants are set out in the lines. Squares with sides between 6 and 10 m are laid out at determined distances; planting within the squares is between 0.5  0.5 and 1.0  1.0 m. An alternative to planting is direct seeding. The Mexican System works exclusively with seeding. Following the exploitation of the mahagoni and Cedrela-rich forests in Yucatán, the many provisional foot tracks and transport roads were sown with Swietenia and Cedrela seed. The felled timber trees served as

28

L. Pancel

seed sources. Since costs of opening planting lines, as well as of initiating the cultures, are largely eliminated, establishment is cheap, but maintenance costs are high. The absence of any spatial order makes locating and tending the rapidly closing strips of seedlings difficult. The Me´todo Caimital was developed in the Western Llanos forests of Venezuela. It is characterized by the mechanical opening of the lines with bulldozers and the subsequent loosening of the soil with a disk harrow. Enrichment does not occur through planting but through natural regeneration. Trees of economical valuable species that grow on or near the line axis are systematically cared for and liberated. The Me´todo Caimital depends solely on sufficient spontaneous regeneration of the desired species. Results obtained so far in the moist deciduous forests of Venezuela are encouraging. Perhaps more problematic are the high costs resulting from the use of the heavy machinery.

Rehabilitation of Mining Areas Comparing the global degradation processes, the land area directly affected by mining operations is relatively low (see Fig. 26). But forestry and natural resources managers are often confronted with the question what to do and how to improve land where mining activities have happened. This section gives a brief overview on the main theoretical and practical aspects concerning restoration of land altered by metal and industrial mineral mining. The principal mining types and minerals which this section is referring to are listed in Table 3. The restoration through vegetation of substrates stemming from mining operations could be in the absence of soil or other suitable cover materials extremely difficult. Nearly all mine substrates have very low levels of macronutrients (especially nitrogen (N), phosphorus (P), and potassium (K)). Low pH is a particularly intransigent problem in wastes that contain iron pyrites, which, on weathering, will generate sulfuric acid and (if there is no acidic neutralizing capacity in the waste) induce pH values of 80 cm is poured out. Step 2: The soil is leveled taking into account the necessary gradient for appropriate drainage. Step 3: Lime and fertilizer are distributed to allow an optimal start-up for revegetation. Step 4: Seeding for soil protection and nitrogen, humus enrichment with grasses, leguminous species. Step 5: Planting the tree cover 500–1200 plants per hectare grasses, leguminous species. Step 6: Tending the tree plantation, favoring autochthonous species establishment, protection against pests, and application of fertilizer if needed. Inspired by Vattenfall (2012)

Rehabilitation of degraded forest sites Generic objective

Species characteristics

complete removal of the forest stand, loss of topsoil, and change in microclimate Production Utilization Nursery Pests

regeneration, fire/wind resistance; robust against browsing; N2 fixation, capacity to shade out grasses Fast height growth in the early stage, yield over 15–20 m/ha/yr Traditional economic value or suitable for existing or potential markets Easy propagation, locally available seeds Resistance to pests

Enrichment Planting The species selection criteria for enrichment planting should be as follows (Pancel 2014):

Forest Restoration and Rehabilitation in the Tropics Enrichment planting Generic objective Improvement of share and growth of valuable species in natural forests

39

Species characteristics Provenance Native species Social Part of local cultural heritage acceptance Silvics Good stem form, apical dominance, low crown diameter, naturally self-pruning, shade tolerant, good competitor, frequent flowering and fruiting, presence in A, B, or C canopy layersa Production Fast height growth in the early stage Utilization Timber of high economic value Nursery Locally available seeds Pests Pests are not a killing criteria

a

A understory layer, B canopy layer, C emergent layer

Mine Site Rehabilitation The species selection has to consider the creation of successional sequences of plant communities and the selection of species capable to bioremediate the site on a medium to long term. Bioremediation is an environment-friendly technology that uses the natural properties of plants and microbes to reduce, if not eliminate, harmful effects of hazardous wastes in an area. Recommended tree species for rehabilitating mining area are listed in Table 8. The basic selection criteria for tree species are as follows: Rehabilitation of mining sites Generic objective Species characteristics Restore as close as Provenance Native or exotic species possible a pre-mining Social High acceptance environment which acceptance provides benefits for local communities Soils Suitable for harsh soil conditions, ability to grow at extremely low/high pH levels, ability to grow in waterlogged sites, ability to phytoremediate (remove toxic heavy metals from the mine waste areas) Silvics Intensive root growth; dense shallow root system can also be used because of the matting effect; coppicing, undemanding; good natural regeneration, rapid lateral growth of stems, leaves, and roots; fire/wind resistance; tolerates drought, robust against browsing; N2 fixation Production Fast and aggressive growth Utilization Multiple use Nursery Easy propagation, vegetative propagation, locally available seeds Pests Resistance to pests and diseases

40

L. Pancel

Table 8 Master list of species suitable for rehabilitation of degraded forest sites, enrichment planting, and mine site rehabilitation #

Species

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53

Abatia parviflora Acacia auriculiformis Acacia crassicarpa Acacia decurrens Acacia mangium Acacia mearnsii Acacia melanoxylon Acacia nilotica Acacia rothii Acacia salicina Acacia saligna Acacia senegal Acacia simsii Acacia tortilis Acacia torulosa Acrocarpus fraxinifolius Albizia guachapele Albizia lebbeck Albizia saman Allocasuarina decaisneana Alnus acuminata Alnus nepalensis Alstonia spectabilis Anacardium excelsum Anacardium occidentale Andira inermis Araucaria cunninghamii Aucoumea klaineana Azadirachta indica Brugmansia pittieri Caesalpinia violacea Calliandra calothyrsus Calophyllum brasiliense var. antillanum Calophyllum utile Campnosperma brevipetiolatum Cariniana pyriformis Casuarina equisetifolia Cedrela odorata Cedrus deodara Ceiba pentandra Clusia moaensis Cocos nucifera Colophospermum mopane Colubrina arborescens Conocarpus lancifolius Cordia alliodora Corymbia stockeri Cupressus torulosa Dalbergia sissoo Delonix regia Elaeis guineensis Entandrophragma utile Enterolobium cyclocarpum

P 1 2

3

4

5

6

E

R

M

Occurrence AME AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, AFR, AME, TIA, TSA AFR, AME, TIA, TSA AFR, AME, TIA, TSA TIA AFR, AME, TIA, TSA AFR, AME, TSA AFR, AME, TIA, TSA TIA AFR, TSA AFR, AME, OCE, TIA, AFR, AME, TIA, TSA AFR, AME AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, TIA AFR, AME, OCE AFR, AME, TIA, TSA OCE, TIA AME AFR, AME, OCE, TIA, AFR, AME OCE, TIA, TSA AFR, AME, TIA AFR, AME, OCE, TIA, AME AME, TSA AFR, AME, OCE, TIA, AME AME OCE, TIA AME, TIA, OCE AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, AME, TSA, OCE AME, TIA, TSA AME AFR, AME, OCE, TIA, AFR, TSA AME AFR, TSA AME, OCE AFR, AME, OCE, TIA, AFR, AME, OCE, TSA AFR, AME, TIA, TSA AFR, AME, OCE, TIA, AFR, AME, OCE, TSA AFR AFR, AME, OCE, TSA

TSA TSA TSA TSA

TSA

TSA TSA

TSA

TSA

TSA

TSA TSA

TSA

TSA

TSA

(continued)

Forest Restoration and Rehabilitation in the Tropics

41

Table 8 (continued) #

Species

54 55 56 57 58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106

Erythrophleum chlorostachys Escallonia myrtilloides Escallonvia paniculata Eucalyptus brassiana Eucalyptus deglupta Eucalyptus fastigata Eucalyptus globulus Eucalyptus melliodora Eucalyptus tetrodonta Euphorbia tirucalli Faidherbia albida Falcataria moluccana Geissanthus andinus Gliricidia sepium Gmelina arborea Grevillea heliosperma Grevillea pteridifolia Grevillea robusta Guaiacum officinale Hakea salicifolia Hevea brasiliensis Jacaranda arborea Khaya ivorensis Khaya senegalensis Leucaena leucocephala Lysiloma latisiliquum Maesopsis eminii Melaleuca leucadendra Melia azederach Milicia excelsa Morella pubescens Muntingia calabura Musanga cecropioides Octomeles sumatrana Pachira quinata Parinari nonda Parkinsonia aculeata Paulownia tomentosa Pericopsis elata Pinus caribaea Pinus cubensis Pinus kesiya Pinus merkusii Pithecellobium dulce Prosopis cineraria Prosopis juliflora Prunus cerasoides Psidium guajava Pterocarpus dalbergioides Schefflera morototoni Schizolobium parahyba Senna siamea Sesbania grandiflora

P 1 2

3

4

5

6

E

R

M

Occurrence TIA AME AME AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, AFR, AME, OCE, TIA, TIA TIA AFR, OCE, TIA AFR, AME, TSA AFR, AME, OCE, TSA AME AFR, AME, OCE, TIA, AFR, AME, OCE, TSA TIA AFR, OCE, TIA, TSA AFR, AME, OCE, TIA, AME, TSA TIA AFR, AME, TSA AME AFR, AME, TIA AFR, AME, TIA, TSA AFR, AME, OCE, TIA, AME AFR, OCE, TIA, TSA AFR, AME, OCE, TIA, OCE, TIA, TSA AFR AME AFR, AME, TIA, TSA AFR OCE, TIA, TSA AME TIA AME AFR, AME, TIA, TSA AFR AFR, AME, OCE, TIA, AFR, AME, TIA AFR, AME, OCE, TIA, AFR, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, TSA AFR, AME, OCE, TIA, AFR, TIA, TSA AME AME AFR, AME, TIA, TSA AFR, AME, OCE, TIA,

TSA TSA TSA TSA

TSA

TSA

TSA

TSA

TSA TSA TSA TSA TSA

TSA

(continued)

42

L. Pancel

Table 8 (continued) P 1 2

#

Species

107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124

Shorea leprosula Shorea parvifolia Shorea robusta Shorea smithiana Simarouba amara Spathodea campanulata Swietenia macrophylla Syzygium cumini Tabebuia rosea Tamarindus indica Tectona grandis Terminalia brassii Terminalia catappa Terminalia ivorensis Terminalia superba Triplochiton scleroxylon Weinmannia tomentosa Zanthoxylum rhodoxylum

Precipitation Ranges: 250–400 mm 400–600 mm 650–1000 mm

3

4

5

6

E

R

M

Occurrence TIA TIA AFR, TSA TIA AME AFR, AME, AFR, AME, AFR, AME, AME, TSA AFR, AME, AFR, AME, OCE, TIA AFR, AME, AFR, AME, AFR, AME, AFR, OCE AME AME

OCE, TIA, TSA OCE, TIA, TSA OCE, TIA, TSA TIA, TSA OCE, TIA, TSA OCE, TIA, TSA OCE, TSA OCE, TIA, TSA

Objective of Plantation 1000–1600 mm 1600–2200 mm Over 2200 mm

I: Industrial Plantations A: Agroforestry E: Enrichment Planting

R: Rehabiltation of Degraded Lands M: Mining Rehabilitation Lands U: Urban Plantations

Recommended Tree Species The serial number indicates the file where exhaustive information is given on the respective species. The species files could be found in this handbook under the chapter of Species Selection. In addition to the below-recommended species, a short list of additional species is given in this section under Hedgerow and Live Pole Species: Recommended Journal International Journal of Mining, Reclamation and Environment: publication details, including instructions for authors and subscription information: http://www. informaworld.com/smpp/title~content=t713658227

References Catinot R (1965) Sylviculture tropicale en foreˆt dense africaine. BFT no. 100, 101, 102, 103, 104 Coad L, Burgess ND, Bomhard B, Besancon C (2009) Progress towards the convention on biological diversity’s 2010 and 2012 targets for protected area coverage. UNEP-WCMC, Cambridge, UK Cooke JA, Johnson MS (2002) Ecological restoration of land with particular reference to the mining of metals and industrial minerals: A review of theory and practice. Environ Rev 10:41–71. doi: 10.1139/A01-014. NRC Research Press Web site at http://er.nrc.ca

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Cuadra P, Delos MA, Pablo N, Bandian D (2010) Compendium of rehabilitation strategies for mining and volcanic debris-laden areas. Department of Environment and Natural Resources. Ecosystems Research and Development Bureau, Los Banos Cuipo (2012) It’s fantastically factual friday. http://blog.cuipo.org/wp-content/uploads/2012/07/ canopy_rainforest_dense_cuipo.jpg. Accessed 25 Nov 2014 de Jong W (2005) Understanding forest landscape dynamics. In: ITTO/IUCN (ed) Restoring forest landscapes- an introduction to the art and science of forest landscape restoration. ITTO technical series no. 23 FAO (2001) Global forest resources assessment 2000. main report. Forestry paper 140, Rome FAO (2010) Global forest resources assessment, forestry paper 163, Rome Hosonuma N, Herold M, De Sy V, De Fries RS, Brockhaus M, Verchot L, Angelsen A, Romijn E (2012) An assessment of deforestation and forest degradation drivers in developing countries. Environ Res Lett 7. doi:10.1088/1748-9326/7/4/044009 ITTO (2002) ITTO guidelines for the restoration, management and rehabilitation of degraded and secondary tropical forests. ITTO policy development series no. 13. Yokohama Kaarakka V, Yirdaw E (2008) Rehabilitation and forest landscape restoration: theory and practice. Dissertation, University of Helsinki Kehl H (2014) Vegetationso¨kologie tropischer & subtropischer Klimate/LV-TWK (B.8). http://lvtwk.oekosys.tu-berlin.de/project/lv-twk/. Accessed 27 Nov 2014 Lamprecht H (1993) Silviculture in the tropical natural forests. In: Pancel L (ed) Tropical forestry handbook, 1st edn. Springer, Berlin Lee DK (eds) (2007) Keep Asia green, vol I. Southeast Asia IUFRO World series, vol 20-I. Vienna Maginnis S, Jackson W (2005) What is forest landscape restoration and how does it differ from current approaches? In: Restoring forest landscapes- an introduction to the art and science of forest landscape restoration. Technical series 23. ITTO Murphy PG, Lugo AE (1986) Ecology of tropical dry forest. Annu Rev Ecol Syst 17:67–88 Sabogal C (2005) Site level restoration strategies for degraded primary forest dynamics. In: ITTO/ IUCN (ed) Restoring forest landscapes- an introduction to the art and science of forest landscape restoration. ITTO technical series no. 23 Sasaki N, Asner GP, Knorr W, Durst PB, Priyadi HR, Putz FE (2011) Approaches to classifying and restoring degraded tropical forests for the anticipated REDD+ climate change mitigation mechanism. Ital Soc Silviculture Forest Ecol. doi:10.3832/ifor0556-004 Simcock R (2011) Rehabilitation of the proposed Mt William North mining area, buller district. Landcare Research, Auckland Steiner E (2011) Olanchito Ecologico: El Colibrı´ Esmeralda en el Bosque del Jaral, Santa Bárbara, Honduras. https://sites.google.com/site/olanchitoecologico/noticias-locales/elcolibriesmeraldaenelbosquesecodeljaralsantabarbara. Accessed 25 Nov 2014 UN (2000) Report of the intergovernmental forum on forests on its fourth session, 8th edn. Economic and Social Council. Commission on Sustainable Development, New York Upjohn B, Fenton G, Conyers M (2005) Soil acidity and liming. Agfact AC. 19, 3rd edn. NSW Department of Primary Industries, New South Wales Vattenfall (2012) Neuland: Rekultivierung im Lausitzer Braunkohlerevier. Cottbus

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_121-1 # Springer-Verlag Berlin Heidelberg 2015

A 21st Century Viewpoint on Natural Tropical Forest Silviculture Bryan Finegan* Production and Conservation in Forests Programme, CATIE, Turrialba, Costa Rica

Keywords Tropical forest; Sustainable forest management; Global change; Tree growth; Timber; Biodiversity; Climate change mitigation

Introduction The Status of Natural Tropical Moist Forests in the Era of Global Change Silviculture in natural tropical forests can be defined as the objective guidance of the forest ecosystem to sustainably meet the needs of society (based on Lamprecht 1993). It is a component, not a synonym, of sustainable forest management. In this chapter, I will set out a vision of natural tropical forest silviculture (from here on, SNTF) in relation to two factors: first, the considerable volume of scientific information generated on natural tropical forests during the 20 years since the publication of Lamprecht’s review, and second, the challenges of the twenty-first century and the new frameworks within which society expects SNTF to be carried out. These frameworks include those that are directly relevant, such as the principles and criteria of the Forest Stewardship Council (FSC). But the conservation and sustainable use of all ecosystems in a framework centered around the needs of people have also been conceptualized in major advances like that of the Millennium Ecosystem Assessment (MEA 2005). Additionally, by the end of 2015, governments led by the United Nations will have set out their Sustainable Development Goals and, under the auspices of the UNFCCC, will finalize the successor to the Kyoto Protocol in the continuing efforts to reduce greenhouse gas emissions and the consequent climate change. All these international processes can be thought of as key elements of the UNEP-led Green Economy Initiative, which seeks a low-carbon, resource efficient, and socially inclusive path for economic development; in all of them, SNTF can play a potentially important role; and all of them may influence the ways in which SNTF can be implemented. The focus of this chapter is on SNTF in the context of forest management for the sustainable production of wood. From the definition of SNTF established in the previous paragraph, it should be self-evident that it is a contribution to the conservation of natural tropical forests. Of course, forests managed for sustainable production of wood may differ in some ways from forests free of wood harvesting activities. However, in this chapter I will review recent syntheses of scientific research showing the exact nature of these differences, which are often small or undetectable. Also, SNTF should be seen as an alternative to continuing deforestation and forest degradation in social, political, and economic scenarios that are not favorable for strict forest protection. SNTF is a component of sustainable forest management: how much tropical forest is actually being managed sustainably? Lamprecht (1993) stated that “only 1–5 % of the tropical forests are under sustained-yield management” and during the last 20 years, tropical deforestation has continued. The Forest Resource Assessment carried out by FAO (2010) shows that deforestation rates for the first decade of this century were 4 million hectares per year in South America, 3.4 million hectares per year in Africa, *Email: bfi[email protected] Page 1 of 28

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and 700,000 ha per year in Oceania. Deforestation hotspots in the tropics are now well known – it is estimated that 55 % of the total global loss of tropical humid forest during the 2000–2005 period, for example, occurred in only 6 % of the total biome area (Hansen et al. 2008). The enormous “arc of deforestation” in Amazonia is perhaps the world’s most notorious deforestation hotspot (Barreto et al. 2006). Furthermore, deforestation is not the only driver of change in tropical forests, as part of the remaining cover of tropical moist forests is degraded by other global change drivers – conventional logging, area reduction and edge effects due to fragmentation, and fire. Conventional logging is not an element of SNTF but will continue and can be detected using remote sensing (Asner et al. 2005); the huge importance of conventionally logged forest is illustrated by the fact that during 2000–2005, the area that was selectively logged in the humid tropics was nearly 15 times greater than the area deforested (Asner et al. 2009). The reduction of the area of forest habitat by fragmentation can be directly measured by remote sensing and the percent forest area potentially affected by edge effects – a serious source of ecological change (Laurance et al. 2002) estimated by the same means (Skole and Tucker 1993). Finally, the current era of global change has in many regions, converted tropical moist forests into fire-prone ecosystems, with disastrous consequences due to the lack of fire resistance in tropical moist forest organisms (Uhl and Kauffman 1990; Page et al. 2002; Nepstad et al. 1999; Cochrane et al. 1999). Notwithstanding the growing impact of global change on the tropical moist forest biome, the International Tropical Timber Organization, in its periodic survey of the status of tropical forest management, reports progress in commitment to SFM in the tropics (Blaser et al. 2011). It is estimated that the “permanent natural forest estate” in the tropics covers 761 million ha, of which 358 million ha is available for timber production and 183 million ha has management plans for this purpose in ITTO member countries (Blaser et al. 2011). Not all of this area is likely to be under sustainable management, however, and we should now look at the current concept of sustainable forest management, its implementation, and the role in it of SNTF.

The Silviculture of Natural Tropical Forests in the Current Context of Sustainable Forest Management

In the first Tropical Forestry Handbook (edited by Pancel 1993), a synthesis of silviculture in natural tropical forests – what it is, how to approach it – was provided by Lamprecht (1993). The reader is referred to that synthesis for a comprehensive survey of potential technical approaches to the implementation of silviculture in natural tropical forests that were available at that time. Much of that technical experience came from exploratory or experimental work initiated in countries with a European presence representing the last decades of the colonial period. However Hutchinson (1988) has pointed out that each of the silvicultural systems referred to by Lamprecht (1993) and in previous syntheses such as Baur (1964) is a product of the place and time in which it was designed and implemented, and these systems were often developed to be applied over extensive areas of forest administered by the state, a situation that does not apply in the modern world (Hutchinson 1988). SNTF must now be viewed in the context of current approaches to sustainable forest management (SFM). These approaches have to a great extent evolved since the 1980s as a response to international interest in the conservation and management of tropical forests in the context of poverty alleviation and sustainable human development, and were given a major stimulus by decisions taken during and after the United Nations Earth Summit at Rio de Janeiro in 1992. It is beyond the scope of this chapter to review the vast subject of SFM in the tropics, but I will set out the concept of sustainable forest management within which SNTF must now be presented and evaluated. The 1992 Earth Summit was a key step in the development of the current approaches to SFM, as it led to the establishment of the United Nations Forest Principles (UN 1992) as the Page 2 of 28

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“first global consensus on forests.” The lack of a binding global agreement to make the Forest Principles operational, however, contributed to the rise of forest certification and the establishment in 1993 of the Forest Stewardship Council (FSC) as an independent, nongovernmental, nonprofit organization dedicated to the promotion of the responsible management of forests (Romero et al. 2013). SFM has subsequently been conceptualized and communicated in a number of documents containing guidelines, principles, and criteria that define it and guide its implementation and the indicators that permit its evaluation and improvement (e.g., ITTO 1992, 2015; Rainforest Alliance 2007). One major achievement of ITTO, FSC and other international organizations is the conceptualization of SFM and the development of internationally recognized and used standards for its implementation and evaluation, through marketorientated certification and other mechanisms (see, e.g., https://ic.fsc.org/the-ten-principles.103.htm). As of March 2013, management operations in natural tropical forests certified by FSC could be found in 20 countries – 11 in South America and the Caribbean (SAC), though only four in Africa and five in Asia. Nearly 13 million ha of forest was under FSC-certified management in SAC, 6.5 million ha in Africa, and 9.8 million ha in Asia (FSC 2014). The FSC Principles (Box 1) underline the fact that SFM is a social process, and the crying need for work on the policy, economic, financial, and social aspects of SFM has brought about an obvious change in the emphasis of research and development away from the pre-Rio focus on technical aspects of forest management. Indeed, as Petrokofsky et al. (2015) point out, silviculture as part of an approach to SFM remains poorly known among decision-makers, and the concept of carrying out interventions additional to logging in a natural tropical forest is a source of conflict among different tropical forest stakeholders. In spite of the long history of trials and research on the silviculture of natural tropical forests, then, SNTF arguably continues to be of much more interest to foresters and ecologists than to forest managers, and the few examples of operational silviculture in tropical moist forest have not adopted traditional approaches to SNTF – the government-promoted SILIN in Indonesia, for example, which is based on stand regeneration through enrichment planting (Filotas et al. 2014). But partly because silviculture is not applied, potential timber yields from tropical forests decline by nearly 50 % following a first harvest (Putz et al. 2012). SNTF has therefore an enormously important potential role to fulfill in the improvement of forest growth and yield, as part of the continuing drive toward SFM in the coming years. Box 1. The Forest Stewardship Council Principles as a Major Example of Current Concepts of Sustainable Forest Management

Principle 1 Compliance with laws and FSC Principles – to comply with all laws, regulations, treaties, conventions, and agreements, together with all FSC Principles and Criteria Principle 2 Tenure and use rights and responsibilities – to define, document and legally establish long-term tenure and use rights Principle 3 Indigenous peoples’ rights – to identify and uphold indigenous peoples’ rights of ownership and use of land and resources Principle 4 Community relations and worker’s rights – to maintain or enhance forest workers’ and local communities’ social and economic well-being Principle 5 Benefits from the forest – to maintain or enhance long-term economic, social, and environmental benefits from the forest (continued) Page 3 of 28

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Principle 6 Environmental impact – to maintain or restore the ecosystem, its biodiversity, resources, and landscapes Principle 7 Management plan – to have a management plan, implemented, monitored, and documented Principle 8 Monitoring and assessment – to demonstrate progress toward management objectives Principle 9 Maintenance of high conservation value forests – to maintain or enhance the attributes which define such forests Principle 10 Plantations – to plan and manage plantations in accordance with FSC Principles and Criteria

The Goals and Objectives of Silviculture in Natural Tropical Forests This section is based on that of Lamprecht (1993, his Sect. 3). I have added some more recent references and do not use his term and concept of “domestication.” Lamprecht’s definition of SNTF encapsulates the overarching goal of silviculture, from which the set of tasks that silviculture consists of are derived. Of the three potential forest ecosystem contexts with which the forest manager is likely to be faced, as identified by Lamprecht, the following two seem to be key: 1. Diverse primary forest in which by the very nature of the system most tree species are uncommon or rare, a characteristic that in combination with market conditions means that harvestable volume and growth and yield of commercial species are low 2. Secondary forests developing on abandoned agricultural land or as fallows in the context of swidden agriculture (Finegan 1992; Smith et al. 2001; Finegan and Nasi 2004) in which there may be relatively high volumes and high growth and yield of low-value timber species Because secondary forests arise through natural regeneration and are of considerable interest to current efforts to restore tropical ecosystems and the services they provide to people, I consider them as natural forests for the purposes of this chapter. The silvicultural goals that correspond to each of these forest ecosystem contexts for management are: 1. To attain more economically satisfactory stocks, growth, and yield in diverse primary forests. 2. In secondary stands, to differentiate stands that satisfy economic expectations and maintain the appropriate successional stage (see also Finegan 1992); in other stands, implement improvement of economic values through appropriate interventions. From the biophysical point of view, the achievement of these goals through appropriate silvicultural interventions depends, on ecological understanding of the forest communities and tree species under management, the subject of the following section. Exploration of the policy, economic, and social context of sustainable forest management is beyond the scope of this chapter.

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The Ecological Basis of Silviculture in Natural Tropical Forests The last 20 years have seen an enormous growth in the availability of scientific information relevant to the sustainable management and silviculture of tropical forests, which I will synthesize briefly in this section. Recent books on tropical forest ecology such as Ghazoul and Sheil (2010) provide much more complete information and complement and update still essential classic texts such as Whitmore (1984) and Richards (1996). Books or book chapters that include syntheses of the ecological basis of SNTF include Lamprecht (1993) and Wadsworth (1997). A major new paradigm has arisen in plant ecology during this period – the functional trait paradigm (McGill et al. 2006; Díaz et al. 2007; see Box 2) – and I will emphasize its potential importance to the ecological basis of SNTF. In this section I consider six aspects of the ecological basis of SNTF. First I will cover knowledge of the ecological characteristics of tropical moist forests at the community level and how and why they vary from place to place (types of natural tropical forest, tree species diversity, and its implications). Then, I will focus on ecological processes (the production of biomass, stand dynamics, the regeneration ecology of tropical tree species, and finally, factors that affect the growth of individual trees). Box 2. The Functional Trait Paradigm: Terms and Concepts

The functional approach to plant ecology is based on the measurement of functional traits, which can be used in an ecological characterization of the individual or the species. Functional trait data can be scaled up from the individual or the species to the community through the calculation of indices of functional trait diversity. In this box I provide definitions and brief explanations of these concepts and terms. Functional traits: the characteristics of an organism that are considered relevant to its responses to environmental variation and/or its effects on the functioning of an ecosystem (Díaz and Cabido 2001). Functional trait diversity (FTD): the value, range, distribution, and relative abundance of the functional traits of organisms that make up an ecosystem (Díaz et al. 2011). Community-weighted mean (CWM): the mean value of a trait in a community, weighted by some measure of the importance of each species in the community (Violle et al. 2007) – in forests, species abundance, basal area, or biomass can be used as weighting variables. Functional variety index: an index of ecological diversity based on one of four relatively independent components of the functional trait data of the organisms that make up a community: functional richness; the n-dimensional hypervolume occupied by the species of the community in a multivariate space defined by trait values; functional evenness, divergence, and dispersion; and measures of the distribution of species importance within this hypervolume (see Villéger et al. 2008).

Types of Natural Tropical Forest Knowledge of the characteristics of ecosystems and their distributions across regions, landscapes, and forest management units is widely held to be a basic tool for natural resource management (Finegan et al. (2001b) provide a detailed review of this subject on the context of SFM). Types of tropical forest ecosystem are normally distinguished on the basis of their structure, species composition, and diversity and are recognizable at scales from the continental to the local. The existence of different forest types largely reflects global, continental, and regional geological, climatic, and biogeographical history, environmental factors from macroclimatic patterns to local-scale soil variation, and disturbance, both natural and human. Different types of tropical forest have different degrees of potential for sustainable Page 5 of 28

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wood production and may require forest type-specific approaches to timber harvesting and silviculture. In addition, SFM standards require that management conserve forest biodiversity, including that at the scale of the forest type or ecosystem. FSC (2012), for example, requires that forest managers “identify and protect representative sample areas of native ecosystems and/or restore them to more natural conditions.” For all these reasons, knowledge of the types of tropical forests and their distributions in relation to environmental variation, disturbance, and other factors that affect their characteristics is essential for SFM and SNTF. I will use the framework set out by Finegan et al. (2001b) for this synthesis; this framework is based in turn on a “rough hierarchy” of factors that determine the distributions of different types of tropical forest, as developed by Whitmore (1984). The different biogeographical histories of the American, African, and Asian continents, and the major regions within them, determine the major differences between them in representation of plant families and plant species in their tropical forests. The natural disturbance regime represents the second level of the hierarchy – different types of natural disturbance have predictable effects in differentiating different forest types, whatever their biogeographical history and physical environment. Natural disturbances in tropical forests can usefully be divided into two categories (Finegan et al. 2001): stand-replacing disturbance regimes, in situations where severe and extensive disturbances – for example, by hurricanes or as part of the fluvial dynamics of a floodplain – occur, and gap disturbance regimes, in situations where stand-replacing disturbances do not occur, and the main disturbance is caused by falling branches, trees, or groups of trees, creating canopy gaps. Natural stand-replacing disturbance regimes are a major force in the determination of the characteristics of forests in places where they occur, though they mainly represent disturbances to the forest stand and do not degrade the substrate, so they should be differentiated from human disturbance as a creator of secondary forest (Chazdon 2003). Conversely, the physical environment is the major driver in forests with gap disturbance regimes. The physical environment is the third level of the hierarchy. The first major subdivision of the physical environment is that between ever-wet and seasonally dry macroclimates; 88 % of tropical lowland forest is classified as rain forest, 38 % as seasonal deciduous forest, and 15 % as dry to very dry forest (FAO 2010). In a clear validation of the importance of this subdivision, Engelbrecht et al. (2007) have shown how drought sensitivity shapes tree species distributions at the regional scale across the isthmus of Panamá. The second major subdivision, within macroclimatic regimes, is between forest on well-drained soil and forest on soils with a high water table, at least periodically. Swamp forests throughout the tropics, some of them extensive such as the várzea and igapó forest of the Amazon basin, have a structure and composition that contrasts strongly with those of adjacent dryland forest (e.g., Assis et al. 2014). Further subdivisions of forest types in dryland forest can then be made on the basis of altitude, local topography, and soil conditions, to which species respond individualistically creating communities with different floristic composition. The rise of the functional trait paradigm (Box 2) has brought with it an invaluable new perspective on the distribution of types of natural tropical forest. Forest ecosystems can be characterized by mean or weighted mean values of the functional traits of the individuals or species that make them up. In a pioneering study using a very large tree and plot database covering the whole Amazon basin, ter Steege et al. (2006) showed that patterns in community-weighted trait values parallel already well-known, large-scale patterns in forest floristic composition in Amazonia. Their study suggests there is a northeast–southwest gradient in forest functional composition. For example, forests on poor soils of the Guiana Shield have high mean values of seed size and wood density, while small seeds and lighter woods predominate in those on the relatively fertile soils of the alluvial landscapes of the southwest. This functional composition gradient is associated with a gradient in tree diversity, highest in the southwest, Page 6 of 28

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that may be linked to higher growth rates and stand turnover on the more fertile soils there (see also Baker et al. 2009; Quesada et al. 2012).

Tree Species Diversity in Natural Tropical Forests and Its Implications for Silviculture The very well-known high tree species diversity of tropical moist forests is one of the factors that underlie the enormous effort given to their conservation, as well as representing a challenge for their conservation and sustainable management for timber production. This challenge arises, in simple terms, because the species of commercial interest are usually a small or extremely small proportion of the total number of tree species in the forest system under management. Species diversity is often measured simply in terms of the number of species, or species richness, found in a given area, which may be a whole country or a small field sample plot (Gotelli and Colwell 2001; Magurran 2004). Richness data do not take into account the fact that some species in a sample are rare and others are common. Species diversity indices are traditionally used in plot-based field studies in ecology to take this basic fact into account, and require the measurement of the abundance of each species for their calculation (Gotelli and Colwell 2001; Magurran 2004). Multiple-scale mapping of tree species richness carried out in the last 20 years has shed new perspectives on tropical moist forests and their conservation; the Amazon basin, the world’s largest and most species-rich tropical forest, has been the geographical area most studied from this perspective (ter Steege et al. 2013). A large proportion of the data on tree species diversity in tropical moist forests comes from inventories of tree species 10 cm dbh in sample plots of 1.0 ha. A methodology based on sampling all plants with stem diameter  2.5 cm dbh was developed and widely applied by A. H. Gentry and collaborators, in recognition of the fact that individuals 10 cm dbh are only part of the total plant diversity of the forest (e.g., Gentry 1988; Clinebell et al. 1995). This local, plot-scale diversity is often called a-diversity (Magurran 2004). Variation of tropical moist forest a-diversity between continents, between regions, and between landscapes or sites within regions has been identified in many studies. Whitmore (1984) suggested that with >200 tree species 10 cm dbh in 1.0 ha in some places, Asian forests appeared more diverse than African or American forests. Subsequent work in tropical America has revealed equally hyper-diverse forests in central Amazonia, as Whitmore (1984) foresaw, with ca. 280 species in this dbh range in each of three 1.0 ha plots in terra firme forest on infertile soils (De Oliveira and Mori 1999). The modern trend toward conformation of large global or regional databases has enabled the identification of environmental and other factors that drive spatial variation in a-diversity at different scales. Although many early studies suggested that annual rainfall was the main control on a-diversity with a positive relationship, an analysis using data from across the Amazon basin showed that this was not the case and that biogeographical factors may play a role (ter Steege et al. 2000). In a subsequent study, the same authors found dry season length to be the best predictor of tree species a-diversity in plots from across the Guiana Shield and Amazonia (ter Steege et al. 2003). The high tree species diversity of tropical moist forests means that a large proportion of those species are rare in terms of individuals in any given area of forest; a simple way to understand this is as follows – if a typical plot with 500 trees ha 1,  10 cm dbh, has 100 species, then the mean abundance per species is five trees ha 1. Given that the abundances of some species in the plot are always higher than the average, then the abundances of others must be lower – a large proportion of species represented by single individuals is in fact normal. The distributions of species number in log2 abundance categories illustrate the patterns of commonness and rarity in tropical moist forest plots, with rare species normally being overrepresented in relation to the expectation of a log-normal distribution (e.g., He et al. 1997; see Fig. 1). It has become a “convenient rule of thumb” to consider species with abundances  1 individual ha 1 as common, and those with abundances 40 cm dbh. At this site, basal area was only reduced by treatment to 90 % of its initial value, but treatment produced a 50–60 % increase in growth rates of PCTs (Peña-Claros et al. 2008). There are at least two key questions regarding the implementation of silvicultural treatment in natural tropical forest. The first is, do the growth increases obtained justify the cost of the application of treatments? The answer to this question will be time and place specific and must come from practitioners. The second question concerns environmental values. A large amount of information is available on environmental values of logged forests as we have seen, but this is not the case for silviculturally treated forest because the application of treatment is largely restricted to experimental sites. Some knowledge has been generated of the impact of silvicultural treatment on biodiversity, at the scale of the experimental plot. As an example, at the silvicultural experiment in northeastern Costa Rica described by Finegan and Camacho (1999), Finegan et al. (2001) found that 6 years after logging and 5 years after the application of treatment, only basal area differed between the silviculturally treated plots and the plots with logging only, there being no differences of tree species richness and diversity among individuals 10 cm dbh or in the understorey. At the same site, Rincón et al. (1999) found that the two intervention regimes did not differ in their numbers of understorey plant species flowering, species richness of pollinating bees, visitor species per plant, or insolation. This site however is a small experiment (total area 30 ha) and the mere prospect of operational-scale killing of trees in a tropical moist forest is bound to raise strong opposition (Petrokofsky et al. 2015).

To Cut or Not to Cut Lianas? A preharvest cutting of lianas that may interfere with operations, increase logging damage, and create risk to personnel is an essential element of good forest management. Lianas can also damage tree boles, reduce tree growth rates, and inhibit tree post-logging regeneration (Alvira et al. 2004). In relation to this scenario, Lamprecht (1993, his Sect. 3.4.2.2) was emphatic: for silvicultural improvement of natural tropical forest, all lianas should be cut in production forests. However, liana proliferation following Page 19 of 28

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logging and silvicultural treatment seems to be a major problem in some places, but not in others. Lianas are a “nuisance” to SNTF in dipterocarp forests (Putz et al. 1984), and the proportion of trees supporting lianas in logged forests in this biome may be twice that in unlogged moist forests (reviewed by Schnitzer and Bongers 2002). Seasonal forests in Santa Cruz Department, Bolivia, have some of the highest liana densities recorded (Pérez-Salicrup 2001; Alvira et al. 2004) and preharvest liana cutting reduces postharvest liana densities in felling gaps, potentially mitigating their effect on stand regeneration (Alvira et al. 2004; see the previous section). However, liana proliferation is not a problem for silviculture in natural forests of northeastern Costa Rica or in community forest management concessions in Guatemala’s Petén Department (Finegan, personal observations; G. Pinelo, personal communication). So should lianas be cut or shouldn’t they? The sensible answer seems to be that provided by Schnitzer and Bongers (2002) – cut them if silvicultural diagnosis of the stand suggests that it is necessary, and take into account the value of many of them for non-timber forest products and as food and habitat for forest animals. Due to concerns about a generalized increase of lianas in tropical moist forests, monitoring of lianas should be included in forest management plans.

Final Comments: The Next 20 Years Sustainable forest management conserves tropical forests in places where strict protection is not viable and may have a much more important contribution to make to the well-being of people than strict protection. To date, sustainable forest management in the tropics has advanced in the institutionalization of the forest management plan and the planning and control of harvesting using reduced-impact logging. Ecological knowledge of tropical moist forests has increased enormously in the last 20 years; there has never been a sounder scientific basis from which to guide forest management in the tropics. Silviculture has played a minor role in progress toward SFM in the tropics, however, and because of the apparent lack of interest in its implementation, timber yields will decline unless minimum harvesting diameters are reduced, or the number of commercially valuable species increases due to market changes (Petrokofsky et al. 2015). Declining timber yields may negatively affect interest in SFM as a business and a contribution to human well-being. Especially if they lead to the perception that logged forests are degraded, decreasing yields could increase social and political pressure for land use change in forested areas that are currently conserved by forest management (Petrokofsky et al. 2015). Natural tropical forest silviculture as defined here is, therefore, potentially a key element of tropical forest conservation in the coming decades. The highest priority needs to be given to demonstrate that the increases of natural regeneration and growth of commercially valuable species made possible by silviculture are socially and commercially attractive. However, besides reversing the trend toward lower timber yield, silviculture will increasingly have to take into account the need to contribute to forest resilience in the face of increasing pressure from global change drivers other than conventional logging and deforestation. Among these global change drivers, of course, is climate change and associated phenomena such as devastating forest fires, the risk of which is expected to increase in the coming decades (Herawati and Santoso 2011; Gutiérrez-Vélez et al. 2014). The assessment of vulnerability to climate change will at some point need to be made for tropical forest production landscapes – tools for this are available and accessible (Marshall et al. 2010). Policy measures for the more effective management of fire risk in tropical forests are being evaluated (e.g., Herawati and Santoso 2011) though fire control requires effective cross-sectoral landscape management (Cochrane and Barber 2009) and is not solely the responsibility of forest managers. Guidelines for forest fire management exist (ITTO 1997), and while RIL probably reduces fire risk in comparison with CL, additional fire control measures will have to be taken, for example, to reduce the risk of spread of fire into forests from adjacent agricultural land. Page 20 of 28

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Roopsind A, Ruschel AR, Shari NHZ, Rodrigues de Souza C, Susanty FH, Sotta ED, Toledo M, Vidal E, West TAP, Wortel V, Yamada T (2015) The Tropical managed Forests Observatory: a research network addressing the future of tropical logged forests. Appl Veg Sci 18:171–174 Skole D, Tucker C (1993) Tropical deforestation and habitat fragmentation in the Amazon: satellite data from 1978 to 1988. Science 260:1905–1910 Smith J, Finegan B, Sabogal C, Ferreira MDSG, Siles González G, van de Kop P, Díaz Barboza A (2001) Management of secondary forests in colonist swidden agriculture in Peru, Brazil and Nicaragua. In: Palo M, Uusivuori J, Mery G (eds) World forests, markets and policies. Kluwer, Dordrecht, pp 263–278 Stegen JC, Swenson NG, Enquist BJ, White EP, Phillips OL, Jørgensen PM, Weiser MD, Mendoza AM, Núñez Vargas P (2011) Variation in above-ground forest biomass across broad climatic gradients. Glob Ecol Biogeogr 20:744–754 Stephenson N (1998) Actual evapotranspiration and deficit: biologically meaningful correlates of vegetation distribution across spatial scales. J Biogeogr 25:855–870 Swaine MD, Lieberman D, Putz FE (1987) The dynamics of tree populations in tropical forest: a review. J Trop Ecol 3:359–366 Swaine MD, Whitmore TC (1988) On the definition of ecological species groups in tropical rain forests. Vegetatio 75:81–86 Ter Steege H, Sabatier D, Castellanos H, van Andel T, Duivenvoorden J, De Oliveira AA, Ek R, Lilwah R, Maas P, Mori S (2000) An analysis of the floristic composition and diversity of Amazonian forests including those of the Guiana Shield. J Trop Ecol 16:801–828 Ter Steege H, Pitman N, Sabatier D, Castellanos H, Van der Hout P, Daly DC, Silveira M, Phillips O, Vásquez R, van Andel T, Duivenvoorden J, Adelardo de Oliveira A, Renske EK, Lilwah R, Thomas R, van Essen J, Baider C, Maas P, Mori S, Terborgh J, Nuñez P, Mogollo H, Morawetz W (2003) A spatial model of tree a-diversity and tree density for the Amazon. Biodivers Conserv 12:2255–2277 Ter Steege H, Pitman NCA, Phillips OL, Chave J, Sabatier D, Duque A, Molino J-F, Prévost M-F, Spichiger R, Castellanos H, von Hildebrand P, Vásquez R (2006) Continental-scale patterns of canopy tree composition and function across Amazonia. Nature 443:444–447 Ter Steege H, Pitman NCA, Sabatier D, Baraloto C, Salomão RP, Guevara JE, Phillips OL, Castilho CV, Magnusson WE, Molino J-F, Monteagudo A, Vargas PN, Montero JC, Feldpausch TR, Coronado ENH, Killeen TJ, Mostacedo B, Vasquez R, Assis RL, Terborgh J, Wittmann F, Andrade A, Laurance WF, Laurance SGW, Marimon BS, Marimon B-H Jr, Vieira ICG, Amaral IL, Brienen R, Castellanos H, López DC, Duivenvoorden JF, Mogollón HF, Matos FDDA, Dávila N, García-Villacorta R, Diaz PRS, Costa F, Emilio T, Levis C, Schietti J, Souza P, Alonso A, Dallmeier F, Montoya AJD, Piedade MTF, Araujo-Murakami A, Arroyo L, Gribel R, Fine PVA, Peres CA, Toledo M, Aymard C, Baker GA, Cerón TR, Engel C, Henkel J, Maas TW, Petronelli P, Stropp P, Zartman J, Daly CE, Neill D, Silveira D, Paredes M, Chave MR, Lima Filho J, Jørgensen DDA, Fuentes PM, Schöngart A, Valverde J, Di Fiore FC, Jimenez A, Mora EM, Phillips MCP, Rivas JF, Van Andel G, Von Hildebrand TR, Hoffman P, Zent B, Malhi EL, Prieto Y, Rudas A, Ruschell A, Silva AR, Vos N, Zent V, Oliveira S, Andre S, Gonzales AC, Nascimento T, Mario R-A, Sierra H, Tirado R, Medina M, Van Der Heijden MNU, Vela G, Torre CIA, Vriesendorp EV, Wang C, Young O, Baider KR, Balslev C, Ferreira H, Dias CM, Mesones I, Torres-Lezama A, Giraldo LEU, Zagt R, Alexiades MN, Hernandez L, HuamantupaChuquimaco I, Milliken W, Cuenca WP, Pauletto D, Sandoval EV, Gamarra LV, Dexter KG, Feeley K, Lopez-Gonzalez G, Silman MR (2013) Hyperdominance in the Amazonian Tree Flora. Science 342:325–343 Terborgh J (1990) Seed and fruit dispersal: a commentary. In: Bawa KS, Hadley M (eds) Reproductive ecology of tropical forest plants, vol 7, Man and the biosphere series. Parthenon, Paris, pp 181–190 Turner IM (2001) The ecology of trees in the tropical rain forest. Cambridge University Press, 295 pp Page 27 of 28

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Uhl C, Kauffman JB (1990) Deforestation, fire susceptibility, and potential tree responses to fire in the eastern Amazon. Ecology 71:437–499 United Nations (1992) Report of the United Nations conference on environment and development (Rio de Janeiro, 3–14 June 1992). Annex III. Non-legally binding authoritative statement of principles for a global consensus on management, conservation and sustainable development of all types of forests Vanclay JK (1994) Modelling forest growth and yield: applications to mixed tropical forest. CABI, Wallingford, 312 pp Villéger S, Mason NWH, Mouillot D (2008) New multidimensional functional diversity indices for a multifaceted framework in functional ecology. Ecology 89:2290–2301 Violle C, Navas ML, Vile D, Kazakou E, Fortunel C, Hummel I, Garnier E (2007) Let the concept of trait be functional! Oikos 116:882–892 Wadsworth FH (1997) Forest production for tropical America. USDA Forest service Agriculture Handbook 710. United States Department of Agriculture, Washington, DC., 563 pp Wadsworth FH, Zweede JC (2006) Liberation: acceptable production of tropical forest timber. For Ecol Manage 233:45–51 White PS, Pickett STA (1985) Natural disturbance and patch dynamics: an introduction. In: Pickett STA, White PS (eds) The ecology of natural disturbance and patch dynamics. Academic, New York, pp 3–13 Whitmore TC (1984) Tropical rain forests of the far east, 2nd edn. Oxford University Press, Clarendon Press, Oxford, 352 pp Woodward FI, Smith TS, Emanuel WR (1995) A global land primary productivity model. Global Biogeochem Cycles 9:417–490 Wright SJ, Kitajima K, Kraft NJB, Reich PB, Wright IJ, Bunker DE, Condit R, Dalling JW, Davies SJ, Díaz S, Engelbrecht BMJ, Harms KE, Hubbell SP, Marks CO, Ruiz-Jaen MC, Salvador CM, Zanne AE (2010) Functional traits and the growth–mortality trade-off in tropical trees. Ecology 91:3664–3674

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

Technical Orientation of Silviculture in the Tropics Laslo Pancel* Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, La Libertad, El Salvador

Abstract A comprehensive study on applied tropical silviculture from 2015 shows that only a limited set of silvicultural systems are applied in the tropics. At present, knowledge on both technical and managerial aspects is available to implement successfully tropical silviculture in forest management. The principal monocyclic and polycyclic silvicultural systems are dealt with sufficient details for real-world application. Silviculture in tropical secondary forests and tropical dry forests is described as well. Technical aspects of applied silviculture with concrete examples are presented which are helpful tools for the tropical silviculturist.

Keywords Silvicultural systems; Shelter-wood system; Polycyclic systems; Secondary forest silviculture; Silviculture in tropical dry forests; Tree marking

Introduction In 2014, GIZ has commissioned a study throughout the tropics on sustainable natural forest management in the tropics (best practices and investment opportunities for large-scale forest management companies), and the findings presented by the consultant in February 2015 shed a realistic light on what and how silvicultural techniques are applied for natural forest management. A total of 51 companies out of 187 contacted ones provided information on silvicultural/forest management. All of them were operating under FSC or PEFC certification; 24 were from Latin America, 12 from Africa, and 15 from Southeast Asia (Grulke et al. 2015). This important survey will influence our view of what silvicultural management is really applicable in the tropics. Regarding silvicultural concepts and practices, the study reads as follows (Grulke et al. 2015): All surveyed companies apply polycyclic systems and the widespread use of Reduced Impact Logging (RIL) is confirmed by survey findings: Most companies apply best practices concerning planning, forest operations and monitoring. However, less than 20 % of companies apply silvicultural treatments targeting the enhancement of productivity as liberation thinning’s or elimination of decaying trees. Furthermore, cooperation and exchange with other companies and research institutions are common practices, and most companies allocate a budget for research and innovation.

This chapter provides a recompilation of known silvicultural techniques and experiences which reflect the application of present sustainable silviculture. In combination with the introductory chapter prepared by Brian Finegan, this chapter will enable the tropical silviculturist/forest manager to choose among relevant silvicultural techniques. *Email: [email protected] *Email: [email protected] Page 1 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

Silvicultural Diagnosis1 The gaps in knowledge and experience require an especially careful planning of all silvicultural measures. These must be built on inclusive diagnostic assessments of particular situations, which then can form the basis for the local silviculture objectives. They will be determined largely by the site and stand conditions and by the needs of the local population. Diagnostic results and the definition of goals will permit the choice of the silvicultural systems. There are no generally valid procedures for tropical forestry, neither silviculturally patent recipes. To adopt the most appropriate silvicultural system knowledge, the following aspects are required: • The natural site conditions • The composition, structure, and dynamics of the stand • The human demands of, and their impact on, the forest These three areas are of fundamental relevance for the silvicultural diagnosis, which is a precondition for successful implementation of any silvicultural technique.

Site Diagnosis

Before work is started in natural forests, local information of the “site relationship triangle” consisting of soil, climate, and vegetation may be needed. To characterize the local climate, extrapolation of data from a regional meteorological station may often be satisfactory. If not, at least temperature and precipitation must be observed on site. The amount and seasonal distribution of precipitation are particularly important with respect to forest ecology except for mountain and tropical border regions, where temperature becomes the temporary minimal factor. The water balance of plants depends also on the physical properties of the soil, i.e., on soil–water relations. Local soil analyses usually are not available; however, they are indispensable for the assessment of the site-specific production potential, the choice of species, and the soil-protective silvicultural methods to be used. The preservation of the natural soil fertility is a key problem in sustained-yield management, especially in the moist tropics, because it alone guarantees the smooth and uninterrupted functioning of the nutrient cycles. How to conduct soil research in the field and analyze the results are dealt in the respective chapters of this handbook. A number of vegetation-classification systems are available. They permit to include a given forest type into one or another vegetation formation and to gain a general overview of the site condition, physiognomy, structure, and composition. This is, however, not enough as a basis for local forest planning and management. Detailed listings of the local tree species, their percentages and distribution in the stands, timber reserves, predicted stand development, and the dynamics of the individual tree species including their regeneration strategies are needed. Particularly, the species-rich moist forests require information that can only be obtained through silvicultural stand diagnosis. Survey and analysis methods will be discussed in more detail below.

Stand Diagnosis Silvicultural stand diagnosis must, as much as possible, satisfy the following requirements: • Permit clear, inclusive, and objective silvicultural statements. • Be applicable for all types of tropical forests.

1

Adapted from Lamprecht (1993) Page 2 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

• Results must be mutually comparable, among each other, preferably through the use of statistical methods. Indispensable silvicultural information must include numerical data on: • The tree species of the stand: – Numbers of individuals (abundance). – Horizontal distribution (frequency). – Dimension. DBH must be measured for calculations of dominance. Individual height measurements are desirable, but usually are too labor intensive and often not accurate enough; expert classification into the respective crown layers is less difficult because crown-layer domains are easier to determine. • The social position of individual trees and the vertical structure. • The stem quality of all trees. • Tree species regeneration. • The tree crown description is important because the more or less arbitrary classification to a certain crown layer is expedient at best. Stand structures are complex and locally highly variable. The shape of the crowns, however, may give valuable information as to developmental history and future trends, i.e., the vigor and ability to compete of a given tree. Depending on the desired completeness, additional data may be collected, for example, on flowers, fruit, and other phenotypic characteristics. Methodology The required detailed analyses cannot be carried out on large areas but only on systematic subsamples. The choice of sample plots and their number, size, and shape follows the rules described in the chapter on Forestry Inventory. All trees with DBH > 10 cm are usually measured. The representative minimal area for a tree species spectrum can be determined by using the so-called species area curves. In moist forests, this is about 0.5–1 ha; in dry forests, it is significantly less (see Fig. 1). For the analysis of stand structure and dynamics, trees with DBH < 10 cm and regeneration are also required. To curtail the amount of work, this material with its many individuals is only analyzed in subplots of the sample area. The Brun method has proved useful. Tree populations are assigned to three compartments according to diameter and height classes and are surveyed from areas of unequal dimension. Details are shown in Fig. 2. Roughly comparable to the Brun method are the diagnostic sampling surveys of Wyatt-Smith, originally proposed for controlling the development of exploited and silviculturally treated forests. Along parallel survey lines, one measures the following: • Milliacre sampling (2
2 m) the regeneration of heights from 30 to 150 cm • Quarter-chain square sampling (5
5 m) all trees above 1.5 m high up to DBH = 5 cm • Half-chain square sampling (10
10 m) all trees above DBH = 5 cm Species surveys are evaluated using common inventory methods. The social rank of trees is roughly determined by their belonging to either the upper, middle, or lower stories. Stem quality is classified as good (no external defects), average (one relatively large or several small external defects), and not good (one large or several relatively large external defects). For crown classification, two methods are available, (1) the method of Dawkins and (2) the method of Lamprecht. The latter one is based on the influences exerted on a given crown by its neighbors: Page 3 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015 90 I 80

Number of species

70

60 II 50 III 40

30

20

10

1

2

3

4

5

6

7

8

9

10

Area in thousands of m2 I. Moist evergreen forest

(lowland)

II. Moist deciduous forest

(lowland)

III. Moist evergreen forest at high elevation

(cloud forest)

Fig. 1 Species/area curve for various types of forest in northern South America

12 squares of 2 x 2m each 2 and total area of 48m for survey of young individuals between 0.30 and 1.30m high (compartment C) 1 circle with d = 30m and A = 707m2 for survey of small trees up to 1.30m height and a DBH of 10cm (compartment B). 1 square 50 x 50m = 2,500m2 for survey of trees with DBHs above 10cm (compartment A)

Fig. 2 Layout of a sampling unit

• Crown not influenced, fully formed • Crown influenced, not fully formed because of restricting influences exerted by neighboring crowns: – Influence from above – Influence from one or more sides – Influence from above and from sides Page 4 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

Regeneration tallies are made separately for each species and also may be determined according to height strata, for example, regeneration between 0–30 cm, 31–130 cm, and over 130 cm up to a DBH = 10 cm. Data Analysis The surveys permit the calculation of a number of silviculturally important parameters: • Abundance = the number of stems per given species. – Absolute abundance = number of individuals/species. – Relative abundance = contribution of total stem number by each species (%). • Frequency = the presence of a given species in individual test plots or subplots. Absolute frequency is expressed as a percentage (100 % = presence in all test plots). Relative frequency of a species is calculated as the present contribution to the sum of absolute frequencies. Absolute frequencies are usually divided into five classes. Species frequency can be used as a first approximation of the floristic homo-/heterogeneity of a stand. • Dominance of “the degree of coverage” of a species is usually determined from the stem basal area. The absolute dominance of a species equals the sum of all individual’s stem basal areas in m2. The relative dominance of a species is calculated as the percent (%) of the total basal stem area (=100 %) it occupies in a given sample plot. The dominance of a species represents its “ruling position” and is the expression of its biocoenotic importance in a given forest type. • The entire distribution of stem numbers/diameter is according to individual species as well as groups of species. Graphic representation as in Fig. 3 is commonly used. The shape of the curves allows for important conclusions regarding developmental as well as survival strategies. • Abundance, frequency, and dominance values can be calculated not only for individual species but also for other taxonomic groups, e.g., genera, families, life forms, or the individual canopy layers of a stand. Diagnosis made from canopy layers allows a first glance into the dynamics of species or stand. • Attempts have been made for a long time to generalize the analytical results of individual forest surveys, in order to gain a quick overview and to make immediate comparisons between different surveys. Perhaps best known is the importance value index (IVI) of Curtis and McIntosh. It is obtained by adding the relative abundance, the relative frequency, and the relative dominance of each species. Characterizing species with comparable IVIs would indicate comparable sites, stand compositions, structures, and dynamics. Silvicultural interventions would therefore trigger approximately similar reactions. Such broad conclusions hardly seem justified because the starting values are not equal, and different individual values can result in similar IVIs. • Holdridge has derived the so-called complexity index (CI) which is based on random samples of 1,000 m2 in size: CI ¼ 103 h
b
d
s where h = mean stand height in m, b = basal area of all trees in m2, d = total number of trees measured (DBH > 10 cm), and s = number or species. • Reservations are similar to those made with respect to the IVI. Lamprecht proposes a modified affinity coefficient, after Sörensen. A comparison between stands is determined using the following formula: Page 5 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

350 300 Moist evergreen forest

N

250

Carare = Open/Colombia

200 150 100 50

140

120

130

110

90

100

70

80

60

40

50

30

10

20

DBH

cm 180 150

N

120

Moist deciduous forest EI Caimital/Venezuela

90 60 30

160

150

140

130

120

110

90

100

80

70

60

40

50

30

10

20

DBH

cm

Fig. 3 Diameter frequency curves of 1 ha sample plots (min. DBH = 10 cm)

X Cd X
100 Kd ¼ X Ad þ Bd X X X Bd = total dominance survey B, and C d = sum of the where Ad = total dominance survey A, dominances occurring in both surveys A and B. • The affinity coefficients lie between 100, identical surveys, and 0, completely different surveys. Values in between characterize the degree of kinship of the forests compared. A rough indication of the mixing intensity is given by the so-called mixing quotient (MQ): MQ ¼

number or species number of individuals

• The quotient is simply calculated; however, it contains little information. Illustrative overviews are obtained from such diagrams as stand profiles of exactly measured transects. Their execution is Page 6 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

laborious, and for comparison among each other, they are of only limited usefulness. Such illustrations serve mainly to visualize and complete numerical assessments. Diagnosis of the Ecological Requirements and the Silvicultural Behavior of Tree Species • Forest stand diagnosis allows for important, indirect background information as to the autecology and synecology of individual tree species. First and unquestionable is the fact that all tree species present must be automatically classified as site specific. This removes the problem of site fitness in close-tonature silviculture, which often is difficult to solve in situations of afforestation, plantation enterprises, etc. • Objective silvicultural orientation, however, requires additional information, at least with respect to strategies of regeneration, competitive behavior, and the growth and development of individual species. Since these are dynamic processes, definitive results are not to be expected from stand diagnosis. In this context, experience gathered mostly in Southeast Asia and Africa may prove helpful. Diagnosis of the Surrounding Conditions Relevant to Forestry and Silviculture Forestry and silviculture cannot occur in isolation. They always depend in their essence on the overall forestry frame conditions. A decisive role is played by the social, cultural, political, and institutional conditions as expected elsewhere and these differ from country to country. A thorough diagnosis of the entire local situation is necessary.

Silviculture in Tropical Moist Forests2 Tropical moist forests include, besides the zonal evergreen (rain) forests and the deciduous moist forest, also azonal societies that stock on soils having as a rule sufficient amounts of water. There are principally mangrove forest, freshwater swamp forests, inundation forests, peat swamp, and gallery forests. The discussion of silvicultural fundamentals is limited here to a listing of key terms of natural and anthropogenic data that are essential to practical forestry. For details, the reader is referred to the relevant sections.

Site Temperature and moisture remain constant year-round in the equatorial rain forests, high and close to optimal. With increasing altitude above sea level, as well as with distance from the equator, the annual mean temperatures decrease. Except for low and median mountain locations, precipitation decreases. There are dry periods of up to 4 months, and evergreen forests are replaced by moist deciduous stands. With the exception of the highest mountains, precipitation and temperature conditions in the whole area of moist tropical forests are sufficient to permit good, or very good, growth and development of a multitude of tree species.

Stands: Composition, Structure, Dynamics, and Economic Value Corresponding to site variety are the multitude of forest types of varying composition. The following characteristics may, however, be common to all.

2

Adapted from Lamprecht (1993) Page 7 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

Primary Forests By definition, primary forests are those that have not been touched by man or by natural catastrophes or have only slightly or temporarily been influenced from the outside. They are characterized by: • • • •

•

• • •

•

• • •

Richness in tree species. In any forest type, there often occur several hundred tree species. Intensive mixing of tree species, as many as 80–100 species/ha. Few individuals per species; MQ equals between 1/3 and about 1/4. Varying species composition on a small area even on uniform sites, i.e., each forest type represents a mosaic of floristically different mixes. This is true also for the tree species spectrum of individual crown layers. In all forest types, there is, however, a (small) number of species which are horizontally and/or vertically continuous (they are present in all the combination mixtures and/or crown layers). Besides their high frequency values, they usually also have high abundances and dominances. Extreme heterogeneity, on a small area, regarding tree dimensions (diameter, height). Stand structures are most closely described as over-selective (“€ uberplenterförmig”). A corresponding diameter/stem number structure is also present in the shade-tolerant climax forest species, but not in the so-called nomads or opportunists. There are large individuals that predominate in the upper layers underrepresented in the lower layers, and they occur rather seldom in the regeneration. Only a few (0–20 %) of the many tree species produce saleable wood at all times. Most wood is not saleable or only saleable at least. Nevertheless, the number of marketable species is continuously growing, i.e., the usable portion of the wood reserves is increasing. The visual evaluation of tree quality is often unsatisfactory (stem shape, aesthetics, damaged areas, etc.). Not seldom, the larger, outwardly sound stems are found to have heart rot. Because of the low number of marketable species, which is further reduced by small stem size and unsatisfactory wood quality, the commercial wood volumes are only 0–20 (40) m3/ha. The one exception is the rich dipterocarp virgin forests of Southeast Asia which have high-value timber volumes of considerably more than 100 m3/ha. Wood production is low. On a large scale, the net incremental growth equals 0. Site-specific incremental growth potentials can however be considerably higher. Under natural conditions, the rapid restoration of the original condition only occurs after disruptions (e.g., tree fall caused by wind or lightning). Commercially the most interesting species are often underrepresented, or totally missing, even though there is usually much regeneration. High stability and unlimited potential to survive on poor soils, in spite of constant environmental stress, depend essentially on its in every respect extraordinary diversity. Because of diversity, stands do not have a life cycle. Life cycles are played out for individual trees or for groups of trees. In this respect, the description of tropical moist forests as “immortal” is justified, but considering them as static plant societies is incorrect. There is, in fact, a constant occurrence of highly dynamic, bio-cybernetic processes, which is primarily due to local changes in light conditions. The main reason for this is the natural death of individual trees or small groups of trees. Since these are small-scale, non-synchronized events, the long-term composition and structures of the stands are hardly affected.

Tree Species: Ecology and Silvicultural Behavior3 It is assumed here that the bioecological requirements of all tree species are satisfied wherever they occur naturally. With this understanding, light determines the species-specific ability of trees to compete at a 3

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

given site. Light is the factor that influences silvicultural intervention to the highest degree. It is the most important regulatory instrument in the hands of the silviculturist. The relationship between tree species and light is therefore considered in somewhat more detail below. A rough classification into three groups, according to specific light requirements, is as follows: • Light-requiring species or heliophytes need full light for normal development, during their entire life cycles. • Shade-tolerant species regenerate in the shade of the stand and develop normally under low light conditions during their entire lives. They strictly require shade, at least in the juvenile stage. • Conditionally, shade-tolerant species regenerate in the light as well as in the shade, but for normal growth, they need early in development more or less full light, at least from above. “Pioneers” are the first settlers on bare land. They belong to the light-requiring heliophytes. They need full light to regenerate, are (extremely) fast growing but short lived, and generally do not attain large sizes. They predominate in young secondary forests. Increasingly, the less light-dependent species grow up in their protective shade, only to replace them during the successive developmental stages of the stand. In closed-canopy forests, pioneers can only regenerate and prevail where larger gaps occur. Shade tree species regenerate within the stand and are able to survive in the deep shade, often for decades, without practically any growth, in a waiting condition. They retain the ability to respond with accelerated growth rates to any increase in light. Such behavior is characteristic of many of the species that predominate in climax forests. They are often trees of size classes 2 and 3, which only reach small heights and are therefore relegated to the lower stories of the stand. They can, however, become very old. To reach the dominant layer, the potentially large tree species of the shade group have to obtain increased light, at least during the second half of their lives. Taken together, this subdued growth and development allows them to have life spans of several hundred years and to reach truly gigantic sizes. Conditionally, shade-tolerant species are characterized by their ability to regenerate outside as well as inside a stand. The shade tolerance of juvenile plants is, however, strictly time limited. If light availability does not increase within a few years, the plants perish or at least lose their ability to react to eventually occurring more favorable light conditions. With the next seed year, however, a new regeneration wave materializes. There are always seedlings on “standby” that can avail themselves of the opportunity to grow tall should a gap occur in any given space or at any given time. Such regeneration strategies are the characteristic of many dipterocarps but also for other high-value timber producers, such as members of the Meliaceae. If sufficient light intensity is guaranteed, juvenile plants grow rapidly in height to reach a dominant position in a relatively short time, significantly shorter than that required by shade-tolerant trees. In addition, since they are equally as long lived as the shade-tolerant species, they can hold this position for similar lengths of time; this holds true for size since they are just as large. Since species survival depends on the accidental occurrence of gaps in space or time, conditionally shade-tolerant species are termed nomads or (gap) opportunists. Because of gap dependence, nomads occur in climax forests in significantly lower numbers than the locally dominant shade-tolerant species but, in turn, are clearly more abundant than the locally rare heliophytes. Figure 4 represents a schematic summary of the different developmental events for pioneers, for shade-tolerant trees or primary forest species, and for gap opportunists.

Silvicultural Objectives and Tasks4 The main silvicultural objective has already been defined: the creation and maintenance of forests that can optimally sustain the needs, economic and others, of human communities. The silvicultural tasks can be 4

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Height / Diameter Development

Pioneer Species Gap opportunists / nomads Shade-tolerant species / large trees Shade-tolerant species / small trees

Time

Fig. 4 Characteristic growth curves of different tree categories in moist forests

derived from this general goal. Implementation of the goals occurs in the forests specifically assigned. The initial situation in the tropical moist forests has been delineated above. In this view, one recognizes in principle: • Primary forests with material outputs that are below those expected of managed forests. The raw material production is too heterogeneous, only a small fraction of it is saleable, and production is quantitatively and qualitatively disappointingly low. This is true for by far the largest part of the moist forests. • Primary forests that are exceptions to the rule. To these belong, for example, mangrove and other forests on special sites, such as swamp and heath and peat swamp forests, which are by nature fairly uniform floristically as well as regarding tree dimensions. Their products are largely saleable. These conditions are also met by the tropical conifer forests. In these favorable cases, incremental growth is the only unsatisfactory characteristic. Silvicultural Goals Primary forests with economically satisfactory stocks: the goal is to attain the highest possible output of the natural stands. Composition and structure remain unchanged. In primary forests that are economically unsatisfactory, the goal is to enhance the economic performance of the stands at least to a level permitting cost-covering, sustained-yield management.

Silvicultural Systems5 Monocyclic and Polycyclic Silvicultural systems When a selection forest is the goal, polycyclic utilization methods are applied. If the goal is a uniform high forest, utilization is monocyclic. Monocyclic systems are those where the entire marketable reserves are harvested in a single operation. Even the unusable residual stands are subsequently more or less quickly removed. Regeneration occurs simultaneously in the entire area of intervention, which leads to a certain structural uniformity of the new stocks and to the introduction of a uniform high forest enterprise with long rotation periods. Contrasting to this, in polycyclic systems, the harvest is always limited to only a (small) part of the usable reserves. It is, however, repeated within relatively short intervals, which are called cutting cycles. Regeneration is not simultaneous and large scale but occurs in small spaces, preferentially in naturally 5

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occurring gaps and caused by the felling of trees. The original stand structures remain mostly unaltered. In contrast, the domesticated, as opposed to the natural selection forest, can be distinguished mainly because of its clearly larger amounts of valuable timber in all canopy layers. The system is, however, very close to the natural forest. According to Grulke et al. (2015), Polycyclic forest management is the most common approach for natural forest management in the tropics. Most frequently a minimum harvest diameter is established to determine mature trees (minimum harvest diameter or MHD system). Values are set by national authorities, with diameter at breast height (DBH) ranging from 30 up to 70 cm or more see Annex 1. This system is a pragmatic approach to control overexploitation of natural forests, but it does not target directly the improvement forest growth and quality. The silvicultural approach with the highest impact on the productivity and quality of the forest is the future/potential crop tree (FCT or PCT) management. In this case, 150–300 high quality trees per hectare are selected in all diameter classes and the site given growth potential is concentrated on this tree collective. By applying this type of management, growth and yield can be enhanced by 50 % or even more in some cases.

Lamprecht (1993) concludes that the success of transformations, whatever the system, depends to a large degree on the care given to the stand; this starts with regeneration and continues through selective thinning and up to the time of harvest. Transformation practices have shown that in many cases, these objectives can be achieved using either a polycyclic or a monocyclic system. There is no consensus which group applies in any given case. Both types have specific advantages and disadvantages. The most important of these are summarized in Table 1. To avoid any misunderstandings, it has to be noted that monocyclic systems do not result in the creation of single-story, even-aged stands. The young growth necessary for natural regeneration is by no means uniform. The structural differentiation progresses naturally as the stands develop. At least during the transformation period, the possibility remains to change the operation to a polycyclic system, if desired. The opposite, changing from a polycyclic to a monocyclic system, is also feasible. Decisions do not have to be final and can be reversed, if prompted by new knowledge (FAO 1989a). A complete enumeration of all the silvicultural methods, and variations thereof, would lead too far. The discussion focuses on several representative examples from each of the above-cited groups. The assignment of the individual systems to one or the other group has been difficult in some border cases and may be questioned. In Table 2, a summary of the most prominent silvicultural systems is listed, with their peculiarities, whether they lead to a multistoried or uniform high forest. The silvicultural systems marked in Table 2 indicate that they are described in this section. The green colors are referring to mainly monocyclic and the light blue ones to polycyclic silvicultural systems. Table 1 Comparison of polycyclic and monocyclic silvicultural systems Refers to Objective Closeness to nature Transformation costs Timber harvest Felling/hauling damage on remaining stand Spatial order Manageability

Polycyclic Selection forest Considerable: floristic modification only Smaller Earlier, smaller volume but more frequent Relatively high and frequent Absent Difficult

Monocyclic Uniform high forest Less considerable: floristic and structural modification Larger Later, larger volume but only once per rotation period Low, only on regeneration and only once per rotation Present Less difficult

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Table 2 Summary overview of silvicultural systems in humid tropical forests (Adapted from Payer 1998) Objective Uniform high forest

Homogenization According to Species and structure

Through Increasing the stocking of stands

Improvement

Enrichment

Regeneration

Naturally

Artificially

Multistory selection forest

Mainly according to tree species

Conservation and promotion of species in all strata

Sustainable production from natural forests

Without homogenization

Silvicultural systems Improvement fellings Amélioration des peulements d’Okoumé CELOS system Classical strip plantation Placeaux Anderson Méthode du Recrû Mexican system Metodo Caimital Malayan uniform system Tropical shelter-wood system TSS Trinidad Uniformisation par le haut Methode Martineau Methode Limba Methode Okoume Taungya Philippine selective logging system Amélioration des peuplements naturelles Queensland system Initial silviculture Improvement thinnings Indonesian selective logging system

Monocyclic Silvicultural Systems Improvement Fellings6 Probably the eldest, best-known, and most widely distributed system is improvement fellings. It was introduced as early as 1910 on the Malay Peninsula (FAO 1989b) under the name of “Departmental Improvement Felling.” By now, it is used in most of the tropics often with modifications and adaptations to local conditions. Principally, it is composed of the following steps: • Division of the forest into manageable treatment blocks. All operations are carried out at the block level. • Cutting of all lianas. • Refining = the elimination of undesirable tree species or sick or damaged material, to the extent only that the structural stability of the stand is not weakened. • Liberation = the favoring of all valuable individuals (juveniles, candidates) through the elimination of competitors. • Periodical repetition of these interventions, until they finally merge into selective thinning measures. 6

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At least in the initial intervention, it is not recommended to carry out all these operations in a single passage. In practice, the following stepwise procedures have been proved useful: • Cut all lianas and eliminate undesirable species (drawn from a previously made special list) as well as sick and damaged individuals. Smaller trees are hewn with a machete, and larger trees are girdled. • Liberate valuable trees, again with the assistance of a local species list. • Poison the girdled trees but only as absolutely required. For both ecological and economic reasons, it is of foremost importance to limit all intervention to what is absolutely necessary. Treatment costs are usually not offset by any kind of income, since the wood obtained through improvement fellings is not saleable. Excessive intervention endangers the stability of the stand. Candidate trees that are suddenly fully freestanding are easily bent or broken by wind or rain, whereas increased light penetration, caused by too much clearing, can lead to the explosive development of lianas and creeping bamboos as well as an all-invasive ground vegetation. Moderate but more often repeated interventions are preferred. Necessary preconditions for the successful use of improvement fellings are: • The presence in the treatment area of a sufficient number, at least 100/ha, of more or less evenly distributed candidate trees. • Sufficient responsiveness of the candidate trees, which may be activated by liberation and maintained over a long period of time. Since responsiveness declines with age, only young and middle-aged stocks are subject to improvement fellings. “Classical” Tropical Shelter Wood System (TSS)7 If the entire tropics are taken into consideration, the favorable regeneration conditions in many dipterocarp forests are rather exceptional. In the majority of the moist forests, such “on-call” regeneration of marketable species is lacking. Furthermore, it also does not take place more or less automatically in the aftermath of a harvest. Plainly, in these cases, the foremost task of the silviculturist is to bring about the desired natural regeneration. As already mentioned, the low light intensity inside the stands is usually the primary cause for the absence of successful regeneration. What is needed is therefore improving, i.e., increasing, the available light. Focused on this goal is the TSS, which was developed in Nigeria in 1944, where it was used very extensively. The classical TSS is described in Table 3. The rotation time is fixed at 100 years. The advantages of the TSS are (see also in Fig. 5 a generic shelter-wood system): • Security regarding the establishment of the desired natural vegetation since the seed trees may only be harvested after sufficient regeneration has taken place. • The possibility for light dosage, i.e., providing the species to regenerate with species-specific light requirements. • Reduced danger of encroachment by herbaceous weeds because thinning occurs under controlled conditions, gradually and with care. • Laying bare of the forest soil is avoided. These advantages are opposed by a number of equally important disadvantages, which are both economic and organizational in nature:

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Table 3 The “classical” tropical shelter-wood system (TSS) Year n5 n4 n3 n2 n1 n

nþ1 n þ 16 n þ 21

Operations Demarcation of about 250 ha transformation blocks Elimination of lianas, undesirable tree species about 5 cm as well as herbaceous high bushes Poisoning of useless trees in the lower and intermediate stories. Inventory of regeneration (random sampling). If regeneration rates are insufficient, continue opening up from the lower stories up Tending of regenerated growth, cleaning, successive elimination of all broad-crowned trees from the lower and middle stories, depending on the light requirements of the regeneration Renewed inventory of regeneration As in n  2 If sufficient regeneration is in place, harvest the marketable trees. If not, continue opening up from below. The harvest and all subsequent steps are then postponed accordingly. Only the valuable species are counted (about 20) at minimal distances of 1.8 m from each other, separated into height classes: 3 m high up to 30 cm girth at breast height, 30–150 cm girth at breast height Tending the regeneration, removal of damages caused by the exploitation. The unusable residual stand of old trees is either quickly or more gradually removed, depending on the light requirements of the regeneration Tending continues over the years First thinning of the young stand Second thinning

• The TSS is both cost and labor intensive. The earliest revenues from the sale of wood only take place at year 6. Furthermore, they are comparatively modest because in the Nigerian (and generally all African) forests, the commercial wood reserves are generally at the most between four and ten large trees/ha. When first used, the transformation costs were about 40 % of the net revenue from exploitation, but today they might be significantly higher. • The long rotation of 100 years involves exceptionally long-term investments. • The complexity of the TSS that requires high organizational and silvicultural know-how from the entire forestry staff. Polycyclic Silvicultural Systems The CELOS Management System (CMS)8 The CELOS system was developed in the moist forests of the so-called Forestry Belt of Suriname. Since its introduction in the 1960s, CMS has been scientifically tended and controlled so that in spite of the short running time and the still limited areas of application, there is already a large body of information on the ecological impact caused by the silvicultural interventions on stands and soils, the reaction of the residual stocks, and cost/benefit analyses. The CELOS system consists of two operations, occurring at two different times, as follows (after Graaf 1986): • The CELOS harvesting system, which includes the planning and execution of the harvests • The CELOS silvicultural system, which is intended to enhance future production in quantity and quality The list of operations includes (after Graaf 1986):

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a

40m

TRANSECT 140m

b

CROWN PROJECTION

60m LOCATION OF TRANSECT

140m

c

CANOPY LEVEL: EVEN

40m

140m

Fig. 5 Generic shelter-wood system (L. Pancel). Over several interventions, the old wood is removed steadily and only a light cover of 20–60 medium-sized trees are left as seed trees. The subsequently following intervention concentrates on tending the young growth (Adapted from Lamprecht 1993). If there are still wide-crowned trees from the initial stand in the understory, they are poisoned. The subsequent interventions serve to eliminate undesirable trees and to care for the valuable species and individuals in the young stand. Ten to 15 years after the start of the regeneration, a further screening takes place. Advantages of the shelter-wood system (Adapted from Lamprecht 1993): absence of costly and time-consuming preparations for regeneration, sale of most of the old wood, quick availability of the revenues from exploitation, and considerable revenues from the first wood harvest 30 years after the beginning of transformation

• Opening up the forest within the compartments. This is done by cutting lines 1 and 2 m wide through the vegetation in both a north–south and east–west direction to divide each compartment into plots of 400
250 m. • Enumeration and mapping of the potentially harvestable trees and sampling of advance growth of desirable species and of the total tree population. All data are recorded, including the location of the numbered trees on a field map (scale 1:1,000). Page 15 of 42

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• Establishment of permanent sample plots. A series of permanent sample plots is essential to monitor developments in the managed forest. • Assessment of allowable cuts on the basis of the field map and sampling data. The trees to be harvested should be marked on the map in ink and in the forest with paint and hammer marks. The trees to be harvested should not be located in dense groups. • Planning of skid roads and felling direction of individual trees. It is preferable to fell trees in the direction most useful for transport and safest for felling operators. The crown of felled trees should be well dispersed throughout the forest compartment, each creating its own relatively small gap. • Felling and harvesting operations to be carried out by experienced laborers. Felling and hauling should be controlled strictly to reduce damage to soil (hauling by machines!) in stand and to reduce costs. • Sampling to determine diameter distribution and total basal area. • Additional line cutting. Extra lines are cut to form north–south strips 125 or 62.5 m wide. • Marking, frilling, and spraying trees to be killed in refinement and liana cutting. The men work in east–west and west–east direction, in a zigzag through the strips. Refinement operations should be done shortly after logging has been completed, because regrowth on lines, in gaps, and on skid roads makes access difficult. • Second recording of permanent sample plots. • In year 8 and 16, operations, a, g, h, i, and j will have to be repeated. The CMS is intended to produce commercial timber. Around 50 indigenous species are considered as such, whereby not only the traditional export timber but also the simple utility woods are listed. The first felling yields on average about 20 m3/ha. If carefully planned, it is possible to lower the damage to about half, as compared to that of the usual exploitation. Simultaneously, cost savings are between 10 % and 20 %. It is known already that the number of utility tree species capable of development in the exploited stands is sufficient for a sustained-yield enterprise. Table 4 exhibits an example. The data also show the continued development of the trees after the first refinement. Refinement is essential because the opening of the crown layer, caused by the exploitation, liberates not only the desirable but also the undesirable tree species. The first operation, 1–2 years after the harvest, focuses on the cutting of lianas and the poisoning of individuals without value, with DBH > 20 cm. Larger gaps in the crown layer are to be avoided, because of the possible invasion of weeds. A reduction of the basal areas by about one-half is targeted, which, as a rule, corresponds to a lowering to about 15 m2/ha. Through the strong opening up and the liberation, the annual diameter growth of the PCT is about 9–l0 mm, whereas in the non-treated controls, it is only about 4 mm. Because this accelerating effect declines after 8–10 years, a second refinement becomes necessary. The cutting cycle proposed is 20 years; the sustained net yield of utility wood is about 20 m3/ha. See also the generic presentation of the future crop tree system in Fig. 6. The main advantages of the CMS are as follows: • It is easily applied in practice so that it can be implemented largely with unskilled workers. • It leads to true sustained-yield management, with few costs in addition to those already incurred for the exploitation. • It yields remarkably large amounts of utility wood, considering the very nutrient-poor soils in the region where it is used and the comparatively short cutting cycle. • It offsets low absolute yields by high wood quality and low production costs. • It hardly changes the original ecosystem, thereby insuring its natural ability to function permanently. • Because of the continued functioning of the ecosystem, there is freedom to choose another near-tonature silvicultural system, at any time if a better one can be found. Page 16 of 42

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Table 4 Parameters for the selection of silvicultural treatments in secondary forests in wet lowlands in Costa Rica (Adapted from Quesada 2014) Treatment Clearing vines and lianas

Liberation cutting + clearing of lianas and vines Exploitation or harvest

Liberation and sanitation cutting

Clearing lianas, vines + Exploitation + Sanitation + Liberation

Silvicultural indicators Prior to exploitation When over 25 % of the FCTs are affected When the forest canopy is covered by a dense layer of vines, affecting all species present When less than 60 % of the FCTs have a crown position of emergent or canopy participants When over 25 % of the FCTs are affected When the presence of remaining commercial individuals is greater than 10 individuals/ ha with a diameter at breast height of greater than 50 cm When commercial individuals in secondary growth have a diameter greater than 40 cm and an abundance greater than 10 individuals/ha When less than 60 % of the LDs have a crown position of emergents or canopy participants Presence of remaining noncommercial species with abundance greater than 10 individuals/ha When the forest has a combination of all of the above preconditions

As far as structure, species diversity, composition, incremental growth rates, and wood reserves are concerned, the stands of the Forestry Belt of Suriname are representative of many other tropical moist forest zones. From the standpoint of soil fertility, it is rather below the average. Simply because of its more than regional significance, the CMS deserves the attention of those tropical silviculturists who are interested in near-to-nature forestry in the so-called normal moist forests. Philippine Selective Logging System (PSLS)9 The Philippine selective logging system (PSLS) was introduced by law in 1954, because stemming the negative results of exploitation through minimum harvestable diameter (MHD) determination had proven unsuccessful during the postwar period. The basic concept of PSLS is to manage virginforest exploitation such that with proper care, the remaining stands (including the new upgrowth) will sustain timber production approximately comparable with the initial harvests at intervals of 30–40 years. See also the generic selective harvesting system in Fig. 7 where MHD is applied. Implementation consists of three main phases: • Tree marking • Residual inventory • Timber stand improvement (TSI) The procedure is laid down in great detail and contains: • Determination of the utilization and logging units. Depending on the logging system used, the smallest management units, the “logging setups,” measure between 3 and 20 ha.

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a

40m

TRANSECT 140m

CROWN PROJECTION

b

60m

LOCATION OF TRANSECT

X = FCT future crop trees 140m Emergent Above the Cutting Limit

Below the Cutting Limit Understory CANOPY LEVEL: UNDULATED

c

40m

140m

Fig. 6 Generic future crop tree system (FCT) (L. Pancel). In all systems, a total of 60–80 broad-leaved trees and 100–140 tropical pines per hectare are selected as future crop trees from all the crown and species strata. Through several tending steps, these individuals are kept until harvesting diameters and volumes are reached. The resulting stand reflects a close-to-nature structure of the nonintervened original forests but with improved species/diameter presence in the upper canopy and a more undulated canopy level. The growth performance of the FCTs is the most convincing aspect of these systems

• Inventory of the economic tree species with DBH 15–75 cm, by surveying a 5 % random sample per setup. • Marking of the harvest trees, including the felling direction, and marking and numbering of the future harvest trees, i.e., the potential crop trees (PCTs), which are to be maintained and should be evenly distributed over the entire area to safeguard sustained-yield production. Only 30 % of the timber trees with DBH 15–65 cm, 60 % with DBH 65–75 cm, and all trees with DBH > 80 cm may be felled. Page 18 of 42

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a

40m 40m

TRANSECT 140m

b

CROWN PROJECTION

60m 60m LOCATION OF TRANSECT

140m

Emergent Above the Cutting Limit

c

Below the Cutting Limit Understory

CANOPY LEVEL: MORE PRONOUNCED ONDULATION

40m 40m

140m

Fig. 7 Generic selective harvesting system. (L. Pancel). In the first step, all trees above the harvestable diameter breast height (MHD) are harvested, up to a maximum of 25 trees/ha, according to the reduced-impact logging (RIL). Emphasis is given to the correct selection of tree individuals and efficient operation. The cutting cycle may vary between 15 and 40 years depending on the specific forestry management objectives and the monitoring results of the stand inventories after interventions. The resulting stand is characterized by structural and species-wise structure of nonintervened stands with a slightly less undulated canopy than applying future crop tree selection. Advantages are as follows: it leads to a true close-to-nature silvicultural system with sustained-yield management. It offsets low absolute yields by high wood quality and low production costs. It hardly changes the original ecosystem, thereby insuring its natural ability to function permanently

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• Logging. Hauling to the road by cable, tractor, etc. • Residual inventory of the future stock using the diagnostic sampling survey. This is carried out by the government forestry service, start of silvicultural care about 10–15 years after exploitation using TSI has focused on the systematic liberation of the PCT. Silvicultural care consists essentially of two measures: – Refining, i.e., removing lianas, useless large trees, and sick or otherwise undesirable material – Liberation, i.e., favoring the PCT through the elimination of the competitors • A second TSI after a period of 10 years. The cutting cycle, which is the interval between two harvests, is fixed to 30–40 (45) years, according to the site conditions. Implementation of a Continuous Forest Inventory (CFI) on Permanent Sample Plots10 This serves as the control for stand development and for data collection. Separately surveyed are reproduction, saplings (DBH 5–14.9 cm), pole timber (15–34.9 cm), and saw timber (35 cm and larger). For the first 5 years, data is collected annually, later, every 5 years. The CFI and the residual inventory are both indispensable because “in the final analysis, the success of the selective logging systems depends on the survival without excessive damage of the planned residual stand after logging and its subsequent growth” (FAO 1989b). Indonesian Selective Logging System (ISLS) The ISLS can be understood as a simplification of the PSLS and should, in principle, be closer to practical use. At the first utilization, 25 future harvest trees with DBH > 35 cm/ha (more recently >20 cm/ha) must be spared. All material with DBH > 50 cm is exploitable. The subsequent treatment occurs as in PSLS. The cutting cycle, fixed at 35 years, has also proved too short. The Indonesian dipterocarp forests are relatively poorer than those of the Philippines and contain around 10–15 large, fellable trees/ha. However, mechanical exploitation causes more or less serious injuries to about 40 % of the residual stock. The critique of the PSLS applies equally and in all respects to the Indonesian system. One advantage, however, is its greater simplicity. For this reason, it is cheaper to implement and, in principle, easier to manage. Initial Silviculture as Proposed by Lamprecht In the framework of a timber concession where full silvicultural practice is temporarily not possible because of a lack of experience or for personal or other reasons, “initial silviculture” is recommended. The objective is to reduce at least the negative results of the usual exploitation and to maintain the original production potential as much as possible in order to carry through domestication at a later stage without added problems. According to this objective, timber concessions should invest at least in the following: • At least 2 years before beginning the exploitation, timber is inventoried and all lianas are systematically cut. • The only stands allocated for utilization are those that have at least 10–15 trees of DBH > 60 cm/ha as well as adequate natural regeneration. • Up to 10 large uniformly distributed seed trees/ha of the opportunist group are conserved. • The gaps created by the fellings are enlarged, if necessary, to increase. • Light admittance to the stand. • The development of the natural regeneration is monitored regularly for at least 10 years.

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The initial silviculture is simple and cost effective. With more intensity, a complete system can be implemented at any time when conditions for organization and financing are in place. Expectations are that this proceeding will not hinder but will facilitate the transformations envisioned for the future.

Silviculture in Tropical Secondary Forests ITTO (2002) defines secondary forest as woody vegetation regrowing on land that was largely cleared of its original forest cover (i.e., carried less than 10 % of the original forest cover). Secondary forests commonly develop naturally on land abandoned after shifting cultivation, settled agriculture, pasture, or failed tree plantations. Through11 a series of successions, they lead back from an initial stage to a climax forest. Secondary forests also have highly differing compositions and structures, depending on factors such as site, origin, and growth and development. Common characteristics, which differentiate them from primary forests, are as follows: • Species and structures are dependent on the successional development stage, i.e., they change in accordance with the age of the stand. • Younger secondary stands are simpler in structure, with fewer species than primary forests on comparable sites. • High-value timber is largely absent among the typical secondary species of the early successional stages. Commercial value is therefore low with some exceptions. Ochroma spp., Aucoumea klaineana, Triplochiton scleroxylon, Cordia spp., Terminalia superba, and others produce well-paid-for woods. In older secondary stands, there are often commercially interesting opportunities such as genera of the Meliaceae (Swietenia, Cedrela). • Especially in the early stages, secondary forest dynamics are extraordinarily intense. This manifests itself not only in the rapid replacement of the tree species and the structure of the stands but also in the relentless battle of species as well as individuals for space and light. This harsh competition, which is both intraspecific and interspecific, leads to significant quality losses and deficits in incremental growth for many trees. • During the early stages, incremental growth is considerable but decreases with advancing development and finally approximates the low values of the primary forests. • As compared with primary forests, the more limited number of species and the simpler structures make secondary forests more easy to manage as silvicultural objects. • Because of succession, the natural production changes over time, with respect to species assortment, quality, and quantity. Sustainable market volumes of certain woods or other products are therefore not de facto guaranteed. Older12 secondary stands can be transformed with identical systems as primary forests, from which they essentially differ neither floristically nor structurally. At the early secondary development stages, the initial situation differs and is advantageous because the stocks are much more homogenous. A disadvantage is the low or nonexistent market value of many of the species. It should be noted, however, that some species are suitable for industrial wood production in principle. The silvicultural

11

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treatment of utility wood-containing secondary stands (Aucoumea, Ochroma, Terminalia, etc.) can be achieved with the Amelioration des peuplements d’Okoumé. Younger secondary forest with relatively high incremental growth in time, however, declines to the low values of the primary forests. The wood from secondary forests is mostly of low value. The successional stage determines the duration for producing certain wood assortments. The situation is more favorable in places where valuable timber occurs at a given developmental stage or where a market for industrial wood exists. The massive amounts of secondary forest wood are suitable for pulping or cellulose manufacture. The secondary forests of advanced successional stages are usually of similar economic value as primary forests and can, therefore, be included with them. In secondary forests, one differentiates: • Stands that satisfy economic expectations. In this case, the goal is to stop development at the economically most desirable successional stage. • Stands that do not satisfy economic expectations. The goal is then sustained improvement through domestication. Secondary forest transformation is less concerned with floristic or structural modification than it is with the enhancement of the economic capacity of the stocks through incentive tending. The targeted volume increases require a very early reduction in stem numbers. Only trees that grow and develop with fully liberated crowns can mobilize the high increment potential of the pioneers during the entire rotation period. Quesada (2014) recommends that a total of 40–100 FCTs should be identified per hectare according to the following criteria: the FCT should be a commercial species, > 10 DBH, and > minimum harvest diameter (MHD) used in the region. Furthermore, the crown position (light exposure) and the crown shape (location in the vertical strata – sociological position) have to be considered as well as the presence or occurrence of woody vines or lianas.13 The14 mixed understory, which usually grows spontaneously under the well-spaced primary stand, must be conserved and tended; it protects both the soil and the microclimate. The measures sketched out here lead to uniform high forests with short rotations and an emphasis on industrial wood production. To some degree, they are comparable to industrial tree plantations, but since they are composed of a mixture of indigenous tree species, they are automatically freer of risks in operation. In addition, they are the most cost effective because any high initial investments fall out. If silvicultural methods are used objectively, they are able to support biomass production similar to those of plantation enterprises. The already gigantic and still rapidly spreading areas of “useless” secondary forests in the entire moist tropics should be reason enough to address their economic management with renewed intensity. Practice-proven transformation systems are available.

Silviculture in Tropical Dry Forests15 Silvicultural principles valid for the moist tropics are, of course, also valid in dry forest areas. The following descriptions are limited to site and stand conditions and anthropogenic influences that are decisive with respect to silvicultural practices. The scope and the “road marks” are given with the following statements: 13

Only FCTs should be taken into account without lianas and wines and individuals where lianas have not reached the crown level. 14 Adapted from Lamprecht (1993) 15 Adapted from Lamprecht (1993) Page 22 of 42

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• The dominant site factor is water. It is the key not only to the vegetation but also to the socioeconomic and cultural environment of forest activities. • Dry forests are relatively species impoverished and structurally simple and are therefore more easily guided ecosystems than the complex moist forest. • Dry forests have always been intensively used in a variety of ways by the indigenous population. Wood and numerous other forest products are of essential importance for them. Forestry measures therefore have a direct and often negative impact on their traditional lifestyle.

Site Regarding temperature, there are no essential differences between the moist and dry forest site. What is decisive is the precipitation regime. Dry forests occur where the evapotranspiration potential is clearly above the water supply and a yearly dry period averages between 6 and 8 months. The often high intensities of individual rains and the large possible fluctuations from year to year in total rainfall, in the distribution of precipitation, and in the seasonal periodicity are all characteristic. Besides precipitation, soil conditions also play an important role in the water supply of plants. Because of the long dry period, chemical weathering is less important than physical weathering. Leaching is inhibited so that dry forest soils are, as a rule, relatively rich in nutrients. In contrast to moist forest soils, the relative limiting factors are not the bio-elements but water supply. Light, sandy substrates afford more favorable supply conditions than does heavy clay.

Stands: Composition, Structure, Dynamics, and Economic Value The total area of dry tropical forest is estimated to be more than 500 million hectares. According to the wide distribution, there are a large of number of different dry forest types. Totally undisturbed stands are everywhere the exception. In most locations, these are the primary or secondary forests that, because of human interference, are in more or less intense stage of degradation. The following descriptions are those of dry forests as they represent themselves to today’s observer; in individual cases, natural events and human influence may be almost indistinguishable. All dry forest types exhibit a number of common characteristics, mostly physiognomic in nature, which may be understood as adaptations to the water deficit (physiognomical convergence). Most importantly: • Relative tree species paucity. The number of species is between 10 and 20/ha, with several of them usually in predominance. • Relative structural simplicity. Dry forests are often single storied, and only on favorable sites can a discontinuous second tree layer establish itself. There is usually a more or less dense shrub layer, often composed of thorn bush species. Especially in Asia but to some extent also in Africa, bamboo replaces the woody plants. In these usually open stands, the soil vegetation is dominated by grasses. • Small tree size and characteristic tree shape. On the best sites, the maximum height is 20 m, and DBH is about 60 cm. Under less favorable conditions, heights achieved are only 4–12 m, with DBH about 30 (40) cm, exceptionally more. Many trees are crooked and gnarled, with deep-set, often umbrellashaped crowns (e.g., “umbrella Acacia”). An exception is the “bottle trees,” such as Chorisia and Adansonia, of the Bombaceae, with their water-storing bulgy-shaped stems. They may reach large sizes. Wherever they are represented alone or in groups, they dominate the landscape, with their regal crowns high above the rest of the stand. • Qualitatively and quantitatively low production of wood. The annual increments are about 1 m3/ha or less, and the volumes are usually barely over 40–50 m3. Exportable luxury timbers are rare or absent, but practically all species are utilized locally, despite their low dimensions and stem qualities. Page 23 of 42

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• The vital importance of wood and non-wood products. Despite the low productivity, which is conditioned by site and further reduced through human activities, the dry forest assumes functions on which the lives of the indigenous people depend. They represent their reserves of timber and fire wood. Not less important is often the harvest of fruits, leaves, and roots that serve as animal feed and in part also as human nutrition. • Utilized also are a large number of medicinal plants. During droughts, dry forests may offer the only chance for survival for cattle grazing. In addition, they have indispensable protective functions (soil). With decreasing precipitation, the stand heights, densities, the number of species, volumes, and increment all decrease. The percentage of succulents (columnar cacti, candelabra euphorbs, etc.) increases. At 8–10 dry months/year, the forests have been destroyed. Where this had not yet occurred, the stands are almost always impoverished and overthinned. This man-made degradation has led, and still leads, to the replacement of the original forest by drier, more resistant, and less productive types and finally to deforested wastelands and deserts.

Tree Species: Ecology and Silvicultural Behavior

All species are characterized by their drought resistance. The majority shed their leaves during the first half of the dry season; many bloom in a leafless state and may leaf out shortly before the onset of the first rains. Certain dry forest types may, however, contain solely leaf-changing and/or evergreen species. The fruit usually ripens during the second half of the dry season or at the start of the rains. Many seeds are hard shelled and remain viable for extended periods, i.e., they are able to survive droughts. Regeneration through seed may nevertheless be difficult. Large quantities of germinating seedlings and young plants may die from a shortage of water. It is not by chance that the dry forest species have developed survival strategies other than sexual, namely, vegetative (agamic), reproduction. The great majority have excellent coppice potential. Suckering and root sprouting allow them to produce sufficiently at any time, despite unfavorable site conditions. Typically, dry forest species are heliophytes. Because of the more or less open stand structures, the danger hardly exists that their lifelong light requirements might remain even temporarily unsatisfied. In contrast to the moist forests, water and not light is the site factor that can decide life or death. A final comparison between tropical wet and dry forest looks as follows (Vieira and Scariot 2006): Tropical dry forests have 30–90 tree species (based on surveys of 1–3 ha), 10–40 m of canopy height, and 17–40 m2/ha of basal area (which represents 50 % of wet forests), although there is a great variation among sites (Murphy and Lugo 1986). Tropical dry forests have 50–75 % of the net primary productivity of wet forests, because, even though both forests grow similarly in the wet season, dry forests decrease in growth or even stop growing during the dry season (Ewel 1980; Murphy and Lugo 1986). Although Seasonal Dry Tropical Forests grow slower than wet forests, they can recover their relatively simple mature structure after disturbance more rapidly than wet forests, which have a more complex structure (Ewel 1980; Murphy and Lugo 1986; Kennard 2002).

Silvicultural Objectives From the general scope of work and from the above-sketched opening position, the silvicultural objectives are: • The preservation of still-functioning forests through the introduction of sustained-yield management methods • The rehabilitation of degraded forests, whose actual yields are below the production potential of the site and the tree species • The afforestation of deforested areas to meet the need of the population to the required degree Page 24 of 42

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Silvicultural Tasks In the technical sense, meeting the silvicultural tasks is possible without special difficulties. The silviculturist has at his disposal proven methods, from within and outside of the tropics, for nondestructive utilization, rehabilitation, and afforestation. Much more difficult to solve are the many negative surrounding problems, caused mainly by the traditional overuse by local populations. Above all, there is the destructive extent and the not less ruinous fashion in which wood is used in a “self-service” mode of action, as well as the completely unregulated forest pasture. Shifting cultivation and the frequent fires often propagated by the herdsmen are completing the negative picture of these surrounding field-conditioned problems. To eliminate them transcends by far the direct influence of forestry. Useful solutions may be found with: • The understanding by all participants (farmers, animal keepers, and forestry personnel) of the shortand long-term consequences of these activities on dry forest ecosystems. • Adapting, i.e., limiting, the intensity and type of usage, to the ecological capacities of dry forests. • The acceptance of the planned silvicultural measures by the affected population. This can only be achieved if a visibly satisfactory replacement can be offered to supersede the unavoidable elimination of the abusive/destructive uses of the forests.

Silvicultural Systems In principle, natural dry forests are capable not only of permanently sustaining wood supplies but also of covering the need for numerous nonwood products as well as providing beneficial environmental effects. Misuse of the forests has led, in most locations, to the partial or total loss of original functionality. The aims of silvicultural systems must therefore focus on conservation and rehabilitation and on replacing forest abuse with sustained-yield procedures. To reach this goal, one can fall back on proven methods, as has been mentioned. To these belong above all the regulated coppice system, which is based on the satisfactory coppicing of the tree species involved, a condition that is met by species indigenous to the tropical dry forest. From the ecological as well as socioeconomic and silvicultural view, this system is suitable for the sustained-yield management of tropical dry forests. Restoration Measures Restoration measures are considered when stand or soil degradation is not irreversible. They begin with the removal of all damaging influences. The period of time to accomplish this depends on the state of degradation. Less heavily damaged stands often recover remarkably fast as soon as cattle, felling, or fires are entirely eliminated so that, except for temporary protection, no further measures are needed. Insect-damaged, overgrazed, burned, and otherwise degraded bushy young growth can often be reactivated simply by cutting back; it leads to the formation of fast-growing new shoots. Adequate natural regeneration is only possible when a sufficient number of more or less evenly spaced seed trees are present, and soil vegetation (such as grasses) does not inhibit the germination and growth of the young plants. Despite affirmations to the contrary, dry forest species can sexually reproduce under such conditions; but where the degradation processes of stands and soils have reached proportions that make sufficient natural regeneration impossible, the reestablishment of forests can be aided and accelerated by planting and/or seeding. The enrichment systems of the moist tropics may be used. Positive experience is available, especially regarding the use of the line methods. Utilizing indigenous species promises the best results. Nevertheless, economic or otherwise desirable species from geographically distant dry forest regions have also been used with good success. Strong, potted plants, which have been pruned (stumps) or defoliated (striplings) in order to lessen transpiration, are planted. For direct seeding, a plot-wise procedure is recommended. Grassy areas must be Page 25 of 42

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cleaned beforehand and the soils lightly cultivated. Direct seeding is advantageous, since the substantial transplantation risks encountered on these sites are eliminated, but one can also argue that by direct seeding, the plants are exposed fully to the negative environmental conditions during their most sensitive development stage, namely, germination and establishment. When stand degradation has reached the point of no return, restoration through afforestation is possible, after any remains of the initial stocks have been removed. Such measures are ecologically undesirable and costly and are only justifiable if the reestablishment of the original stocks has proven unfeasible. This is less often the case than generally assumed. Skilled and patient work can often bring back the full functionality to previously almost ruined stands. Coppice Systems Simple Coppice System This old and well-known system is recommended especially when firewood production is emphasized. Its management is very simple, and guarantees for success are high. Sustained yields are achieved using simple area grids; the number of grids depends on the rotation period (R), i.e., each year one plot is harvested. In order to always obtain the largest possible volumes, R is determined such that felling occurs at the time of the maximal current increment growth. If only firewood is produced, an R = 10–15 years is common. Volumes are on average 30–40 stacked cubic m (st.c.m.)/ha. When R = 30 years, volumes may climb to 60–70 st.c.m./ha. In addition to firewood, there will also be small amounts of utility timber. The coppice forest is not tended. Harvesting involves the clear-cutting of the plot assigned to the respective year. Clear, smooth cutting surfaces are desirable. Sharp machetes or wide axes are best suited. To encourage the quick rooting of the sprouts, oblique cuts close to the ground are recommended. Harvesting should occur at the end of the dry period, to use the rainy season for coppicing and rapid growth. The harvested wood has to be removed immediately, before the initially sensitive sprouts break out. For the same reason, cattle grazing has to be avoided initially. The coppicing ability of the stocks is dependent not only on age but also on the tree species, the site, and the rotation period. It is assumed that most stocks are able to reproduce sufficiently for at least 100 years. As a rule of thumb, after each rotation, 5–10 % exhausted or otherwise deteriorated stocks must be replaced. This can occur through natural regeneration, planting, or sowing. The latter two must take place immediately after the harvested wood has been removed. Two-Story Coppice System It is differentiated from the simple coppice system in that at half rotation time (R/2), a first firewood utilization occurs. The felling serves also as a tending for the remaining stand. On each stump, the largest, best-formed, and most vigorous sprouts are favored by removing their competitors so that at the end of the rotation period, the yields of strong, good-quality timber are relatively high. The two-story coppice system requires on average a rotation period of 30 years. After R/2, i.e., after 15 years, a yield of 25–30 st. c.m./ha can be counted on. About the same amounts are available at the end of the rotation. Regarding total biomass production, differences between simple and two-story coppice systems are not large, but at the final harvest, the latter yields a larger percentage of thicker and better-formed stems. Management is, however, not as simple as in the basic form, with the final yield strongly dependent on how carefully the first harvest was executed. Coppice Selection System This type of management is recommended especially for forests with pronounced protective functions. It can be understood as a further development of the two-story coppice system. Depending on site and stand Page 26 of 42

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factors, as well as commercial objectives, the rotation period is about 5–10 years. With each harvest, only a predetermined amount of the growing stock is cut. The customary removal is 1/3 of the volume each time and results in a coppice forest containing three generations. Increasing the age differences for ecological reasons (e.g., by reducing the fellings to 114 or 1/5 of the stock) rapidly encounters economic, technical, and management limits. Besides the possibilities for improved selection and the concomitant production of increased volumes of higher-quality utility timber, the coppice selection system offers the advantage of uninterrupted area cover (i.e., it will meet all the protective functions regarding soil and water) and insures the supply of variously useful woods and other forest products, at any given time. Furthermore, a continuous stand protects the young sprouts to a certain degree from climatic extremes such as drought. The fact that this type of management demands substantial efforts regarding the establishment, selection, felling, transport, and controls from all participants cannot be overlooked. Logging and yardage are also relatively expensive, because care is needed to avoid damage to the remaining stand. Furthermore, new shoots often are not vigorous and are inhibited or entirely suppressed by the older ones growing on the same stump. Too much shade may contribute to this fact. An even more serious disadvantage is that forest grazing may have to be limited or entirely forbidden, because regeneration processes occur constantly and on the entire area. Despite these reservations, the advantages are of such importance that systematic research is certainly justified to assess whether it is possible to use this selection system, of which currently only little is known in the dry tropical forest regions.

Technical Aspects in Silvicultural Management The specific details are given in the discussions of the respective systems. In the following, the practical aspects that are of relevance to all transformations are explained. These are: • • • • • •

Determination of the minimum harvestable diameters (MHDs) The procedures for eliminating lianas and undesirable trees The use of arboricides The least number of future crop trees (FCTs) The criteria used in choosing tree species Criteria for tree marking

Determination of the Minimum Harvestable Diameter (MHD)16 For exploitation only, trees exceeding a predetermined diameter (e.g., 60 cm) can be felled. By sparing the medium and smaller diameter classes, the aim is to secure adequate secondary growth and roughly sustained yields from natural growth and wood production. This goal can only be achieved if: • There are enough large trees for profitable exploitation. • The MHD is set high enough. • The exploited species exhibit uniform diameter frequency distributions. By limiting the felling to the usually sparse large trees, logging firms may not be willing to exploit the stand, or smaller trees may also be felled. The determination of the MHD occurs often without any consideration for the local conditions or for the species-specific attainable dimensions. However, the greatest 16

Adapted from Lamprecht (1993) Page 27 of 42

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difficulties arise from the characteristically irregular diameter frequency distributions for many of the valuable species. Gap opportunists typically have fewer offspring than large trees. There is, therefore, inadequate replenishment after harvest, even if only few of the large trees are felled. Securing sustainable yields is out of the question. MHD regulations can slow, but certainly not prevent, the eradication of valuable opportunist species such as Swietenia, Cedrela, and others. For the shade-tolerant primary forest species with usually “selection-forest-like” diameter distributions, securing sustained yields, as intended, may be possible. But even then, the MHD system results in the negative selection of the most vigorous individuals among the economic species and is detrimental to future production. The hope that gaps or thinnings resulting from exploitation will automatically activate or increase regeneration, or that regrowth will be favored in general, has proved to be an illusion. In addition to the fact that through exploitation the most valuable seed trees are lost, the “holes” created by these individual fellings cannot, as a rule, improve light conditions enough to precipitate successful regeneration. This truth is not altered by the forest laws of some countries stipulating that for each tree felled, a certain number of young trees (three to six most often) must be planted. Experience shows that even when this difficult-to-enforce task is obeyed, the planting usually occurs with unsuitable material and/or unsuitable techniques, and since no one takes care of the plantations, they soon will be overgrown and perish. The still widely held view that sustained yields can be secured by limiting utilization to the largest trees is wrong, at least in this general form. The truth is that wittingly or unwittingly, the alarming results of “exploitation as usual” remain hidden. Especially among timber concessionaires, this view serves too often as an alibi to withhold funds from tending measures intended for the exploited stands. MHD determinations can only contribute to sustainable yield security if they are part of an integrated silvicultural system.

Elimination of Lianas and Undesirable Trees Wherever lianas are common, they must be cut to facilitate access, liberate the tree crowns overgrown with creepers, and lessen logging damages. Each liana is cut twice, directly at ground level and as high as possible above. The first intervention should occur about 2 years before exploitation and, if necessary, should be repeated once or twice during a transformation. The first cutting may require 5–6 man-days/ha and is relatively expensive; the repetitions are cheaper. The fact that eliminated material usually cannot be sold and that labor costs are therefore not offset by revenues needs to be considered. The same is largely true for the wood of the undesirable tree species that are eliminated in the course of a transformation. It is often for these financial reasons that a transformation is not undertaken or that is prematurely stopped. Minimizing all costs is therefore and absolute requisite. It can be achieved through the tight organization of work schedules and the limitation of tendings to the bare essentials. It is important that the workmen know exactly what they have to do and how they have to do it. It has been proved expedient to cut, besides the lianas, also the trees up to about BHD = 20–25 (30) cm with the machete or axe. Thicker individuals are girdled and, if necessary, poisoned. The introduction of arboricides has made techniques such as refinement, liberation, and TSI much more cost effective. On the other hand, any use of poison in the forest must be viewed, on principle, with serious reservations.

Arboricides Local experiments to kill undesirable material by girdling go back a long time but have been only partly successful. Many tree species can bridge vascular interruptions and will therefore survive. Arboricides, however, are a very sure means of causing death. At the beginning, aqueous solutions of arsenic compounds (AsNaO2) were mostly used and were applied with brushes, pipettes, etc., into V-shaped girdle notches. This procedure is cheap and effective; the substances employed are, however, extremely poisonous to humans and animal. They are no longer in use. Very effective is diesel, fuel, alone, or mixed with other arboricides. Toxicity and slow breakdown speak against its use, despite its low cost. Less Page 28 of 42

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dangerous is glyphosate (“Roundup”), a phosphorus compound that is used as an aqueous solution and in similar fashion to sodium arsenite. In the meantime, the chemical arboricides have most often been replaced by synthetic plant hormones. Especially common is 1 % aqueous trichlorophenoxyacetic acid (known as 2,4,5-T). It is introduced into V-shaped girdle notches close to the soil. The notches must form a closed ring. Girdling is best accomplished using a small axe. For thin-barked trees, spraying with a 2 % solution is often sufficient. For killing of especially resistant species, two superimposed girdles are recommended, or, if needed, a repetition of the operation is made after about 1 year. As a rule, plant hormones are nontoxic for warmblooded animals, but expensive and less effective (mortality rate about 80 %) than, for example, AsNaO2. If spraying is sufficient, the higher costs are partially offset, because girdling is not necessary. Furthermore, there is the advantage that trees die over a period of 18 (24) months, which is desirable, since a gradual clearing that imitates the natural formation of gaps has great ecological and silvicultural advantages, as opposed to a sudden freestanding. Also, the treated trees fulfill desirable protective and supportive functions for some time. Cost savings obtained from the use of arboricides are so important that transformation with justifiable costs for labor and inputs was often only possible after their introductions. Besides the direct cost savings for felling damages to the remaining stand or the regeneration are mostly eliminated. It is, however, true that disintegrating dead trees can damage neighbors or young growth. Since they mostly decay while standing, this danger is not high. After poisoning, forests may often have to be off limits for up to 3 years because there is the possibility of accidents from falling crowns. Not easily dismissed are the potential risk of pest infestations in the dead wood and their subsequent disasters of this kind, and these dangers may be rather small. The most serious reservations regarding the use of arboricides is their potential impact to the environment. It should be mentioned that the original toxic preparations based on arsenic are hardly used today. It is argued that the use of 2,4,5-T contains impurities with the highly toxic dioxin. In the meantime, production is supervised more carefully. As a further precaution, 2,4,5-T should routinely be checked before use for arboricides are used exclusively for the elimination of single trees, most often in thinly settled forest areas, and not, as in Vietnam, for the uncontrolled and uncontrollable destruction of an entire vegetation. Despite this, serious and great reservations are in order. These include: • Small vegetation should always be cut down with the machete or the axe; it is well known that the felling of trees up to a DBH = 20–25 (30) cm is not more expensive. • All wood of any use should be felled and sold, even if the prices are below cost. Poisoning activities also involve expenditures and work. • Species which normally die off if they are girdled should not be poisoned. • Arboricides must never be used in doses that are dangerous for humans and animals. Under currently prevailing conditions, tropical silviculture cannot entirely do without the use of arboricides. Furthermore, at present, the incomplete understanding of their mode of action makes their optimal ecological and economical use difficult. For example, current knowledge is insufficient regarding the minimal effective doses for individual tree species, the most effective method, as well as the most favorable time of application (beginning or end of the rainy season?).

Choice of Tree Species For the determination of the desired tree species in future commercial forests, the decisive factors are both ecological and economic in nature. For many tropical countries, the production of luxury timber remains Page 29 of 42

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an attractive economic goal because it represents potential revenues in foreign exchange. However, it would be ecologically and economically wrong for them to plan forestry more or less exclusively around such exports, because: • Everywhere the indigenous need for a variety of affordable utility timber has been increasing for decades. It will continue to increase. Sustaining local and national markets is at least as important as producing timber for export. • Diversified timber production is also prompted on ecological grounds, because the ecosystematic stability of the commercial forests is also based on a very high mixing intensity. • The poor knowledge of the technological and manufacturing properties of many tropical timbers has up to now prevented their usefulness. • Modern wood research can close these knowledge gaps relativity quickly. Indeed, new, formerly not accepted woods, destined for specific purposes, are constantly appearing in the markets. New, exportable luxury woods are, however, hardly to be expected, but instead there will be primarily raw material for the home trade and industries. For the in principle desired woods, that is, for the majority of the indigenous species, classification according to a scheme such as the following is recommendable: • • • •

Luxury and export timber Already marketed utility wood Potentially marketable utility woods with foreseen properties for specific purposes Remaining wood species with currently unknown or not satisfactorily known properties

Depending on the economic objectives, the silvicultural procedures will focus on the regeneration and tending of the species from either groups (a) or (b). Trees of group (c) and (d) are preserved if they are not directly competing with those of the first two groups. If necessary, they will be favored. In conclusion, two especially important points regarding silvicultural practices: • During transformation, the risk of using site-unsuited tree species is insignificant because practically all work involves only local species. The advantages that result from this fact are self-evident, especially if, as is the case almost everywhere in the most tropics, the ecological requirements and the silvicultural behavior of the species are still little known. • The vertically and horizontally continuous tree species offer excellent prerequisites for successful transformations, both from an ecological and silvicultural standpoint. They are present in every type of forest. The continuous species usually have high abundances and dominances and are characterized by strong regenerative and survival capacities, the ability to compete, and a relatively wide amplitude regarding site requirements. It is easy to see that their percentages can be increasing with only small silvicultural expenditures. In contrast, many of the desired luxury woods are, for reason incompletely understood, difficult to regenerate and rise. In addition, they are only weakly competitive, are demanding as to site, and are receptive to organic and inorganic damages. This means that the already mentioned economic arguments against an exclusive orientation toward luxury timber are reinforced by silvicultural and ecological insights, the more so because in groups of continuous species, there are almost always utility wood producers as well. Page 30 of 42

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Number of Future Crop Trees (FCTs) or Potential Crop Trees (PCTs) In all systems, the presence of about 60 to 80 broad-leaved trees and 100 to 140 tropical pines regularly distributed potential crop trees/ha (PCTs/ha) is considered sufficient for sustained-yield security; the following observations from the moist tropics are noteworthy: • Under optimal light conditions, most economic species grow rapidly in their youth. Crown closure occurs early, and the natural reduction in stem numbers starts early and with intensity. • Only individuals that have fully developed crowns throughout life, i.e., enjoyed full freedom for their crowns, will contribute with regular growth increments, • Growth becomes stagnant as soon as the stem basal area is more than 18–23 m2/ha. With a targeted diameter of DBH = 60 cm, 80 harvest trees/ha with fully developed crowns already have basal area of 23 m2/ha; with a diameter of 80 cm, there are only 45 trees/ha. • Soil protection, stem protection of the PCT, microclimate preservation, etc., must be secured through a natural, layered inferior stand. • Selection criteria for PCTs: – Vitality, straightness of bole, evenly formed crown, desired (valuable) species • Criteria which exclude individuals for PCTs: – Strong curvature, twisted growth, forked growth, damaged bole, grown in branches • Characteristics which should be avoided: – Irregular crowns, curved bole, location next to a forest road • Final distance between PCTs: – Broad-leaved species 14–8 m; 60–80 potential crop trees/ha – Tropical pines: 12–10 m, 100–140 potential crop trees/ha Often repeated mistakes in selecting potential crop trees (PCTs): • Selection starts too late. • Too many PCTs per hectare. • Selected PCTs not vital enough. The necessary intensive tending of the upper layer is not a matter for concern because this layer is not closed in the virgin forest either; see also Fig. 7 on generic structure of PCT-treated stands. Expectations that the economic objectives can be obtained with small numbers of trees appear to be justified. The minimum numbers cited assume, however, that practically no losses occur and that the crowns of the crop trees are intensively tended throughout the entire life of the stand. Since in most situations these ideal conditions cannot be counted on, a security margin of, for example, 1.5 times the minimum number is recommended.

Tree Marking Procedures Implementation of all silviculture measures precipitates in the appropriate marking of trees to be cut or to be assigned as potential or future crop tree (PCT/FCT).17 Here exemplary procedures as applied for Vietnam are described and the main features of this activity are described as developed by Schindele (2008).

17

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Fig. 9 Marking of protected trees

Tree Marking and Location Mapping The following working steps are done simultaneously: – Setup of transect lines in the field – Mapping of the harvestable areas – Identification of harvestable trees and tree marking Tree location mapping starts with the marking of the transect line in the field using compass and measurement rope. The intersection of the transect line with the harvesting area should be clearly marked in the field with a strong wooden peck indicating the number of the transect line (i.e., “A”). The intersection of the transect line with the boundary at the other side is identified and, if necessary, adjusted accordingly on the harvesting sketch map (note: this is done in order to correctly match field survey with mapping”). Along the transect line every 10 m, a landmark shall be established indicating its position (numbering, e.g., B2-20 m). In steep terrain (i.e., slope >20 ), slope correction for the distance is necessary. Tree Marking All trees as specified in the silvicultural instruction (cutting limits, PCTs) for the specific region are identified and marked with a serial number on the tree in red paint, one uphill and one downhill at breast height. The approximate position of the tree is marked on the “tree marking and tagging list.” Tree number, location, type of tree, species, DBH (down to 1 cm), bole height (down to 1 m), and quality are recorded (refer to Figs. 8 and 9). Protected trees are marked with a white ring at breast height. They should easily be visible during harvesting operations as utmost care has to be given not to damage or destroy such trees. The following trees are considered as protected: – Valuable and rare species as detailed in the Red List18 (IUCN 2014) and the Decree 48/2002/ND-CP on the list of wild, valuable, and rare animals, plants, and trees in Vietnam 18

IUCN (2014) Red List of Threatened Species created in 196. Page 32 of 42

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Fig. 8 Marking of harvestable timber

– Trees already used by local people (honey, resin, medicine) – Nesting or breeding trees for wildlife – Trees located on steep slopes, erosion site, rocks, and waterlogged areas too small to be mapped out Selection of Trees to be Harvested Once tree marking is completed in one strip (i.e., section between two transect lines), mother trees and trees to be harvested shall be preliminarily identified according to the following tree marking rules. This is done together with all members of the marking team, as they still are able to remember the specific situation of each tree. The 5 m, 25 m, and 50 m grid on the tally sheet is used as a spatial reference (Fig. 10, Table 5). Depending on their nature, trees are marked on the “tree marking and tagging list” as shown in the table below. Mother trees and protected trees should be additionally marked with green (for mother) and red (for protected) marking pen (Fig. 11, Table 6). On the tally sheet above a riparian buffer is indicated (plot 2) as non-timber production area. Furthermore, an old logging road is sketched in plot 3 and 4. In each plot, there is one mother tree. The total number of trees to be removed is 17 of which 13 are harvestable trees. Four trees are to be removed out of sanitation purposes. Of these four trees, two belong to the upper story and are counted (tree number 13, 31) and two are subdominant and are not counted (tree number 9, 36). As such, the total number of trees to be harvested is 15. Preparation of Tree Location Map All information is transferred from the “timber marking and tagging list” to the “harvesting sketch map” at a scale of 1:1,000. This includes: – Old forest roads and skid trails – NTP areas (non-timber production areas) by function – Tree location (use same symbol and tree number as in “tree marking and tagging list”) This is then the “tree location map.” If possible, the information should be digitized and stored as a GIS database. For each type of tree, a separate GIS theme should be prepared with tree number, species, and measurements as attribute (Fig. 12). Page 33 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 10 Marking procedure for harvestable trees Table 5 Five tree marking rules as applied in semi-deciduous tropical forest in Vietnam Rules 1 Mother trees

2

C-trees (Sanitation)

3

Distance rules

4 5

Diameter rule Silvicultural rule

Description At least four mother trees per ha, one in each 50 m quadrant (note: if possible close to the center, need to be retained). A mother tree must be of a valuable species (timber class I–VI) and of good quality (A) and must be able to produce seeds (i.e., no overmature trees). If possible, change species from quadrant to quadrant. Mother trees are marked permanently at breast height with a yellow ring Trees of quality C shall only be removed if necessary out of silvicultural or safety reasons (sanitation). If C-tree belongs to the upper canopy, it is treated as harvestable tree (16-C), and if the tree belongs to the middle and lower story and shall be removed, then it is not counted (16 + C) The maximum number of trees to be marked for harvesting is 16 per ha. On very sensitive sites, it may be reduced to 12. When selecting the trees to be harvested, the following rules have to be observed: The total number of trees in four 50
50 m quadrants (i.e., 1 ha) is 16 The maximum number per quadrant is 5 (i.e., 1 tree can be compensated) Ideally, there should be not more than one per subquadrant (25*25 m) The minimum distance should be 10 m If two trees are very close together, they count as one Select the largest trees first Change species, if you have the choice, trees next to future crop trees to be removed first (to be decided on the spot)

Summary of Silvicultural Practices19 Sustainable silvicultural management targets the enhancement of the productivity and/or quality of the forest with the objective of optimizing the economic outputs of forest operations without harming sustainability. Related silvicultural interventions comprise the following aspects:

19

Adapted from Grulke et al. (2015) Page 34 of 42

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Fig. 11 Example of tree marking and tagging list

Table 6 Symbols and specifications for different trees in tree marking and tagging list Type of tree Mother tree Protected tree Harvestable tree C-Tree, to be removed, upper canopy C-Tree, to be removed, lower canopy Retained tree

Symbol

“Type”

Ο

M P H CH C -

•

Note: The identification of harvestable trees at this stage is preliminary as after road and skid trail planning, it might be necessary to change selection of harvestable trees out of economic reasons taking into account the distance to the next road or skid trail. As such trees are not yet hammer marked, this is done at a later stage, when roads and skid trails are marked in the field.

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• Assurance of forest regeneration, either by enhancement of natural regeneration or by enrichment planting. • Regulation of competition to concentrate the site given growth potential on the so-called potential or future crop trees. These interventions encompass the tending of renewals, liberation thinning to eliminate competitors of potential crop trees, and, where necessary, liana cutting. • Careful harvesting of mature commercial timber species, through the application of reduced-impact logging techniques. • Gradual reduction of mature and overmature tree relicts with no or limited commercial value, due to species or individual properties. But present application of silviculture systems is quite limited to a few techniques. Grulke et al. (2015) compared recommended versus implemented silvicultural techniques; see Table 7. The result is sobering but should not lead to oversimplification of silvicultural options which are available both in research results as well as in practical examples.

1917256°N

1917246

1917236

1917226

1917216

1917206

1917196

1917186

1917176

1917166

1917156

1917146

1917136 648682°E

648692 648702 648712

648722

648732 648732 648752

648762 648772 648782 648792 648802

Supported by Vietnamese - German Forestry Programme

Fig. 12 Example of a tree location map Page 36 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

Summary of Silvicultural Options20 As already mentioned, there are scientifically proven silvicultural measures to enhance productivity. The most important are summarized in the following Table 8. The table also summarizes the economic and political options relevant for productivity enhancement.

Summary of Economic Aspects of Silvicultural Operations21 The chapter would be incomplete if we would avoid to give a glance on economic aspects on silvicultural operations. As a result of different site conditions and applied silviculture, mean annual increment (MAI) values range between 1 and over 15 m3 per ha and year. However, forest companies normally sell only between 10 and 20 different tree species, and in most cases, 1–5 tree species are responsible for the major turnover of the company. Therefore, yields range between 0.5 and 3 m3 of commercial log volume per hectare and year. Furthermore, Grulke et al. (2015) summarize the economic indicator values for silvicultural operations in the tropics as follows: • • • • • • • •

Harvesting operation costs: 30 USD per m3 Silvicultural management costs: 15 USD per ha and year Transport costs: 20 USD per m3 and 100 km Administration costs: 28 USD per ha and year Log prices: 109 USD per m3 Environmental protection: 120–520 USD per 1,000 ha Permanent employment: 1–7 workers per 1,000 ha Training and capacity building: 10–100 USD per permanent employee

Example of Applied Silviculture In 2002, the companies PAYCO and UNIQUE (a Freiburg-based German company) created the FORCERPA Consortium (acronym for Certified Forestry in Paraguay/Foresteria Certificada del Paraguay) (adapted from Grulke et al. 2014). PAYCO is an agricultural company that develops agriculture, livestock farming, and, recently, forestry in Paraguay. The consortium is lead as a German-Paraguayan joint venture. The roles within the joint venture are clearly defined. UNIQUE is responsible for the technical management, plans and coordinates diverse operations in the forest, secures the training and capacity building to the inside of the company, and is responsible for the timber sales. PAYCO takes care of the financial and staff management. The financial commercial relationship is simple and transparent: the current costs for the sustainable forest cultivation are covered with the timber profits. Results at the end of the year are distributed according to an agreed key between the consortium partners.

The Silvicultural Management Concept The fundamentals of the silvicultural concept were developed in the 1990s during a research cooperation between the forestry faculties of Freiburg and Asunción (Grulke 1998). It can be described with a future crop tree (FCT)-oriented selective logging industry. The main elements are the following:

20 21

Adapted from Grulke et al. (2015) Adapted from Grulke et al. (2015) Page 37 of 42

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Table 7 Best practices – applied research versus implementation practice (Adapted from Grulke et al. 2015)

Silvicultural systems and practices

Growth and yield and intervention cycles

Economics and markets

Governance and legal aspects

Best practices recommended by applied research (literature review) Polycyclic systems are most common approaches Systems promoting FCTs have the highest impact on forest productivity and quality Liberation thinnings are very effective (growth increase >50 %) RIL is the most important practice: including preharvest plan, low-impact harvest techniques, postharvest interventions, and monitoring and evaluation Total MAI is very variable, values ranging between 1 and over 15 m3 per ha and year Only a few species have commercial value (1–20) Yields are low, values ranging between 0.5 and 3 m3 of commercial log volume per ha and year Recommended intervention cycles between 10 and 40 years. Unclear definition of MAI and harvested volumes make comparisons difficult Scarcity of reliable data on economics; the few data on return on investments (IRR) vary between 6 % and 16 % Only a small share of the tropical tree species are marketable Marketing of logs mostly at regional level (Semi-) final products target international markets Main consumer markets for tropical hardwoods: Asia, North America, and Europe and (increasing concerns on legality) No particular literature review conducted on this aspect

Best practices implemented by companies (survey) All companies apply polycyclic systems Only 20 % of companies apply treatments aiming at the promotion of FCTs Application of RIL techniques is very frequent Only a few companies apply liberation thinnings

High variability in MAI but prevalence of low values, below 5 m3 per ha and year Commercial species rarely exceed 20 species. This represents a challenge for companies High variability in yields but prevalence of low values, on average below 1 m3 of commercial log volume per ha and year Intervention cycles normally between 20 and 30 years with an average harvested log volume of 18 m3 per ha Almost all sell products on the domestic markets and three-quarters export Agreements and cooperation along value chain are common practice Difficulties to market lesser known species There is a well-defined and interesting market for tropical timber, but timber prices and access to markets are difficult Illegal logging and sector informality are a main barrier for sustainable forest management Long-term and secure use rights are essential Political backing is required to compete with alternative land uses No incentive systems in place for natural forest management Current forest legislation is often not in line with sustainable forest management

• Stratification of the forests in production forests and protective forests. All the forest area of 5,650 ha is divided in 4,000 ha production forests (70 %) and 1,650 ha protective forests (30 %). • Preparation of a management plan and derivation of the sustainable cutting rate based on random inventory measurements and growth simulations. The estimated sustainability increase rate is 19,000 m3 merchantable wood (9,000 m3 standing timber singlehandedly and 10,000 m3 wood fuel through qualified foresters), which is equivalent to 5 m3/ha/year at 4,000 ha net production area. • Adequate developing of stands. The road network consists of 15–20 m/ha all-weather forest roads and 100 m/ha hauling tracks. • Preparation of an inventory-based operative yearly planning. As for this purpose, the annual coupe felling of around 400 ha is divided in blocks of 15–25 ha. The volume of harvest-ready trees is Page 38 of 42

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_122-2 # Springer-Verlag Berlin Heidelberg 2015

Table 8 Options to enhance productivity Option Guarantee a permanent regeneration of all timber species

Selection and consequent enhancement of potential crop trees (PCTs), which assures the long-term productivity of the forests

Reduce felling and skidding damages on remaining forest, particularly on PCTs Ensure that tree species composition is not shifted toward a lower participation of commercial tree species after the intervention

Shorten intervention cycle Award and monitoring of concessions

Actualization of forest legislation

•

• •

• •

Best practice Conducting postharvest interventions to create best conditions for natural regeneration Tending of natural regeneration Marking of PCT during preharvest inventory Liberation thinning: elimination of PCT competitors If competitors can be utilized, then they should be harvested. If not, then standing elimination by girdling or application of arboricides is the better option, because of lower costs and less damages on remaining forest than felling the tree Consequently apply the techniques of reduced-impact logging (RIL) Step by step elimination of mature trees of noncommercial tree species If these trees can be utilized (e.g., for energy purposes), they should be harvested; if not, standing elimination should be applied More frequent interventions with lower intensity (every 10–20 years) Award of concessions only when coherent silvicultural concept is presented Concessions should last a minimum of two intervention cycles Effective on-the-ground monitoring of applied silviculture by forest authorities Promote sanitary cuts and elimination of competitors: define the maximum basal area which can be removed in one intervention and then classify it according to commercial trees, sanitary cut of noncommercial trees, elimination of competitors Promote shorter cycles but less intensive interventions

determined for each block. Then the comparison of the sustainable cutting rate is performed with the annual coupe felling. Selection and consequent liberation cuttings of 150 to 200 FCTs per hectare of all diameter classes. Criteria for the FCTs selection are: – Classified as current or potential marketable timber – Vitality (well-developed crown, no recognizable damage) – Stem quality (unhedged in the first 5 m, no coarse branches) – Spatial distribution Consequent clearance of the liana on FCTs and harvest-ready trees at least 6 months before the timber harvesting. An important success factor is a careful timber harvesting during the extraction of the harvestable trees. Unavoidable damages to the rest of the stands have to be minimized. Thanks to intensive trainings through timber harvesting experts, it was possible to reduce the stands damage by 50 %. Before the training, there was damage from timber harvesting of 25 % of the FCTs (strong to very strong damage); after the training, the percentage went down to 12 %. Debris care to assure a permanent regeneration of the stands. Definition of intervention cycles of 10 years. Page 39 of 42

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Table 9 Growth with different treatment. Growth is markedly above the prescribed cutting rate. This leads to the desired increase of basal areas and standing volume of the stands. At the start of forest management, the stands showed medium basal areas of 25 m2/ha. Nonintervened forests in the region have a basal area of around 35 m2/ha. It is planned to increase the basal areas within 2–3 interventions to approx. 30 m2/ha. Before the cultivation of forests, they were selectively exploited in two interventions (in the 1960s and 1980s) and reduced the proportion of commercial tree species through it. By means of the sustainable cultivation, the proportion of basal areas of commercial species was increased. The qualitative degradation process was stopped und transformed into an upgrading process Parameter All trees Merchantable wood volume Standing timber volume Relative increment Only FCTs Merchantable wood volume Standing timber volume Relative increment

SFM

Exploitation

No intervention

m3/ha/year m3/ha/year %

10,6 5,3 166 %

5,6 2,8 88 %

6,4 3,2 100 %

m3/ha/year m3/ha/year %

6,0 3,0 176 %

4,4 2,2 129 %

3,4 1,7 100 %

Sustainable forest management: planter system in combination with careful timber harvesting process. Exploitation: traditional timber harvesting without careful interventions. No intervention: zero area, complete conservation. Note: only standing timber volumes were measured. Research of the frequent tree species showed a proportion of merchantable crown wood to standing timber of 1:1. Consequently, standing timber and merchantable wood are in a proportion of 1:2 (Britos 1997; Jara 1999) (Source: Hoh 2006; Grulke 2009)

The silvicultural concept was tested in the second half of the 1990s and it is applied since 2002 on 6,000 ha.

Growth Monitoring on Permanent Plots In 1995, 8 ha of permanent observation plots were installed in order to analyze the dynamic processes under different intervention options. The following was researched comparatively: • The above-explained planter management • The traditional exploitation without any silvicultural management measures • Nonintervention complete conservation Overall, more than 5,000 trees were permanently marked, their coordinates were defined, and they were observed and measured over a 10-year period. The most important results from the permanent plots are: 1. Through precise silviculture interventions, the growth rate could be doubled (see Table 9). 2. In the sustainably managed plots, 40 % more natural regeneration was observed than in exploitation areas. 3. The diameter growth varies strongly depending on the tree species. Most of the species react very positively to the liberation cuttings with growth increases of up to 250 %.

Profit and Costs Table 10 provides a summary of the wood profit, cost structure, and achieved product profitability. Net profits per hectare are comparable with profits from extensive pasture economies, which is the main deforesting factor in Paraguay and the rest of Latin America. The commercial utilization of the Eastern Paraguayan natural forests is not only technically possible but also economically sustainable. Aside from profit for the forest owners, also qualified workplaces are created in a structurally weak rural area.

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Table 10 Costs and profits of the forest cultivation in USD ($) Position Wood profita Operative costs Forest road building/leisure Timber harvesting Measures for caring Other Operative profit (DB1) Administrative costs Profit before taxes (DB2) Taxes Profit after taxes

Total 760,435 231,254 35,841 154,360 19,929 21,124 529,181 160,311 368,870 36,002 332,868

a

Per m3 84 26 4 17 2 2 59 18 41 4 37

b

Per ha

132 40 92 9 83

Source: year-end data from FORCERPA for 2011 and 2012 9,000 m3 timber felling; in wood, profit just as high as 50,000 USD was achieved through energy wood b 4,000 ha production area a

FORCERPA employs 12 full-time workers and eight employees from service companies. In addition, the regional timber industry is supplied with the necessary raw material.

Perspectives • To succeed in the productive economic utilization explained above, forests should not be too degraded. It is important for its short-term economic success that there are enough commercially interesting species (>15 to 20 m3/ha). This is usually not the case in many degraded natural forests. • The development of an adapted silvicultural strategy requires preliminary works and advance financing. The first years of the business organization will be in deficit. The risk for the forest owners is very hard to estimate, as it is for him a new form of land use. • Know-how required for forest exploitation at the planning, coordination, and operational level is not widely spread. There are only few forestry engineers with the required forestry vision and expertise in combination with the willingness to work in comparable remote regions. The forest workers are not sufficiently trained for careful timber harvesting.

References Britos JA (1997) Obtención de valores de coeficiente mórfico en tres especies nativas. Tesis de graduación [Obtaining values of morphic coefficient in three native species. A graduation thesis]. Universidad Nacional de Asunción Ewel J (1980) Tropical succession: manifold routes to maturity. Biotropica 12:2–7 FAO (1989a) Management of tropical moist forests in Africa. Food and Agriculture Organization of the United Nations, Rome FAO (1989b) Review of forest management systems of tropical Asia. Food and Agriculture Organization of the United Nations, Rome Graaf NR (1986) A silvicultural system for natural regeneration of tropical rain forest in Suriname. AUW, Wageningen

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Grulke M (1998) Überf€ uhrung exploitierter Naturwälder Ostparaguays in naturnahe Wirtschaftswälder. Schriftenreiche Freiburger Forstliche Forschung, Band 2. Forstliche Versuchs- u. Forschungsanst [Transformation of exploited natural forests in Eastern Paraguay in nature-similar cultivation forests]. Freiburg Grulke M (2009) Producción de madera en bosques nativos (sub-)tropicales – una opción viable para su conservación? [Wood production in sub-tropical native forests: a visible option for conservation?]. In: Poster presentation XXIII world forestry congress, Buenos Aires Grulke M, Wippel B, Ortiz R, Fleitas W, Hoh A (2014) Sustainable utilization of the Natural Forest in Paraguay profit contribution on a par with livestock-farming. UNIQUE, Freiburg Grulke M, del Valle P, Calo I, Merger E, Pawlowski G, Wittmann N (2015) Sustainable natural forest management in the tropics. Best practices and investment opportunities for large-scale forest management companies. UNIQUE, Freiburg Hoh A (2006) Zuwachsuntersuchungen in Abhängigkeit von Bewirtschaftungsvarianten. Diplomarbeit Fachhochschule Rottenburg [Growth research dependent of cultivation variants; Graduation Thesis University Rottenburg] ITTO (2002) Guidelines for the restoration, management and rehabilitation of degraded and secondary tropical forests. ITTO Policy Development series no. 13, Kyoto IUCN (2014) The IUCN red list of threatened species. http://www.iucnredlist.org/ Jara EA (1999) Obtención de coeficientes mórficos para tres especies nativas. Tesis de graduación [Obtaining morphic coefficients for three native species. Graduation thesis] Universidad Nacional de Asunción Kennard DK (2002) Secondary forest succession in a tropical dry forest: patterns of development across a 50-year chronosequence in lowland Bolivia. J Trop Ecol 18:53–66 Lamprecht H (1993) Silviculture in the tropical natural forests. In: Pancel L (ed) Tropical forestry handbook, vol 1. Springer, Berlin Murphy PG, Lugo AE (1986) Ecology of tropical dry forest. Annu Rev Ecol Syst 17:67–88 Payer M (1998) Materialien zur Forstwissenschaft. – Kapitel 4: Waldbau und Forst. – Fassung vom 28. Januar 1998. http://www.payer.de/cifor/cif04.htm Quesada R (2014) Conservando el bosque secundario a través del manejo forestal sostenible: aplicando tratamientos silviculturales para el bosque del futuro. GIZ-REDD/CCAD-GIZ, La Libertad, El Salvador Schindele W (2008) Guideline on harvesting planning, natural forest management by SFE, GTZ. Hanoi Vieira DLM, Scariot A (2006) Principles of natural regeneration of tropical dry forests for restoration. Restor Ecol 14(1):11–20

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Reforestation Incentive Systems for Tree Plantations in the Tropics Laslo Pancel* Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH, La Libertad, El Salvador

Abstract Incentive systems for tree plantations are an important instrument to create renewable resources through credible mechanisms to encourage private landowners to engage into the tree planting business. Experiences in Latin America provide some of the most promising examples on how to guide and promote land-use changes for tree-growing purposes. Convincing benefits such as job creation and tax incomes must be combined with budgetary and good governance commitments. Negative experiences from Asia illustrate certain shortcomings that should be avoided. Lastly, an outline for renewed and modern commitments to an incentive system for tree plantations will have to include the following stages: Stage 1, consulting established laws, policies, and national forestry strategies; Stage 2, updating and/or catalyzing the national reforestation program; and Stage 3, proposal for the creation of a trust for the reforestation incentive program.

Keywords Investment into plantations; Direct-; Indirect incentives; Financial stimuli; Forest funds; Issues hindering incentives; Design of plantation incentives

Introduction Extensive experience in tree plantation incentive systems in the tropics has been generated over the last 30 years. Accumulated best practices and failures allow us to draw precise conclusions on how to successfully engage in such a system or how to improve existing inviable systems. This chapter provides an insight into success stories and a stepwise construction of an incentive system. Good governance and accountability of state agencies appear as basic requirements for all of the aspects of the system.

Philosophy of Tree Plantation Incentives An incentive is an economic contribution that partially covers the costs of establishing a plantation. To a certain extent, an incentive is established to give the landowner a “push” to begin the business of planting trees. This approach means that the owner must be economically prepared to invest his or her own resources as well; an incentive is not a permanent arrangement. Any national or regional incentive program requires ongoing and constant budget inputs. Governments often have a hard time coming to terms with this fact. Any budget cutback could translate into a stoppage in plantation establishment or management activities. Additionally, a program of this nature needs constant supervision in order to ensure that the funds are invested in successful plantations. An incentive Adapted from Castañeda (2013) *Email: [email protected] Page 1 of 14

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may create dependency, especially among small- and medium-size landowners, to the extent that if the incentive is absent, certain management activities may not be completed and the plantation itself may be in danger. Box 1: Plantation Incentives: A Brief (Cossalter and Pye-Smith 2003) Subsidies to the forestry industry in the developed world have far exceeded those provided by developing country governments. At present, the average subsidy for plantation schemes in 11 EU countries is $1,421 per hectare, with an additional $761 per hectare for maintenance. This compares with subsidies of less than $400 per hectare for most plantation schemes in South America. However, most developing countries with significant plantation interests have used, or continue to use, incentives and subsidies as a means of encouraging the industry. For example, between 1974 and 1994, the Chilean government spent some $50 million on afforestation grants. In Brazil, subsidies and taxation incentives were used to encourage the establishment of plantations, and in recent years, Ecuador and Colombia have adopted a similar incentive model to Chile. Ecuador currently provides planting and maintenance incentives amounting to $300 per hectare. Paraguay provides $350 per hectare for planting and $100 per hectare for maintenance for the first 3 years.

Principles of Incentives for Tree Plantations Incentive programs for tree plantations in the tropics are based on two main principles: • Private-sector participation (large, medium, and small scale) and engagement with indigenous peoples • A defined time span of support through incentives

Reasons for Tree Planting Incentives Investment • Even low rates of return (3–11 %) can be appealing for private investors, as incentives may be provided on a long-term basis and are environmentally and socially attractive. • Investments in forestry are low-risk and long-term opportunities, provided that tree plantations are insured against forest fires, pest, and disease. • Required investments in tree plantations during the rotation/production period are relatively low (0.9–4 % per year of plantation establishment), compared to other investment enterprises.

National Strategy • • • •

Development of a national forestry industry Generating currency exchange Production of raw materials contributes to independence from wood and wood product imports Income generation for the national economy. Workplace ratio: one forest worker versus 2.1–2.8 jobs (secondary positions) outside the forest (transport, manufacturing, commerce, and the service sector) • Direct income generation for the government through VAT and income taxes Page 2 of 14

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Table 1 Types of incentives Direct incentives

Seedlings Plantation costs

Specific provision of local infrastructure to support plantations Grants Tax concessions Differential fees Subsidized loans Cost sharing arrangements

Indirect incentives Variable incentives Sector Macroeconomic Input and Exchange rates output prices Trade Interest rate policies restrictions (e.g., tariffs) Fiscal and monetary measures (e.g., income tax)

Enabling incentives Land tenure and resource security Socioeconomic conditions

Accessibility and availability of basic infrastructure (ports, roads, electricity, etc.) Producer support services Market development Credit facilities Political and macroeconomic stability National security Research and extension

Adapted from Enters et al. (2003)

• Creation of good initial investment conditions with a view toward gradually withdrawing from the program until the activity is fully financed with the investor’s own funds • Building a business culture in the forest sector through establishing tree plantations (Table 1)

Examples of Incentive Systems The examples below help to illustrate the complexity of tree planting incentive systems and the necessary elements for such an undertaking.

Uruguay Plantation subsidies are calculated annually by the General Forestry Department (DGF). The requirements for the loan are: • The plantation and forest management project for protection or production purposes must be approved by the DGF. • A survival rate of at least 75 % of the initial plantation density must be achieved. • A payment request for the subsidy from the DGF must be submitted within 4 years following the establishment of the plantation. Financial Stimuli In accordance with Forest Law 15.939, financial stimuli for forest investments may include: • Tax exemptions on land for forestry production (property taxes, income taxes, and municipal taxes). • Cash subsidies equivalent to up to 50 % of the plantation costs as established by DGF norms. • Opportunities to invest over 30 % of income taxes from other sectors in forest projects; similar benefits are provided for purchasers of Uruguayan foreign debt bonds. • Twelve years of tax-exempt status for any new tax. Page 3 of 14

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• • • •

Exemption from import taxes on forestry and industrial machinery for projects approved by the DGF. Favorable loans with 10- to 12-year grace periods for interest payments. Flexible access to credit for forest and landowners to credits. Allowance of land rental contracts for periods of up to 30 years (the maximum allowed term for land rental contracts for other activities is 15 years).

Forest Funds Afforestation activities are conducted based on a national afforestation plan with a 5-year period and yearly updates. This plan includes yearly goals and yearly reforestation targets in hectares. Once the national afforestation plan is updated and approved by the DGF, the stimulus program for all forestry activities is published. A forest fund was created through Forestry Law 15939 in 1987 in order to finance reforestation and associated forest activities. The fund is replenished through several sources: contributions from the executive branch, repayment of credits granted by the fund itself, interest charged, and other income from use, concession, and benefits received by forest sector. Furthermore, the fund also receives income from fines for infractions of the forestry law, loans, and funding from trusts and donations. The fund has been established at Banco de la República Oriental del Uruguay. Fund Distribution The fund is distributed as follows: • Ninety-five percent of the fund is used to subsidize the goals of the national afforestation plan and make payments needed for expropriation and investments. • The remaining 5 % is used to cover expenses for hiring personnel, contracting services, and covering program expenses. Promotion of Forestry Enterprises Article 65 of the Forestry Law provides incentives for a duration of 15 years for rural or industrial producers and enterprises dedicated to afforestation, exploitation, or industrialization of domestically produced timber, for the following activities: • Production of seedlings for establishing plantations and forest management • Timber exploitation or use of other forest products • Timber production for pulp, paper and cardboard, sawn timber, wood boards, plywood, wood particleboards, and wood distillates • Timber preservation and drying • Use of forest products as raw materials in the chemical industry or for energy generation Conclusion For several years, Uruguay has sought to become one of the most successful countries in the forestry production and industry sector. The forestry economy is based on the development of tree plantations consisting mainly of Eucalyptus spp. (see Fig. 1) and Pinus spp. The incentives established in the Forestry Law from 1987, and implemented in 1990, made it possible to establish a total area of tree plantation of over 1.0 million hectares by the end of the year 2011 (Rosario 2011) (see Fig. 2 below). At present, sawn timber represents nearly 100 % of forest product exports and stands in third place in the country’s overall

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Fig. 1 Plantations of Eucalyptus grandis from COFUSA-URUFOR in Rivera, Uruguay. MAI, 25 m3/ha/year; initial planting density (N/ha), 1,000 stems per hectare; end of rotation (N/ha), 120–140 trees per hectare; altitude, 200 m; mean annual rainfall, 1,650 mm; soil, sandy deep soils (Courtesy of COFUSA-URUFOR, 2014)

80000 70000

Millions of Hectares

60000 50000 40000 30000 20000 10000

19 90 19 91 19 92 19 93 19 94 19 95 19 96 19 97 19 98 19 99 20 00 20 01 20 02 20 03 20 04 20 05 20 06 20 07 20 08 20 09 20 10

0 Year

Fig. 2 Development of tree plantation area in Uruguay (Rosario 2011)

exports after soybeans and beef. The forestry industry, which includes all of the processes from plantation establishment to conversion of raw materials and exportation, has been growing steadily. Forest exports peaked in the year 2011 at 1.3 billion USD. These exports fell to 1.1 billion USD in the year 2012 as a result of the economic crisis. In the year 2011 alone, the sector generated 24,000 jobs, of which 13,000 were positions in plantation enterprises. There are no longer direct subsidies in effect for plantations in Uruguay. Nonetheless, fiscal mechanisms for forest management promotion continue in the form of tax relief.

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Indonesia Incentives Indonesia has a fund for reforestation and forest rehabilitation, which was created through a tax applied to the volume of timber produced and enshrined in Presidential Decree No. 35-1980. Since its implementation in 1989, the fund has provided an estimated 500 million USD per year to companies. From 1989 to 2009, the fund disbursed approximately 5.8 billion USD. Out of this total, the Ministry of Forestry disbursed over one billion dollars through loans and cash donations to promote the establishment of commercial plantations. Nonetheless, over the years this fund has suffered from poor financial management, and its administration has been highly questioned due to a lack of transparency, to the extent that the government has had to create a Commission for the Eradication of Corruption in response to a multibillion dollar loss. Another objective of the fund was to promote private investment for the establishment and management of forest plantations. This incentive program was oriented toward the promotion of timber clusters, the plywood industry, foreign investments, and concessions. The fund was also used to convert highly degraded lands into productive forests. Lessons Learned from the Indonesian Incentive Model The Indonesian incentive format faced a series of problems that limited its effectiveness. The majority of these problems were related to legal restrictions in place for felling trees, transportation, and sale of harvested timber. Regulations related to felling trees and transporting timber on private property were very strict, which discouraged the private sector from investing in the establishment of new plantations. Additionally, excessive bureaucracy limited all formal procedures. Five species identified as “restricted” could only be transported or sold by the forestry department. Expenses and royalties for the use of these species further reduced profits for the forest owners. The lack of market information and the low prices for timber products were other causes for the low impact of the incentive scheme. An additional disincentive was the establishment of an export ban for saw logs, which further discouraged the forest industry from investing in forest plantations. With extensive natural forest areas still available, the industry decided that planting trees was not an attractive investment.

Success Factors Countries that have been successful with their incentive programs include Chile, Uruguay, New Zealand, Costa Rica, and Guatemala. Success may be attributed to the following factors: • • • • •

Clear and efficient legal frameworks for forestry. Private property is respected and guaranteed by the government. Long-term commitments by decision makers to support the incentive program. Large-scale promotion of forest plantations. Training for personnel in charge of supervising the incentive scheme and training for incentive program beneficiaries. • Excellence in technical backstopping for tree plantation operations, technology, and marketing. This technical knowledge includes site selection and treatment, species selection, plantation techniques, fertilization, pest and disease management, productivity monitoring, wood-based industry technology, and marketing support for forest enterprises.

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Issues Hindering Incentive Schemes The existing experience with incentives for tree plantations clearly indicates certain mistakes that must be avoided in order to ensure a successful incentive scheme.

Policy • Lack of an efficient national forest and afforestation plan to outline the goals of forest plantations for national forestry authorities, interested landowners, and the forestry industry. • Lack of a clear and well-defined state economic and sector-specific policy to motivate the forestry sector to contribute to the commercial forest development of the country. • Promotion of inequitable land-use policies that favor other sectors (e.g., agriculture) over forest plantations (Enters et al. 2003). • Competing incentive schemes for investment in forestry production: promoting investments in large concessions of natural forests conflicts with commitments to tree plantations, where profit generation takes at least 5–10 years. • Centralized incentive schemes may differ from implementation realities and prevent effective monitoring of events. • Corruption on all levels of government.

Market Policies • Export or import controls that hinder the development of efficient timber processing and/or forest plantation establishment (Enters et al. 2003). • Lack of clusterwise promotion for tree plantations. Plantations in isolated sites pose various disadvantages.

Financing • • • • •

Inadequate financial resources. Inappropriate government budget commitments (in scale and duration). High interest rates for banking credits and short pay-back periods. Disincentives that directly or indirectly reduce returns for investors (Enters et al. 2003). Crowding-out private-sector investment in plantations by maintaining high public-sector involvement. This is particularly true when granting public plantations vast privileges that prevent the private sector from competing (Enters et al. 2003).

Environment • Policies that allow plantation developments with detrimental environmental and/or social impacts, causing conflict among private companies, communities, and environmental groups (Enters et al. 2003). • Factors such as illegal cutting, degradation of forested lands, and high deforestation rates often emerge in rural areas with high poverty, high rates of unemployment, and a low development index. • Forest fires are a main driver of forest degradation and biodiversity loss; forest plantations are not immune to this phenomenon.

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• Maintaining policies and incentives in place longer than necessary; the most successful incentives are those that can be phased out (Enters et al. 2003). • High population pressure: competition between food production and tree plantations.

Technical Aspects • Lack of training for the actors in charge of implementing the program. • Inappropriate technical implementation: seedling quality does not match site requirements and plantation objectives.

General Conclusions for Tree Plantation Incentives • Framework conditions: Financial incentive programs have been effective and have created a positive impact on the establishment of plantations. Nonetheless, for these incentive programs to be successful, they require appropriate policies that support and ensure land tenure, technical assistance, and other conditions to make the investment attractive even without a subsidy. The success of the program will depend on the social, economic, political, and environmental conditions of the country. • Political commitment: In the majority of the countries in which an incentive program has worked, the ruling authorities have made a political commitment to ensuring safe investments by not changing the laws related to the final harvest of the product. • Business environment for private enterprise: It is very important for an incentive program for forest plantation establishment and management to involve and provide incentives for private businesses and create conditions for long-term investments. • Any business restrictions, such as imposing saw-log exportation bans, discourage the timber and plywood industry and dampen investment in the establishment of forest plantations. • Consideration of financial and professional capacities: The majority of forest incentive models with small- and medium-size owners may be successful. Nonetheless, these models have faced certain problems for implementation. Budgetary problems have emerged in some cases, while in other cases beneficiaries have encountered technical and operative weaknesses that can lead to arrears due to a lack of execution of plantation work. • Financing smallholders: Smallholders, medium-size landowners, and indigenous communities can make important contributions to reforesting a country. Nonetheless, they need financial support in order to be successful. This is not the case for the private sector, which may have alternative access to private financing. Chile and New Zealand stand as examples of this case. • Limited credit lines: In several countries, private and state-run banks still do not dare to give loans for smallholders and micro-business reforestation initiatives; these investors await improved conditions to reduce risk. • Monitoring by authorities: An incentive program may appear to demonstrate a certain level of state “decentralization,” but this format does not justify a total detachment of the state from this activity. The state must maintain its supervisory role.

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Basic Requirements for the Design of a Tree Planting Incentive System Prominent experiences in tree plantation incentive systems in the tropics indicate that the basic requirements for the design of a functional incentive system must consider national, political, social, economic, environmental, cultural, and technical issues. One core objective of the incentive for tree plantations is to create an economically important selfsustaining natural resource, which simultaneously renders economic and environmental benefits. This result can also be reached through other forms of financing such as tax reductions or exemptions. This mechanism must be used rationally and must be carefully inserted into the forestry policy and legislation of a given country. The mechanism must also operate in accordance with national economic policy and specific policies for related sectors in order to avoid producing adverse results. Experiences in several countries in which changing land use, unfair competition with other sectors, or conversion of naturally regenerating forests to plantations has occurred stand as examples of the need for this coordination.

Specific National Objectives of a Tree Planting Incentive System Experience shows that objectives for tree plantation incentives, although similar, can vary according to specific requirements: • Support for country policies such as poverty reduction, gender equity, job creation, and human development in general • Implementation of national reforestation plans or support for reforestation actions • Expansion and maintenance of forest coverage through establishing plantation areas • Promotion of industrial forest development in a region of the country, increasing the value added of forest products, promoting increased exportation, and improving the competitiveness of the forest products of the region • Contributing to the reduction of greenhouse gases and protection of biodiversity • Creation and operation of a national forestry sector to promote investment in products, goods, and services from tree plantations

Requirements for Incentive Schemes An incentive program for the establishment of forest plantations will be successful to the extent that the following conditions are met: • Legal: The forestry law, environment law, and other legislation must be very clear on issues of land tenure. It will be difficult for a reforestation program to prosper if land tenure is not well defined or respected. • Policies: Ensure that other (non-forestry) policies are aligned so that plantation investment schemes do not compete with other subsidies (adapted from Enters et al. 2003). • Financing: Any incentive scheme will need a budget. Timely payment for the plantation enterprise according to an activity schedule is important for the owner to be able to manage the plantation appropriately and have no excuses for not doing so. If the program lacks an appropriate budget, or the central government does not make payments on time, it will be difficult to encourage or foster plantation activities. • Research: Strong national or subnational research support is needed for plantation development. • Extension: An efficient extension system must be in place to ensure that the plantation incentive programs reach all land property strata.

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• Knowledge management: Collection and easy availability of objective, high-quality information resources to support policy making, forecasting, planning, and monitoring (Enters et al. 2003). • Social participation: Communities and municipalities must participate in the design of the scheme. Additionally, the incentive scheme must seek to generate rural employment and promote women’s participation. The program must allow for participation from all sectors of society, especially the private sector and rural communities. • Fora for dialogue: These fora should encourage healthy debate and discussion on the merits of particular incentives and the reasons for offering them (Enters et al. 2003). • Markets: The incentive program must be oriented toward establishing plantations with mainly commercial objectives, in order to promote or enhance the forestry industry in the region.

Identifying Regions for Tree Plantation Incentive Schemes Selecting the region where incentives could be applied depends on the country’s priorities. Programs could be established: • • • • •

In an area where the population is poor and there is widespread unemployment and hunger. Where the education level of the inhabitants is lowest. In an arid or water-stressed region or an area that is very susceptible to the effects of climate change. In a region with degraded soils. In a region that is appropriate for planting high-value species such as teak, cedar, Enterolobium cyclocarpum, Gliricidia sepium, and others. • In areas with strategic advantages such as access to road systems to allow for direct access to a large port for exportation. It is well known that forestry production sites further than 110 km from ports or commercial centers are not viable.

Implementing a Generic Incentive Program for Tree Plantation Stage 1: Consulting Established Laws, Policies, and National Forestry Strategies Before starting to design a national tree plantation incentive program, state forestry policy, national forestry law, and forestry sector strategies should be consulted. It is possible that these three instruments may already legislate a national reforestation plan that is not implemented due to a lack of regulations or budget. In the framework of implementing an incentive program, forest authorities may consider reviewing and updating cooperation agreements, comanagement agreements, and existing arrangements for property held in usufruct with state departments, local governments, agroforestry groups, or other community organizations. The incentive program should also establish concrete routes for the promotion of investment and establishment of forest commerce. The technical norms and regulations for plantation programs should be reviewed and/or updated. Lastly, it should be examined whether specific technical norms and regulations must be created or approved to facilitate the different legal instruments that already exist or are in development.

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Stage 2: Updating and/or Catalyzing the National Reforestation Program An incentive scheme for tree plantation should be based on a national reforestation strategy. The strategy is a valuable instrument with several objectives. With a clear geographic focus, this strategy may serve as a guide for investments and interventions by governments, civil society groups, and the private sector. Additionally, the incentive program should help to define the guidelines that orient policies, strategic actions, and operations to restore degraded areas through various plantation methods, gaining participation from all actors of society, and rooted in parameters for land use, and environmental and economic planning. Stage 3: Proposing a Trust for the Reforestation Incentive Program Creation and Administration of a Trust Ideally, a trust to support the administration and implementation of a plantation incentive program should have sufficient funds to operate for several years, although the particular objectives of the program may change over time. Both the program and the trust should be managed semiautonomously from the rest of the state forestry department, and they should have annually allocated budgets for operations. Ideally, the incentive program would operate under a National Reforestation Office that would report directly to the highest state forestry authority. Program authorities would be public employees paid by the government, though they would work exclusively for the program. The job of the state would then be to play a supervisory role and ensure compliance with and enforcement of the forestry law. Use of the Trust The trust would have its own regulations, and its use should be supervised by national oversight entities. The recommended operations would be to plan and perform annual activities based on the amount of interest generated; if the trust funds come from a temporary or refundable loan, the principal capital would not belong to the program and would thus have to be returned to the donor. A percentage of the trust, for example, 10 %, could be used to administer the fund, leaving the rest for use as incentives for plantations. Sustainability of the Incentive Program One cause for concern for the program would be as follows: what happens if the funds in the trust run out? As a partial response to this concern, the program will have to design its own criteria for allocating funds to applicants. The trust should also look to build its own capacity to collect external funds. Activity Monitoring The incentive program would help to create an entity to monitor and provide technical assistance for landowners. This entity would be responsible for ensuring that the allocated, donated, or loaned funds are invested for their designated use. The incentive program should have a monitoring and evaluation system that operates based on geographic outlines, performance and impact indicators, and certain verification criteria. Program goals should be planned together with the communities, landowners, and industry sector.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_123-2 # Springer-Verlag Berlin Heidelberg 2015

Annex 1: Assessment of Forest Incentive Programs Described in This Analysis

Chile

Uruguay

Evaluation criteria Program established date Continuity and acceptance of the program State funds allocated to the program (USD) Non-state investment generated by the incentive

Sector contribution to GDPb Reforested area (thousands of ha)c Reforestation rate (ha/year) Percentage of total forest area (%) Program established date Continuity and acceptance of the program State funds allocated to the program (USD) Non-state investment generated by the incentive Sector contribution to GDP

Indicators D.L. 701 from 1974 to 1994 Forest Law (1974), with extensions through 2012 and beyond 1976–2000, $162 million (USD)

Exportations have increased 30 times over 18 years. In 1995, over 400 forest products and derivatives generated income of 2.3 billion dollars. In the year 2000, the forest sector generated income of $2.35 billion; exportations in 2001 were for $2.21 billion. This sector generates some 100,000 jobs In the year 2000, the forest sector contributed $3.2 billion (USD) to the GDP (around 2 %) 1,707 (1990); 1.36 (2000); 2,062 (2005); 2,384 (2010) 61,300 (1990–2000); 61,400 (2000–2005); 64,000 (2005–2010) 11.4 (1990); 14.9 (2000); 16.5 (2005)

Forestry Law #15939 from December 1997 Program widely accepted by private owners, although the majority already plants with their own resources or credit from private banks. First plantations were established in 1987 Forest fund with annual contributions equivalent to the cost of establishing 10,000 ha/year $1.3 billion (USD) (2011); $1.12 billion (USD) (2012)

1.0 % (2006) as part of the 6 % contribution of agriculture to GDP

Classification and reasonsa Very efficient program, first financial instrument since 1934, very active participation from the private sector, decision by the timber industry to substitute forest timber for plantation production, participation of the private banking sector, long periods for payments and benefits, political commitments, exemption from forest taxes, variety of types of incentives, strictly commercial plantations. Right to private property proportion of the % of plantation area to the total forest area increased considerably over the years. Good job creation. This is the second most important economic activity of the country. Solid technical and administrative capacity of forest authorities. Negative aspect from 1974 to 1994: the forest incentive policy only favored large enterprises rather than smallholders or businesses

The program is very efficient; it has adopted positive aspects from the Chilean experience. High political commitment to the activity, clear interest from the start in developing the forestry industry. Facility for favorable loans or credit for several years via state banks, existence of credit lines for investment in the sector. Large reforested area (ha/year) and mainly with economic ends. Private sector initiative in planting trees without economic resources from the program. Plantations make up a high % of forests. Law 15939 for exempt status. Respect for private property. Negative aspect: High emphasis on large producers and little participation of smallholders (continued)

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Costa Rica

Indonesia

Evaluation criteria Program established date Continuity and acceptance of the program State funds allocated to the program (USD) Non-state investment generated by the incentive Sector contribution to GDP Reforested area (thousands of ha) Reforestation rate (ha/year) Percentage of total forest area (%) Program established date Continuity and acceptance of the program State funds allocated to the program (USD) Non-state investment generated by the incentive Sector contribution to GDP Reforested area (thousands of ha) Reforestation rate (ha/year) Percentage of total forest area (%)

Indicators 1979: Forest Promotion Certificate (CAF) Forest Law #7032 was passed in 1986, FONAFIFO in 1990 3.5 % of selective taxes on fuel and other income from forestry taxes; $14 million (USD) for PES; $46.4 million (USD) for 1988–1995 $122 million (USD) (FAO, 2005)d

6 %, including agriculture, silviculture, and fisheriese 295 (1990); 203 (2000); 222 (2005); 241 (2010)

Classification and reasonsa Efficient program run only at the level of smallholders; administration independent from the state forest authority; capacity to raise external funds for the trust, program implementation in cooperation with agricultural centers, municipalities, and NGOs. Use of the “regent,” high-level state commitment to program objectives. Evident national culture of conservation and protection of natural resources and biodiversity. Use of various types of “forest promotion certificates” including advance payments. Negative aspect: reforestation in small plots and not on a commercial scale

9,000 (1990–2000); 4,000 (2000–2005); 4,000 (2005–2010) 0.1 (2000); 0.2 (2005) Forestry Law 41/1999 Little continuity and easily reversible changes

From 1989 to 2009: $5.8 billion (USD)

The sector contributes approximately $21 billion (USD) to the country’s economy and generates 3.7 million jobs, equal to over 4 % of the national workforce Entire forestry/industry sector 3.5 % 2,290 (1990); 3,672 (2000); 3,699 (2005); 3,542 (2010) 5,000 (2000–2005) 30,000 (2005–2010) 1.9 (1990); 3.1 (2000); 3.8 (2005)

The program had several shortcomings: too much centralization of the program from the start, followed by decentralization, but states did not demonstrate the technical and administrative capacity to implement the program. The program was centralized once again, and the government seized that opportunity to do “special favors” with the program funds. The literature reports a high level of corruption, to which the program ultimately succumbed. The government had more interest in managing natural forests and leaving aside possible tree plantation lands for African palm production. Significant certified plantation, but with some losses. Negative aspects: Significant corruption and loans with considerable amounts for few companies. Encroaching border of “African palm” endangers forest land

Classification of a program as “successful” or “efficient” is in general terms and despite certain difficulties within the programs over their years of existence b Data were sought for this contribution prior to the incentives, but information was not found; it is assumed that the cited data are only after the establishment of the program c National data but complemented with statistics from FAO evaluation of global forest resources from 2005 to 2010 d FAO, 2005. Evaluation of global forest resources e Edmundo Portolés; January 2012; Costa Rica: Economic Structure a

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References Castañeda CF (2013) Análisis comparativo de iniciativas de fomento forestal a nivel internacional. REDD-CCAD-GIZ, S. Salvador Cossalter C, Pye-Smith C (2003) Fast-wood forestry – myths and realities. Bogor Center for International Forestry Research, cited by Thomas Enters and Patrick B. Durst; 2004; Asia-Pacific Forestry Commission; FAO. What does it take? The role of incentives in forest plantation development in Asia and the Pacific Enters T, Durst PB, Brown C (2003) What does it take to promote forest plantation development? Incentives for tree-growing in countries of the Pacific rim, Unasylva – No. 212, FAO, Rome Rosario P (2011) Report of Uruguayan forestry sector. Basic information and statistics. http://www. uruguayforestal.com/informes/forestry%202011.pdf. Accessed 23 Jul 2014

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Mangrove Management, Assessment and Monitoring Klaus Schmitta and Norman C. Dukeb* a Department of Environment and Natural Resources, Deutsche Gesellschaft f€ur Internationale Zusammenarbeit (GIZ) GmbH, Quezon City, Philippines b TropWATER – Centre for Tropical Water and Aquatic Ecosystem Research, James Cook University, Townsville, QLD, Australia

Abstract This chapter provides an overview of mangrove management, assessment, and monitoring. It addresses the need for integrated planning and management, based on sound legal principles. The central part of the chapter covers mangrove conservation and planting. Conserving existing mangrove forest is often more effective than planting new forests. When a decision for planting has been made, one has to differentiate between planting on degraded and non-degraded sites and distinguish between replanting, rehabilitation, restoration, and afforestation. Emphasis is put on the need for careful selection of appropriate sites and species and on an ecosystem-based approach to mangrove planting and management which uses and supports natural regeneration and other natural processes. Since the primary intention with any rehabilitation intervention works is for improved protection of existing seedlings and forests from degradation or destruction, then planting should be undertaken only if absolutely necessary. Involving local communities in mangrove management is an effective way of maintaining and enhancing the protection function of the mangrove forest while providing livelihood for local people and contributing to better assessment and governance of natural resources. Assessment of the status of mangrove forests is essential for better conservation planning and management. This includes research and economic assessment and valuation. The last section highlights the importance of applied/participatory as well as academic and long-term monitoring (see also chapter “▶ Mangroves: Unusual Forests at the Seas Edge”).

Keywords Mangrove management; Planting; Rehabilitation; Restoration; Monitoring; Co-management; Site assessment; Hydrology; Coastal dynamic and protection; Climate change; Ecosystem services; Economic values

Introduction Mangroves, as forested wetland habitat, provide a wide range of ecosystem services (Millennium Ecosystem Assessment 2005; Barbier 2007) including protection of beaches and coastlines from storms, waves, and floods; reduction of beach and soil erosion; and carbon sequestration. They also provide nursery grounds, food, shelter, and habitat for a wide range of aquatic species and thereby increase income through fisheries (Barbier 2007; Nagelkerken et al. 2008; Walters et al. 2008; Alongi 2009, 2014; Lee et al. 2014; Duke and Schmitt 2015). Yet, despite their importance, mangroves all over the world have been degraded and converted to other forms of land use on a large scale (Alongi 2002; Duke et al. 2007; *Email: [email protected] Page 1 of 29

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Fig. 1 The coastal zone of Sóc Trăng Province (Mekong Delta, Vietnam). An approximately 200 m wide mangrove belt protects the earth dike from erosion and the shrimp ponds and land behind the dike from flooding and storms. Just below the center of the picture, erosion has destroyed all the mangroves and is threatening the integrity of the dike (Photo: K. Schmitt 2010)

Duarte et al. 2009; Giri et al. 2011). As a result of their reduction in area and their important functions, many attempts have been made to protect, sustainably use, and plant mangroves. Protection of mangrove habitats from direct human impacts (felling, destructive fishing methods and resource use, livestock) and indirect human impacts (changes in hydrology through dykes, dams, etc.) will often lead to natural regeneration, whereas planting, particularly if the wrong species are planted in unsuitable sites, often produces limited success (Samson and Rollon 2008; Pham et al. 2009). Increasingly, mangroves are being recognised as specialist coastal ecosystems rather than as unusual terrestrial forested vegetation. In their management, account must be taken of their physical and biotic attributes, including their position along tidal creeks, mud flats and coastal waterways, as well as the physicochemical and biological processes that function at the ecosystem level (Macintosh et al. 2011). Effective conservation, rehabilitation, restoration, and sustainable management will, in most cases, best be achieved through an ecosystem-based approach (Shepherd 2008).

Integrated Planning for Mangrove Management Mangroves often grow in narrow bands along coastlines and estuaries, forming parts of a complex coastal ecosystem (Fig. 1). Therefore, effective management should follow an integrated approach to coastal zone management (ICZM), guided by the key principles of integration of sectors and agencies, participation and co-management, ecosystem-based management, zonation, and adaptive management. ICZM requires an appropriate institutional framework to cope with the often overlapping jurisdictions in coastal zones. Management issues do not stop at administrative or natural boundaries and ICZM should therefore also include transboundary collaboration (Macintosh et al. 2013). Sustainable mangrove management should be included in integrated planning of coastal zones and be addressed in relevant documents such as coastal Page 2 of 29

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(protection) master plan, coastal strategy, or ICZM strategy – these are just different names for comprehensive and integrated coastal area planning documents. Planning approaches for future development in general and for disaster risk planning in particular have traditionally been based on historic data such as historic flood and storm intensity and frequency. In the context of climate change, future climate predictions provide important additional inputs for planning. As a result of the uncertainties inherent in predicting the effects of climate change, a number of ecosystembased adaptation strategies should be used. This approach addresses the uncertainty, diversity, connectivity, and adaptive capacity and may contribute to avoiding adaptation conflicts, maladaptations, or path dependencies (Bernhardt and Leslie 2013; Smith et al. 2013). Mangrove conservation should, where appropriate, also be part of national-level policies, actions, and reporting such as a “National Adaptation Plan (NAP),” “National Adaptation Programme of Action (NAPA),” and “Nationally Appropriate Mitigation Action (NAMA)” under the United Nations Framework Convention on Climate Change (UNFCCC). Mangroves have recently been included in the forest categories eligible for REDD+ (Reducing Emissions from Deforestation and Forest Degradation) which assigns a financial value for the carbon stored in forests. The management of coastal ecosystems (including mangroves, tidal salt marsh, and sea grass) is often still missing from national climate change mitigation strategies, despite the fact that they sequester large amounts of carbon (Donato et al. 2011; see also section “Mangrove Assessment and Monitoring”). In addition to integrated planning, institutional framework, and national-level policies, actions, and reporting, sustainable mangrove management requires an enabling legal framework. However, existing national legal frameworks commonly relate to the environment and forests in general, rather than to mangroves in particular. In Bangladesh, forest policies have changed over time from pre-British rule to the present day, but the Sundarbans, the largest mangrove forest in the world, has no separate agenda or policy directives for its management (Kumer et al. 2012). “National and international legal frameworks are required to provide overall guidance for the conservation and sustainable use of mangrove resources and to ensure protection for mangrove-associated biodiversity” (Macintosh and Ashton 2003, p. 16).

Mangrove Conservation and Planting The first sentences in the chapter “Mangrove Silviculture and Restoration” in Saenger’s book “Mangrove Ecology, Silviculture and Conservation” provide an appropriate introduction to this section: “. . . mangrove systems . . . are changeable, they are dynamic, they are unpredictable, they are subject to aperiodic and periodic fluctuations of the extreme kind, and . . . each mangrove community has a history. Reading that history from the tell-tale signs of today, is the artful skill of the silviculturalist or restoration ecologist who is likely to succeed” (Saenger 2002, p. 229). The first step in any mangrove conservation and planting program is to set clear objectives. These objectives largely fall into the following categories: sustainable timber production, coastal/shoreline protection, channel stabilization and conservation, support of ecological functions for shrimp and fish aquaculture/contribution to fishery production, ecological restoration, and landscaping/enhancement of aesthetic quality of the landscape (e.g., Field 1999; Ellison 2000). Objectives vary according to the type of forest; for example, fringe forests are important for shoreline protection, riverine forests are particularly important to animal and plant productivity, while basin or interior forests are important nutrient sinks and sources of wood products (Ewel et al. 1998). There may also be very specific objectives such as to provide seawater agriculture to relieve hunger and poverty (Sato et al. 2005) or peri-urban mangrove management to provide local offsets for carbon emissions (Lee et al. 2014). Objectives have changed over time, and Ellison (2000) provides a comprehensive analysis of these changes. Before 1982, the main goal of Page 3 of 29

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Fig. 2 Sonneratia caseolaris forest along the mouth of the Mekong River during high tide (Photo: K. Schmitt 2011)

Fig. 3 Mangrove forest in the Everglades, Florida (Photo: K. Schmitt 2013)

mangrove restoration was afforestation for silviculture, with coastal stabilization and environmental mitigation or remediation being additional objectives. Later, more emphasis was put on ecological values, sustainable utilization, animal habitats, food sources for in-shore and pelagic food webs, and the provision of livelihood for coastal populations and compliance with legal requirements to restore or create compensating areas for clearing of mangroves in other location (Stubbs and Saenger 2002). More recently, resilience to climate change has become an important objective for mangrove management (McLeod and Salm 2006). In the future, the ability of mangroves to respond to certain levels of sea-level rise may become an objective (Gilman 2006; McKee et al. 2007; Krauss et al. 2013; McIvor et al. 2013). Mangroves occur most extensively on low-energy, sedimentary tropical and subtropical shorelines (Fig. 2). In the Pacific region, they grow in intertidal sites from the mean sea level up to the point reached by the highest spring tides. Here they often display a typical shore-parallel, band-like zonation pattern which is linked to soil type, salinity, and hydrology (flooding and drainage) (see Fig. 11 in Duke and Schmitt 2015, 129-1). The zonation pattern changes with the position along estuaries between

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Objective

Conserving existing forests

Mangrove planting Analysis of historic change Selection of planting site, species, time and technique

Keep from damage improve resilience

No mangrove forest present in the past

Mangrove forest present in the past

Site not degraded

Site degraded

Site assessment

Conservation

Reforestation

Rehabilitation

Restoration

Afforestation

Management

Monitoring

Fig. 4 Decision-making flow chart for mangrove conservation and planting

downstream, midstream, and upstream sites. Mangrove forests in the Atlantic East Pacific are often found in extensive, low-lying, and inundated coastal wetlands and lack clear zonation of species (Fig. 3). In these areas, a functional classification based primarily on physiognomy is used to distinguish overwash, fringe, riverine, basin, scrub, and hammock mangroves. Mangroves grow in different hydrogeomorphic settings such as river, tide- or wave-dominated, or interior mangrove forests. Rainfall, temperature, and freshwater supply also affect mangrove growth. Their habit ranges from shrubby with a height of around 3 m to forests with 65 m tall trees. Mangrove species display distinct biographic patterns and two major floral realms can be distinguished with 61 unique species and hybrids in the Indo West Pacific, 17 in the Atlantic East Pacific, and just two occurring naturally in both global regions (Lugo and Snedaker 1974; Smith and Duke 1987; Woodroffe 1992; Lacerda et al. 1993; Duke et al. 1998; Saenger 2002; Giesen et al. 2006; FAO 2007; Spalding et al. 2010; Duke and Schmitt 2015). Given this wide range of sites and forest structures, no simple, generalized recommendations can be made for mangrove planting; this is reflected in the large number of publications on mangrove planting and “grey literature” often available as reports on the Internet. A comprehensive overview of mangrove planting has been provided by Saenger (2002). The importance of different regional approaches has been highlighted in reports such as Macintosh et al. (2012), and intra-country variation has, for example, been shown by Primavera and Esteban (2008) for the Philippines. Having defined objectives, a decision must be made whether to focus on conserving existing mangrove forests or on mangrove planting (Fig. 4). Given the clear dependence of species distribution on a specific Page 5 of 29

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set of site conditions, attention must be focused on the selection of a suitable planting site, followed by selection of appropriate species and the best-suited planting technique and planting time, for the given site. Site selection should be based on an analysis and understanding of historic changes and natural processes. Information about historic distribution of mangrove species and shoreline changes can be gained from documents, maps, and aerial photos from archives and supplemented by analysis of satellite images (Joffre 2010). Analysis of historic information contributes to a better understanding of coastal dynamics (accretion and erosion) and enables the selection of species growing naturally in a given site before human intervention. This should be complemented by observation of natural regeneration, which indicates that a particular site is suitable for mangroves and provides information on suitable species, planting techniques, and time.

Conserving Existing Mangrove Forests The term conservation is generally used in a broad sense of protection, management, and sustainable use, while here it is used in a narrower sense, to mean keeping existing mangrove forests safe from being damaged or destroyed. The primary aim of a mangrove management strategy should be to maintain the health of the remaining mangrove ecosystems (thereby improving their resilience) and to reduce the rate of mangrove loss. This is often more effective than trying to plant new mangroves and is less expensive than other approaches. In addition to legal mechanisms, local people can play an important role in keeping existing mangrove forests safe from degradation and destruction. Awareness raising about the importance of mangrove ecosystems and involvement of local communities in their management can contribute to better protection. Conservation of mangroves has a long history. For example, in 1891, the first forest protection decree was established by the colonial administration in Cochinine (present-day Vietnamese Mekong Delta up to Đồng Nai Province). Several “reserves” included mangrove forests, indicating that the administration recognized the importance of this ecosystem and its growing economic value. Nevertheless, in the early twentieth century, the perception of mangrove forests and inundated forests in general ranged from a hostile and useless environment, to a source of fuel wood, to a protective belt against waves and erosion (Joffre 2010). Nowadays, protected areas are widely used to help prevent mangrove loss and degradation in specific locations. They provide social, economic, and environmental benefits through sustainable management and protection of ecosystem services. Chape et al. (2008) state that worldwide approximately 1,200 protected areas cover about 25 % of the remaining mangrove habitat. The figures provided by Jenkins and Joppa (2009) are slightly lower, namely, 20.7 %. However, only 7.8 % of the mangrove area is protected in IUCN protected area categories I–IV (Strict Nature Reserve, Wilderness Area, National Park, Natural Monument or Feature, and Habitat/Species Management Area) which have a higher protection status than categories V and VI (Protected Landscape/Seascape and Protected area with sustainable use of natural resources) (IUCN 1994). Protected areas which include mangrove forests are widely distributed, but there are important areas along the Red Sea, Myanmar, the Solomon Islands, Fiji, and West and Central Africa that should be better represented in the protected area system (Spalding et al. 2010). Protected area reserve design should ensure ecosystem connectivity and consider ecological processes along nursery-reef boundaries, as well as linkages with marine and terrestrial food webs (Mumby et al. 2004; Ellison 2008; Nagelkerken et al. 2012). Protected areas should be designed and managed to protect against the broad range of threats affecting mangrove ecosystems, including threats from sea-level rise, eutrophication, coastal development, and sedimentation, which are often not addressed by protected area management programs (Valiela et al. 2001). For example, reduction of negative impacts from adjacent land-use practices or setting aside land for landward mangrove migration in response to Page 6 of 29

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sea-level rise should be part of protected area management plans. Torio and Chmura (2013) provide a tool to identify locations where “coastal squeeze” is likely to occur which can be used for protected area planning. Barbier et al. (2008, p. 321) conclude “that reconciling competing demands on coastal habitats should not always result in stark preservation-versus-conversion choices.” Mangroves are also protected under international conventions. At the end of 2008, mangroves were protected in 31 World Heritage Sites in 18 countries (UNESCO: The World Heritage Convention), and in 2009, 215 out of more than 1,800 Ramsar Sites included mangroves (The Convention on Wetlands of International Importance). Although the Man and the Biosphere (MAB) Programme of UNESCO is not a legally binding convention, it is an intergovernmental scientific program that aims to establish a scientific basis for the improvement of relationships between people and their environments. In 2008, mangroves were included in 34 out of 501 MAB sites worldwide. Countries should aim to have more sites included in these international mechanisms because they offer not only prestige but also some degree of support and collaboration (Spalding et al. 2010). The Convention on Biological Diversity includes mangrove protection in some of its thematic programs and in the Aichi Targets; the convention has been signed by 194 parties. The UNEP Regional Seas Programme has more than 143 participating countries and addresses the degradation of the world’s oceans and coastal areas (including mangrove ecosystems) through the sustainable management and use of the marine and coastal environment, by engaging neighboring countries in comprehensive and specific actions to protect their shared marine environment. Conservation of mangroves can be enhanced through well-designed and managed protected areas, as well as by the implementation of international conventions. Community involvement through community-protected areas and co-management (see section “Mangrove Management”) can also make an important contribution. Mangrove conservation should be integrated into a broader spatial framework of coastal zone management involving all relevant sectors and stakeholders. There is also scope for smallscale and site-specific interventions, such as urban industrial estuarine shoreline mangrove gardens, shoreline parks, and bank stabilization. Mangrove conservation will only be successful when backed up by sound data and a broad knowledge, understanding, and awareness of the need for mangrove conservation. Research and maintenance of accessible, long-term databases on mangrove coverage, management and protection, value, and their response to pressures are essential for sound policy and management decision-making. Important issues are improved knowledge management, information sharing, and communication on mangrove-related issues at all levels, from policy-makers to local government and the general public.

Mangrove Planting Mangrove environments along tropical coasts are extremely dynamic (erosion and accretion) and subject to destructive storms. Mangroves are well adapted to these natural phenomena and generally recover quickly from both minor and major periodic disturbances through natural regeneration, without the need for planting (Jimenez et al. 1985; FAO 1994; Alongi 2008, 2009; Duke and Schmitt 2015). In contrast, human interventions, such as dike and dam construction, usually lead to permanent changes which may create conditions which are unsuitable for natural regeneration of mangroves. Mangroves have developed unique characteristics to cope with shoreline evolution which do not necessarily follow succession of other forest types (Alongi 2013). Therefore, traditional forestry and silviculture approaches cannot be transferred one-to-one to the coastal zone. Mangrove foresters need a sound understanding of mangrove ecology but also of coastal processes (waves, tides, currents, and sediment transport) and morphodynamics (spatial and temporal) and use it for conservation, planting, and management decisions. Whenever possible, foresters should mimic natural processes (mimic nature), taking into account the unique and dynamic environment between the land and the sea (Schmitt et al. 2013). For example, when planting mangroves along mud coasts in Southeast Asia, the typical Page 7 of 29

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band-like zonation should be imitated because this also considers what happens below ground and leads to better protection of the soil from erosion and wave attenuation (see Fig. 11 in Duke and Schmitt 2015; Fig 12). In sites where mangroves have been present in the past, there is a need to distinguish between sites which have and have not been degraded since the mangrove cover was removed or destroyed. Based on this distinction and having determined that planting is necessary, three different types of mangrove planting can be employed: reforestation, rehabilitation, and restoration. In addition, afforestation is used in sites where mangroves have not grown in the past. A detailed plan of operations should be prepared before planting starts, including a description of the site and if necessary the proposed restoration measures; species to be planted, the planting techniques and timing, and if applicable zonation of planting; numbers and quality of seeds, propagules, or seedlings required; work schedule, organization, equipment, and budget; and a monitoring plan. Planting can be done using seeds, propagules, or seedlings; the latter can be from nurseries (bare root or with root bags) or transplanted from other sites. Spacing for direct planting of propagules collected from the wild commonly ranges from 0.4 to 2 m. Seedlings can be planted in plots of 100 m2 to 1,000 m2 with gaps of 10–20 m between plots to allow for natural regeneration. Consecutive rows should be offset to avoid linear empty space between rows of seedlings. Closer spacing is used to enhance the ability of the propagules or seedlings to withstand wave impact (Melana et al. 2000; Stubbs and Saenger 2002; Duke 2006; Duke and Allen 2006; Primavera et al. 2012). Huxham et al. (2010) showed that higher planting density significantly increased the survival of seedlings at high and low tidal sites and enhanced sediment accretion and elevation at low tidal sites. However, too dense spacing may have a negative impact on sedimentation patterns (Burger 2005). The use of stem cuttings, air-layered material, propagule segments, and tissue cultures are described in Stubbs and Saenger (2002) but will not be elaborated here because of their still-limited practical use. Planting techniques vary among species and examples are provided in many publications (e.g., Macintosh and Ashton 2003; Pham et al. 2009). Pham et al. (2009) emphasize not only the species and site-appropriate planting techniques but also the importance of the planting time. For example, seedlings planted directly before the flooding season will most likely be buried by sediment. The importance of sediment dynamics during primary colonization has been highlighted by Balke et al. (2013); and seedling establishment of pioneer mangrove species requires a suitable “window of opportunity” without disturbance by physical forces, such as inundation, and hydrodynamic forces from waves and currents (Balke et al. 2011, 2014). Propagules collected from the wild while nurseries are necessary to provide seedlings of the quality and in the amounts required for planting programs. Four types of mangrove nurseries can be set up: a permanent nursery, a temporary nursery to produce seedlings for a specific planting project, a “floating mangrove nursery” in upland areas above the highest tidal range, and a “flooded mangrove nursery” which is flooded regularly by tidal water. Nursery techniques vary from species to species (see, e.g., Saenger and Siddiqi (1993), Melana et al. (2000), Clarke and Johns (2002), Ravishankar and Ramasubramanian (2004), and Hoang and Pham (2010)). Reforestation Reforestation refers to planting trees in areas which were formerly forested and where the site conditions have not been degraded since removal of mangrove cover. An example of reforestation as part of mangrove silviculture follows. Mangrove silviculture was introduced by colonial forestry agencies at the beginning of the last century. One example of a mangrove forest managed for sustainable timber harvest is the Matang Mangrove Forest Reserve in Malaysia where management started in 1908. Current objectives remain the production of maximum sustained yields of raw materials for fuel, mainly charcoal, and poles. The silvicultural system Page 8 of 29

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Fig. 5 Matang Mangrove Forest Reserve, Malaysia; top: clear-felling; bottom: thinning after 20 years (Photos: K. Schmitt 2007)

consists of a 30-year crop rotation, harvested by clear-felling of annual coupes of a thousand hectares with retention of stands for natural regeneration (Fig. 5 top). Enrichment planting is carried out, where necessary, during the first 3 years after clear-felling. Thinning for the production of poles is carried out at 15 and 20 years (Fig 5 bottom; Ong 1982, 2012). Management of the area follows a 10-year management plan. Lots are tendered to private charcoal producers. The contractors carry out all management operations while the forestry department ensures compliance with the management plan. In sites where mangroves have been destroyed, or degraded, a site assessment must be undertaken to determine whether or not soil and hydrological restoration measures need to be carried out before planting. Site Assessment Mangroves usually grow in intertidal areas and display a clear zonation of species in areas with different elevations. Therefore, the frequency of tidal flooding and the drainage characteristics are two of the most important factors that need to be considered when assessing a site for rehabilitation and when selecting the Page 9 of 29

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most appropriate species to plant. The flooding and surface drainage characteristics of a site are determined largely by topography (elevation and slope) and tidal amplitude. In addition, the physical properties of the soil influence water infiltration, subsurface drainage, and root penetration. All these factors also influence soil salinity. Site assessments should be simple and affordable and at the same time provide fairly robust results for decision-making about whether or not a site is suitable for planting or restoration and to help with the formulation of a rehabilitation or restoration plan. Clough (2014) provides such guidelines and describes techniques which combine visual assessments of indicators of irregular tidal flooding and poor drainage with techniques for measuring elevation and topography, tides, and key soil properties that are likely to influence flooding and drainage characteristics. Lewis and Brown (2014) describe in detail the assessment of eight biophysical factors which influence mangrove establishment and early growth (temperature, protected coastlines, currents, edaphic conditions, sedimentation patterns, salt water, tidal inundation, and frequency and presence and functioning of tidal creeks). Connectivity, biophysical interactions, and biogeomorphological feedback processes among intertidal wetland such as mangroves and salt marsh should also be considered where possible (Friess et al. 2012). In sites where mangrove habitat loss or degradation has occurred to such an extent that natural processes can no longer self-correct or self-renew, appropriate, site-specific, and affordable rehabilitation or restoration methods are needed. Rehabilitation The terms rehabilitation and restoration are often used synonymously, but they have distinct meanings. This becomes clear when looking at the Latin origin of the terms. Rehabilitate comes from habilitare which means to enable or make suitable and the prefix re means again. Therefore, rehabilitation means “to make suitable again.” Restoration comes from the Latin verb restaurare which means “to rebuild, to reestablish.” In an ecological context, rehabilitation refers to “return . . . degraded mangrove land to a fully functional mangrove ecosystem regardless of the original state of the degraded land” or in other words to convert a degraded system to a more stable condition (Field 1999, p. 47). Mangrove forests can regenerate rapidly after damage. For example, after super typhoon Loleng (known generally as Babs) hit the northeastern Philippines in October 1998, significantly damaged areas of mangrove regenerated naturally as long as they were protected from human destruction (Primavera personal communication 2014). A large reservoir of below-ground nutrients facilitates the reestablishment of new seedlings after disturbance (Alongi 2008). If site elevations are suitable, planting will be unnecessary in areas with abundant mangrove propagules (Shafer and Roberts 2008). However, active or artificial regeneration can speed up the natural recovery process, particularly in severely degraded systems where there may be shortages of propagules (Field 1998; Ellison 2000). Microhabitats such as hollows, logs, tree trunks, and seedlings/shrubs can be used as recruitment refuges to initiate seedling establishment (Metcalfe 2007). Rehabilitation methods, which rely on natural recruitment, should be the first choice. This would also make enhancement planting in degraded sites unnecessary. Community-based mangrove rehabilitation has been used successfully to revert tens of thousands of hectares of abandoned ponds into mangrove forests. Such ponds are ecologically appropriate sites for rehabilitation as they were former mangrove forests. By rehabilitating former ponds, the problems associated with afforestation of mudflats and more complex restoration activities are avoided (Primavera and Esteban 2008; Primavera et al. 2012, 2014). Many attempts have been made to rehabilitate mangroves in erosion sites including the use of fertilizers to enhance initial tree growth in heavily eroded areas (Matsui et al. 2012). However, rehabilitation is often unsuccessful when the reasons for mangrove degradation were not removed prior to planting. In some Page 10 of 29

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Fig. 6 Canopy gap with planted seedlings of Avicennia marina, Bruguiera cylindrica, and Ceriops tagal in a Rhizophora apiculata plantation (Photo: R. Sorgenfrei 2013)

sites it may even be impossible to rehabilitate mangroves because events such as construction of dikes, cutting of upriver sediment supply, or blocking runoff flows which connect mangroves with adjacent systems have permanently altered hydrologic and edaphic conditions and thereby reduced the ability of mangroves to regenerate naturally. Enrichment planting has been carried out with the aim to improve ecological conditions. However, there is no clear scientific evidence about the effectiveness of such forest enhancements. Furthermore, enrichment planting in bare areas within mangrove forests may actually degrade the system by, for example, removing feeding habitats for wading birds or blocking tidal flushing channels (Lewis and Brown 2014). Through evolution mangrove plants have adapted effective characteristics and strategies for their survival and success (see chapter “▶ Mangroves: Unusual Forests at the Seas Edge”). These strategies can be used to improve the resilience of existing forest. This does not mean enrichment planting but the imitation of successful natural processes. For example, the transformation of even-aged, single-species plantations into more diverse forests, both in terms of structure and species composition, mimics the natural occurrence of canopy gaps and the natural regeneration that takes place in such gaps (Fig. 6 and Duke and Schmitt 2015). In natural forests, regeneration is a continuous process with young plants concentrated close to parent trees in contrast to man-made plantations (Fig. 7). Mimicking small-scale, dense planting close to established trees and repeating this type of planting leads to a tapering forest edge which resembles the structure of a natural forest (Schmitt et al. 2013). Planting techniques based on an understanding of the species ecology can be the same for rehabilitation and restoration, but restoration of the hydrologic pattern and/or appropriate topography has to be carried out to ensure that natural regeneration or rehabilitation can be successful.

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Fig. 7 Top: natural regeneration of Rhizophora apiculata, bottom: Rhizophora apiculata planted at a spacing of 1 m (Photos: K. Schmitt 2010)

Restoration Restoration refers to a process that aims to return a system to a preexisting condition whether or not this was pristine (Lewis 1990). Lewis (2005) provides a comprehensive review of mangrove restoration which presents the basic guidelines and the technical foundations. The restoration principles outlined have evolved over time and Lewis (2009) describes them in six steps which are necessary to achieve ecological mangrove restoration (EMR). EMR requires site selection for restoration based on the autecology of the mangrove species, the normal hydrologic patterns, and an assessment of reasons that prevent natural secondary succession, following which the appropriate hydrology needs to be restored (Fig. 8). Planting is only necessary when natural recruitment does not result in sufficient numbers of successfully established seedlings or adequate rates of stabilization and growth of saplings. An illustrated EMR manual was published by the Mangrove Action Project (Lewis et al. 2006). Wherever possible, local people should get involved in restoration projects through community-based EMR (http://mangroveactionproject.org/mangrove-restoration-and-reforestation-in-asia/), but due to the Page 12 of 29

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Fig. 8 Restoration of a site with compacted soil after the mangrove cover was cut down. The site was first drained through canal dredging, and then Lumnitzera racemosa and Xylocarpus moluccensis were planted on the mounds and Bruguiera cylindrica 1 year later in the canals (Bạc Liêu Province, Mekong Delta, Vietnam; Photo: L. Steurer 2011)

complexity of restoring normal hydrologic patterns, such projects still rely on input from outside experts. The complexity of EMR is highlighted, for example, by Bosire et al. (2008) who present a 10-step scheme of possible mangrove restoration pathways depending on site conditions. Mangrove restoration will receive more community support if it is combined with alternative livelihood opportunities, such as improved fishery-based livelihoods or aquaculture (Mangroves for the Future 2012). In 2014 Lewis and Brown published a comprehensive and detailed “Ecological Mangrove Rehabilitation field manual for practitioners” in which they define ecological mangrove restoration (EMR) as “an approach to coastal wetland rehabilitation or restoration that seeks to facilitate natural regeneration in order to produce self sustaining wetland ecosystems” (Lewis and Brown 2014, p. 13). The authors mainly use the term rehabilitation because of the relative difficulty of achieving pure restoration through returning a system to the exact conditions that existed before change occurred. It is for sure easier and more convenient to use the term rehabilitation in a broader sense, but there are situations where a clear distinction between restoration and rehabilitation can and should be made. Engineering measures, for example, are often used to restore a degraded site (e.g., restoration of eroded floodplains) while, in the absence of natural regeneration, mangrove forests are rehabilitated on the restored sites. Lewis and Brown (2014) suggest eight steps of EMR and emphasize that EMR is a general approach (not a mandated method or sequence of steps), that is designed to provide a logical sequence of tasks that are likely to succeed in restoring or creating mangrove habitat with a diverse plant cover similar to that of a natural reference mangrove forest, with functional tidal creeks connected to upland freshwater flows if available, and supporting a diverse faunal community (Lewis and Brown 2014, p. 13). Hydrological manipulations can support natural regeneration. For example, mangrove restoration has been achieved by using a combination of excavation of dredged material and hydrological restoration without the need for artificial planting (Lewis et al. 2005). Often, reconnection of a degraded site to normal tidal influence will be sufficient to start natural recovery (Turner and Lewis 1997). At erosion sites, mangrove forests can be rehabilitated through natural recruitment once natural or man-made stressors are removed and suitable morphodynamic conditions, especially appropriate hydrology and topography, are provided through environmental restoration techniques (Lewis 2005; Winterwerp et al. 2013). Detached breakwaters can shelter the restoration area from wave action, preventing ongoing erosion and promoting

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Fig. 9 Restoration of eroded floodplains using T-shaped bamboo fences in Bạc Liêu Province (Mekong Delta, Vietnam). The long-shore elements close the eroded gap in the mangrove forest by connecting the remaining headlands. They reduce incoming wave energy while the cross-shore constructions reduce the long-shore currents. The gaps between the long-shore elements allow for faster sediment input during flood tides and enhance drainage during ebb tides. The latter will accelerate the consolidation process of the sediment deposited inside the fenced area (Photo: Cong Ly and GE Wind 2013)

sediment deposition (Babak and Roslan 2011). However, care must be taken to design detached breakwaters in such a way that negative effects such as down-drift erosion can be avoided as far as possible (Kamphuis 2010). More recently, an ecosystem-based or area coastal protection approach to mangrove rehabilitation in erosion sites has been successfully implemented along eroded mangrove mud coasts. This approach uses T-shaped bamboo fences to reduce erosion and stimulate sedimentation, thereby restoring the eroded floodplains (tidal flats) (Fig. 9) as a precondition for mangrove rehabilitation (Schmitt et al. 2013; Temmerman et al. 2013; Schmitt and Albers 2014). In sites with high wave energy, where natural recruitment no longer occurs and where conventional planting methods would be ineffective, cost-intensive “single-seedling protection” can be used for planting in rehabilitation and restoration projects. The Riley encased methodology has been used to establish mangroves along high energy shorelines, revetments and bulkheads. The aim was to isolate and protect individual seedlings from waves and currents using tubular encasements made from PVC pipe (Fig. 10) so that juvenile plants might adapt to external conditions (Riley and Kent 1999; http://mangrove. org/). However, this method not only is cost- and labor-intensive but also has largely proven unsuccessful. Survival rates were low and it has been shown that encasements can constrict the growth of mangrove roots. Furthermore, this kind of planting introduces PVC into the environment (Johnson and Herren 2008). Another type of “single-seedling protection” is the Reef Ball. Dome-shaped containers made of concrete with holes are used for planting red mangrove propagules (Fig. 11). The propagules are protected from waves and ocean debris until they become established. The concrete is mixed in such a way that it will erode within a few years and thus will not impede the growth of the established seedlings. More complex is the use of armored concrete cultivators with wrack protection, which also provide slow-release fertilizer to young red mangroves until they are self-sufficient (http://www.reefball.org/). Less complex and less costly methods protect newly planted mangroves through barriers made of plant material such as coconut fiber or fruit bunches from oil palms. Other strategies, like planting coast-parallel rows of mangroves with gaps in between, may contribute to better protection from wave action. The seedlings at forest edges facing the sea will develop stronger roots because there is less competition compared with those growing inside the dense forest stand. Key lessons learned from both successful and unsuccessful restoration projects include: “do not plant mangroves where they did not exist previously . . .; do not undertake mangrove restoration without adequate knowledge of the site history . . .; hydrological manipulation, by itself, can be adequate for natural mangrove restoration” (IUCN 2011, p. 44), and sometimes rates of natural recruitment can exceed planting, and planting operations can damage site recovery (Duke 1996).

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Fig. 10 Some planting practices require further evaluation, like planting seedlings in PVC encasements (Drawing: H. Schmitt)

Fig. 11 Planting mangrove seedlings in concrete balls sounds interesting, but the method requires further validation (Drawing: H. Schmitt)

Afforestation Afforestation refers to establishing a forest by planting trees on land that was not previously forest. If the site assessment is favorable, then facilitation of natural regeneration or planting will be uncomplicated. An example is accretion sites in front of existing mangrove forests along muddy coasts with a shallow gradient above the mean sea level. Large-scale afforestation of treeless mudflats has been carried to establish mangrove forests to act as “bio-shields.” However, these mudflats are often treeless due to being below the mean sea level. In such Page 15 of 29

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sites, afforestation requires elaborate planting techniques which include seeds planted on-site in metal can cylinders, held in place with iron rods, protected by wire mesh and provided with slow-release fertilizer (Sato et al. 2005) or bank and mound planting, and such plantings are often not successful in the long term. In areas of low tidal amplitude, planting techniques include “canal bank planting” (planting of propagules on the banks of artificially constructed feeder and distribution canals) or strip planting on mounds and block planting or island planting on higher ground created on mudflats to avoid prolonged submergence (Selvam et al. 2012; Tsuruda 2013). However, large-scale planting on low tidal mudflats in order to create more forest as a “bio-shield” ignores the principles of selection of appropriate sites and preferential use of natural recruitment and therefore often fails. Samson and Rollon (2008) assessed mangrove afforestation in the Philippines and documented that planting of often monospecific Rhizophora stands in areas that are not natural mangrove habitats was unsuccessful. In contrast, treeless mudflats were afforested successfully, for example, in Vietnam in areas where mangroves were planted in accretion sites which provided suitable soils and hydrology. Afforestation of treeless intertidal mudflats should only be done after careful site assessment and species selection. In addition, a full assessment of environmental and social impacts should be carried out when attempting to convert intertidal mudflats to mangrove forest. The ecological importance and economic attributes of these mudflats must be considered as well as coastal protection provided by mangroves (Erftemeijer and Lewis 1999). Large-scale planting on intertidal mudflats has shown only limited success rates, and planting as many propagules as possible in the shortest possible time (in 2013 “The Sindh Forest Department [in Pakistan] . . . set a Guinness World Record for planting . . . 847,275 saplings [in a day], breaking an earlier record . . .” (http://www.iucn.org/about/work/programmes/forest/ fp_news_events/?13198/Pakistan-makes-it-to-the-Guinness-World-Records-by-planting-847275-mangrove-saplings-in-a-day)) makes good headlines but not good forests.

Mangrove Management Just planting mangroves is of little use without protection. After planting, seedlings must be protected from human impacts such as destructive fishing methods or grazing by cattle and sheep. In specific sites, they must be protected from waves. Furthermore, established mangroves must be managed effectively and protected from human impact like felling and conversion into other forms of land use. The type of management required after planting depends on the objective. If the objective is coastal protection and mangroves are growing in suitable sites and are protected from destruction and degradation, then they will develop naturally without the need for tending or maintenance activities (Fig. 12; Khan et al. 2013). But if, for example, the objective is sustainable yield of wood and timber, then thinning needs to be performed depending on the expected age at final tree harvest. In estuarine ecosystems in South Africa, where coastline protection is not important, an annual harvest of 5–10 % has been shown to be sustainable (Rajkaran and Adams 2012). In the early years after planting, regular removal of debris may be required and dead plants can be replaced. If fences are necessary to keep livestock away, they need to be maintained regularly (Melana et al. 2000). Mangrove seedlings can also be destroyed by barnacles, crabs, and insects. Barnacle (Crustacea: Cirripedia) attacks can be minimized by planting the right species at the right site and by planting in shallow inundation sites. Planting fully hardened seedlings will also minimize barnacle damage. Barnacles can be removed by hand to prevent them from killing seedlings in afforestation sites. This is very time consuming and can be avoided by better site selection and not planting in low elevations with too much inundation. Sesarmid crabs (Crustacea: Grapsidae) eat propagules and young leaves of mangroves. When crab damage is severe, bamboo tubes can be used to protect seedlings, or larger seedlings, which are more Page 16 of 29

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Fig. 12 Natural regeneration of Avicennia marina on restored floodplains in Sóc Trăng Province (Mekong Delta, Vietnam). The plants are about 10 months old, have developed strong root systems, and are not affected by crabs or barnacles (Photo: D. Meinardi 2014)

resistant to attack, can be planted. The provenance of the seedlings may also play a role in minimizing crab attacks. In several planting sites in the Mekong Delta, almost all seedlings from the nursery were destroyed by crabs, while natural regeneration was not affected (pers. observation K. Schmitt). Various insects such as beetles and scale insects can cause seedling mortality. Insects can be washed off with seawater or removed by hand (Macintosh and Ashton 2003; Miyagi 2013). The common boring weevil, Coccotrypes fallax, attacks newly established propagules of Rhizophora and Bruguiera but only when these are kept cool and shaded (Brook 2001; Sousa et al. 2003). This requires that propagules and seedlings should never be shaded, either before planting, within the nursery, or in the field. High temperatures gained from full sunlight are needed to kill the weevil and promote greater survival of seedlings. These forms of mangrove management and protection have traditionally been carried out through government-only mangrove management. Protection through policing has often not been very effective, because of limited man power and funding and because of the risk antagonizing local people whose livelihood is dependent on mangrove forests and their resources. As a result of these difficulties, community participation in mangrove management has been introduced. Datta et al. (2012) provide a review on community-based mangrove management which refers to decentralization of rights, responsibilities, and authority from government to local communities in managing natural resources. Another form of community participation, where the focus is not only on management but also on governance, is mangrove co-management or shared governance. Here the decision-making powers, responsibility and accountability, are shared between government agencies and the local communities which depend on natural resources for their livelihoods. Resource users and local authorities negotiate, through a participatory process, a formal agreement on their respective management roles, responsibilities, and rights (Fig. 13) and establish a pluralistic governance body (Borrini-Feyerabend et al. 2013). Mangrove co-management in the Mekong Delta in Vietnam has been shown to be an effective way of maintaining and enhancing the protection function of the mangrove forest, to provide livelihood for local communities and to contribute to better governance of natural resources (Schmitt 2012). Livelihood improvement can be further enhanced by setting up integrated mangrove aquaculture systems such as mud crab fattening or grow out in mangrove pens and cages, mixed shrimp-mangrove-crab-cockle systems, or integrated mangrove fish or shrimp farms (Macintosh and Ashton 2003).

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Fig. 13 Boys catching juvenile mud crab in Cù Lao Dung Island, Sóc Trăng Province (Mekong Delta, Vietnam). Rules for spatial and temporal access, fishing tools, and harvest volumes were negotiated. In the rehabilitation zone, access is only permitted during low tide and fishing gear is restricted to handheld tools with fixed diameters and mesh sizes (Photo: A. Todt 2007)

Mangrove Assessment and Monitoring There is often a lack of baseline information of the status of mangrove forests which is essential for better conservation planning and mangrove management (Macintosh and Ashton 2003). This highlights the need for widespread assessments and research. However, research on coastal habitats is unevenly distributed: 60 % of all published research is carried out on coral reefs. Mangrove forests and other connected and interdependent coastal ecosystems (salt marsh and sea grass meadows) are covered by 11–14 % each in published research. Media attention follows a similar pattern: 72.5 % of media reporting focuses on coral reefs, 20 % on mangroves, and salt marsh and sea grass ecosystems receive 6.5 % and 1.3 %, respectively (Duarte et al. 2008). Informing the public about the unique features of mangroves, their values, and the potential consequences of their loss is of high importance. More, effective communication of scientific knowledge about mangroves and coastal habitats is required. Effective use of formal (school curricula, media) and informal (Internet) education avenues and an effective partnership between scientists, the public, and media are essential to raise public awareness (Duarte et al. 2008). The Internet, e-books, and apps (application software designed to run on smartphones, tablet computers, and other mobile devices) are media that can be used to reach a wide audience. An example of an e-book is “Blue Carbon – The Role of Healthy Oceans in Binding Carbon” (http://www.grida.no/publications/rr/blue-carbon/ebook.aspx) that contains animated graphics and is available as both on- and off-line versions. The “World Mangrove iD” app (Duke 2014) is an e-book and a living expert guide to all mangrove plants. This app not only includes a botanical guide, descriptions, and images of all known mangrove plants around the world but also invites the users to contribute their own observations. It includes a capture facility to send a message, photograph, and location of observations to the author. In this way any interested person can contribute knowledge about mangroves.

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Economic Assessment and Valuation Mangrove ecosystems are valuable both economically and ecologically, providing a wide range of ecosystem goods and services. They grow between the land and the sea/river in areas which are under immense development pressure. “About 44 % of the world’s population live within 150 km of the coast. In 2001 over half the world’s population lived within 200 km of a coastline. The rate of population growth in coastal areas is accelerating and increasing tourism adds to pressure on the environment” (the United Nations Atlas of the Oceans, http://www.oceansatlas.org/). Economic valuations of mangrove ecosystem goods and services provide compelling arguments for effective mangrove protection and management; they show the benefits of healthy mangrove forests to society. Due to differences between valuation methods and between locations with differing socioeconomic settings, considerable variance exists in the estimated economic values of mangroves among different studies. Differences are also based on the type of ecosystem service considered. In the Gulf of California (Mexico), for example, Aburto-Oropeza et al. (2008) estimated that one hectare of mangroves contributes about US$ 37,500 per year to fisheries. Comprehensive overviews of economic valuation are provided in Conservation International (2008), Brander et al. (2012), and Tuan et al. (2012). Mangrove values have been estimated as US$ 2,000–US$ 9,990 per hectare per year (Costanza et al. 1997; UNEPWCMC 2006). “Coastal ecosystem services have been estimated to be worth over US$ 25,000 billion annually, ranking among the most economically valuable of all ecosystems” (Nellemann et al. 2009, p. 7). The Economics of Ecosystems and Biodiversity (TEEB) is a global initiative focused on drawing attention to the economic benefits of biodiversity, including the growing cost of biodiversity loss and ecosystem degradation. TEEB presents an approach that can help decision-makers recognize, demonstrate, and capture the values of ecosystem services and biodiversity (TEEB 2008). The benefits of planting and protecting mangroves, for example, have been shown for the northern part of Vietnam. “Some 12,000 ha have been planted and the benefits are clear. An initial investment of US$1.1 million saved an estimated $7.3 million a year in sea dyke maintenance” (Brown et al. 2006, p. 10). Coastal ecosystems attenuate wave and storm surges (see Fig. 3 in Duke and Schmitt 2015), reduce erosion, and in the longer term maintain the coastal profile. These functions provide direct value through their capacity for self-repair and recovery and through co-benefits (Spalding et al. 2013). Reduced Emissions from Deforestation and Forest Degradation (REDD+) calculates net carbon savings by “avoided deforestation.” Under REDD+, developing countries can apply for carbon payments based on the rate of carbon sequestration due to reduced loss of forest coverage, restored areas, and/or increased areas of forest (Donato et al. 2011; Alongi 2014). However, large uncertainties exist about the carbon sequestration potential of mangroves, which varies greatly both within and among mangrove forests. Mangroves are nonlinear, nonequilibrium, and highly dynamic systems which rarely conform to classical concepts of forest development and succession. These factors must be considered in the design, time frame, and execution of REDD+ schemes (Alongi 2011, 2012). Alongi (2013) emphasizes that REDD+ schemes must be designed to conform to the dynamics of mangrove ecosystems, which often develop in relation to shoreline evolution rather than succession of other types of forest. Friess and Webb (2013) ask for better methods to accurately quantify the amount of ecosystem function lost or the deforestation avoided, particularly for confident baseline emission estimates. Mangroves not only contribute to aboveground carbon biomass (Hutchison et al. 2013), but also are hot spots for carbon burial in the ocean (Duarte et al. 2005). Payment for Ecosystem Services (PES) is another form of incentive to conserve mangrove ecosystems through monetary recognition of the vital services provided for human well-being. It is a direct payment by an external beneficiary of a well-defined environmental service to a service provider. Lau (2012) concludes that piloting of PES for mangroves is feasible, though more testing will be required to come up with best practice solutions for the different settings. Findings from rural communities in the Solomon Page 19 of 29

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Islands showed that mangrove ecosystem surveys are useful as tools for raising awareness of local communities and as an input to the design of PES schemes (Warren-Rhodes et al. 2011). PES could provide additional income and incentives for local resource users to protect mangrove forests and ensure they provide benefits beyond the mangrove forest area which they manage (Schwerdtner Máñez et al. 2014). A case for mangrove PES can be made, for example, from the coastal protection value of mangroves or their function as nursery grounds for commercially exploited fish species. The economic importance of mangroves can also be shown by using two quantitative indicators to assess the total value of adaptation projects. Saved wealth covers the monetary value of public infrastructure, private property, and income loss, and saved health covers avoided disease, disability, and life loss. Application of this approach, comparing mangrove rehabilitation and an earth dike with the use of a concrete dike as the only element of coastal protection, was carried out in Sóc Trăng Province (Vietnam). The results show that the dike upgrade leads to a negative benefit/cost ratio over 20 years, while the ecosystem-based mangrove/earth dike approach provides five times higher wealth benefits, as well as health and co-benefits (GIZ 2013). Mangroves can contribute to the livelihood of communities which depend on mangrove goods and services for traditional and commercial uses; and, consequently, the destruction and degradation of mangroves may have severe, negative socioeconomic impacts on them. Community-based poverty reduction programs can provide alternatives to dependency on mangroves for domestic consumption and commerce, and they can improve the ecological conditions of mangroves, as well as the livelihoods of local communities (see section “Mangrove Management”). Mangroves are not traditional tourist attractions or particularly suitable for recreation activities. However, in many locations (especially within short distances from urban centers), they can provide a fascinating educational experience and harbor a range of species that can be observed easily from boardwalks or boats. Mangrove ecotourism can therefore generate income and employment for local communities and be used for outreach and educational purposes.

Monitoring Mangrove monitoring refers to the systematic collection of data and processing of these data into information about the condition, health, and area of mangrove forests. It can also help to understand why changes are occurring. Mangrove ecosystems are dynamic both in space and time. An understanding of mangrove ecosystem processes is therefore essential in order to distinguish between natural changes which do not require management interventions and degradation which should be prevented (Duke 2015). The design of any monitoring program must start with the definition of its objective(s). Mangrove monitoring can, for example, be carried out to assess the effectiveness of planting operations and management interventions or to detect changes in forest area and land use. A monitoring protocol detailing the methodology, frequency of sampling, intensity of sampling, sampling unit size, sampling pattern, the location of the plots, when to do the surveys, and when to stop the monitoring, as well as organization of finance and administration needs to be set up. To ensure sustainability, it is essential that all monitoring data are stored in easily accessible databases and that easy-to-use tools for data analysis are made available. In addition, monitoring results must be reported regularly to all stakeholders so that adaptive management responses can be implemented. For applied monitoring, which can be carried out by forest rangers or local people, schemes which are simple to carry out and not too time consuming are likely to be most effective. In contrast, academic longterm monitoring or monitoring of specific scientific questions should be carried out by research institutes. Standard methodologies are, for example, described in English et al. (1997) and Lewis and Brown (2014). Mangrove ecosystems are both the subject and object of monitoring. They can be used as indicators of coastal change or sea-level rise (Blasco et al. 1996) and their actual health and area need to be monitored. Page 20 of 29

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Indicators can be used to monitor mangrove health. Examples for positive indicators are high number of viable fruiting on mangrove trees, high abundance and diversity of birds, and high crab abundance and diversity, while a high number of damaged trees are a negative indicator (Macintosh and Ashton 2003). Mangrove forest health and biodiversity are good indicators for the success of mangrove conservation and planting. In a review paper, Le et al. (2012) propose four main groups of indicators for assessing reforestation projects in tropical developing countries. The most common indicator of establishment success is the survival rate of planted trees, which is measured within months of planting and up to 3 years later. Indicators of successful forest growth are tree growth, stand density, stem form of timber trees, and the production of non-timber forest products such as fruits and resins. A particularly useful measure of tree growth is nodal scars of primary stems of young seedlings (Duke and Pinzón 1992). These have been used to evaluate not only growth history but also population demography of established saplings (Duke 1996). Vegetation structure, species diversity, and ecosystem functions are indicators of environmental success. The most common indicators used for measuring socioeconomic success are local income, local employment opportunities, other livelihood opportunities, provision of food and fiber, and local empowerment. Remote sensing can be used to provide spatial and temporal information on mangrove forest area and distribution, as well as on species differentiation, health status, and population changes. Kuenzer et al. (2011) provide a comprehensive overview of a wide range of remote sensing tools and their application, with sensors ranging from aerial photography to high- and medium-resolution optical imagery and from hyperspectral data to active microwave (SAR) data. The use of airborne video imagery for mangrove assessment dates back to the 1990s (Everitt et al. 1991). More recently, video imagery has been introduced for the qualitative assessment of shoreline habitats of the intertidal zone and along estuary banks. Such shoreline video assessments are often carried out by enthusiastic individuals and community groups as part of the MangroveWatch program which is a partnership between community volunteers, indigenous rangers, and scientists (Mackenzie et al. 2011). The Regional Coastal Health Archive and Monitoring Program (CHAMP) aims to create public-access websites of interactive online maps and oblique aerial imagery taken over time (Duke and Mackenzie 2010) which show the extent, condition, impacts, change, and health of coastlines (www.mangrovewatch. org.au/). The rapid progress in the development of easy-to-use unmanned aerial vehicles, which can take vertical or oblique, georeferenced aerial photos and videos in the coastal zone even in conditions of strong gusts of wind, will make such monitoring techniques more widely applicable. Public-access online databases are an important monitoring tool that contributes to scientific exchange; and they have the potential to improve regional and transboundary collaboration. The Louisiana Coastwide Reference Monitoring System (http://lacoast.gov/crms2/home.aspx), for example, is used to monitor the effectiveness of individual wetland restoration projects, as well as to monitor the cumulative effects of all projects in restoring, creating, enhancing, and protecting the coastal landscape. The Global Mangrove Database and Information System (http://www.glomis.com) is a database of scientific literature, institutions, and scientists working on all aspects of mangroves, as well as regional projects and programs related to mangroves. It is based at the International Society of Mangrove Ecosystems Secretariat in Okinawa, Japan. In the future, blue carbon assessment and monitoring will become an important issue. “The ocean’s vegetated habitats, in particular mangroves, salt marshes and seagrasses, cover 45 times a month, “mid” representing areas inundated by normal high tides and flooded from 20 to 45 times a month, and “high” representing areas inundated 2.5

Harvest intensity (m3 per ha per yr, classes 0.5 m3 wide)

Fig. 5 Harvest intensities (total volume harvested divided by cutting cycle) for various selective logging operations (Data adapted from Putz et al. 2012); I refer to supplemental Table S2 in their study and estimated volumes from minimum harvest diameter, if tree numbers have been provided instead of tree volumes

However, it is clear that RIL alone does not qualify as SFM. To achieve this, it is indispensable to reduce harvest intensities and to extent cutting cycles (Putz et al. 2008), as already pointed out in the analyses demonstrated above. RIL is a passive strategy, which has not been designed to improve the growth of remaining trees, particularly that of FCT. In an interesting study carried out in Bolivia, Peña-Claros et al. (2008) have gone beyond RIL. They have shown that liberation of FCT by liana cutting and girdling of competitors may increase diameter growth by 50–60 %, when averaged over 4 years after the treatment application. The greatest positive responses have been observed for partly shade-tolerant and shade-tolerant groups of trees. However, these results may vary not only between tree species but also among different natural forest types. For example, G€ unter et al. (2008) have established an extensive natural forest experiment in a mountain rainforest ecosystem in South Ecuador and have, in the case of some tree species, observed significantly reduced growth of the supported trees compared to their untreated reference – this, only one year after silvicultural operations ended.

Economics of SFM in Natural Forests The economic viability of SFM of natural forests will be of very high importance for its potential acceptance by landowners. One indicator for the potential profitability of natural forest management is the amount of timber which may be harvested on a sustainable basis. If we recall the results of the metaanalyses carried out by Putz et al. (2012), we may compute an average harvest intensity of 1.7 m3 ha 1 year 1 from the data provided (see Fig. 5 for the range reported). This is still likely to be too high for a sustainable harvest level, because lower harvest amounts have been reported for the second and third harvests. As an alternative to the actually harvested timber volumes, a more theoretical consideration may be carried out to obtain information on the potential sustainable harvest amount. Based on data about structure, tree growth, and mortality rates reported by G€ unter et al. (2008) for a natural mountain rainforest in South Ecuador, it was possible to estimate the annual amount of trees with a tree diameter (dbh) larger than 40 cm, which could be harvested without exploiting the forest (for details see Knoke et al. 2009a). This means then that only those trees which can be replaced by ingrowing trees from the lower size classes were considered harvestable. To obtain data for the probability of transition between size classes (5 cm wide), we used a measured average diameter increment of 2.62 mm year 1. The according probability to transition from one size Page 7 of 22

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Table 1 Calculation of sustainable harvest of natural forest in South Ecuador when stems transition between size classes with a probability of 0.052 (Data from natural forest experiment; see G€unter et al. 2008 for a description of the experiment; data in table not yet published but used for calculations in Knoke et al. 2009a, b) Size class dynamics Dbh class (5 cm) 42.5 47.5 >50.0 Sum

Stems (n ha 1) 17.3 9.7 15.9

Mortality (% year 1) 0.7 0.9 0.7

Ingrowth (n ha 1) 1.5 0.9 0.5

Outgrowth (n ha 1) 0.9 0.5 0

Delta stem number = Harvestable stems (n ha 1) 0.6 0.4 0.5 1.5

Harvestable bole volume (m3 ha 1 year 1) 0.473 0.390 0.620 1.482

Merchantable volume (m3 ha 1 year 1) 0.237 0.195 0.310 0.741

Net revenue (US$ ha year 1) 10.0 8.2 13.1 31.4

1

Table 2 Calculation of merchantable timber volume and net revenue from forest clearing to compute profitability of natural forest management (Data from natural forest experiment; see G€unter et al. 2008 for a description of the experiment; data in table not yet published but used for calculations in Knoke et al. 2009a, b) Diameter class (5 cm) 42.5 47.5 52.5 Sum

Stem number (n ha 1) 17.3 9.7 15.9 42.9

Bole length (l) (m) 7.8 8.0 8.2

Basal (ba) area (1.3 m height, m2 per tree) 0.142 0.177 0.216 0.536

Bole volume (m3 per tree) 0.772 0.992 1.239 3.0

Merchantable volume (m3 ha 1) 6.678 4.809 9.853 21.3

Gross revenue (US$ ha 1) 457 329 675 1,462

Logging costs (US$ ha 1) 175 126 258 559

Net revenue (US$ ha 1) 282 203 417 903

Bole volume: ba  l  0.7. Merchantable volume: Bole volume  0.5 (due to waste of wood). Revenue: 68.5 US$ m 3. Logging: 2.62 days m 3  10 US$ day 1

class to the next higher size class was thus 0.052. Based on this information and on mortality rates, the ingrowth and the number of stems leaving a size class (outgrowth) can be calculated (Table 1). For trees with dbh >40 cm, a surplus of 1.5 stems year 1 and a harvestable bole volume of 1.482 m3 were observed. When acknowledging the great amount of wood waste due to the cutting of boards by means of a power chain saw directly inside the forest (in the order of 50 %), one obtains a sustainable merchantable harvest of only 0.741 m3 ha 1 year 1. The average value of 1.7 m3 ha 1 year 1 obtained from the studies included in the meta-analyses by Putz et al. (2012) thus indicates a realistic but rather high harvest level. The net revenues based on the calculation of the sustainable harvest are relatively small and amount to US$ 31.4 ha 1 year 1 (Table 1). The total financial net revenue from clearing the natural forest amounts to US$ 903 ha 1 (Table 2). From the perspective of a farmer, this money would be tied up in the trees of his/her forest, which has to be seen as an investment. The profitability of such investment is computed in a simple way by dividing the net revenues obtained from sustainable management (US$ 31.4) by the money tied up in the trees (US$ 903) resulting in an internal rate of return of 3.5 %. At the first glance, this does not look so bad, if we compare this profitability with that of European forests. However, up until now we have disregarded the opportunity costs of natural forest management, when land is allocated to sustainable forest management and not to the economically viable (often agricultural) alternative. Considering Table 3, it is obvious that agricultural alternatives, particularly when intensified

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_139-1 # Springer-Verlag Berlin Heidelberg 2015

Table 3 Net revenues from sustainable natural forest management (SFM) compared to those of alternative land uses (ALU) (Adapted from Knoke and Huth (2011), updated) Country Brazil

Annualized net revenue SFM (US$ ha 1 year 1) 69a

Ecuador

31.4

31.8 Cameroon

32

Sri Lanka Malaysia

123 153

Annualized net revenue ALU (US$ ha 1 year 1) 58a (agriculture with no intensification) 90a (agriculture with intensification) 99 to 386 (cattle pasture) 72 (conversion to cattle pasture, 20-year cycle) 130.5 (cattle pasture) 208.4 (maize cropland) 154 (conversion to small-scale agriculture) 178 (conversion to palm oil) 468 (cultivation of tea) 189 (unsustainable timber logging)

Reference Carpentier et al. (2000)

Comment Sustainable yearly harvest, labor costs in forest 10 US$ day 1

Knoke et al. (2009a) Knoke et al. (2009b) Knoke et al. (2011)

Household survey, 5 % percentile and 95 % percentile Sustainable yearly harvest, 5 % interest for agriculture Computation based on data from FAO Statistics Division (2009)

Studies cited by Turner et al. (2003)b

10 % interest, 32-year cycle

8 % interest, 20-year cycle 8 % interest, 100-year cycle

a

Brazilian real I calculated annualized net revenues as annuities from net present values (i.e., the sum of all appropriately discounted positive and negative financial flows) reported in Turner et al. (2003) b

variants are taken into account, would regularly outperform sustainable forest management from an economic perspective. Sustainable forest management couldn’t likely compete with its agricultural alternatives, at least, if we consider SFM as a stand-alone option.

Conclusion The meta-analysis by Putz et al. (2012) provides evidence for some negative impacts of selective logging on future timber yield. However, we have to keep in mind that without logging there is no future timber yield at all. The question thus arises where to compare the logged forests with; an unlogged forest is a poor reference for future timber yields. Moreover, the regulating service, “carbon storage,” has only moderately been compromised, and much more carbon has been retained in logged forests compared to a complete conversion of the forest into agricultural use options. When addressing the central results of the considerations above, we should keep in mind that low to moderate harvest intensities and long cutting cycles are key in minimizing the negative impacts of selective logging. However, when addressing the greatest concern of environmental scientists that biodiversity is deteriorated to a large degree by selective logging (Bawa and Seidler 1998), the studies reviewed in Putz et al. (2012) provide no such evidence. Also, best management practices have been developed and are aptly termed reduced-impact logging (RIL). Their application may further reduce the adverse impacts of logging, to avoid “. . . undue reduction in . . . inherent values and future productivity . . .” of natural forests (ITTO 2006). Still, it must be considered that selective logging, with or without the application of RIL and silvicultural improvement, may pave the way for the conversion of the natural forest; for example, due to the resulting infrastructure necessary for selective logging, access to many forest areas may now be possible, whereas before they remained inaccessible. To ensure the persistence of the natural forest, either

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_139-1 # Springer-Verlag Berlin Heidelberg 2015 14% Miscellaneous broadleaves

24% Eucalyptus ssp.

9% Acacia ssp

17% Tectona grandis 18% Pinus ssp 18% Hevea brasiliensis (rubber)

Fig. 6 Approximate composition of planted forests in the tropics according to ITTO (2009, p. 13)

the economic performance of natural forest management must be at least as advantageous as that of the best (often agricultural) alternative or the ecosystem services inherent in the natural forests must be rewarded by payments, so that in sum the economic outcome of natural forests is at least as high as that of the best alternative.

Planted Forests If not SFM, then possibly planted forests could help relieving the pressures on natural forests. Planted forests could be attractive enough from an economic perspective for land users. In the following sections, I refer to planted forests according to FAO (2010a, p. 13), which are “. . . predominantly composed of trees established through planting and/or deliberate seeding.” Although their area comprised of only 7 % of the total forest area in 2010 (264 M ha), planted forests deliver an increasing amount of the world’s timber demand (FAO 2010b). In 2005 they produced 1.2 109 m3 of industrial roundwood, which represented 66 % of the total world production, with a significant potential to increase (Carle and Holmgren 2008). Planted tropical forests covered 67.5 M ha in 2005 (that equals to 36 % of the world’s total area of planted forests), with 54 M ha in tropical Asia, 4.6 M ha in tropical Africa, and 8.8 M ha in tropical Latin America and the Caribbean (ITTO 2009, p. 11). Provided that a percentage of 36 % is still true for 2010, we can estimate an actualized total area of planted forests in the tropics of 95 M ha. Estimates on species (group) composition show a dominance of the genus Eucalyptus, followed by Pinus, Hevea (rubber), Tectona, and Acacia (Fig. 6).

Economic Attractiveness of Planted Forests The documented profitability of planted forests is generally high (Cubbage et al. 2007). Figure 7 reveals no principal differences in the economic performance between planted forests in the tropics and non-tropics. Also, some native species, such as Andean alder (Alnus acuminata) for Ecuador and zapatero (Hieronyma alchorneoides) for Panama, show quite competitive economic performance compared with the exotic species. The economic performance of planted tropical forests is obviously much higher compared to the profitability of natural forest management, where we may achieve an IRR of around 3.5 %.

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USA

EcuaPanama dor

Brazil

Argentina

Chile

Uruguay

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_139-1 # Springer-Verlag Berlin Heidelberg 2015

Subtropical, natives Eucalyptus globolus Eucalyptus grandis Loblolly pine (Pinus taeda) Nothofagus nervosa Nothofagus dombeyi Radiata pine (Pinus radiata) Natives Araucaria angustifolia Eucalyptus grandis Loblolly pine - Corrientes Loblolly pine - Misiones Araucaria angustifolia Ilex paragurariensis (tropical savanna) Eucalyptus dunnii Eucalyptus grandis Loblolly pine (Pinus taeda) Patula pine (Pinus patula) Andean alder (Alnus acuminata, native) Terminalia amazonia Hieronyma alchorneoides Tectona grandis Hardwoods Longleaf pine (Pinus palustris) Loblolly pine (Pinus taeda)

Tropical Non tropical

0

5

10 15 Internal Rate of Return (%)

20

25

Fig. 7 Internal rate of return (IRR) for planted forests (Data adapted from Cubbage et al. (2007) for Uruguay, Chile, Argentina, Brazil, and the USA, from Griess and Knoke (2011) for Panama, and from Hildebrandt (unpublished data) for Ecuador). IRR is that discount rate, which leads to a net present value (sum of discounted net revenue flows) of zero. All calculations exclude costs to purchase land Table 4 Examples of appropriate, risk-adjusted discount rates (RaR) (Adapted from Benitez et al. (2007) compared with the range of achievable IRR; n.a.: information not available) Country Uruguay Chile Argentina Brazil Ecuador Panama USA

Risk-adjusted interest rate (RaR) in % n.a. 7.4 12.7 11.7 17.9 9.9 4.5

Range of achievable internal rate of return (IRR) in % 3.6–21.9 10.9–16.9 1.7–13.8 12.4–22.9 11.9–12.1 10.5–15.5 3.6–9.5

Range of achievable IRR includes RaR n.a. No Yes No No No Yes

However, the cited computations on the IRR require in-depth interpretation and should be considered with some care for several reasons. A first crucial aspect is the country risk, which must be considered when evaluating the profitability of planted forest. Benitez et al. (2007) have described an interesting approach to cover this risk by means of an appropriate, risk-adjusted, and country-specific discount rate (RaR). If the appropriate discount rate would be equal or even beyond the IRR achieved, the resulting economic performance in units of net present value (NPV) would be either zero (IRR=RaR) or even negative (IRR3.5 L). The properties of soil-based mixes make them unsuitable for smaller containers, and the risk of disease makes them unsuitable in media for germinating seeds or rooting cuttings. Soil should comprise no more than 10–20 % of the transplant media by volume although some nurseries use up to 30 %.

Developing and Mixing Growing Media

Every nursery manager needs to be able to experiment and find suitable, local, affordable ingredients to create good growing media. Three general types of growing media are used in container nurseries: 1. Seed Propagation. For germinating seeds or establishing germinants (sprouting seeds), the medium must be sterile and have a finer texture to maintain high moisture around the germinating seeds. 2. Rooting Cuttings. Cuttings are rooted with frequent misting, so the growing medium must be very porous to prevent waterlogging and allow good aeration necessary for root formation. 3. Transplanting. When smaller seedlings or rooted cuttings are transplanted into larger containers, the growing medium is typically coarser. Because of the diverse characteristics of various growing media ingredients, a growing medium can be formulated with nearly any desired property. The physical, chemical, and biological properties of each growing medium strongly interact with nursery cultural practices, particularly irrigation, fertilization, and container type. When considering a new growing medium, first test it on a small scale with several different species and evaluate its suitability before making a major change to the whole crop. A variety of commercial mixes that feature combinations of organic and inorganic ingredients are available. Many brands also contain a wide variety of amendments including fertilizers, wetting agents, hydrophilic gels, and even beneficial microorganisms. Many media are formulated for crops other than tropical plants and may do more harm than good; always check the label to be sure of exactly what is in the mix. Many nursery managers prefer to mix their own custom growing media. In addition to saving money, custom mixing is particularly useful in small nurseries where separate mixes are needed to meet propagation requirements of different species. Some media may also include amendments – supplemental materials that contribute less than 10 % of the mixture including fertilizers, lime, surfactants, hydrogels, and mycorrhizal inoculum. Some of these materials may be undesirable because they are formulated for other crops and are detrimental to native plant growth. If amendments are added to the growing medium, it is important that they be added uniformly and tested on a small scale before widespread usage. Whitcomb (2003) emphasized that improper media mixing is one of the major causes of variation in container plant quality. Small batches of growing media ingredients can be mixed by hand and larger batches can be mixed on any clean, hard surface using shovels. Some organic ingredients repel water when dry, so frequently misting the media with water at regular intervals during mixing improves water absorption. Do not compress or compact during mixing. Nursery managers that regularly require larger quantities of custom growing media should consider purchasing a mixer. A cement mixer works well as long as care is taken to avoid excessive mixing, which breaks down the size and texture of ingredients. When handling growing media, workers need to follow safety precautions to protect from dust and infections. Perlite dust is of particular concern because of potential for silicosis, an inflammation that occurs over time when dust that contains silica is inhaled into the lungs and open wounds should be covered to prevent infections.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Fig. 6 Necessary temperatures for heat pasteurization vary depending on the target pest. Effective control is achieved if the target temperature is held for 30 min (Illustration from Landis et al. (2014a) by Jim Marin)

Treating Growing Media Ingredients Some growing media ingredients may need to be leached, pasteurized, and /or screened before use to reduce potential damage to plants. Using fresh water to leach out salts may be necessary for materials such as coir, sand, sawdust from mills near the ocean, and composts with excessive soluble salt levels (Carrion et al. 2006; Landis and Morgan 2009). Pasteurization, especially of organic ingredients, can prevent the introduction of pests, weeds, and diseases into the nursery (Fig. 6). Most inorganic components are inherently sterile. Heat generated during the composting process will kill pathogens and other pests, but field soil should be pasteurized. Heat pasteurization is the most common way of treating growing media and includes moist heat from steam, aerated steam, or boiling water or dry heat from flame or electric pasteurizers or microwave ovens. Small pasteurizing equipment is available for nurseries and some nurseries have developed their own pasteurization process using fire or solar heat. Some ingredients, such as soil, sand, and cinder, may require screening or sifting to achieve the desired particle size. It may be necessary to sift twice, once with a small mesh to eliminate material larger than desired, and a second time with a larger mesh to remove material smaller than desired.

Testing Growing Media To preclude surprises, nursery managers test compost and growing media well in advance of use and retain the results to compare with new or experimental batches (Grubinger 2007) and to develop and refine suitable alternative mix(es) with similar favorable properties. One easy and effective test is a plant bioassay (Grubinger 2007). Put a sample of the growing medium in the containers that will be used in the nursery, sow an abundantly available, fast-growing species into the medium, and observe how the planting performs during a few weeks. If the mix works, it is ready to try in the nursery. The salinity (salt level) of the growing medium is a key parameter affecting the development and health of roots. Salts may come from growing media ingredients, irrigation water, and from added fertilizers. Routinely measuring electrical conductivity (EC) monitors the amount of nutrients and salts present to ensure they are in

Page 10 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Table 2 Electrical conductivity (EC) guidelines for artificial growing media (Timmer and Parton 1982) EC range (mS/cm) 0–12,000 1,200–2,500 2,500–3,000 3,000–4,000 >4,000

Salinity rating general guidelines Low Normal High Excessive Lethal

mS/cm = microSiemens per centimeter

Fig. 7 Nurseries use a variety of containers to produce different species and stocktypes (Photo by Diane L. Haase)

the appropriate ranges for the species grown (Table 2). Excessively high salt levels can damage or even kill succulent young plants. For more details on proper technique with EC meters, see Landis and Dumroese (2006). For more formal testing, growing media samples can be sent to a soil-testing laboratory (private, local extension office, or university) for testing. A measurement of pH, soluble salts (electrical conductivity), and nutrients should be requested (Grubinger 2007). Results can vary among laboratories depending on their procedures, so it is best to select one laboratory and use them for testing year to year, provided that the data appear accurate and consistent.

Containers A suitable container could be anything that holds growing media, drains, allows for healthy root development, does not disintegrate before outplanting, and allows for an intact, healthy root system to be removed with a minimum of disturbance to the plant. Most nurseries grow a wide variety of species and therefore several different containers are required (Fig. 7). In general, the following points hold true regarding container type: Plants that develop shallow, fibrous root systems, as most forbs do, grow better in shorter containers. Plants with long taproots, such as many kinds of trees, grow better in taller containers. And, plants with multiple, thick, fleshy roots, and species with thick, fleshy rhizomes grow better in wide containers. Many types of containers are available and each has its advantages and disadvantages concerning plant development, economics, and efficiency under operational conditions (Landis et al. 2014b). It is a good

Page 11 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Fig. 8 Next to volume, density (spacing) is the most important characteristic in container choice (a). Plants grown too close together become tall and spindly and have less stem diameter (b). Trays with removable containers are popular because they allow flexibility in spacing between plants (c) (Adapted from Dumroese et al. 2008)

idea to try new containers for each species on a small scale before buying large quantities. Several containers types are used in container plant nurseries and can vary considerably in attributes and size.

Container Characteristics Affecting Plant Development • Volume – Container volume dictates how large a plant can be grown in it and this varies by species, target plant size, growing density, length of the growing season, and growing medium used. Larger containers occupy more growing space and take longer to produce a firm root plug so therefore are more expensive to produce, store, ship, and outplant but the benefits, however, may outweigh the costs if the outplanting objectives are more successfully satisfied. • Height – Container height determines the depth of the root plug, which may be a consideration on dry outplanting sites (where a deep root system that can stay in contact with soil moisture is desired) or sites with shallow soils (where only a short root system can be planted). • Diameter – Broad-leaved trees, shrubs, and herbaceous plants generally need a larger container diameter so that irrigation water applied from above can penetrate the dense foliage and reach the medium. The container diameter must also be large enough to accept the seeds.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Fig. 9 Plants with aggressive roots often exhibit spiraling and other deformities after outplanting. If rootbound, roots often do not grow out beyond the original plug (a). Containers coated with copper will chemically prune roots (b) and other containers are available with lateral slits to reduce spiraling and encourage air pruning on the side of the plug (c). (Illustrations adapted from Dumroese et al. 2008).

• Shape – Containers are available in a variety of shapes and most are tapered from top to bottom. Most containers are round but some are square and maximize the growing space used in the nursery. Container shape is important as it relates to the type of outplanting tools used and the type of root system of the species grown. • Density – The distance between plants is important because it affects the amount of light, water, and nutrients that are available to individual plants (Fig. 8a). In general, plants grown at closer spacing grow taller and have less stem diameter than those grown farther apart (Fig. 8b). Plant leaf size greatly affects growing density. Broad-leaved species grow better at fairly low densities, whereas smaller leaved and needle-leaved species can be grown at higher densities. Trays holding individual containers provide some flexibility in density because, as the plants grow, containers can be rearranged to allow greater space among plants (Fig. 8c). • Root Control – Some plants have aggressive roots that quickly reach the bottom of the container and may spiral or become rootbound. Many containers have vertical ribs to force the roots downward and prevent spiraling. Chemical pruning involves coating the interior container walls with chemicals that inhibit root growth. Several companies have developed containers that feature air slits on their sides to promote pruning and mitigate root deformation (Fig. 9). • Drainage – Containers must have a bottom hole or holes large enough to promote good drainage and encourage “air pruning.” The drainage hole must also be small enough to prevent excessive loss of growing medium during the container-filling process. • Color and Insulation – Color and insulating properties of the container affect medium temperature, which directly affects root growth. Black containers can quickly reach lethal temperatures in full sun whereas white ones are more reflective and less likely to have heat buildup.

Economic and Operational Factors Affecting Container Choice • Cost and Availability – In addition to the purchase prices, remember to consider associated expenses for various container types, such as shipping and storage costs. Nursery managers in the tropics often face high shipping costs and long shipping times. Also consider the potential for long-term availability to ensure that ample supplies can be secured in the future. Page 13 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

• Durability and Reusability – Containers must maintain structural integrity and contain root growth during the nursery period. The intense heat and ultraviolet rays in container nurseries can cause some types of plastics to become brittle and break, although many container plastics now contain ultraviolet (UV) inhibitors. While some containers are designed to be used only once, others can be reused for 10 or more crop rotations. The purchase cost of reused containers can be amortized over their life span after adjusting for the cost of handling, cleaning, and sterilizing the containers between crops. • Return from Customers – Reusing containers is important; it saves money and resources and protects the environment from waste. Charging a refundable container deposit (similar to bottle deposits for beverage containers) encourages clients to return containers to the nursery. All containers should be washed and sterilized before reuse in the nursery; even though disease symptoms may not be apparent, disease organisms accumulate in non-treated containers and reduce growth (Dumroese et al. 2002). • Ease of Handling – Containers are typically moved several times during crop production, so handling is a major concern from logistic and safety standpoints. Collapsible or stackable containers may have lower shipping and storage costs but labor is required to prepare them for filling and sowing. Large containers are increasing in popularity, but they become heavy when saturated with water. Weight must be considered for shipping and field planting. • Ability to Cull, Consolidate, and Space – One advantage of tray containers with interchangeable cells is that cells can be rearranged. During thinning, empty cells can be replaced with those containing plants. During roguing, diseased or undesirable plants can be replaced with healthy plants. For species that germinate during a long period, plants of the same size can be consolidated and grown under separate irrigation or fertilizer programs. Thus, consolidation can save a considerable amount of growing space. Another unique advantage is that cells can be spaced further apart by leaving empty slots; this practice is ideal for larger leaved plants and for promoting air circulation later in the season when foliar diseases can become a problem.

Ways to Preclude Problems If Using Polybags and Polytubes Bags made of black polyethylene (poly) plastic sheeting are the most commonly used nursery containers in the world because they are inexpensive and easy to ship and store (Fig. 10a). Polybags often produce seedlings with poorly formed root systems that spiral around the sides and bottoms of the smooth-walled containers. This problem worsens when seedlings are held over and not outplanted or transplanted at the proper time. In cases in which converting to hard plastic containers would be operationally or financially impractical, ways exist to improve container production using polybags. Some of these cultural modifications include (Landis 1995): • Managing container seedlings as a perishable commodity with a limited “shelf life.” This concept is particularly critical in tropical nurseries where seedlings grow year round. If seedlings cannot be outplanted when their roots fill the container, then they must be transplanted into a larger container. Holding over polybag seedlings is not an option. • Using polytube containers (a polybag open at both ends, sometimes called a polysleeve) instead of polybags (Fig. 10b). These containers can usually be obtained from the same supplier as polybags or cut from a continuous roll with no bottom (Jaenicke 1999). Poly tubes eliminate much of the root spiraling. Poly tubes will hold growing media if they are properly filled and placed on elevated screenbottomed trays to promote air pruning of roots (Fig. 10c). • Using copper-coated polytubes or polybags. Plants grown in copper polybags produce a much finer, fibrous, non-circling root system that is well distributed throughout the containers. Page 14 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Fig. 10 Polybags are inexpensive containers that can produce good plants (a) but root spiraling is often serious. Openbottomed polytubes (b) in trays (c) can help solve that problem (Photos by Tara Luna)

• Switching from soil-based to “artificial” or organic-based growing media (based on composts, bark, or other materials instead of soil). • Carefully transplanting germinants or direct-seeding into the polytube containers to avoid root deformations.

Water Quality and Irrigation Water is the single most important biological factor affecting plant growth and health. Determining how, when, and how much to irrigate is a crucial part of nursery planning and day-to-day operations. Adequate watering is particularly important with container plants because they can dry out quickly, but excessive watering can lead to root disease and contribute to other problems with seedling growth. Tropical nurseries typically grow a wide range of species with different water requirements, and these water requirements change as the plant moves through the three phases of growth (establishment, rapid growth, and hardening; described below). The nursery might have various propagation areas and corresponding irrigation zones that provide for the changing needs of plants during these phases. The Page 15 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Fig. 11 Agricultural water quality is determined by the level of soluble salts because they can accumulate and eventually “burn” seedling foliage (Photo by Thomas D. Landis)

Table 3 Water-quality standards for nursery irrigation water (Modified from Landis et al. 1989a; Robbins 2011) Quality index pH Salinity (mS/cm) Sodium (ppm) Chloride (ppm) Boron (ppm) Fluoride (ppm) Iron (ppm) a

Optimal 5.5–6.5 0–500 1.00a >1.00

Sensitive species may be damaged at lower levels

best design for any irrigation system comes from understanding the needs of the plants, the factors that affect water availability, and the details of how, when, and why to water. Tropical plant nurseries can use water from several different sources, including rivers, ponds or reservoirs, rainwater, groundwater, and municipal sources. New nurseries need to evaluate the quantity, quality, and seasonal availability of all potential water sources. For surface or groundwater, a hydrologic survey and analysis of local water rights needs to be conducted before nursery development. Surface water sources that have flowed through agricultural land need to be tested for waterborne pests or herbicides and may need to be treated. Rainwater is an attractive source of high-quality water for tropical nurseries if enough can be collected from the roofs of buildings and stored in tanks until needed.

Water Quality and Quantity The amount of water to grow a crop varies tremendously between humid and arid locations. Remember that a nursery also needs water for operational requirements other than irrigating crop and that a nursery that starts small may choose to expand. Therefore, ensure an abundance of water is available to meet present and future needs. Even in cases with access to a steady, reliable, high-quality water source, an emergency backup system is always a good idea. A prudent investment is a backup water storage tank containing sufficient water to meet the nursery’s needs for at least 1 week.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Water quality needs to be a primary consideration during nursery site evaluation. For irrigation purposes, water quality is determined by the quantities of salts and pests in it. A salt is defined as any chemical compound that releases charged particles (ions) when dissolved in water. Some salts are fertilizers while other salts can reduce growth or even cause injury or death. Excessive dissolved salts in irrigation water can clog nozzles and accumulate in growing media and eventually harm plant tissue. The most characteristic symptom of high salinity is reduced growth and burn or scorch of leaf margins or tips (Fig. 11). Excessive dissolved salts result from local climatic or geologic influences, saltwater intrusion, high fertilization rates, or poor irrigation practices. Test results for salinity are traditionally expressed as electrical conductivity (EC); the higher the salt concentration, the higher the EC (Table 3). The EC can be checked at the nursery using a conductivity meter, or by sending water samples to a local laboratory. Tropical nurseries that use irrigation water from surface water sources such as ponds, lakes, or rivers may encounter problems with pests: weeds, pathogenic fungi, moss, algae, or liverworts. Recycled nursery irrigation water should also be analyzed. Many weed seeds and moss and algal spores are small enough to pass through the irrigation system and can cause problems. Chlorination and some specialized filtration systems may remove many disease and pest organisms from irrigation water. Irrigation water, especially in agricultural areas, may be contaminated with residual pesticides, and these sources need to be tested for pesticide contamination during the nursery site selection process.

Water Testing and Treatments Water should be tested during the site selection process, once the nursery is established, and again at yearly intervals. A complete analysis of irrigation water consists of a salinity evaluation listing the concentrations of sodium, chloride, and boron, which are reported in parts per million (ppm) and the three standard water-quality indices: EC, toxic ion concentrations, and pH (Table 3). It should also be tested for the presence of pathogenic fungi during the site selection process and later if a problem is observed. Collect an irrigation water sample in a clean plastic bottle with a firm, watertight lid. Let the water run for several minutes and then rinse the sample bottle well before collecting the sample. Establishing the nursery on a site with tested, good-quality water is the best way to preclude waterrelated problems. If existing water quality is poor, methods such as deionization and reverse osmosis can treat and improve irrigation water, but they are often prohibitively expensive and not feasible for most nurseries. To correct or safeguard against minor problems with otherwise good-quality water, however, chlorination and filtration are low cost and highly effective for container nurseries. Chlorination can kill fungi, bacteria, algae, or liverworts introduced through the irrigation system. A simple method is to mix household bleach (5.25 % sodium hypochlorite) at a rate of 18 ml per 1,000 L. This low dose (about 1 ppm) is not phytotoxic to a wide range of plant species (Cayanan et al. 2008) – but always test it first on a small subset before treating the entire crop. Filtration removes suspended or colloidal particles, thus preventing problems such as plugging or damaging irrigation equipment, as well as removing unwanted pests such as weed seeds or algae spores. Granular medium filters can remove fine sand or organic matter and are constructed so that they can be backflushed for cleaning. Surface filters include screens or cartridges of various mesh sizes to remove suspended material; screens must be physically removed and cleaned whereas cartridge filters are not reusable and must be regularly replaced. Handreck and Black (1984) recommend using filters small enough to remove particles greater than 5 mm in diameter, which will take care of most suspended materials.

Determining When and How Much to Irrigate When irrigating container crops, it is important to apply enough water such that some drips out the bottom of the container, but not so much that water streams out the bottom. The general rule is to apply Page 17 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

approximately 10 % more water than is needed to completely saturate the entire growing medium profile during irrigation. It is absolutely necessary to regularly monitor the moisture status of growing media. In small containers, the limited volume of moisture reserves means that critical moisture stresses can develop quickly. Visual and tactile assessments are the most common method of monitoring irrigation effectiveness. Monitoring can also include formal or informal assessments of container weight. In addition, various tools, such as tensiometers, electrometric instruments, balances, commercial moisture meters, or pressure chambers can be used to monitor irrigation efficacy (Landis et al. 1989a). Any equipment-based method must also be supported by actual observation (visual and tactile) and the grower’s experience. A quantifiable technique, such as container weight (the difference between the container weight at field capacity and some target weight, for example 75 % of field capacity), ensures that proper irrigation frequency can be repeated by all staff for a particular crop for consecutive growing seasons (see Dumroese et al. 2012). The amount of irrigation to apply varies during the growing season because of the three stages of plant development: establishment, rapid growth, and hardening (described in the chapter, ▶ Planning and Managing a Tropical Nursery). The establishment phase is the time from when sown containers are placed in the growing area until true leaves form or cuttings begin to root. The growing medium needs to be brought to field capacity (some water dripping from the bottom). Thereafter, watering needs during establishment should be monitored carefully and tailored to the needs of the species. On the one hand, inadequate irrigations will allow seeds to dry out, decreasing germination success or causing total crop loss. On the other hand, excessive irrigation may create excessively wet conditions that promote damping-off and delay germination. Until the seeds germinate and begin to grow, water must be applied with the goal of replenishing the moisture in the thin surface layer of the medium. This practice is usually best accomplished by periodic misting or light irrigation with a very fine spray nozzle, which also protects germinating seeds from being moved or damaged by the force of the water. These fine sprays can also be used to control the temperature around germinating seeds; misting just enough to dissipate heat around the seedling. During the rapid-growth phase, the plant experiences a large increase in shoot size, which increases the amount of water lost through transpiration so irrigations must be longer and more frequent. Water use can double or even triple during the rapid growth phase. No plants should ever be allowed to dry out completely. Nursery managers need to be aware of the varying water requirements for different species and adjust irrigation practices accordingly. The rapid growth phase is also the time when liquid fertilizers are most concentrated and water loss through transpiration is high, so growers must monitor for salt accumulation. Once plants near the target size, the hardening phase begins. Manipulating irrigation frequency is an effective way to initiate the hardening of plants before shipment and outplanting. Because seedling growth is tied to moisture stress levels, growers can slow shoot growth and increase general resistance to stress by inducing mild water stress. This “drought stressing” procedure consists of withholding irrigation for short periods of time until the plants can be seen to wilt slightly or until some predetermined moisture stress is reached. For some species, this process may be repeated several times. After this stress treatment, the crop is returned to a maintenance irrigation schedule.

Types of Irrigation Systems The best method of applying irrigation water depends on the water requirements of the species being grown and on the size and complexity of the nursery (Table 4). In general, four methods (hand watering, microirrigation, overhead irrigation, and subirrigation) are the most commonly used, and individual nurseries may use one or more of them depending on the particular crops. Page 18 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Table 4 Advantages and Disadvantages for four types of irrigation systems for container nurseries (Landis and Wilkinson 2014) Advantages Hand watering • Requires inexpensive equipment that is simple to install • Is flexible and can adjust for different species and container sizes • Irrigators have a daily connection to the crop and can scout out diseases or other potential problems • Allows water to be directed under plant foliage, reducing risk of diseases Microirrigation • Water is delivered directly to the root zone of plants (not to foliage, where it may cause disease) • Use of water is very efficient; less than 10 % of applied water is wasted • Delivery is uniform; an even amount of water is applied to each container • Infiltration rate is good (because of slow delivery) • The amount of leachate is low

Sprinkler irrigation • Relatively simple and inexpensive to design and install • A variety of nozzle patterns and application rates are available • Water distribution patterns can be measured with a cup test

Subirrigation • Although commercial products are available, subirrigation systems can be constructed from affordable, local materials • Foliage remains dry, reducing the risk of foliar diseases • Water use is efficient (up to 80 % less water use than overhead watering systems) • Application among plants is very uniform • Lower fertilizer rates are possible • Reduced leaching of mineral nutrients is possible • Drainage water can be captured for reuse or recycling • No splashing disrupts or displaces mulch, germinants, or medium • Provides the ability to irrigate different size containers and different age plants concurrently • Is efficient in terms of time and labor requirements following installation

Disadvantages • Is time consuming and labor intensive • Involves a daily responsibility including weekends and holidays • Requires skill, experience, and presence of mind to do properly • Presents a risk of washing out or compacting growing medium • Designing the system and installing individual emitters for each plant is difficult and time consuming • It is not generally efficient to install for plants grown in containers smaller than 4 L in size • Each irrigation station must run a long time because of slow water delivery • Emitters can plug easily (water filtration and frequent irrigation system maintenance is required) • With drippers, it is difficult to verify water delivery visually; often, problems are not detected until it is too late • Foliar interception makes overhead watering ineffective for large-leaved crops • Irrigation water can be wasted because of inefficient circular patterns • An increased risk of foliar diseases is possible from excessive water on leaves • For overhead sprinklers, nozzle drip from residual water in lines can harm germinants and young plants • For basal sprinklers, irrigation lines must run along the floor, creating obstacles for workers and equipment • Overhead or hand watering may be required to ensure sufficient surface moisture until seeds germinate • No leaching occurs, so it cannot be used with poor-quality water because salt buildup would occur • Less air pruning of roots occurs • Risk of spreading waterborne diseases is greater • High humidity within plant canopy is possible

Hand watering is often the most practical irrigation strategy for small nurseries, nurseries producing a wide diversity of species with radically different water requirements, or nurseries in the startup phase. Although the task may appear easy, it is challenging to uniformly apply the proper amount of water to Page 19 of 30

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_142-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

diverse species of plants in a diverse suite of containers at different growth stages. Nursery managers need to ensure that irrigators have a conscientious attitude and are properly trained to work effectively with water application. For nurseries that grow plants in containers 4+ L in size, microirrigation can be an efficient watering method. Microirrigation usually involves polyethylene pipe fitted with microsprayers (sometimes called “spitters” or “spray stakes”), drippers inserted individually into each container, or smaller lateral tubing to reach all areas on the bench. This system makes very efficient use of water because it is applied directly to medium in each container. Many types of overhead irrigation systems exist, ranging from fixed sprinklers to moving boom systems. Fixed overhead sprinkler systems consist of a series of parallel irrigation lines, usually constructed of plastic polyvinyl chloride pipe, with sprinklers spaced at uniform intervals to form a regular grid pattern. The most expensive but efficient type of overhead sprinkler irrigation is the moveable boom, which applies water in a linear pattern. Moveable booms are generally considered too expensive for smaller nurseries but should be considered for large operations. For more information, see Landis et al. (1989a). A full discussion of types of irrigation designs and calculations is available in Stetson and Mecham (2011). Wide leaves combined with the close spacing of plants in a nursery create a canopy that intercepts most of the water applied through overhead irrigation systems, reducing water use efficiency and creating variable water distribution among plants. These problems can be precluded by subirrigation systems, which offer a promising alternative for tropical plant nurseries. Subirrigation has been successfully used to grow many native plants (Pinto et al. 2008; Dumroese et al. 2006; Davis et al. 2008). In subirrigation systems, the bottoms of containers are temporarily immersed in water on a periodic basis (for example, for a few minutes). The water is then drained, leaving the growing medium thoroughly wet while the leaves remain dry. The discarded water can be retained and reused; a worthy feature when the supply of goodquality irrigation water is restricted.

Plant Nutrition and Fertilization Plants require adequate quantities of mineral nutrients in the proper balance for basic physiological processes and to promote rapid growth and development. Young plants rapidly deplete mineral nutrients stored within their seeds, and cuttings have limited nutrient reserves. Therefore, nursery plants must rely on root uptake of nutrients from the growing medium. An important nutrition concept in plant nutrition is Liebig’s Law of the Minimum, which, when applied to plants, states that growth is limited by the mineral nutrient in shortest supply. Just as important as the absolute quantities of nutrients available to plants is the balance of nutrients. The proper nutrient balance is relatively consistent among plant species. Healthy plant tissue contains approximately 100 parts of nitrogen to 50 parts of phosphorus, to 15 parts of potassium, to 5 parts of magnesium, or to 5 parts of sulfur. On a practical basis, most nurseries use complete fertilizers that contain a balance of all mineral nutrients.

Sources of Mineral Nutrients Plants produced in tropical nurseries may acquire nutrients from several different sources, including the growing medium, irrigation water, beneficial microorganisms, and fertilizers. Many tropical nurseries use organic-based (soil-less) growing media that are essentially infertile, which enables nursery managers to apply the correct type of fertilizer, in the correct amount, and at the correct time. Native soils and composts

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Table 5 Comparison of attributes of organic and synthetic fertilizers Factor Mineral nutrient analysis Range of mineral nutrients Nutrient release rate Compatibility with beneficial microorganisms Cost Handling Ecological sustainability Water pollution risk Other benefits

Organic Low All Slower Yes

Synthetic High One to many Faster At low levels

More Bulkier Yes Low Improves soil texture and encourages soil microbes

Less More concentrated No High Easier for research/control

contain higher nutrient concentrations than commercial growing media but rarely enough for the fast growth rate and nutrient balance desired in nurseries. To achieve the desired plant growth and health, fertilizers are the most common source of mineral nutrients. Many different types of fertilizers are used and vary according to their source materials, nutrient quantities, and mechanisms of nutrient delivery. Fertilizers can be broadly organized into two types: organic and synthetic (Landis and Dumroese 2011). Because of the variability involved, it is difficult to compare organic and synthetic fertilizers but some generalizations can be made (Table 5). Organic fertilizers can be defined as materials that are naturally occurring and have not been synthesized. Animal or plant wastes are what most people consider to be organic fertilizers and can be applied to crops directly or developed into a wide variety of other processed fertilizers. One of the attractions of these types of organic fertilizers is they are renewable and widely available. The second major category of organic fertilizers includes minerals and other materials that come directly from the earth. Minerals like sodium nitrate are commonly used in many blended organic fertilizers because they are soluble and have a high nutrient content. Like all types of mining, however, obtaining natural minerals is an extractive process and nonrenewable in the long term. Some native plant nurseries prefer organic fertilizers because they are less likely to burn crops, have lower risk of water pollution, and provide more hospitable conditions for beneficial microorganisms. The main drawbacks of organic fertilizers are that they are more expensive, and their lower nutrient content and solubility result in slower plant growth. Synthetic fertilizers are popular because they are relatively inexpensive, readily available, and have higher nutrient content compared with organic products. In populated tropical areas, synthetic fertilizers can be found at garden supply shops and through horticultural dealers, but inaccessibility and transport costs may be a limitation in remote areas. In the humid tropics, storage of synthetic fertilizers becomes a challenge because they readily absorb moisture from the air. Synthetic fertilizers can be divided into two classes: (1) soluble products that release nutrients quickly when dissolved in water and (2) slow-release or controlled-release fertilizers that release nutrients slowly over time. Both types have their advantages and disadvantages, which need to be considered before deciding upon a fertilization system (Table 6). Granular fertilizers that are used on lawns or in agriculture are not recommended for native plant nurseries.

Fertilizer Application Rates and Methods Fertilizer application rates depend on the growing environment and other factors such as container volume, type of growing media, growth stage (establishment, rapid-growth, hardening [described in the chapter, ▶ Planning and Managing a Tropical Nursery]), and irrigation frequency (for example,

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Table 6 Comparison of advantages and disadvantages of two major types of synthetic fertilizers used in tropical plant nurseries Factor Nutrient release rate

Soluble fertilizer Very fast

Number of applications

Multiple – must be applied at regular intervals Good, but dependent on irrigation coverage Easy and quick

Controlled-release fertilizer Much slower – dependent on type and thickness of coating Usually once per season, but additional top-dressing is an option Can be variable if incorporated, resulting in uneven growth Difficult

Poorer Higher

Better Lower

Low if applied properly

Low, unless prills damaged during incorporation or in high temperatures Higher Lower

Uniformity of application Adjusting nutrient rates and ratios Nutrient uptake efficiency Leaching and pollution potential Potential for fertilizer burn (salt toxicity) Product cost Application costs

Lower Higher

Dumroese et al. 2011). Very small containers require lower rates applied frequently whereas larger containers can tolerate high application rates applied less frequently. In general, three types of fertilizers (liquid, controlled-release, and organic) are commonly used in nurseries. Injecting liquid fertilizer solution into the irrigation system is a practice called “fertigation”. Fertilizer injectors range from simple, low-cost siphons for hand watering to sophisticated pumps for automated sprinklers. Because it can be designed to apply the proper mineral nutrients at the appropriate concentration for each growth stage, fertigation has several advantages compared with other types of fertilization. Remember that fertilizers are salts and that injecting liquid fertilizers adds to the base salinity level of the irrigation water; adding enough fertigation solution so that it barely drips from the bottoms of containers should avoid problems with salt accumulation in the medium, but if a salty crust appears at the bottom drainage holes, leaching the medium with regular irrigation water (“clearwater flush”) will reduce salt accumulation. Every fertilizer injector must be installed with a backflow preventer to eliminate the possibility that soluble fertilizer could be sucked back into the water line and contaminate drinking water. Controlled-release fertilizers (CRF) can be either topdressed (sprinkled onto the surface of the medium), if care is taken to ensure that each container or cell receives an equal number of prills or incorporated into the growing medium. If growers mix CRF into their growing medium, care must be taken to ensure uniform distribution and to prevent damaging the prill coating. If the coating is fractured, then the fertilizer releases immediately causing severe salt injury. Managers can begin by using the rate recommendations provided by manufacturers (low, medium, high) if they have an idea about their particular crop; regardless, rates should be evaluated for their effect on individual plant growth and performance. Organic fertilizers can be solid or liquid, commercially prepared, or natural. Composts could be incorporated into growing media but they must be fully mature to prevent fertilizer burn. One of the challenges of using liquid organic fertilizers is how to achieve the high soluble nitrogen levels necessary for rapid growth rates. High-quality nursery crops can be grown with organic fertilizers but, because their nutrient analysis is relatively low (Table 7), production schedules may have to be adjusted. Growers need to be aware of the different nutrient requirements during each growth phase (described in the chapter, ▶ Planning and Managing a Tropical Nursery) and adjust fertilizer prescriptions accordingly,

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Table 7 Percentages of nitrogen, phosphorus, and potassium supplied by a variety of organic materials (Diver et al. 2008) Organic fertilizers Bat guano (fresh) Bat guano (old) Blood meal Bone meal (steamed) Cottonseed meal Eggshells Fish emulsion Fish meal Greensand Hoof and horn meal Kelp meal Soybean meal Worm castings Manure: Cow Horse Pig Sheep Poultry

Nitrogen 10 2 10 1 6 1.2 4 5 0 12 1.5 7.0 0.5 2 1.7 2 4 4

Phosphorus 3 8 0 11 2 0.4 1 3 0 2 0.5 0.5 0.5 2.3 0.7 1.8 1.4 4

Potassium 1 0 0 0 1 0.1 1 3 7.0 0 2.5 2.3 0.3 2.4 1.8 1.8 3.5 2

especially during hardening. These adjustments are particularly important for nitrogen (especially the ammonium form of nitrogen), which tends to be a primary driver of plant growth and development. Because artificial growing media, such as coir or pumice, are inherently infertile, fertilization should begin as soon as the seedlings or cuttings become established. Some commercial brands of growing media contain a starter dose of fertilizer that should be considered when determining fertilizer rates. Homemade soil mixes that have been amended with compost or other organic fertilizers may not need fertilization immediately, so observe plant growth and establish small trials to be certain. Some tropical plant species require very little fertilizer while others must be “pushed” with nitrogen to achieve desired growth rates and reach target specifications. Gaining experience and keeping good records about growing a particular species is the best way to develop species-specific fertilizer prescriptions. Managers should never wait for their crops to show deficiency symptoms before fertilizing because it can be difficult to alleviate the problem and produce the crop on schedule. Crop monitoring and testing, experience, and knowledge about the growth phases are the best guides for determining fertilizer timing and rates. Refer to Jacobs and Landis (2014) for further information on managing nutrition in tropical nurseries.

Monitoring Nutrition Practices Growers who fertigate need to periodically check the EC of the applied fertigation water and the growing medium solution. Measuring the fertigation water as it is applied to the crop can confirm that the fertilizer solution has been correctly calculated and that the injector is functioning properly. Simple handheld EC meters are fairly inexpensive. Normal readings in applied fertigation should range from 0.75 to 2.0 mS/cm. The typical range of acceptable EC values in the growing medium for most native plant species is 1.2–2.5 mS/cm. If the EC is more than 2.5, it is a good idea to leach out the salts with clean irrigation water.

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Table 8 Estimated ranges of foliar nutrient levels for healthy tropical plants (based on data compiled by Drechsel and Zech (1991)) on field-grown, broad-leaved, tropical tree species). Nutrient ranges can vary greatly among species, therefore, trials are recommended to determine the best ranges for specific species Nutrient Macronutrients (%) Nitrogen Phosphorus Potassium Calcium Magnesium Sulfur Micronutrients (ppm) Iron Manganese Zinc Copper Boron Molybdenum

Range of foliar levels in healthy plants 1.5–3.5 0.10–0.25 0.60–1.8 0.50–2.5 0.15–0.50 0.10–0.30 50–250 35–250 10–40 5–20 15–50 0.10–1.0

Testing plant foliage is the best way to monitor plant nutrition and responses to fertilization because it provides an exact measurement of nutrients that the plant has acquired (Landis et al. 2005). By examining tissue nutrient concentrations and simultaneously monitoring plant growth, it is possible to identify if and when specific nutrients are deficient or excessive. Foliar samples must be collected in a systematic manner and sent to a reputable laboratory for processing (see Testing Growing Media discussed earlier). The analyzed nutrient concentration values can be compared with some known set of adequate nutrient values to determine which specific elements are deficient (Table 8). Small growth trials are another good way to monitor plant nutrition and fertilization needs. These trials are especially informative for tropical plant species because so little published information is available. Detailed documentation of growing conditions, fertilizer inputs, and resulting plant response can help formulate future fertilizer prescriptions for a specific species.

Reducing the Environmental Effects of Fertilization Regardless of the method of fertilizer application or the type of fertilizer used, runoff of excess fertilizers is a major environmental concern. Nutrients, notably nitrate and phosphate, leach easily from container nurseries and can pollute groundwater or adjacent streams. Managers should choose the types of fertilizers and schedule their applications to minimize potential pollution concerns. Because nitrate and phosphate are extremely soluble in water, growers should irrigate only when necessary and then apply only enough water so that only small amounts drain from the containers. This approach also makes sense from an economic standpoint, because the desire is to have most of the applied fertilizer taken up by crop plants rather than lost in runoff.

Beneficial Microorganisms In natural ecosystems, the root systems of most plants have microbial partnerships with mycorrhizal fungi and, if applicable, with nitrogen-fixing bacteria. These partnerships enable plants to survive and grow even in harsh conditions. Without microsymbiont partners, plants remain stunted and often die. In the Page 24 of 30

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nursery, microsymbionts can be introduced by “inoculating” the root systems of plants with the appropriate beneficial microorganisms to form effective partnerships. Plants that have been inoculated in the nursery will be outplanted with microbial partnerships in place and often are better able to survive in the field.

Nitrogen-Fixing Bacteria Nitrogen (N), one of the most important nutrients for plant growth, is abundant in the Earth’s atmosphere as N2, but it must be converted to either nitrate (NO3 ) or ammonium (NH4+) before most plants can use it. In nature, N2-fixing bacteria convert (“fix”) N2 from the air into a form usable to plants. When the growing roots of a plant capable of forming a partnership with rhizobia come in contact with a compatible strain of N2-fixing bacteria in soil or growing media, the rhizobia bacteria will enter (“infect”) the roots. Nodules then form on the plant’s roots where the contact occurred. The bacteria live and multiply in the nodules on the host root system, providing N from the atmosphere to their plant host. Two types of N2-fixing bacteria form symbiotic partnerships with plants: rhizobia (consisting of several genera) and the genus Frankia. Inoculants are live N2-fixing bacteria cultures that are applied to seeds or young plants, imparting the beneficial bacteria to the plant’s root system. Inoculants for N2-fixing bacteria tend to be very specialized. Care must be taken to select appropriate and effective N2-fixing partners for specific plant species. Pureculture inoculants of N2-fixing bacteria usually come in small packets of finely ground peat moss. Not all manufactured inoculants are selected and matched to native species, however, so be sure to check the source. Manufactured products usually come with application instructions; these directions need to be followed. Crude inoculant can be made from nodules collected from the roots of healthy, established host plants. For rhizobia, a brown, pink, or red color inside is usually a good indicator that the millions of bacteria in the nodule are actively fixing N2. For Frankia, desirable nodules will be white or yellow inside. Grey or green nodules should be avoided, because they likely are inactive. As soon as possible after collection, put the nodules in a blender with clean, chlorine-free water. About 50–100 nodules blended in about 1 L of water are sufficient to inoculate about 500 plants. Inoculant for N2-fixing bacteria is commonly applied when seedlings are emerging, usually within 2 weeks of sowing, or just after cuttings have formed roots. The inoculant is watered into the growing media or soil in which seedlings are growing. After 2–6 weeks, these four signs indicate that the plant has formed a symbiotic partnership with N2-fixing bacteria: (1) plants begin to grow well and are deep green despite the absence of added N2 fertilizer (Fig. 12a); (2) root systems give off a faint but distinctive ammonia-like scent; (3) nodules are visible on the root system; and (4) when a nodule is broken open, its inside is pink, red, or brown (for rhizobia) (Fig. 12b), or yellow or white (for Frankia).

Mycorrhizal Fungi

“Myco” means “fungus” and “rhiza” means “root;” thus “mycorrhizae” means “fungus-roots.” Most of the world’s plants depend on their partnership with mycorrhizal fungi to thrive. The host plant’s roots provide a substrate for the fungi and supply food in the form of simple carbohydrates. In exchange, the mycorrhizal fungi offer increased water and nutrient update, stress and disease protection, and increased vigor and growth. Mycorrhizal fungi are not “one size fits all,” but they often are “one size fits many.” Also, one plant can partner simultaneously with several species of mycorrhizal fungi, and a plant may change partners over time as it grows and adapts to its environment (Amaranthus 2010). Three types of mycorrhizae are important to tropical native plant nurseries.

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Fig. 12 The 6-week-old native Acacia koa seedlings (right) were inoculated with rhizobia at 2 weeks of age; the seedlings on the left were not inoculated (a). Nodules from an Acacia koa seedling showing pink inside, signifying nitrogen is being fixed (b) (Photo (a) by Craig R. Elevitch and photo (b) by J.B. Friday)

• Arbuscular Mycorrhizal (AM) Fungi – AM fungi are essential for most tropical trees and other plants and for many annual crops and grasses. AM fungi are not visible on plant roots to the unaided eye and must be observed under a microscope. Inoculant for AM fungi is sometimes collected from root systems of AM host plants or soil underneath them and incorporated into growing media. Another method is pot culture inoculant, in which a specific AM fungus species is acquired either commercially or from a field site as a starter culture and then incorporated into a sterile growing medium. A host plant, such as corn, sorghum, clover, or an herbaceous native plant, is grown in this substrate. After the host plant roots have spread throughout the medium, their shoots are removed and the substrate, now rich in roots, spores, and mycelium, is chopped up and incorporated into fresh growing medium (Habte and Osorio 2001, Miyasaka et al. 2003). Commercial sources of AM fungi inoculant are also available, usually containing several species or strains. • Ectomycorrhizal (ECM) Fungi – ECM fungi only affect a small percentage of tropical species, including pines, eucalypts, poplars, oaks, dipterocarps, and some legumes. Nurse plants and soil spores have been used historically, while spores collected from the fruiting bodies of mushrooms and pulverized in a blender or pure culture inoculant in a peat-based carrier are usually recommended for nurseries. • Ericoid Mycorrhizal (ERM) Fungi – Plants that form partnerships with ericoid mycorrhizal fungi are able to grow in exceptionally nitrogen-poor soils and harsh conditions, including bogs, alpine

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meadows, tundra, and even in soils with high concentrations of certain toxic metals. Similar to ECM fungi and AM fungi, ericoid mycorrhizal fungi must come in contact with the host plants roots to form partnerships. Ericoid mycorrhizal inoculant is available as commercial cultures or from soil near healthy host plants. The product or soil is mixed into nursery growing medium.

Problem Prevention and Holistic Pest Management Holism is the theory that systems are not a group of isolated parts, but rather should be viewed as a whole. Holistic pest management is an integrated and preventative approach that considers the overall health of the plant and the nursery environment to prevent problems and to manage them wisely if they arise. Holistic pest management includes problem prevention through cultural mechanisms, early detection and evaluation, and management measures as needed to suppress pests and ecologically balance their populations. Holistic pest management can reduce reliance on pesticides (Dumroese et al. 1990). For holistic pest management, it is important to remember the “disease triangle” concept that illustrates the interrelationships among the pest, host, and environment. All three factors are necessary to cause biotic disease. The holistic approach to nursery pest management involves a series of four interrelated practices, which ideally function together (modified from Wescom 1999): • Problem Prevention through Cultural Measures – includes good sanitation, proper scheduling, management of the nursery environment, and promotion of plant health through proper irrigation and fertilization. • Problem Detection and Diagnosis – is accomplished through regular monitoring, recordkeeping, and accurate problem identification. • Problem Management – includes, if necessary, timely and appropriate pest suppression measures and balancing pest populations with beneficial organisms and pest predators. • Ongoing Process Evaluation – is to learn from experience by assessment and improved effectiveness of pest management approaches. A complete description of holistic pest management is beyond the scope of this chapter. For a good overview of this concept, consult Landis et al. (1989b, 2008) and Dumroese (2012), and for specific focus on tropical nurseries, refer to Landis et al. (Landis et al. 2014c).

Acknowledgements This chapter draws heavily on Wilkinson et al. (2014) and we thank Brian F. Daley, Douglass F. Jacobs, David P. Janos, and Tara Luna for their contributions.

References Amaranthus M (2010) Personal communication. Mycorrhizal Applications, Grants Pass, Oregon, USA Buamscha G, Altland J (2005) Pumice and the Oregon nursery industry. Digger 49(6):18–27 Bunt AC (1988) Media and mixes for container grown plants. Unwin Hyman, London, p 309

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Carrion C, Abad M, Fornes F, Noguera V, Maquieira A, Puchades R (2006) Leaching of composts from agricultural wastes to prepare nursery potting media. Acta Horticult 697:117–124 Cayanan DF, Zheng Y, Zhang P, Graham T (2008) Sensitivity of five container-grown nursery species to chlorine in overhead irrigation water. HortScience 43:1882–1887 Davis AS, Jacobs DF, Overton RP, Dumroese RK (2008) Influence of irrigation method and container type on growth of Quercus rubra seedlings and media electrical conductivity. Native Plants Journal 9:4–12 Diver S, Greer L, Adam KL (2008) Sustainable small-scale nursery production. National Center for Appropriate Technology (NCAT) Sustainable Agriculture Project, Butte. https://attra.ncat.org/attrapub/summaries/summary.php?pub=60. Accessed 11 Nov 2011 Drechsel P, Zech W (1991) Foliar nutrient levels of broad-leaved tropical trees: a tabular review. Plant Soil 131:29–46 Dumroese RK (2012) Integrated nursery pest management. In: Cram MM, Frank MS, Mallams KM (eds) Forest nursery pests (tech cords). US Department of Agriculture, Forest Service, Agriculture Handbook 680, Washington, DC, pp 5–12 Dumroese RK, Wenny DL, Quick KE (1990) Reducing pesticide use without reducing yield. Tree Planters’ Notes 41(4):28–32 Dumroese RK, James RL, Wenny DL (2002) Hot water and copper coatings in reused containers decrease inoculum of Fusarium and Cylindrocarpon and increase Douglas-fir seedling growth. HortScience 37:943–947 Dumroese RK, Pinto JR, Jacobs DF, Davis AS, Horiuchi B (2006) Subirrigation reduces water use, nitrogen loss, and moss growth in a container nursery. Native Plants Journal 7:253–261 Dumroese RK, Luna T, Landis TD (eds) (2008) Nursery manual for native plants: volume 1, a guide for tribal nurseries. US Department of Agriculture, Forest Service, Agricutlure Handbook 730, Washington, DC, p 302 Dumroese RK, Davis AS, Jacobs DF (2011) Nursery response of Acacia koa seedlings to container size, irrigation method, and fertilization rate. J Plant Nutr 34:877–887 Dumroese RK, Landis TD, Luna T (2012) Growing native plants in nurseries: basic concepts. US Department of Agriculture, Forest Service, Rocky Mountain Research Station, General Technical Report RMRS-GTR-274, Fort Collins, p 84 Evans J (1996) Plantation forestry in the tropics. Clarendon, Oxford Evans MR, Konduru S, Stamps RH (1996) Source variation in physical and chemical properties of coconut coir dust. HortScience 31:965–967 Grubinger V (2007) Potting mixes for organic growers. University of Vermont Extension, Brattleboro. http://www.uvm.edu/vtvegandberry/factsheets/pottingmix.html. Accessed 21 Aug 2011 Habte M, Osorio NW (2001) Arbuscular mycorrhizas: producing and applying arubscular mycorrhizal inoculum. Honolulu, HI: University of Hawai‘i, College of Tropical Agriculture and Human, p 47 Handreck KA, Black ND (1984) Growing media for ornamental plants and turf. Kensington, Australia: New South Wales University Press, p 401 Jacobs DF, Landis TD (2014) Plant nutrition and fertilization. In: Wilkinson KM, Landis TD, Haase DL, Daley BF, Dumroese RK (eds) Tropical nursery manual: a guide to starting and operating a nursery for native and traditional plants. US Department of Agriculture, Forest Service, Agriculture Handbook 732, Washington, DC, pp 233–250 Jacobs DF, Landis TD, Luna T, Haase DL (2014) Propagation environments. In: Wilkinson KM, Landis TD, Haase DL, Daley BF, Dumroese RK (eds) Tropical nursery manual: a guide to starting and operating a nursery for native and traditional plants. US Department of Agriculture, Forest Service, Agriculture Handbook 732, Washington, DC, pp 89–99 Page 28 of 30

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Jaenicke H (1999) Good tree nursery practices: practical guidelines for research nurseries. International centre for research in agroforestry. Majestic Printing Works, Nairobi, p 93 Johnson P (1968) Horticultural and agricultural uses of sawdust and soil amendments. Paul Johnson, National City, p 46 Landis TD (1995) Improving polybag culture for sustainable nurseries. Forest Nursery Notes (July 1995) pp 6–7 Landis TD, Dumroese RK (2006) Monitoring electrical conductivity in soils and growing media. Forest Nursery Notes (Summer 2006), pp 6–10 Landis TD, Dumroese RK (2011) Using organic fertilizers in forest and native plant nurseries. Forest Nursery Notes 31(2):9–18 Landis TD, Morgan N (2009) Growing media alternatives for forest and native plant nurseries. In: Dumroese RK, Riley LE (eds) National proceedings: forest and conservation nursery associations – 2008 (tech coords). US Department of Agriculture, Forest Service, Rocky Mountain Research Station, Proceedings RMRS-P-58, Fort Collins, pp 26–31 Landis TD, Wilkinson KM (2014) Water quality and irrigation. In: Wilkinson KM, Landis TD, Haase DL, Daley BF, Dumroese RK (eds) Tropical nursery manual: a guide to starting and operating a nursery for native and traditional plants. US Department of Agriculture, Forest Service, Agriculture Handbook 732, Washington, DC, pp 207–230 Landis TD, Tinus RW, McDonald SE, Barnett JP (1989a) The container tree nursery manual. Volume 4, seedling nutrition and irrigation. US Department of Agriculture, Forest Service, Agriculture Handbook 674, Washington, DC, p 119 Landis TD, Tinus RW, McDonald SE, Barnett JP (1989b) The container tree nursery manual. Volume 5, the biological component: nursery pests and mycorrhizae. US Department of Agriculture, Forest Service, Agriculture Handbook 674, Washington, DC, p 171 Landis TD, Haase DL, Dumroese RK (2005) Plant nutrient testing and analysis in forest and conservation nurseries. In: Dumroese RK, Riley LE, Landis TD (tech coords) National proceedings, forest and conservation nursery associations – 2004. US Department of Agriculture, Forest Service, Rocky Mountain Research Station. Proceedings RMRS-P-35, Fort Collins, pp 76–83 Landis TD, Luna T, Dumroese RK (2008) Holistic pest management. In: Dumroese RK, Luna T, Landis TD (eds) Nursery manual for native plants: a guide for tribal nurseries. Volume 1: nursery management. USDA Forest Service. Agriculture Handbook 730, Washington, DC, pp 262–275 Landis TD, Jacobs DF, Wilkinson KM, Luna T (2014a) Growing media. In: Wilkinson KM, Landis TD, Haase DL, Daley BF, Dumroese RK (eds) Tropical nursery manual: a guide to starting and operating a nursery for native and traditional plants. US Department of Agriculture, Forest Service, Agriculture Handbook 732, Washington, DC, pp 101–121 Landis TD, Jacobs DF, Wilkinson KM, Luna T (2014b) Containers. In: Wilkinson KM, Landis TD, Haase DL, Daley BF, Dumroese RK (eds) Tropical nursery manual: a guide to starting and operating a nursery for native and traditional plants. US Department of Agriculture, Forest Service, Agriculture Handbook 732, Washington, DC, pp 123–139 Landis TD, Luna T, Wilkinson KM, Dumroese RK (2014c) Problem prevention and holistic pest management. In: Wilkinson KM, Landis TD, Haase DL, Daley BF, Dumroese RK (eds) Tropical nursery manual: a guide to starting and operating a nursery for native and traditional plants. US Department of Agriculture, Forest Service, Agriculture Handbook 732, Washington, DC, pp 273–291 Lovelace W, Kuczmarski D (1994) The use of composted rice hulls in rooting and potting media. Int Plant Propag Soc Comb Proc (1992) 42:449–450 Miller JH, Jones N (1995) Organic and compost-based growing media for tree seedling nurseries. World Bank Tech. Paper No 264, Forestry Series. The World Bank, Washington, DC, 75 p Page 29 of 30

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Miyasaka SC, Habte M, Friday JB, Johnson EV (2003) Manual on arbuscular mycorrhizal fungus production and inoculation techniques. University of Hawai’i at Mānoa, College of Tropical Agriculture and Human Resources, Honolulu, p 4 Newman J (2007) Core facts about coir. Greenhouse Manag Proc 27(2):57 Noguera P, Abad M, Noguers V, Puchades R, Maquieira A (2000) Coconut coir waste: a new and environmentally friendly peat substitute. Acta Hort 517:279–286 Pinto JR, Chandler R, Dumroese RK (2008) Growth, nitrogen use efficiency, and leachate comparison of subirrigated and overhead irrigated pale purple coneflower seedlings. HortScience 43(3):897–901 Robbins J (2011) Irrigation water for greenhouses and nurseries. Publication FSA6061. University of Arkansas, Horticulture Department, Little Rock, p 6 Stetson LE, Mecham BQ (2011) Irrigation, 6th edn. Irrigation Association, Falls Church, p 1089 Timmer VR, Parton WJ (1982) Monitoring nutrient status of containerized seedlings. In: Proceedings, Ontario ministry of natural resources nurseryman’s meeting, 1982 June, Thunder Bay/Toronto, Ontario Ministry of Natural Resources, pp 48–58 Wescom RW (1999) Nursery manual for atoll environments. SPC/UNDP/AusAID/FAO Pacific Islands forests and trees support programme, RAS/97/330. Working Paper 9. p 53 Whitcomb CE (2003) Plant production in containers II. Lacebark Publications, Stillwater, p 129, 1 Wilkinson KM, Landis TD, Haase DL, Daley BF, Dumroese RK (eds) (2014) Tropical nursery manual: a guide to starting and operating a nursery for native and traditional plants. US Department of Agriculture, Forest Service. Agriculture Handbook 732, Washington, DC, p 377

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Monitoring of Tropical Forest Cover with Remote Sensing Abner Josue Jimenez Galo* Geographic Information System & Remote Sensing (GIS/RS), Deutsche Gesellschaft f€ur Internationale Zusammenarbeit (GIZ) GmbH, La Libertad, El Salvador, CA University of Alcalá (UAH), Madrid, Spain Faculty of Spatial Sciences, Universidad Nacional Autónoma de Honduras (UNAH), Tegucigalpa, Honduras

Abstract An overview is provided of the use of remote sensors to monitor tropical forest coverage through vegetation indexes, mapping of forest coverage, and monitoring of its changes, as well as of the introduction of procedures to estimate forest density at the pixel level as a continuous spatial and temporal variable. Finally, a summary is presented of the important considerations for tropical forest coverage mapping processes with remote sensors.

Keywords Forest monitoring; Vegetation indexes; Global land cover; Vegetation continuous fields; Forest cover mapping

Introduction After almost 50 years of using remote sensors to monitor land phenomena since the launch of the first LANDSAT satellite in 1972, periodic high-precision mapping and monitoring of tropical forest coverage is still a challenge. However, remote sensing is still considered the best alternative for global monitoring of forests that is consistent and comparable over time. This chapter describes diverse applications and uses of remote sensors to monitor tropical forest cover.

Vegetation Indexes Vigorous vegetation has a lower reflectance in the red band due to the fact that chlorophyll is absorbed in this region of the spectrum. The near-infrared region (NIR) shows high reflectance of vegetation; when vegetation suffers a reduction in chlorophyll due to disease or stress, the values in the red band (R) increase and the values in the near-infrared band fall (Fig. 1). Given these characteristics and the clear differences between these two bands in terms of vegetation reflectance, vegetation quotients and indexes can be calculated as indicators of photosynthetic activity and quantifiers of the chlorophyll levels of the vegetation. Applying these indexes goes beyond detection and quantification not only of vegetation cover but also of a wide range of specific leaf constituents such as pigments, proteins, and leaf water

*Email: [email protected] *Email: [email protected] Page 1 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 1 Typical spectral response of the broadleaf forests, coniferous forests, and bare soil, wherein an increase of the reflectance of the vegetation around 700 nanometers (nm) (0.7 micrometer (mm)) from the red band (R) and near-infrared (NIR) band is observed

(Jones and Vaughan 2010). These indexes can also be incorporated as additional bands in classification processes. The most basic vegetation index is the simple ratio (SR), obtained from the simple quotient between reflectances in the near-infrared (NIR) band and the near-infrared-red (NIR–R) band: SR = NIR/R (Birth and McVey 1968). Another simple vegetation index is defined as the difference between the near- infrared band (NIR) and the red band (NIR R), with this procedure calculating the difference vegetation index (DVI) (Tucker 1979). However, the most widely used is the normalized difference vegetation index (NDVI), and it is calculated based on the normalized difference between the red band and the near-infrared band, in the following manner: (NIR R)/(NIR + R). The “normalization” generates values between 1 and +1 (Rouse et al. 1974; cited by Jensen 2005). The NDVI values are high for vegetation and low for bare soil, clouds, and water. The higher the NDVI value, the higher the photosynthetic activity of the vegetation, which is an indication of dense and healthy vegetation. In this sense, NDVI is broadly used in analyzing forest trends and phenology. NDVI is the best-known statistical tool for vegetation monitoring with remote sensing. This statistic was implemented in the Advanced Very High Resolution Radiometer (AVHRR) platform (Goward et al. 1991) and continues with MODIS (Huete et al. 2002). NDVI represented significant progress in remote sensors because it is able to detect vegetation patterns while eliminating topographic effects, that is, the effect of differences in reflected light, mainly in uneven terrain, provoked by the difference in orientation of the slopes towards the sun. The same vegetation can look very different in direct sunlight or in the shade in the satellite image. NDVI “normalizes” the effect of light through the comparison and scaling of values in two bands sensitive to vegetation under this concept, recognizing that although the total reflected light changes due to orientation, the relationship between bands is maintained. The major progress with the use of NDVI is the automated vegetation coverage view at continental or global scales (Fig. 2). It does not require much information about coverage in specific locations (which would imply a lot of time and work in the classification) and provides a comparable value between distant areas. The greatest limitation of the NDVI for forest monitoring is the lack of an “objective” forest scale; NDVI values cannot be directly related to a state of absolute vegetation to draw conclusions about the Page 2 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 2 Global coverage of the normalized difference vegetation index (NDVI) generated using MODIS images of dates between August 1 and September 1, 2007 (Source: Schmaltz (2007). Images of November 26, 2007: MODIS Vegetation Measurements, at MODIS website: http://modis.gsfc.nasa.gov/gallery/individual.php?db_date=2007-11-26

evolution of forest coverage; therefore, it is not possible to statistically compare forest covers and their evolution between Brazil and Australia, for example. This limitation is in great part conceptual, since it is about presenting an instantaneous and fixed “photograph” of a living and changing phenomenon. All vegetation goes through a phenological cycle, that is, its physiology varies in response to normal annual changes in temperature and rain. This phenological cycle includes changes in quantities and qualities of leaves that are perceived by remote sensors. The phenological cycle responds to the climate cycle, which has its own annual variation, since the quantities and periods of rain change from year to year, to a greater or lesser extent. The status of a single vegetation community on the same date in different years can have different presentations due to seasonal variations in climate. Figure 3 presents the monthly variations of NDVI in El Salvador, where periods with greater precipitation (Fig. 4) coincide with the months when a greater quantity of leaves is perceived, and vice versa. There are other vegetation indexes that can be calculated (Table 1). One that has been widely used in recent years is the enhanced vegetation index (EVI) developed by the MODIS Land Discipline Group. The EVI is a modified NDVI with a soil adjustment factor and two coefficients which describe the use of the blue band in correction of the red band for atmospheric aerosol scattering (Jensen 2007).

Mapping of Tropical Forest Cover and Its Changes In early 1981 AVHRR provided the first continual and global view of vegetation conditions with frequent updates in a globally coherent format, specifically through the use of the normalized difference vegetation index (NDVI) and at a spatial resolution of 1 km. AVHRR images allowed surface temperature and vegetation conditions to be determined at a 1 km resolution, monitoring the surface of the earth across four, five, and six bands of data in successive versions (NOAA 2013). The subsequent introduction of the MODIS sensor incorporated moderate resolutions of 250 m and 500 m and improved monitoring precision, taking advantage of the experience with AVHRR to build the framework for a large-scale forest monitoring system (Hansen et al. 2002). The MODIS program expanded monitoring data availability to 36 bands, including data sources for land, ocean, and atmospheric monitoring with a nominal resolution of up to 250 m, incorporating NDVI as one of its main product in order to continue with the sequence undertaken by AVHRR (Zhan et al. 2000). Another important effort in monitoring global forest cover is that conducted by the European Space Agency (ESA) through Climate Change Initiative (CCI) and the CCI Land Cover (CCI-LC) team, who have produced three series of global land cover maps at 300 m spatial resolution, each 5-year periods:

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Fig. 3 Variation of NDVI in El Salvador. The green tones correspond to areas with high NDVI values and red orange tones the lower NDVI. Note the perception of the increase in vegetation coverage in the months of higher precipitation (Fig. 4)

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 4 Typical monthly distribution of rainfall in El Salvador. Comparing this graph with monthly NDVI maps of Fig. 3, a correlation was observed between the months of lower rainfall with lower NDVI and vice versa

Table 1 Vegetation indexes Vegetation index Simple ratio (SR)

Equation SR = NIR/R

Difference vegetation index (DVI) Normalized difference vegetation index (NDVI) Soil-adjusted vegetation index (SAVI)

DVI = NIR R NDVI = (NIR R)/(NIR + R) SAVI = (1+L) (NIR-R)/(NIR+R+L) L often assumed = 0.5 (NIR-RB) (1+L)/(NIR+RB+L) Where RB = R-b(B-R) b is normally 1 but can be varied to correct for aerosol. EVI = 2.5(NIR-R)/(1+NIR+6R-7.5/B)

Soil and atmospherically resistant vegetation index (SARVI)

Enhanced vegetation index (EVI)

References Birth and McVey (1968) Tucker (1979) Rouse et al. (1974) Huete (1988) Huete et al. (1997)

Huete et al. (2002)

NIR near-infrared band, R red band, B blue band, and L, b are constants. A more extensive list of vegetation indexes can be found in Jensen (2005, 2007), and Jones and Vaughan (2010)

1998–2002, 2003–2007, and 2008–2012 (ESA 2014). Figures 5, 6, and 7 show the extracted land cover map for the period 2008–2012 for the tropical zones on the continents of Asia, Oceania, Africa, and America. Another effort is oriented to the use of LiDAR data and forest plots to obtain information about forest structure and its correlation with data from optical and radar satellite imagery to generate global data. Saatchi et al. (2011) developed a methodology based on a combination of forest height data derived from the ICESat GLAS LiDAR, landscape characteristics from optical and radar satellite imagery, and forest plots to estimate aboveground and belowground biomass and total carbon stock density globally (Fig. 8). In forest coverage mapping, although MODIS and MERIS images are very useful in performing global estimations, due to matters of scale, they are not adequate for local and national studies when the objective is determining the area of forests with precision, especially in countries with fragmented forests, although their application will depend on the size of the territory and the change dynamics of the forests, since in some countries changes in coverage occur in areas that are smaller than what the sensors can detect. Figure 9 compares satellite images of high, medium, and low resolution in a zone of fragmented forests in

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 5 Types of land cover for the period 2008–2012, extracted for tropical zones of Asia and Oceania from the GLOBALCOVER map generated by the European Space Agency (ESA) (Source: ESA/ESA CCI Land Cover, led by UCLouvain, Belgium)

the Dominican Republic. Figure 10 shows a comparison of high-, medium-, and low-resolution satellite images in Honduras. Medium-resolution sensors, mainly LANDSAT sensors at 30 m, are broadly used in local- and nationallevel applications. Currently, there are many options for acquiring high-resolution satellite images from 5 m to 0.5 m (RapidEye, QuickBird, IKONOS, WorldView) that are highly useful for projects that require this level of detail. In addition to spatial resolution, spectral resolution has also been improved, including 36 bands in MODIS images. Hyperon, a hyperspectral sensor from the USGS-NASA EO program, produces images of 240 bands. Several experiences suggest that high-resolution satellite data combined with broadly used images such as MODIS and LANDSAT can have a positive influence in the quality and cost-effectiveness of periodic land coverage monitoring processes (Ranchin et al. 2001; Hansen et al. 2003, 2005, 2008a, b, 2013; Saatchi et al. 2011). In general, forest coverage maps have been prepared in most tropical countries, even if only to differentiate forest from non-forest (Fig. 11) and also to classify the types of specific forests through Page 6 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 6 Types of land cover for the period 2008–2012, extracted for tropical zones of Africa from the GLOBALCOVER map generated by the European Space Agency (ESA) (Source: ESA/ESA CCI Land Cover, led by UCLouvain, Belgium)

hierarchical classification systems. Although from the general standpoint, the purpose of such mapping was to locate the inventories of forests and calculate their area, many of these are not comparable with respect to each other due to diverse reasons, including the use of different forest definitions, use of different classification systems, and differences in the season of the year when images were captured, making it difficult to prepare comparable regional or global reports. Several proposals have emerged to deal with this problem, aimed at obtaining consistent and comparable national and global coverage. The most frequently used methods are based on the comparison of forest maps from two different dates which have been prepared using the same classification methodology on each date. In this case, each map has an associated error, but that when combined for comparison purposes, this error is multiplied. This occurs mainly because when performing a change analysis, errors are distributed proportionally in the categories resulting from the comparison, which, generically, can be classified in stable zones (no change) and change zones (gains and losses). In most cases, stable zones will be proportionally larger than change zones, but commonly, stable zones are also the categories where fewer errors occur when making the Page 7 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 7 Types of land cover for the period 2008–2012, extracted for tropical zones of the Americas from the GLOBALCOVER map generated by the European Space Agency (ESA) (Source: ESA/ESA CCI Land Cover, led by UCLouvain,– Belgium)

comparison. In contrast, change zones generally present more errors than no-change zones, mainly in countries with highly fragmented forest cover. Because of this, in the analysis of the dynamics of change in forest cover, the application of methodologies from which change can be estimated directly and not through comparisons is recommended. The PRODES system used in Brazil for deforestation monitoring, instead of using completely digital methods, applies techniques of digital and visual interpretation of deforested zones. Digital analyses of spectral mixture are used as support input where, for a specific pixel, the proportions of vegetation and soils are estimated. In this manner, the fractions of bare soil are used to identify deforested zones. To apply this methodology, a forest mask is defined at the beginning of the period, and visual interpretations are done on this mask forest in next years by on-screen digitalization to establish the polygons of clear-cutting using as basic input the fraction of bare soil obtained from the analysis of spectral mixture (Camara et al. 2013). In Brazil, this technique has proven to be more efficient than the use of comparisons of maps

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 8 Spatial distribution of forest (a) aboveground biomass, (b) belowground biomass, and (c) total biomass carbon stored in the tropical forest of the American continent (Methodology carbon map (Source: Saatchi et al. 2011) (a) AGB: Aboveground biomass density (Mg/ha) (b) BGB: Belowground biomass density (Mg/ha) (c) TBC: Total biomass carbon (MgC/ha) = AGB + BGA * 0.5. Methodology based on a combination of forest height data derived from the ICESat GLAS LiDAR, landscape characteristics from optical and radar satellite imagery, and forest plots distributed over the region. Multisensory fusion algorithm was developed to produce the aboveground biomass (AGB). The belowground biomass (BGB) was based on estimate from the aboveground biomass through established allometry relations. Calculating the total biomass carbon (TBC) was the result of the sum of AGB and BGB and was obtained multiplying the resulting sum by 0.5, which is the average percentage (50 %) of carbon stored in the biomass of tropical forests. The pixel spacing of each coverage is 30-arcsec (900 m))

generated from digital classifications. Other methodologies use spectral mixture analysis for identification of deforested zones by automated mapping (Asner et al. 2009).

Estimation of Tropical Forest Density and Its Use in the Monitoring of Tropical Forest Cover The classifications from individual interpretation of satellite images for a given date are basic inputs for a multi-temporal analysis of changing forest coverage trends. This analysis implies comparing images classified on two different dates extracted from areas in which gains or losses have occurred during the analysis period. In tropical forest monitoring, the approach for the use of satellite data for changing land coverage has initially focused on classifying satellite images to generate base data on the distribution of different cover types on the earth's surface. These classifications have distinguished broad use or coverage types such as agriculture, forest, urban zones, etc. Alternative approaches to monitor forest coverage changes include the use of vegetation continuous fields (VCF). This methodology was developed by academic researchers from the United States in coordination with the MODIS team (DeFries et al. 2000; Hansen et al. 2002) and is based on using a series of monthly composite images from each year and generating a series of metrics that relate the bands of the image to parameters associated with the Page 9 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 9 Comparison of high-, medium-, and low-resolution satellite images in a fragmented forest zone in the Dominican Republic, Central America. (a) Image RapidEye 5 m spatial resolution; (b) LANDSAT 30 m spatial resolution; (c) MODIS 250 m spatial resolution

Fig. 10 Comparison of classifications resulting from high-, medium-, and low-resolution satellite images in Honduras, Central America. (a) Image RapidEye 5 m spatial resolution; (b) LANDSAT 30 m spatial resolution; (c) MODIS 250 m spatial resolution. The dark green is for mature broadleaf forest, light green to secondary broadleaf forest, orange corresponds to scrub, brown to coniferous forest, and yellow to agricultural areas

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 11 Example of classification in “forest” and “non-forest” categories, based on LANDSAT image

Fig. 12 Contrast between a deforested zone and a natural forest in the Brazilian Amazonia

phenological cycles and annual climate variation. The result was a pixel-level calculation of the percentage of forest coverage. The VCF methodology was developed to complement NASA’s Global Vegetation Monitoring Program. This began with the use of AVHRR images and was adapted as a MODIS product, called Vegetation Continuous Fields Yearly L3 Global 250 m (MOD44B) (NASA 2014). The introduction of the vegetation continuous fields (VCF) methodology represents an important step in vegetation monitoring. VCF assigns a numerical value to vegetation density and goes beyond the binary detection of “forest” and “non-forest” (Hansen et al. 2003), since it provides a dynamic vision of forest coverage and greater sensitivity in the perception of coverage change. Although the VCF methodology has certain limitations that must be overcome, it currently represents one of the most accurate methods to evaluate the condition of vegetation at continental scale. An impression that promotes aerial photographs and satellite images is the homogeneity of forest cover. Contrasts between deforestation and natural forest emphasize the homogeneity of the forest. Figure 12 shows a satellite image of deforestation in the Amazon, with adjacent “virgin” forest. However, there are many instances of natural variability in forest density. These variations are due especially to edaphological conditions and can combine with humidity, which produces large-scale patterns. These patterns can change with annual differences in precipitation. Figure 13 shows an example of a pine forest with marked density variations as a result of waterlogged soils in Belize. There is no evidence of human intervention, but there are large variations in densities and forest heights. However, the forest in the left upper corner is classified as a dense natural forest, due to the relatively small area of the clearings in the forest and to the Page 11 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 13 Natural variability of a conifer forest in a waterlogged soil area in Central America

Fig. 14 Comparison between a traditional classification and VCF. The first figure corresponds to a traditional classification in the forest and non-forest category. The second figure shows the same area but based on vegetation continuous fields (VCF) where each pixel contains a value corresponding to forest cover percentage

fact that they are natural. Of special interest is the center of the image, where a regeneration of small trees can be seen; they probably represent a recolonization where a period of years of rain eliminated part of the forest, which is now repopulating. VCF represents a step ahead of the vegetation indexes generated with satellite images because it summarizes forest cover in cover percentage (Fig. 14). Any forest is comprised of a mosaic of vegetation Page 12 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Fig. 15 Mapping of zones deforested annually in the 2000–2010 period in a sector of Guatemala, Central America, generated by the University of Maryland based on annual series of LANDSAT images applying the VCF methodology. Each color represents a different year that deforestation occurred

of different densities and distributions. Because they are part of a vegetation community when forest maps are prepared using techniques of classification into categories, one single classification of “forest” is applied, although the vegetation in most cases is neither homogeneous nor continuous on the inside. The usefulness of classifications with remote sensors of forest coverage that adopt this simplification decreases if more detail is required about the density of forest vegetation. Initially, VCF methodology was dependent on the capabilities of NASA’s MODIS system, taking advantage of its temporal, spatial, and spectral resolutions to generate information of a sort that was then unheard of. A product widely used from MODIS capabilities is the generation of sequences of vegetation indexes with high temporal resolutions. These sequences are capable of detecting the phenological cycles of any type of vegetation and are even a research focus for better comprehension of tropical forest biology (Silva et al. 2013). VCF methodology uses these vegetation indexes, as well as other metrics, as inputs. Hansen et al. (2003) describe the methodology in detail. The methodological foundation of the analysis is the generation of monthly composite images free of clouds and the contrast of spectral data and vegetation indexes during the maximum vegetative production period with data from the minimum production period. The advantage in the use of MODIS data is that it allows the use of the same monthly satellite data for the identification of maximum and minimum periods, instead of relying on arbitrary dates that might not be the most adequate in a particular year. Base data is processed in several analytical metrics that reflect the entire annual cycle. These data is classified through a “decision tree” to generate the percentage value of forest coverage. In 2013, VCF methodology was applied to LANDSAT images by scientists from the University of Maryland in order to generate annual forest coverage percentages dating back to 2000, with the objective of estimating annual global forest coverage changes (Hansen et al. 2013). Based on these data, the University of Maryland implemented a system that determines the areas of losses and gains in forest coverage as of 2000 at world level, based on the temporal series of the VCFs generated based on the historical series of LANDSAT images. Through this methodology, it is possible to obtain annual information about coverage losses in a consistent manner (Fig. 15). The mapping of deforestation from clear-cutting, that is, the change of a surface from “forest” to “nonforest,” is less complex than the measurement of the increases in forest cover, mainly in the identification

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

of forests in early ages located in the threshold between forest and non-forest, given that the transition from “non-forest” to “forest” does not occur from one moment to the next, as in the case of deforestation from clear-cutting, but it appears progressively and can only be detected after a few years. In the opposite sense, the progressive reduction of forest coverage also presents the same challenge. This phenomenon is of special interest in tropical zones where periodic and complex cycles of degradation and recovery occur due to anthropogenic phenomena. For example, in many forest landscapes associated with agricultural cycles, the process starts with the reduction of the density of the natural forest product of the introduction of tree extraction practices and/or introduction of small-scale agricultural practices without the canopy density perceived by the sensor being reduced beyond the density threshold considered as a forest. Later on, in this process of progressive reduction in time, canopy density can fall under the threshold defined as a forest, giving way to the establishment of agroforestry and silvopastoral systems that, after a production period, are abandoned to initiate this same cycle in other zones and initiating a progressive recovery of forests in early ages in the abandoned zones, which at a specific moment can initiate this cycle again. Temporal reductions in the percentage of canopy coverage followed by a recovery also appear when forest management practices are performed or in zones affected by fires. These progressive reduction processes are not detected through the traditional analyses of coverage change based on comparisons of maps classified in a discrete manner, hence the importance and the potential of the use of approaches that incorporate forest density as a territorially continuous variable, both spatially and in time, as in the case of the VCFs. By integrating annual VCFs, it is possible to obtain, in each pixel, historic sequences of the changes in forest cover for analysis using time series. The analysis method of annual percentage cover changes based on time series evaluates the increase or decrease of the continuous forest cover values over time, which can be either abrupt or gradual and show different patterns of temporal trajectory (Song et al. 2014). Through this method it is possible to obtain different patterns of change as a potential solution for identifying patterns of dynamic changes (Fig. 16).

Important Considerations in the Forest Cover Mapping Processes with Remote Sensing In recent years, there has been a boom in the use of remote sensors in global and national applications for the periodic monitoring of forest cover, mainly after international discussions about the design and implementation of a world mechanism to reduce CO2 emissions produced by deforestation and forest degradation (REDD+). Through this mechanism, economic compensation would be provided to countries that reduce the emissions from the forest sector below a reference level previously established as a function of deforestation rates and/or historic degradation. The implementation of this mechanism requires the establishment of national forest monitoring systems that are measurable, reportable, and verifiable (MRV), in addition to being robust and transparent. The final objective of MRV systems is to evaluate forest emissions and absorption associated to (1) changes in carbon inventories and (2) changes in forest areas. Besides the national scale, subnational scales and local projects must also include forest monitoring systems that allow reporting under the United Nations Framework Convention on Climate Change (UNFCCC). This requires effort for the countries in tropical zones to design a mechanism that allows them to know with higher precision about the existence of forest coverage and perform periodic monitoring of its changes. In this context, and not limited exclusively to REDD+ MRV systems, a series of considerations are shown next to what are considered relevant aspects to take into account in forest coverage mapping processes with remote sensing. Specific references to each one of the aspects mentioned can be found along the series of five chapters on remote sensing included in this tropical forestry handbook. Page 14 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

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Fig. 16 Historic curves typical of the percentage of forest cover, result of the integration of annual coverage of VCF (Source: Song et al. 2014): (a) persistent forest, (b) persistent non-forest, (c) forest loss, (d) forest gain, (e) forest loss followed by gain, (f) forest gain followed by loss, (g) forest loss followed by gain and then by loss, (h) forest gain followed by loss and then by gain

Acquisition – Scale: The satellite images to be used will depend on the specific objectives of the mapping. Criteria such as the minimum mapping area and the scale at which the phenomenon to be detected occur are relevant. In general, images of a very high resolution (0.5 m) can be used for work at scales of 1:2,500 and 1:5,000; high resolution (2.5 m to 5 m) for scales of 1:25,000; medium resolution (10 m to 30 m) for studies at scales of 1:50,000 and 1:100,000.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

– Metadata: Adequate interpretation must be given to the nomenclature used for satellite images and associated metadata in order to adequately manage, mainly with respect to the date of the images and to the characteristics related to the capture and processing levels.

Preprocessing – Calibrations: Perform radiometric calibrations and atmospheric, geometric, and topographic corrections when these had not been made by the distributor of the images from where they were acquired. – Metadata updating: Update image metadata every time a procedure is carried out where digital values are affected, such as radiometric, atmospheric, or topographic corrections. – Multiband files: When band integration procedures are carried out in one single file (multiband images), record in the metadata the wavelength corresponding to each band; this is particularly essential when in the multiband file generated, some of the original bands are excluded. – QC bands: Appropriate use and interpretation of the quality control (QC) bands of the images when these are available to evaluate pixel quality. This aspect is relevant mainly when comparing images of different capture dates, in order to guarantee that the pixels being compared are of similar quality. Remember that normally quality control bands store information in decimal values equivalent to bit strings; therefore, they must be transformed into this latter format in order to be used.

Interpretation and Classification – Image improvement: When visual interpretations are made, the fusion of multispectral bands with a panchromatic band of higher resolution, as well as contrast stretching, is a procedure recommended to improve the identification of objects and forest coverage patterns. – Field control: The interpretation work for satellite images must be supported by controls on the ground. The use of images of a higher resolution than those used in the interpretation is also very useful in verification processes; however, they do not substitute field controls. – Interpretation guide: Every time that visual interpretation work is carried out, an interpretation guide must be prepared, where objects and coverage patters are characterized as a function of attributes such as shape, size, color, texture, and association with other elements, according to the interpretation scale and in specific combinations of bands if work is being carried out with multispectral images. These descriptions can be supported by photographs and screen captures that illustrate the respective patterns associated to the coverage classes to be identified. – Spectral signatures: In digital classification processes, the spectral signatures of the coverage types to be classified must be obtained (in the field or from images). When the signatures are obtained from satellite images, it is a good practice to prepare a standardized catalog of spectral signatures according to the capture conditions of the images from which they have been extracted. This will make their use easier in future work. – Precision: When digital classifications are carried out that are later submitted to correction processes through visual interpretation, it is recommended that the precision values obtained before and after carrying out the corrections should be recorded. – Image composites: When, for a specific year, there are images from several dates, monthly image composites can be prepared, or composites from a specific period of the year, extracting the pixels of better quality or less cloudiness to prepare cloud-free image composites.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

Checklist for Digital Classification Processes Consider the following checklist in digital classification processes: Preparatory activities: • Has the objective of the map been clearly defined? • Is there a definition of forest types? Do the characteristics of the image selected for mapping allow the mapping of the forest at that resolution? • Has a classification system been defined that responds to a national or international standard in regard to classes and their definitions? • Has an interpretation key been prepared for each one of the coverage types to be interpreted? • Has a quality control scheme been defined for the classification process considered, including the collection and use of auxiliary information? Preprocessing: • Has a buffer been defined around the study area with the objective of preventing zones without data on the edges? • Is the processing level of the images acquired known? Do they include atmospheric, topographic, or geometric corrections? • Have composites of satellite images been made to select the pixels with information of the best quality about the period under analysis? • Has a procedure been defined to complete zones with clouds, shade, or without data? Processing • Has the best classification procedure been selected? What were the criteria used to select this method? • Has the possibility of using mixed procedures in the classification process been considered? • Has enough field information been used or, from secondary sources, to be used as inputs in the classification process? • Has a quality control process been carried out with data that are independent from the data used in the classification process? • Is the procedure applied replicable to be used in the future and to obtain comparable historic data? • If an analysis of changes in forest coverage is being performed, add the following aspects to the checklist: • Has it been verified that the historic maps to be used are comparable? • Has the minimum mapping unit of the change been defined? Is this minimum unit consistent with the scale at which deforestation or forest recovery processes occur? • Have other measurement methods for coverage change been considered as an alternative, such as the procedures that allow for estimating change directly? • In case that the objective is to identify deforestation zones, has consideration been given to the separation of zones with authorized uses that are a product of management plans or other similar tools? Is there auxiliary data about the areas that are legally being used? • Has it been considered that many of the changes detected may be the product of temporary phenomena, such as in the case of fire recovery zones or of temporary production cycles in migratory agriculture systems? How are these changes considered in the analysis? • Has a process been defined to estimate the precision of the mapping of change zones? • Has the useful life of the sensor from which satellite images were obtained been considered? And if the plan is to carry out periodic and permanent monitoring in the future, has the alternative to be used when the sensor reaches it useful life been defined, in order to guarantee the sustainability of analysis in the future? Page 17 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_145-2 # Springer-Verlag Berlin Heidelberg 2016

References Asner GP, Knapp DE, Balaji A, Páez-Acosta G (2009) Automated mapping of tropical deforestation and forest degradation: CLASlite. J ApplRemote Sens 3(1):033543–033543. doi:10.1117/1.3223675 Birth GS, McVey GR (1968) Measuring the color of growing turf with a reflectance spectrophotometer. Agronomy J 60(6):640–643. doi:10.2134/agronj1968.00021962006000060016x Camara G, Valeriano D, Vianei J (2013) Metodologia para o Cálculo da Taxa Anual de Desmatamento na Amazônia Legal. INPE, São Jose dos Campos DeFries RS, Hansen MC, Townshend JRG, Janetos AC, Loveland TR (2000) A new global 1‐km dataset of percentage tree cover derived from remote sensing. Glob Chang Biol 6(2):247–254. doi:10.1046/ j.1365-2486.2000.00296.x ESA (2014, October 01) Three global land cover maps for the 2000, 2005 and 2010 epochs. Viewed on 3 Apr 2015 at Land cover maps | ESA CCI Land cover website: http://www.esa-landcover-cci.org/?q= node/158 Goward SN, Markham B, Dye DG, Dulaney W, Yang J (1991) Normalized difference vegetation index measurements from the advanced very high resolution radiometer. Remote Sens Environ 35(2–3):257–277. doi:10.1016/0034-4257(91)90017-z Hansen MC, DeFries RS, Townshend JRG, Sohlberg R, Dimiceli C, Carroll M (2002) Towards an operational MODIS continuous field of percent tree cover algorithm: examples using AVHRR and MODIS data. Remote Sens Environ 83(1–2):303–319. doi:10.1016/s0034-4257(02)00079-2 Hansen MC, DeFries RS, Townshend JRG, Carroll M, Dimiceli C, Sohlberg RA (2003) Global percent tree cover at a spatial resolution of 500 meters: first results of the MODIS vegetation continuous fields algorithm. Earth Int 7(10):1–15. doi:10.1175/1087-3562(2003)0072.0.co;2 Hansen MC, Townshend JR, DeFries RS, Carroll M (2005) Estimation of tree cover using MODIS data at global, continental and regional/local scales. Int J Remote Sens 26(19):4359–4380. doi:10.1080/ 01431160500113435 Hansen MC, Roy DP, Lindquist E, Adusei B, Justice CO, Altstatt A (2008a) A method for integrating MODIS and LANDSAT data for systematic monitoring of forest cover and change in the Congo Basin. Remote Sens Environ 112(5):2495–2513. doi:10.1016/j.rse.2007.11.012 Hansen MC, Stehman SV, Potapov PV, Loveland TR, Townshend JR, DeFries RS, DiMiceli C (2008b) Humid tropical forest clearing from 2000 to 2005 quantified by using multitemporal and multiresolution remotely sensed data. Proc Natl Acad Sci 105(27):9439–9444. doi:10.1073/ pnas.0804042105 Hansen MC, Potapov PV, Moore R, Hancher M, Turubanova SA, Tyukavina A, Thau D, Stehman SV, Goetz SJ, Loveland TR, Kommareddy A, Egorov A, Chini L, Justice CO, Townshend JRG (2013) High-resolution global maps of 21st-century forest cover change. Science 342(6160):850–853. doi:10.1126/science.1244693 Huete AR (1988) A soil-adjusted vegetation index (SAVI). Remote Sens Environ 25(3):295–309. doi:10.1016/0034-4257(88)90106-x Huete AR, Liu HQ, Batchily K, Van Leeuwen WJDA (1997) A comparison of vegetation indices over a global set of TM images for EOS-MODIS. Remote Sens Environ 59(3):440–451. doi:10.1016/s00344257(96)00112-5 Huete A, Didan K, Miura T, Rodriguez E, Gao X, Ferreira L (2002) Overview of the radiometric and biophysical performance of the MODIS vegetation indices. Remote Sens Environ 83(1–2):195–213. doi:10.1016/s0034-4257(02)00096-2 Jensen JR (2005) Introductory digital image processing, 3rd edn, Prentice Hall series in geographic information science. Prentice Hall, Upper Saddle River Page 18 of 19

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Jensen JR (2007) Remote sensing of the environment: an earth resource perspective, 2nd edn. Pearson Prentice Hall, Upper Saddle River Jones HG, Vaughan RA (2010) Remote sensing of vegetation: principles, techniques, and applications. Oxford University Press, Oxford NASA (2014, April 14) Vegetation continuous fields yearly L3 global 250m. Viewed on 20 Apr 2015 at MOD44B | LP DAAC:: NASA Land Data Products and Services website: https://lpdaac.usgs.gov/ products/modis_products_table/mod44b NOAA (2013, November 26) Advanced very high resolution radiometer – AVHRR. Viewed on 2 Apr 2015 at NOAA Satellite Information System (NOAASIS) Website: http://noaasis.noaa.gov/ NOAASIS/ml/avhrr.html Ranchin T, Wald L, Mangolini M (2001) Improving spatial resolution of images by means of sensor fusion. A general solution: the ARSIS method. In: Donnay J-P, Barnsley M, Longley P (eds) Remote sensing and urban change, GISDATA 9. Taylor & Francis, London, pp 21–38. doi:10.4324/ 9780203306062_chapter_2 Rouse JW, Hass RH, JA, Deering DW (1974) Monitoring vegetation systems in the great plains with ERTS Proceedings, Third earth resources technology satellite-1 symposium, Greenbelt: NASA SP351, 310–3017 Saatchi SS, Harris NL, Brown S, Lefsky M, Mitchard ETA, Salas W, Zutta BR, Buermann W, Lewis SL, Hagen S, Petrova S, White L, Silman M, Morel A (2011) Benchmark map of forest carbon stocks in tropical regions across three continents. Proc Natl Acad Sci 108(24):9899–9904. doi:10.1073/ pnas.1019576108 Schmaltz J (2007, November 26) Images of the day November 26, 2007: MODIS Vegetation Measurements. Viewed on 26 Apr 2015 at MODIS Website: http://modis.gsfc.nasa.gov/gallery/individual.php? db_date=2007-11-26 Silva FB, Shimabukuro YE, Aragão LE, Anderson LO, Pereira G, Cardozo F, Arai E (2013) Large-scale heterogeneity of Amazonian phenology revealed from 26-year long AVHRR/NDVI time-series. Environ Res Lett 8(2):1–12. doi:10.1088/1748-9326/8/2/024011 Song XP, Huang C, Sexton JO, Channan S, Townshend JR (2014) Annual detection of forest cover loss using time series satellite measurements of percent tree cover. Remote Sensing 6(9):8878–8903. doi:10.3390/rs6098878 Tucker CJ (1979) Red and photographic infrared linear combinations for monitoring vegetation. Remote Sens Environ 8(2):127–150. doi:10.1016/0034-4257(79)90013-0 Zhan X, Defries R, Townshend JRG, Dimiceli C, Hansen M, Huang C, Sohlberg R (2000) The 250 m global land cover change product from the Moderate Resolution Imaging Spectroradiometer of NASA's Earth Observing System. Int J Remote Sens 21(6–7):1433–1460. doi:10.1080/ 014311600210254

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Land Evaluation and Forestry Management Anthony Young* School of Environmental Sciences, University of East Anglia, Norwich, UK

Abstract Changes in the land use should be based on properties of the site, requirements of the technology, and needs of the people. In planning for forestry there are decisions of two kinds: allocation of land between forestry and agriculture, and decisions about kinds of forest management. Land evaluation for forestry provides a means of assessing the suitability of land for different kinds of use (FAO (1984) Land evaluation for forestry. FAO forestry paper 48, Rome). The requirements of forestry, under specified management systems, are compared with data from basic surveys (soil, climate, vegetation). The results, in terms of land suitability, are assessed on the basis of conservation, in economic terms, sustainability, and the needs and opinions of stakeholders (farmers, foresters, government). Land use planning is the process of putting the results of land evaluation into practice. The requirements of different kinds of planning are so varied that it is not possible to set out a precise set of procedures, but ten basic stages can be followed (FAO (1989a) Guide-lines on land use planning. Inter-departmental working group on land use planning. FAO, Rome).

Keywords Forest management; Agroforestry; Land evaluation; Land suitability; Land use planning

Forestry Land Use Planning and Management Introduction Which areas of land should be under forestry and which should be allotted to other kinds of land use? Which parts of the forest land should be reserved purely for protection and conservation purposes and which used for production? How can we meet the needs of the local people for forest products at the same time as achieving timber production? Which forest management system will best meet the needs of each area, and what measures are necessary to implement this? Will the proposed management system be sustainable? These are the kinds of decisions that must be taken in forestry planning management. Some will be taken on grounds largely internal to the forestry sector, such as which management system will best promote regeneration. Others involve wider considerations and interactions, for example, downstream effects on stream flow or urban needs for fuelwood supplies. All such planning and management decisions are concerned with finding the best use of land resources to meet the needs of people, both now and in the future. Planning and management are closely related. Planning usually refers to a survey and analysis of the present situation and anticipated future needs, in order to prepare a plan to meet these. Management is the set of operations by means of which the plan is implemented. However, a plan should never be followed *Email: [email protected] Page 1 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

rigidly, but modified where circumstances change. Hence, one of the operations undertaken in management is to consider and, with agreement at required levels of authority, make modifications to an existing plan.

Decisions on Land Use From the forestry point of view, decisions of land use fall into two groups: decisions on the allocation of land between forestry and other major kinds of land use and decisions about the kind of forestry and forest management. The clearest example of choice between forestry and non-forest uses occurs in land settlement planning of previously unoccupied areas, a situation becoming infrequent. More often, the freedom to take decisions will be constrained, particularly by present occupancy or legal rights. Critical decisions could include the establishment of forestry on land previously under extensive grazing or other low-intensity use or, conversely, to allow former forest land to be allotted to agriculture. Changes such as this carry heavy policy and, often, political implications and need to be authorized at a high governmental level. This is all the more reason, however, to consider them in terms of land suitability, assessing the environment, social, and economic consequences of different patterns of land use. The second group of decisions are those which concern the type and objectives of forestry and the kinds of forest management. A basic choice is between production forestry, forestry purely for protection, and some combination of these. For plantations, selection of species and methods of establishment are needed, both choices being influenced by land qualities and the former also by projected needs. For natural or seminatural forests, decisions are needed between different management systems, e.g., selection, shelterwood, or rotational clear-cutting with seed trees. While the operations resulting from such decisions are internal to the forest land, the evidence needed to make them is often drawn from wider sources, such as the needs of local people for non-wood forest products or national requirements for timber.

Levels of Planning Decisions on land use are taken at different scales, ranging from global level to that of the village or farm. Global, Continental, or Major Regional Level. This covers strategic studies undertaken by international agencies and governments as a basis for broad planning guidelines. The priorities and guidelines set out in the Tropical Forestry Action Programme are an example. National or State/Provincial Level. The major level for policy decisions is national. This is where priorities are set, including allocation of resources and development priorities between regions, as well being the necessary level for any legislative basis to forest policy (FAO 1987). Planning is typically based on map scales of the order of 1:1,000,000–1:250,000. In counties which are large, or possess a federal structure, the state or province forms a further level for the formulation of forestry policy and priorities. District, Project, or Watershed Level. Administrative districts, or areas of comparable size forming development projects, are the principal level of scale at which practical forestry development planning takes place. Decisions are taken both on allocation of land between forestry and other uses and on types of forest management. Map scales for planning range from 1:1,000,000 to 1:20,000 typically 1:50,000. Watershed management is a form of district-level, multipurpose planning in which emphasis is placed upon control of water flow and soil erosion (FAO 1977, 1985–1990). Village or Forest Block Level. This is the level at which planning is implemented and day-to-day management operations, of establishment, silviculture, harvest, etc., are undertaken. Detailed adjustments to land use plans may be made, e.g., avoidance of planting on rocky land, is not identified by the projectlevel surveys. A mapping basis for planning and recording management operations is vital, at a scale of Page 2 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

1:20,000, 1:10,000, or larger. Interactions between these planning levels should consist of two-way flows in information, not simply the passing of instructions downwards. In multilevel planning, there is an authorized amount of decentralization in the taking of decisions, leading to a degree of local self-reliance. The extent to which multilevel planning is possible depends on the presence of competent personnel at different levels (Randhawa 1985).

Responsibility for Forestry Land Use Planning Should a proposed land use planning exercise be carried out by local staff, or is it necessary to call in specialist assistance? In broad terms, if the decisions to be taken lie wholly within the forestry sector and fall within the normal range of forest management, and if experience staff are available, then planning can be undertaken by local forestry staff. Where conflicts between forestry and non-forest uses are involved, or where it is proposed to introduce a form of forest management of which there is no local previous experience, then an interdisciplinary team needs to be formed, bringing in specialists in forestry management and land use planning. Forest land use planning should not be regarded as a specialist activity to be undertaken by “experts”! In many cases, it can and should be carried out by any local forestry staff, for it is they who will have to implement the proposed changes.

Land Evaluation and Forest Land Use Planning Definitions Land Use is a method for assessment of the consequences of using land for specified purposes, in order to select the most promising kinds of land used applicable to the objectives of the evaluation. It involves comparison between alternative land uses and assessment of their consequences in environmental, social, and economic terms and, thereby, of their sustainability. Land Use Planning is the process which leads to selection of the kinds of land use best able to achieve specified objectives, together with the courses of action needed to achieve these objectives. Land use planning is a broader activity, of which land evaluation forms a part. Forest Land Use Planning is the application of land use planning procedures to objectives which lie wholly or partly in the forestry sector. This can include the allocation of land between forestry and non-forest uses and choices of the type of forestry system and method of management. Forest land use planning always requires consideration of three main aspects: – Environmental. Will the proposed land use conserve natural resources (soil, water, biotic)? Will it be sustainable? – Social. Does the proposed use meet the needs of local people? What will be its impact on particular sections of the community, e.g., the poor or minority peoples? – Economic. Does the use meet defined criteria of economic acceptability?

Land Use Planning: An Outline Land use planning is carried out at various scales and for a wide range of purposes, and hence, the procedures to be followed will vary from one case to another. Nevertheless, a structured sequence of steps for activities should be followed, adapted to circumstances as necessary (Fig. 1). Phase I covers the activities which take place prior to the main planning exercise. What are the objectives (Step 1) of the planning exercise to select plantations species and formulate a management plan, to find ways to limit forest clearance while still meeting the needs of local people, and to decide upon Page 3 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Phase II. Choosing between alternatives: land evaluation • Objectives and criteria for selection • Plan of work Phase I. Preparing to plan

• Basic surveys, inventories, and diagnosis of problems • Design of land use types and management requirements • Matching land use with land: physical suitability • Environmental, social and economica analysis • Selection of preferred and use system and management

• Formulation of land use and management plan • Imprementation of the plan • Monitoring of progress and ongoing revision

Phase III. Puting the plan into practice

Fig. 1 Steps in land use planning (Adapted from FAO 1989a)

the boundaries of a new area of forest land? There are a great variety of such possibilities, and generally the objectives of a project will be multiple. Often, the broad objectives will have been set at national level and reach the district as a request, e.g., for measures to be taken to protect sensitive watersheds or means found to increase fuelwood production. However, early and continuing consultation with local people is essential if a plan is to stand a chance of succeeding. Also at this stage, the constraints to planning are determined. Often, these severely limit the range of action open in forestry planning. In particular, it is frequently not possible to displace existing established farmers. The constraints limit the choice of alternative land uses for appraisal, thereby allowing effort to be concentrated on practicable alternatives. The next step in the preparatory phase is to devise the plan of work (2). How is the proposed forestry planning and management exercise to be carried out, and what resources are available? How long will it take, and what will be the cost? The second phase that of land evaluation consists essentially of finding out the present situation and its problems and designing systems of land use and management that will help to solve those problems. This phase begins with an assessment of the present situation, through basic surveys, inventories, and diagnosis of problems (3). Data from these surveys provide the initial basis for seeking solutions, through design of land use types and their management requirements (4). The requirements of the land use are then compared with the surveyed properties of the land, modified where necessary by process of matching, leading to a physical land suitability classification (5). The alternative systems of land use are further examined in three respects: environmental, social, and economic (6). These results lead to the final stage in land evaluation, that of a systematic selection of preferred land use planning and management systems (7). The remaining steps in land use planning, constituting Phase III, involve activities on a project scale. Final approval to proceed must be obtained, the necessary funding or budgetary provisions made, and a project management plan (8) drawn up. If this in turn receives approval, the plan is put into action (9). As it progresses, circumstances will change, and difficulties will certainly be encountered, calling for ongoing revision of the plan (10).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Objectives and constraints Design of Land Use Types Basic Surveys, Inventories and diagnosis of problems

Identification of Management Requirements

Matching and Physical suitability classification Environmental Analysis Social Analysis Economic Analysis

Selection of Preferred types poof land use and management

Fig. 2 Outline of procedures in land evaluation (Adapted from Young 1986)

Land Use Evaluation for Forestry Outline of Procedures Only an outline of the procedures for land evaluation can be given here. For further information, including checklists of relevant data, reference should be made to FAO (1984). The basic steps in conducting a land evaluation, whether for forestry alone or for competing uses of land are shown in Fig. 2. The first, the determination of objectives and the constraints to their solution, has been considered above. The next two activities, basic surveys and design of land use types, take place in parallel. On the one hand, the surveys will help to indicate why systems of forest land use management are likely to be needed. On the other hand, the management requirements of the proposed land use systems will help to determine details of the data that need to be collected. Box 1: Alternative Methods for Land Evaluation • LOAM – Landscape Outcome Assessment Methodology. This aims to measure, monitor, and communicate the nature and extent to which a landscape is changing over time with respect to a small number of agreed conservation and livelihood outcomes. For further reference, consult. • ROAM – The Restoration Opportunities Assessment Methodology (ROAM) provides a flexible and affordable framework for countries to rapidly identify and analyze forest landscape restoration (FLR) potential and locate specific areas of opportunity at a national or subnational level. For further reference. • The Open Standards for the Practice of Conservation bring together common concepts, approaches, and terminology in conservation project design, management, and monitoring in order to help practitioners improve the practice conservation. For further reference, consult CMP 2013.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 1 Land characteristics which may affect suitability for forest growth and management of conservation Geology Rock type, rock hardness/strength (bearing capacity, road construction); indirect means of estimating soil properties, groundwater hydrology Landforms Slope angle, relative relief, stream frequency, outcrops and boulders, swamps, aspect, shape of slope, exposure index, microrelief; landslide frequency; scenic value; indirect altitude as means of approximating to temperature Climate Annual temperature, temperature in growing season, temperature of hottest, coldest months, extreme temperature, frost frequency, frost-free-period; annual rainfall, growing season rainfall, length of growing season, dry season, evaporation, rainfall intensity, energy; total radiation, sunshine hours; relative humidity; frequency and severity of high winds; climatic type Hydrology River flow regime; unit hydrograph, flood frequency; groundwater depth, presence of aquifers Soils (topsoil and subsoil where relevant) Effective soil depth, topsoil depth, depth to impermeable layer; texture, stones and gravel, structure, consistence: occurrence of crusting pans, stone or gravel horizon, laterite, horizon; drainage, class, depth to mottling, permeability, available water capacity; nutrient content, organic matter content, pH, base saturation, electrical conductivity of saturation extract, exchangeable sodium percentage; bearing capacity; soil type Vegetation Volume of standing timber, predicted growth rates, site index, volume or predicted yield of non-timber products; indicator communities or species; combustibility; genetic diversity, rare species Fauna and disease Animal, bird, or insect pests or carriers; plant diseases, including soil borne; animal population, rate species Adapted from FAO (1984)

Basic Surveys and Inventories Survey data are needed for two purposes: – To establish the present situation, including problems – To determine what are the resources for alternative systems of forest use and management Information is needed of the land, of physical environment, and on the people, the local population, together with the linking of land and people through the present land use. Data will be needed on all aspects of the physical environment, but for forestry planning, forest inventory is clearly of special importance (FAO 1980, 1981). The required surveys may therefore be considered in three groups: site conditions (other than existing forest), forest inventory, and diagnosis of problems and priorities of the local population. Maps have always been a fundamental basis for land use planning, and despite the many recent advances in remote sensing and geographic information systems (see chapter “▶ Fundamentals and Application of Remote Sensing in Tropical Forestry”), they remain so. Maps record and convey large quantities of information in a form which can be quickly appreciated. Wherever possible, statistical and descriptive information should be related to specific mapped areas. If the outcome of the surveys is a forestry development project, the maps compiled during these surveys will later form an essential basis for forestry management.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 2 Steps in diagnosis and design Diagnosis 1. Identification of land use systems 2. Type of severity of problems 3. Problems of the farmer Problems of the land Analysis of causes of problems Design 4. Specifications for improved land use systems 5. Design of improved systems Adapted from Young (1986)

Surveys of Forest Site Conditions For the characterization and classification of forest site conditions, data in varying degrees of detail are needed on all the factors of the physical environment: geology, landforms, climate, hydrology, soils, vegetation, and fauna (see Table 1). Two activities are fundamental, collection and analysis of climatic data and a soil survey. Climatic data are the primary basis for assessment of rate of tree growth. For studies on a national scale, climate is the principal factor differentiating the potential of one area from another. All forestry departments are aware of altitude (temperature) and rainfall zones for the more common species. For broadscale, regional, surveys, the system of length of growing periods can be employed, as developed in the FAO agroecological zone surveys (FAO 1978–1981). Applications of climatic data are discussed in chapters “▶ Classifications of Climates in the Tropics,” “▶ Climate Aspects of the Tropics,” “▶ Microclimate in the tropics,” “▶ Precipitation in the Tropics,” “▶ Temperatures in the Tropics,” and “▶ The Atmosperic Circulation.” A soil survey is the most fundamental form of site appraisal for surveys at medium to large scales, i.e., of districts or other local areas. Soil surveys should include not only soil but landforms (particularly slope angle and frequency of rock outcrops) and basic features of hydrology (drainage, depth to water table) and natural vegetation. Soil survey information is required to assess suitability for forestry in two respects: tree growth and forest management operations (particularly harvesting). For forest plantations, soil depth is the most important property. Others likely to be relevant are drainage, reaction (pH), texture, plant nutrients, and (in dry areas) salinity and sodicity. Methods of soil survey are discussed in Dent and Young (1981), and applications to forestry in Valentine (1986) and in chapter “▶ Geology and Soils.” Inventory Data for Classifying Forestry Resources The distinctive feature of land evaluation for forestry, as compared with studies for agricultural use, is the greater importance of surveys of existing forest vegetation. Forest inventories serve firstly, to estimate the standing volume; secondly, to estimate the present rates of growth and thus the maximum sustainable removal; and thirdly, to indicate problems of forest encroachment and degradation and thus priorities for conservation. Methods of forest inventory are discussed in chapters “▶ Measurements and Assessments on Field Plots,” “▶ Objectives and Planning of Forest Inventories,” and “▶ Sampling in Forest Surveys.” Present land use can be mapped concurrently with the forest inventory. This will include areas under cultivation (temporary or permanent), grazing, settlements, etc. Like forest land, these can be mapped from air photographs or satellite images coupled with ground control. For multiple-purpose land use planning, in which alternatives between forestry and non-forest uses are to be considered, data on present land use are essential.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 3 Problems of land use systems, which can be ameliorated through agroforestry Problems of the farmer Shortages of Food Fodder Fuelwood Cash income Capital Materials Problems of the land Soil erosion Decline in soil fertility Forest clearance Forest degradation Pasture degradation Degradation of river flow regime Adapted from Young (1986)

The Human Factor: Diagnosis of Problems It is now clearly recognized that meeting the needs of local people is an essential part of forestry planning. It is necessary not merely out of equity, but because unless their participation is sought, any measures intended to check forest clearance or encroachment are likely to fail. The method of diagnosis and design provides an approach and outline procedures. Originally developed as the basis for planning agroforestry research, diagnosis and design can be applied to any area or type of land use. There is an analogy with medical practice: a disease cannot be treated without first finding out what it is. Diagnosis and design can be incorporated into the procedures of land evaluation and is a means of strengthening it with respect to the incorporation of social factors (Raintree 1987; Young 1986, 1997, 1998). The main stages in diagnosis and design are shown in Table 2. The first is identification of farming systems. Features which commonly differentiate farming systems are distinct physical environmental conditions (hill areas, alluvial plains, etc.), farm size (activities will often differ between large and small farms or richer and poorer farmers), the possession or otherwise of livestock, and the presence of different ethnic groups. The next stages are to ascertain the nature and severity of problems of these systems and analysis of their causes. The basic activity in both cases is that of talking to farmers and looking at their land. For each identified systems, a sample of farmers is selected, and these are interviewed. Use of structured questionnaire is possible, but unstructured interviews can also produce good results. A checklist of some problems of land use systems is given in Table 3. Find out which problems the farmers themselves consider to be the most serious and what are believed to be the causes. Thus, there may be a fodder shortage in the dry season, caused by increase in the number of livestock and extension of cultivation onto former grazing land. Various forestry and agroforestry technologies, such as forest grazing and fodder banks, can help to alleviate this. The field diagnosis of problems can lead to a broadening of the objectives, as the problems and needs of local people are ascertained and combined with national requirements.

Forestry Land Use Types Description of Land Use Types The next step is to identify, design, and describe the various kinds of land use and management which are relevant to the area, its objectives, and needs. In very broadscale, reconnaissance, studies, these may be

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

major kinds of land use: agriculture, grazing, natural forest, plantation forest, etc. Normally, however, it will be necessary to define and describe each kind of use in more detail. These are known as land use types (also called land utilization types) and form the basis for evaluation. The range of forestry and agroforestry land use types is very wide. Some basic criteria for classification and description are: Management objectives

Type of forest

Ownership and management

Management system

Production Wood Non-wood forest products Conservation Recreation/tourism Multiple use Natural or seminatural forest Plantation forest Agroforestry: trees with agricultural crops Government Community Private Large landowners Farmers Selection Shelterwood Clear-cutting Taungya

In order to assess land suitability, not just from a physical point of view but with respect to environmental, social, and economic analysis, land use types should be described in detail. For example, “a Senna siamea plantation for fuelwood” is not an adequate description. To assess its land requirements, one needs to know, for example, whether it is a large-scale plantation operated by the government or a small woodlot operated by the community; whether the land will be left in its natural state or improved by drainage, boulder removal, etc., before planting; and whether the intended market is local or will require transport to a city. The main attributes for description of forestry land use types are: • • • • •

• • • • • • •

Management objectives Type of forest Tree species Ownership and management Management system: – Establishment – Silviculture – Harvesting Scale of operations Products Other benefits Markets Labor requirements Capital requirements Inputs Page 9 of 26

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• Infrastructure requirements • Land improvements Production Forestry In production forestry, the objectives can be for wood (sawnwood, pulpwood, small timber, fuelwood, charcoal) or the wide variety of non-wood forest products. For wood production, whatever management system is adopted, the objective must be sustained-yield forest management, or not allowing the rate of harvest removal to exceed that of regrowth. The harvest of non-wood forest products can be important to local communities, as a source of raw materials (e.g., thatching, rattan, fodder, litter for compost) or cash income (e.g., from tapping resin). Conservation Forestry The broad spectrum of management known as protection or conservation forestry may include any or all of the following functions: – Watershed protection: control of runoff, soil erosion, and land sliding and regulation of river flow (FAO 1977; 1985–1990) (see chapters “▶ Introduction to Watershed Management,” and “▶ Watershed Management Practices in the Tropics”). – Reclamation: the improvement of degraded lands through forest planting or protected and assisted regeneration; in the semiarid zone, a further role is in combating desertification (FAO 1989b). – Protection of the way of life of indigenous peoples. – Conservation of flora: protection of the variety of plant species and thereby in situ plant genetic conservation (FAO 1989c). – Wildlife conservation, particularly the protection of rare or endangered animal species. – Contribution to the regulation of the global carbon dioxide cycle (FAO 1990). Forestry for Recreation and Tourism In countries of the temperate zone, forestry management has been widely adapted to provide facilities for recreation. In the tropics the principal development has been the creation of national parks. Where recreational use is combined with conservation, it provides a source of income from the land. Contrasting examples of the planning and management of national parks are given in FAO (1988). At present, the emphasis is normally upon wildlife viewing, but there is need to widen the facilities available. Tourists like to walk, play, ride horses, sail boats, and camp, in scenic surroundings and under safe conditions. There are considerable opportunities to widen such facilities, in conjunction with conservation forestry and, if fire hazard and other aspects of protection can be ensured, plantations. Multiple-Use Forestry Management Multiple-use forestry management is the management of forests with the intention of meeting two or more major objectives simultaneously. On some land, it may be possible to combine carefully controlled harvesting with protection forest, while at the same time permitting removal of non-wood forest products. A productive or otherwise actively managed forest is less liable to suffer illegal incursion. It has been found, however, that economic pressure for wood production can lead to a transition from protection through selection forest to forest plantations, accompanied by a reduction in multiple use (FAO 1985). The combination of wood production with forest grazing is another example. Other clear opportunities for multiple use arise in combinations of protection or conservation forestry with controlled use for recreation.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 4 Agroforestry technologies Mainly agrosilvicultural (trees with crops) Rotational Shifting cultivation Improved tree fallows Taungya Spatial mixed Trees on cropland Plantation crop combinations Multistory tree gardens Spatial zoned Hedgerow intercropping (alley farming) Boundary planting Trees on erosion-control structures Windbreaks and shelterbelts (also silvopastoral) Biomass transfer (tree litter mulching) Mainly or partly silvopastoral (trees with pastures or livestock) Spatial mixed Trees on rangeland or pastures Tree crops with pastures Spatial zoned Live fences Fodder banks Tree component predominant (see also taungya) Woodlots with multipurpose management Reclamation forestry leading to multiple use Other components present Entomoforestry (trees with insects) Aquaforestry (trees with fisheries) Adapted from Young (1986)

Agroforestry Agroforestry is a collected term covering all land use systems in which trees or shrubs are grown in association with crops, pastures, or livestock, in a spatial association or a rotation, and in which there are both ecological and economic interactions between the trees and other components. It is the presence of ecological interactions between trees and crops which is the most distinctive feature of agroforestry. The ecological interactions take place mainly via the microclimate and soil. Examples are conservation of water for crops by shading or tree leaf litter and recycling of nutrients to the soil via tree root systems and litter. Another feature of agroforestry, and one which lends it great potential, is the capacity to yield forestry products from agricultural land, at the same time as maintaining, or event enhancing, crop production. By this means, the pressure for forest encroachment is reduced. The major products from multipurpose trees in agroforestry systems are fuelwood, small timber, tree fodder, and fruit. The most important service function is that of soil conservation, including both control of erosion and maintenance of fertility. Thus, there is considerable potential for agroforestry to offer alternatives to shifting cultivation and to reduce pressure for forest clearance and degradation. Where trees belong to the farmers themselves, they will be chosen, planted, managed, and harvested in ways that meet their needs. An error still sometimes encountered is to regard agroforestry as consisting only of one or a small number of land use systems. There are about 20 agroforestry technologies, defined as distinctive

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 5 Land use requirements for production forestry Growth requirements Temperature regime Soil moisture availability Drainage Nutrient availability Rooting conditions Salinity/sodicity Other toxicities Climatic hazards: fire, frost, wind Physiographic hazards: flood, landslide Pests and diseases Requirements based on forest inventory Present forest volume Estimated growth rates Management requirements Ease of road construction and maintenance Conditions for mechanized operations Internal access Nursery sites Ease of land preparation Size of potential management units Location and accessibility Conservation requirements Tolerance to soil erosion Conditions affecting streamflow response Tolerance to vegetation degradation Requirements for plant and animal conservation Adapted from FAO (1984)

arrangements of trees with crops in space and time (Table 4). Combining these with choice of plant species, spacing, and management leads to many thousands of agroforestry systems. This range offers wide opportunities for choice in the selection and design of systems to meet specific problems, that is, in the conception stage of the process of diagnosis and design. Agroforestry is further discussed in chapter “ ▶ Agroforestry: Essential for Sustainable and Climate-Smart Land Use?.”

Land Use Requirements for Specific Types of Forestry Growth, Management, and Conservation Requirements Land use requirements are the properties of land needed for the successful performance of specified land use types. The term land refers to all properties of the physical environment which exert a significant effect on suitability for use. A fundamental principle of land evaluation is that the requirements differ as between different kinds of land use. It is this feature which leads to the basis of land use planning, the allocation of each area to the use for which it is best suited. For forest land use, requirements fall into three groups, those for growth, management, and conservation. Growth requirements are the land conditions necessary for the survival and growth of trees. These are based mainly on climate and soils. However, where forest already exists, inventory and growth estimates can partly replace, and be used in conjunction with, data on other land properties. Management requirements are the conditions necessary for the successful management of the forest, including Page 12 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 6 Land use requirements for conservation and recreation forestry Conservation requirements Importance as a water catchment area Soil erosion Plant resources Vegetation communities’ variety, interest, and rarity Presence of rare or endangered species Plant genetic resources Animal resources Presence of interesting, rare, or endangered species Requirements for recreation and tourism Scenery: aesthetic quality and variety Presence of water bodies Plant resources, interest and variety Animal resources, interest and variety Sites of archaeological interest Fire hazard Management requirements Conditions for road construction and maintenance Sites for facilities (hotels, park centers) Size of potential management units Location and accessibility Adapted from Young (1986)

establishment, silviculture, and harvesting. The third group, conservation requirements, are the conditions likely to affect the response of soils, streamflow, and the vegetation itself to proposed changes in land use and management. Conservation requirements are assessed for all types of forestry. Land Qualities and Land Characteristics Land use requirements can be expressed in two ways, as land qualities or land characteristic. A land quality is an attribute of land which influences its suitability for use in a distinct manner, e.g., soil moisture availability and conditions for road construction (Tables 5 and 6). A land characteristic is a property of land that can be measured or estimated, e.g., mean annual rainfall, slope angle, and soil texture. Land characteristics are employed, singly or in combinations, to measure or estimate land qualities. Thus, the land quality, rooting conditions, is usually measured by means of the land characteristic, soil depth. On the other hand, the land quality, soil moisture availability, is not simply dependent on the land characteristic, mean annual rainfall, but depends also on soil water-holding capacity and site drainage. The land quality, conditions for road construction, can be roughly assessed on the basis of slope angle alone, but a more precise assessment should also take into account soil depth and frequency of rock outcrops. Conversely, one land characteristic can affect several qualities, e.g., soil depth affects both rooting conditions (a growth requirement) and road construction (a management requirement). Experience has shown that, intelligently applied, the same results are obtained from evaluations carried out in terms of land qualities and land characteristics. Land qualities can be used to express both the properties possess by areas of land and the requirements of the use. The distinction between qualities and characteristics is an important technical point in land evaluation, but need not deeply concern the forester.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Requirements for Production Forestry Table 5 shows land use requirements for the various forms of production forestry or multiple-use forestry which includes production. The reader should not be put off the large number of requirements! This is a checklist, and for any specific evaluation, many will be found to be not relevant. This can happen for three reasons: • The requirement does not affect the use under consideration (e.g., conditions for mechanized operations, where the evaluation is for small-scale village forestry). • The requirement could potentially affect the use, but adverse conditions do not occur in the area (e.g., salinity, where the area is humid). • Conditions affecting the requirements are relatively uniform over the whole of the area (e.g., it lies entirely in the same altitude/temperature zone). Growth requirements are specific to individual tree species (plantation forests) or forest types (natural forests). Many national forestry departments possess locally established criteria for adaptation of major plantation species to altitude, rainfall, and adverse soil conditions. Direct use of growth estimates from forest sample plots, where available, is clearly better than estimates based on climate and soil conditions. Management requirements vary widely. For industrial plantations, a large size of management unit is required, but this is not the case for community forestry. Conditions for forest road construction and mechanized operations will only be relevant if harvesting or other operations are too mechanized. The management specification contained in the detailed descriptions of the forest land use types is the basis for deciding which requirements are relevant. For production forestry, the conservation requirements are for the avoidance of adverse consequences, e.g., soil erosion, less regulated stream flow, and loss of species. Thus, a system which requires clearcutting would not be suitable for areas of steep slopes nor where there are rare animal species. Requirements for Conservation and Recreation Forestry Table 6 shows land use requirements relevant to forestry for conservation, recreation, or combinations of these. Requirements for conservation or protection forestry fall into two groups, nonbiological and biological resources. The nonbiological resources are those of water and soil. Is the land important as a river catchment area? If the forest were to be cleared, what would be the effects upon streamflow regime and sediment load? The biological resources consist of the diversity and rarity of plant and animal species present. For animals, an important requirement is the size of the area; this must be sufficient to provide viable breeding areas and in some cases to permit seasonal migration. An example is the adjacent location of the Serengeti Maasai Mara reserves, thus permitting the annual migration of wildebeest. In forestry for recreation and tourism, the interests, variety, and uniqueness of plant and animal species are again relevant. Additional land qualities are the beauty and variety of scenery, and the presence of sites of archaeological interest, such as monuments or cave paintings. Water bodies are significant: tourists flock to lakes and rivers. Among management requirements, the cost of access roads, external and internal, is relevant. Requirements for conservation are incompatible with those for recreation in some respects, compatible in others. Thus, tourism requires the presence of access roads, whereas for conservation of rare species, inaccessibility may be an asset. However, the environmental arguments for retaining an area under forestry can often be strengthened if there is also a production of revenue from tourism. Such combined use requires warden and patrols to guard against fire, illicit plant collecting, excessive disturbance of animals, etc. Given good management, active use is often more likely to achieve conservation, by checking poaching and preventing illicit clearance, than is leaving an area as wilderness. Page 14 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 7 Land suitability classification structure Structure of the suitability classification (i) Land suitability orders: reflecting kinds of suitability (ii) Land suitability classes: reflecting degrees of suitability within orders (iii) Land suitability subclasses: reflecting kinds of limitation or main kinds of improvement measures required, within classes (iv) Land suitability units: reflecting minor differences in required management within subclasses Land suitability orders 1. S Suitable: Land on which sustained use of the kind under consideration is expected to yield benefits which justify the inputs, without unacceptable risk of damage to land resources. 2. N Not suitable: Land which has qualities that appear to preclude sustained use of the kind under consideration Land suitability classes S1 Highly suitable: Land having no significant limitations to sustained application of a given use or only minor limitations that will not significantly reduce productivity or benefits and will not raise inputs above an acceptable level S2 Moderately suitable: Land having limitations which in aggregate are moderately severe for sustained application of a given use; the limitations will reduce productivity or benefits and increase required inputs to the extent that the overall advantage to be gained from the use, although still attractive, will be appreciably inferior to that expected on Class S1 land S3 Marginally suitable: Land having limitations which in aggregate are severe for sustained application of a given use and will so reduce productivity or benefits, or increase required inputs, that this expenditure will be only marginally justified N1 Currently not suitable: Land having limitations which may be surmountable in time but which cannot be corrected with existing knowledge at currently acceptable cost; the limitations are so severe as to preclude successful sustained use of the land in the given manner N2 Permanently not suitable: Land having limitations which appear as severe as to preclude any possibilities of successful sustained use of the land in the given manner Adapted from FAO (1976)

Matching and Physical Suitability Classification At this point in the evaluation, the data from basic surveys and inventories are brought together with the land use requirements of the forestry land use types. This is done by the process of matching, leading to physical land suitability classification. To illustrate this process, consider the case of species selection for a plantation. In the first instance, the land use types might be taken simply as individual tree species. The land use requirements of each are identified, say in terms of temperature, water availability, soil depth, reaction, and drainage. The proposed plantation area is surveyed, and for each mapped land unit, these specific properties of climate and soil are determined. The requirements of each tree species are compared with the characteristics of each area of land, leading to classifications ranging from “highly suitable” to “not suitable.” The process of matching can consist of more than a simple comparison of land use requirements with properties of the land. Suppose, for example, it was found that the available land contained large areas of poorly drained soils. It would be possible to establish and maintain drainage lines on these areas, so as to improve the range of species availability and their productivity. “Forest plantations with drainage inputs” are identified as an alternative land use type, to be compared with the consequences of planting such land with water-tolerant species or leaving them planted. This is a simplified example of a common process in matching, the modification of the design of a land use type in the light of the findings of surveys. The standard form of Land Suitability Classification Structure is shown in Tables 7 and 8. Suitability classifications are made separately for each defined land use type. Thus, an area of sloping land assessed as not suitable for production forestry, on account of difficulty of access and erosion hazard, might be classified as highly suitable for protection forest.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 8 Subdivisions of land suitability classes Category Order S suitable

Phase: so conditionally suitable N not suitable

Class S1 S2 S3 etc.

Subclass S2m S2e S2me etc.

Sc2 N1 N2

Sc2m N1m N1e etc.

Unit S2e-1 S2e-2 etc.

Adapted from FAO (1976)

Environmental, Social, and Economic Analysis Introduction Physical suitability classification assesses which areas of land are best suited to which kinds of use with respect to biological and technical performance: in forestry terms, how well the trees will survive and grow, and what biomass production can be expected. It also covers requirements for objectives other than production, again in terms of land suitability for the proposed forest management. All combinations of land use with land that have been classed in physical terms as N, not suitable, need to be further considered. The remaining land use alternatives should now be analyzed in three respects: environmental, social, and economic. Environmental Analysis Conservation requirements have already been taken into account in determining the physical land suitability classes, both for production and protection forestry. A further specific consideration at this stage is desirable to obtain a synoptic view of the likely environmental impact and to ensure that no significant aspects, including off-site effects, have been overlooked. Is the proposed land use, on the land units for which it is being considered, acceptable from the point of view of environmental impact? For example, are the types of logging envisaged likely to cause erosion or loss of fertile topsoil? Conversely, are there positive environmental gains from this combination of land use with land unit? For example, does the land unit contain particular riches of biological diversity, plant genetic resources, or wildlife? Is it of special scenic or recreational value? What will be the off-site effects, e.g., on river regime? These are kinds of impact covered by environmental analysis (FAO 1982). Discussion of the effects of changes in land use on hydrologic and soil responses, including a discussion of some common misconceptions, is given in Hamilton and King (1983) and Hamilton (1985). There is no standard system for classifying the results of environmental analysis, but the following may be employed: + o

Environmentally of particular value Environmentally acceptable Environmentally unacceptable

Forestry, Environment, and the Global Carbon Dioxide Cycle Throughout the Earth’s recent history, forests have played a major role in the global carbon cycle. The total biomass of forests is a major store of carbon, added to which is the carbon contained in forest soils. Clearance and burning of forest is one cause of the current increase in the atmospheric carbon dioxide

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content. Conversely, afforestation, the establishment of forests on land where in recent history there has been none, has the effect of increasing the size of the non-atmospheric store (Kyrklund 1990). During the period of biomass increase, newly forested areas act as a net sink for carbon. More generally, forests areas act as a major regulatory mechanism in the global biogeochemical carbon cycle. They also play a role in cycles of other elements, particularly nitrogen and sulfur. Thus, the potential effects of forestry on the carbon dioxide cycle are: • Clearance and burning of forests, as in shifting cultivation and other agricultural encroachment, is a major cause of increase in atmospheric carbon dioxide. • Reforestation can lead to temporary abstraction of carbon from the atmosphere and a permanent increase in the size of the biomass store. It is generally accepted that an increase in the atmospheric content of carbon dioxide and other “greenhouse gases” will lead to a rise in global mean temperature. What will be the effects on the general atmospheric circulation, and thus on regional climatic change, is far from being known, although generally assumed to be unfavorable. Reports on the possible effects of climatic change on forests are given in Andrasko (1990) and FAO (1990). The outcome of any single project in regional forestry planning can only have very small effects upon the global carbon cycle. On the other hand, the current world effort to check clearance of rain forest could have an effect of substantial magnitude. For and individual project in land use planning, the environmental benefits from forestry lie mainly in conservation of soil, water, and biotic resources. There is another striking effect. The observed period of global warming (increase in mean world temperature) lasted from 1975 to 1998. Two independent studies, covering 1982–1989 and 1981–2003, respectively, have shown increases in global net primary production (the rate of plant growth) of 6 % and 3.8 %, respectively. This increase is found in both hemispheres and in all continents. It covers in areas of forest, grasslands, dry zones, and crops. For this to be so widespread and continuous, the increase in atmospheric carbon dioxide is the most likely reason. Recent work has demonstrated faster growth in specific tree species. There is a natural checking mechanism here. Plants take up carbon dioxide and give out oxygen, so in the long run, the higher plant growth will extract more carbon dioxide from the atmosphere. Social Analysis Is this land use, on the land unit under consideration, acceptable from the point of view of its impact upon local people? Would its adoption deprive people of their existing sources of non-wood forest products? Conversely, will it benefit the local population, for example, by provision of dry-season fodder from establishment of fodder banks or making forest land available for food crop production through the taungya system? What are the effects on women, ethnic minorities, or the poorest section of the community? The technique of diagnosis and design (see section “Social Analysis” above) provides a means of identifying social impact. Questions of this nature cannot be directly translated into economic terms. The problems and interests to be considered will have been identified during the stage of diagnosis. A similar rating can be adopted to that for environmental analysis, namely, +, 0, or X, according to whether the impact will be socially of particular value, acceptable or unacceptable, respectively. Economic Analysis Before resources are invested in kinds of forestry intended primarily for productive purposes, it is necessary to analyze the consequences in economic terms, usually by some form of cost-benefit analysis (see chapters “▶ Financial Analysis of Community-based Forest Enterprises with the Green Value tool,” Page 17 of 26

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“▶ Bioeconomic Approaches to Sustainable Management of Natural Tropical Forests,” “▶ Financial and Economic Analysis of Reduced Impact Logging,” “▶ Timber Production Cost and Profit Functions For Community Forests in Mexico,” and “▶ Identifying the Causes of Tropical Deforestation: Meta-Analysis to Test and Develop Economic Theory). The results from physical suitability evaluation provide the quantitative data essential to such analysis, namely: • • • •

Inputs in terms of quantities Prices of inputs (present or anticipated future) Quantities of forecast outputs (production) Prices of outputs (present or anticipated future)

Economic analysis gives a series of measures of indices of the forecast returns on investment, generally in terms of benefit-cost ratio, net present value, or internal rate of return (economic rate of return). It is possible either to retain these indices into the next decision-taking stage at their numerical values or to group them into classes, e.g., to reject as “X” those combinations of productive land use with land units that have a negative benefit-cost ratio. Two reservations should be made concerning economic analysis applied to forestry. First, attempts are sometimes made to convert nonfinancial costs or benefits into monetary terms, such as by placing a money value on avoidance of erosion or pricing non-wood forest products collected by the poor at a rate above their market value. Such procedures require assumptions of a highly unreliable nature. In addition, their inclusion obscures the results which economic analysis is primarily intended to five, the productive returns to investment. It is therefore preferable to keep environmental and social aspects separate and confine economic appraisal to the comparison of monetary inputs and returns. The second reservation is that even within the limits of material inputs and outputs, economic analysis involves major assumptions which can substantially affect the results. Chief among these is the discount rate and assumption that is of particular significance for forestry. It has been argued that the high discounting rates of the order of 10 % that are commonly used in cost-benefit analysis of projects are incorrect when applied to forestry and that the real rate, omitting the effects of monetary inflation, should be nearer to 2–4 % (Leslie 1987). The procedures of cost-benefit analysis were developed for application to agricultural projects, in which an initial capital investment was followed by a productive output commencing after a few years and continuing indefinitely. This approach may not be appropriate for forestry, in which the major production is usually delayed by 20–80 years and, if financially discounted, appears to have only a low value. In forestry, it is necessary to plan for the welfare of future generations, of the country, and of its people. This is a complex question of the interaction between economics and welfare. It can be argued that the calculation of EER (economic rate of return) derives the rate of return without the use of assumptions on the discount rate, but even this usually requires many assumptions on costs and (even more so) on benefits. The artificiality which can arise in cash flow discounting can be illustrated by a thought experiment. Suppose an intended project were to be analyzed not as of now but from a future viewpoint. Instead of asking the question “Will this be a sound investment?” we take the standpoint of, say, 20 years into the future and ask, “Considered retrospectively, was that a sound investment?” The relative values that might be assigned to costs and benefits in different years will become radically different. The situation “now,” i.e., in 20 years, will be assigned its full value. The benefits received in the past will be assigned lower values, say 5 % lower for each year, on the reasoning, “Well, things were good for a time, but that is past and gone.” The initial capital expenditure will seem least important of all; it used up investment funds at

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 9 A format for comparing the physical, environmental, social, and economic consequences of alternative land use choices Land unit 1 1 2 2

Land use system A B A B

Physical land suitability S2 NR S1 S2

Consequences Environmental 0

Social 0

Economic +

X +

0

0

Land suitability class S2 NR N S1

Adopted from Young (1986)

the time, but this has little significance now, when the debt has possibly been written off. Analysis of existing projects in this manner produces radically different results (Young 1998).

Making the Choice: Selection of Preferred Types of Land Use and Management At this stage, the planning team has at its disposal: • • • •

Objectives, policy guidelines, and constraints Specifications of land use types Maps and tables showing physical land suitability, for each combination of land use type with land unit Analysis of the environmental, social, and economic consequences of each physically suitable combination

Now comes the point at which choices must be made between alternative courses of action. Decision should be taken in a systematic manner. A possible format is shown in Table 9. Suppose that the land units and land use types in this simplified example are as follows: Land unit 1. Gently sloping, moderate rainfall Land unit 2. Steeply sloping, high rainfall Land use type A. Plantation forestry for production Land use type B. Natural forest for protection and collection of non-wood products From the point of view of physical suitability, in this case for tree growth, the plantation is possible on both land units and more productive on that with higher rainfall. However, it is defined as having a period of clear-cutting harvest, and this is unacceptable on the steeply sloping land unit because of the danger of erosion; the economics are therefore not assessed and the revised classification becomes N (not suitable). On the gently sloping unit, the economics of plantation forestry are found to be favorable so the S2 classification is retained. Natural forest is classed as NR (not relevant) to land unit 1 as this has already been cleared and reforestation is considered to be an unrealistic proposition. On land unit 2, however, it will have positive benefits in protection of a critical watershed area, and on these grounds it is upgraded to S1 (highly suitable). After an initial round of allocation has been made on the basis of individual comparison of land units with land use types, it will probably be found that insufficient areas have been assigned to some uses to meet the objectives. Revised allocations, within the bounds of acceptability criteria, will be necessary. At this critical stage of making decisions, the planning team needs to bring in the collaboration of all likely to be affected by the proposed changes. One way to achieve this is a sequence of draft plan, comment, and revision. First, draw up a draft land use plan. Make this widely available for scrutiny to all possible interested parties; these should include representatives of the local people, and government Page 19 of 26

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agencies are likely to be affected. Arrange meetings to explain the purposes of the plan and the nature of the proposed changes. Allow adequate time for consideration, and invite comments. Then call a further meeting at which these comments are reviewed and a revised land use plan is formulated.

Presenting the Results of Land Evaluation The results of the land evaluation study, leading to a proposed course of action, can now be presented. The report and associated maps will include: • Descriptions of forest land use types • Land suitability maps, showing the suitability of each of the mapped land units for each defined kind of land use • Management specifications, for each land use type on each of the land units for which they are recommended • Analyses of the environmental impact, social consequences, and economics of the proposed plan • Data from the basic surveys and inventories on which the plan is based • Recommendations for the land use and management plan

Putting the Plan into Practice Project Planning The remaining steps in land use planning (Fig. 1) are: • Formulation of the land use and management plan • Implementation of the plan • Monitoring of progress and ongoing revision Final approval to proceed must be obtained, budgetary provision secured, and a logistic and management plan drawn up. If this in turn receives approval, the plan is put into action. In order to monitor progress, the maintenance of accurate records is essential. As the plan progresses, monitoring will reveal that circumstances have changed and difficulties will certainly be encountered, calling for ongoing revision of the original project.

Examples of Forestry Land Evaluation Introduction

Four examples are given, two at district level and two at national level. The first, a land evaluation study conducted for a watershed area in the Philippines, illustrates the procedures of land evaluation applied to evaluate suitability for a range of uses, in an area becoming subject to land use pressures. The second example is from a part of northeast Thailand where agricultural encroachment onto a forest reserve had led to server forest degradation. It shows how land evaluation methods were applied to arrive at a zonation of land use, intended to lead to forest rehabilitation combined with provision to meet the needs of the local farmers. The third example is an evaluation of potential for fuelwood production, for selected tree species and at defined levels of inputs, in Kenya. The last example focuses on the expansion of forestry and agroforestry in Bangladesh, where the study was conducted to determine which are the areas for the growth of 54 tree species. Page 20 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

The Marikina Watershed Reservation, the Philippines The Marikina Watershed is a legally established reservation covering 28,000 ha in the catchment area for the capital of the Philippines, Manila. Because of its proximity to the city and to a proposed new national highway, the area came under pressure from land speculators. To anticipate pressures for change, and to provide a scientific basis for decisions on land use, a land evaluation study was carried out by the Land Classification staff of the District of Forest Development. The area consists mainly of mountains of volcanic origin with interior valleys, and the topography ranges from flat to steeply sloping. Rainfall is 2,300 mm falling over 6 months. Old-growth dipterocarp forest covers 26 % of the area, young regrowth forest 14 %, cultivation 8 %, while more than half is covered by grasses and shrubs. Soils are acid and shallow on steeper slopes. More than 1,000 families are resident in the watershed, deriving their income from sale of annual crops, vegetables, and fruits. Policy guidelines were obtained from a Physical Framework Plan produced by the National Land Use Committee. The national policy is to maintain a 50:50 ratio between forest and non-forest lands, and to divide the 15 million ha of forest land into 9.5 million ha production forest and 2.5 million ha protection forest, with 1 million ha each for grazing, agroforestry, and other uses. The aim is for regional selfsufficiency in basic requirements of food and wood products and to give priority to local people as the primary beneficiaries of forest resources. Recent forestry programs promote the principle of multiple-use management, using the forest for livelihood while maintaining an ecologically balanced environment. Basic surveys were conducted on a map scale of 1:50,000. After starting with a compilation of available data, field surveys were conducted on a sample grid basis, using established techniques of soil survey and forest inventory. Socioeconomic data were collected by means of a questionnaire, stratifying respondents in accordance with their economic status. Surveyed data were integrated by using map overlays, leading to the definition and mapping of 288 distinct land mapping units, with tabulated data for each. The land use types which were considered included: – Production forest. Managed primarily for timber, including both natural and planted forests – Protection forest. Maintained for its influence on soil and water – Agroforestry. The sustainable production of agricultural crops, tree crops, and forest products, under management practices appropriate for the local population – Grazing land – Agricultural land – Parks, for recreation and tourism – Fishponds and fish farms – Resettlement areas. Reserved for occupation by designated minority ethnic groups – Residential, commercial, and industrial areas Sets of land use requirements were drawn up, specifying between seven and ten requirements for each land use type. Selected examples are: Protection forest: – – – – –

Steep slopes and/or elevation above 100 m Strips of land at least 20 m wide along rivers Remaining patches of forest close to towns Areas with a high erosion hazard Coastal areas of mangrove forest which are vital for shoreline protection of as breeding sites for wildlife Production forest: Page 21 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

– Slopes moderate to steep, elevation under 1,200 m – Existing primary or secondary forest – Adequately stocked logged-over areas and inadequately stocked areas which can be made productive by silvicultural treatment – Open land which can be developed into forest plantations – Minimum-sized blocks of land compatible with management operations On the basis of these set of criteria, provisional land suitability maps were drawn up for each type, e.g., “land suitability for agroforestry” and “land suitability for parks, recreation, and tourism.” These provisional allocations were to ensure that each satisfied the three criteria, environmental acceptability, social desirability, and economic feasibility, using ratings on a scale from +2 highly recommended, +1 recommended, to 2 definitely not acceptable. These acceptability ratings were added to the land suitability maps. Revised suitability classes were then prepared. The land use with the highest suitability and acceptability rating was selected as the most rational use and recommended in the land allocation scheme. Other acceptable uses were ranked in order of priority as alternative uses for a given land mapping unit. This system of priority use with acceptable alternatives allowed a degree of flexibility in a subsequent land use planning. The recommendations were that the area should be divided into the following land use types: Protection forest Agroforestry Production forest Agriculture Parks, recreation, and tourism Residential, commercial, and industrial Grazing

Hectares 11,260 10,320 4,850 800 460 130 80

Owing to the watershed character of the area, the proportional allocation of land use differs from the national guidelines. A higher proportion is allocated to protection than to production forestry, while the needs of the local people are to be met primarily through agroforestry rather than agriculture. The report of this land evaluation study was submitted to the Regional Technical Evaluation Committee, as a basis for planning action in this sensitive land area.

Diversified Forest Rehabilitation, Northeast Thailand (Source: Danso 1985) Like many projects in land use planning, this started in an area with severe problems. Earlier logging of teak and dipterocarps had creamed off the best species, and this had been followed by substantial illegal settlement and clearance within the area of forest reserve. The first attempt at rehabilitation was through the Forest Village System, which attempted to establish plantations by the taungya system. This was less successful than hoped, and forest degradation continued, including the burning or uprooting of plantations by squatters. It was realized that forest rehabilitation could not succeed without taking account of the needs, and securing the corporation, of farmers already occupying the degraded forest lands. Following a request from the government, an FAO project was established for the development of diversified forest rehabilitation. This was divided into three phases: planning, implementation, and follow-up. The project covers an area of 9,436 ha in Khao Phoo Luang Forest Reserve of northeast Thailand. A soil survey was conducted by the Soil Survey Division of the Department of Land Development and a forest inventory by a contract to the Remote Sensing Department, Faculty of Forestry, of a local university. A project social scientist conducted a socioeconomic survey. Project staff were posted to live with farmers Page 22 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

(formerly regarded as “forest encroachers”), to gain an in-depth understanding of their problems and views. A special study was made of agroforestry, covering experience both in Thailand and in other countries of the region. Policy guidelines came from the rural development section of the national FiveYear Development Plan, combined with resolutions of the World Conference on Agrarian Reform and Rural Development. A study was made of Thailand forest policy law. The area has a natural cover of dry evergreen forest. However, the forest inventory showed that in 1980, 59 % was under active cultivation and 32 % under various stages of fallow. Of the remaining 9 % of natural forest, only 7 % appeared to be relatively undisturbed. With this situation, there was no question of restoring the whole area to forest. A way had to be found for rationally dividing the land into areas for forest rehabilitation and areas for use under agriculture or agroforestry. The basic finding of the soil survey was a division of the area into five land classes: Percent of area A B C D E

Mountainous, slopes over 35 % Hilly, slopes 16–35 % Slopes under 16 % but soils shallow, poor, or eroded Slopes under 16 %, soils shallow but moderately fertile Slopes 2–8 %, soils deep and fertile

3.3 14.7 21.6 32.2 28.2

Land in classes A, B, and C, constituting 40 % of the total area, was assigned priority for forestry. Classes D and E, with gentle slopes and fertile soils, were assessed as suitable for agriculture. This provided a scientist basis for the zonation of land use. Following upon this land use planning study, the project involved two main programs: • Forest rehabilitation in the areas zoned for forestry • Socioeconomic development in the areas zoned for meeting the needs of the farmers Other programs covered infrastructural development and staff development. Forest rehabilitation activities included reforestation, management, forest extension, and research. The socioeconomic program envisaged the development of six villages with 1,300 households by means of agroforestry, commencing with site plans for the layout of villages. Other activities covered education of the population in the techniques of diversified production, including aquaculture, beekeeping, and techniques of agroforestry. Both forest research and agricultural research components were included in the project.

Potential Fuelwood Productivity, Kenya (Source: Kassam and van Velthuizen 1991) A national-level study was made of the potential productivity of land for fuelwood in Kenya. This formed part of a land resources assessment for development planning, based on a land resources assessment. The study also included assessments of land suitability and productivity for agricultural crops and livestock. Kenya faces the prospect of a national fuelwood shortage, and the study indicates the potential for development of production. A National Land Resources Database was constructed. Data collected included a climatic inventory, giving thermal zones and growing period zones; the abstraction of soils information from an existing national soil map on 1:1,000,000 scale; and existing land use, including cash crops zones, forest zones, national parks, irrigation schemes, and areas of tsetse fly infestation. These data were synthesized into agroecological units, stored in a geographic information system as a grid of cells, each 100 ha in area. The assessment of fuelwood suitability and potential productivity was based on growth-site correlation. A total of 31 tree species were selected as being suitable for fuelwood production. Three land use types were considered: low, intermediate, and high inputs. Each was defined in terms of the standard descriptors Page 23 of 26

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 10 Examples of tolerance groups for limiting soil factors for tree growth in Bangladesh Species tolerant of wet conditions 1. Species not, or slightly, limited by imperfectly drained soils 2. Species not, or slightly, limited by intermittent inundation 3. Species not, or slightly, limited by flooding once in 10 years Species with low nutrient requirements 1. Species not, or slightly, limited by relatively infertile soils 2. Species not, or slightly, limited by acid soils Species tolerant of salinity 1. Species not limited by weakly saline soils 2. Species slightly limited by weakly saline soils Adapted from Richards and Hassan (1989)

for land use types. For example, “low inputs” were based on local provenances, no fertilizer of chemical pest control, but could be applied on small land holdings; “high inputs” referred to the use of high-yielding provenances, optimum commercial fertilizer application, chemical pest, and disease control and required larger, consolidated land holdings. The evaluation was thus based upon these three levels of inputs applied to the 31 fuelwood tree species. Potential productivity classes were calculated using rates of photosynthesis under optimum conditions, combined with temperature zones. This was overlaid by a screening for soil moisture zones, based on information obtained from local experiments and permanent sample plots. Each species was assessed in terms of its soils requirements, specified as optimum and permitted range. Finally, slope limitations based on soil erosion hazard were superimposed. Details of methods of calculation are given in the source. The results of this land suitability assessment are presented in terms of five suitability classes, each linked to the maximum attainable yields (mean annual increment) for the three levels of inputs considered. Using the geographic information systems, maps of suitability for each species, at each defined input level, can be generated. This can be done at national scale, or for districts or other selected areas. Comparison of suitabilities for fuelwood with those for various forms of agriculture production can be employed in land use planning for agriculture, forestry, and agroforestry.

Land Suitability Assessment for Tree Species, Bangladesh (Source: Richards and Hassan 1989) For purposes of the expansion of forestry and agroforestry in Bangladesh, a study was conducted to determine what were the areas suited for the growth for 54 tree species. Four groups of species were recognized, according to their major uses: Industrial wood species (rotation >30 years) Fuelwood species (rotation ca. 10–20 years) Horticultural species fruit trees

No. of species 25 17 12

Of these, there are 27 multipurpose species, respectively, 5, 12, and 10 of the above groups. Species were classified in accordance with their tolerances of a range of climatic and soil conditions and also of inundation, a factor of great importance in Bangladesh. Examples of the tolerance groups are given in Table 10.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_150-1 # Springer-Verlag Berlin Heidelberg 2015

Table 11 Areas of land in suitability (site capability classes for selected tree species in Bangladesh Local name Industrial wood species Sal Teak Rain tree Fuelwood species Ipil-ipil Mangium Neem Horticultural species Litchi Narkel (Coconut)

Botanical name

Area in suitability class (000 ha) S1 S2 S3

Marginal

N

Shorea robusta Tectona grandis Samanea saman

277 0 1,378

661 826 986

1,475 906 1,984

637 1,007 2,210

8,414 8,728 4,909

Leucaena leucocephala Acacia mangium Azadirachta indica

694 219 336

830 1,681 1,286

390 805 968

1,239 734 1,076

8,314 8,028 7,800

Litchi chinensis Cocos nucifera

219 302

1,779 1,695

686 937

1,194 318

7,588 8,215

Adapted from Young (1986), based on Richards and Hassan (1989), simplified and with modified terminology

The entire country of Bangladesh has been covered by soil surveys, conducted over many years. The tree species evaluation study was able to make use of these data, without additional primary soil survey. The major field task was therefore to determine the tolerance groups of each species. The results were in the form of tables and maps, showing the areas of the country as a whole, and its nine districts, for each of the tree species. Five classes were defined: very high, high, moderate suitability, marginal, and not suitable (the terminology used in the source has been adjusted to match that employed in the present text. The source uses “capability classes” from “VC = very high” to “NC = nil”). A short extract from the detailed tabular results is given in Table 11. These are derived from species land suitability maps.

References Andrasko K (1990) Global warming and forests: an overview of current knowledge. Unasylva 41:3–11 Basa VF, Driscoll RS, Caisip MC (1985) The Marikina Watershed Reservation land evaluation pilot study. Paper presented to the FAO Expert Consultation on land evaluation for forestry planning at district level, Bangkok, Dec 1985 CMP (2013) Open standards for the practice of conservation. v 3.0. Conservation Measures Partnership Danso LK (1985) Case study on planning and implementation of project THA (81/004 (Development of Diversified Forest Rehabilitation, NE Thailand). Paper presented to the FAO Expert Consultation on land evaluation for forestry planning at district level, Bangkok, December 1985 Dent D, Young A (1981) Soil survey and land evaluation. Allen and Unwin, London FAO (1976) A framework for land evaluation. FAO soils bulletin 32. Rome FAO (1977) Guide-lines for watershed management. FAO Conservation Guide 1, Rome FAO (1978–1981) Report on the agro-ecological zones project. FAO world soil resources report 48/1-4. Rome FAO (1980) Forest volume estimation and yield prediction. FAO forestry paper 22, Rome FAO (1981) Manual of forest inventory. FAO forestry paper 27, Rome FAO (1982) Environmental impact of forestry. FAO Conservation Guide 7, Rome FAO (1984) Land evaluation for forestry. FAO forestry paper 48, Rome

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FAO (1985–1990) Watershed management field manual. FAO Conservation Guide 13, Rome. Guide 17, Rome FAO (1985) Intensive multiple-use forest management in the tropics. FAO forestry paper 55, Rome FAO (1987) Guide-lines for forest policy formulation. FAO forestry paper 81, Rome FAO (1988) National parks planning: a manual with annotated examples. FAO Conservation FAO (1989a) Guide-lines on land use planning. Inter-departmental working group on land use planning. FAO, Rome FAO (1989b) Role of forestry in combating desertification. FAO Conservation Guide 21, Rome FAO (1989c) Plant genetic resources. Their conservation in situ for human use. FAO, Rome FAO (1990) Expert consultation on forestry and climatic change. Report. FAO, Rome Hamilton LS (1985) Overcoming myths about soil and water conservation impacts of tropical forest land uses. In: El-Swaify SA, Moldenhauer WL, Lo A (eds) Soil erosion and conservation. Soil Conservation Society of America, Ankeny, pp 680–690 Hamilton LS, King PN (1983) Tropical forested watersheds: hydrologic and soils response to major uses or conversions. Westview, Boulder Kassam AH, Van Velthuizen HY (1991) Agroecological land resources assessment for agricultural development planning. A case study of Kenya, vol 6. Fuelwood productivity. FAO and IIASA, Rome Kyrklund B (1990) The potential of forest and forest industry in reducing excess carbon dioxide. Unasylva 41:12–14 Leslie AJ (1987) A second look at the economics of natural management systems in tropical mixed forests. Unasylva 39:47–58 Raintree JB (1987) D and D user’s manual: an introduction to agroforestry diagnosis and design. ICRAF, Nairobi Randhawa NS (1985) Toward improved multi-level planning for agricultural and rural development in Asia and the Pacific. FAO economic and social development paper 52, Rome Richards BN, Hassan MM (1989) Dendroecological regions of Bangladesh: a land capability assessment for tree species. FO:DP/BGD/83/010, working paper 7. Bangladesh Forest Research Institute and FAOÑ, Chittagong Valentine KWG (1986) Soil resources surveys for forestry. Soil, terrain, and site mapping in boreal and temperate forests. Clarendon, Oxford Young A (1986) Land evaluation and agroforestry diagnosis and design: towards a reconciliation of procedures. Soil Survey and Land Evaluation 5:61–76 Young A (1997) Agroforestry for soil management. CAB International, Wallingford, UK and ICRAF, Nairobi Young A (1998) Chapter 10: Costing the earth: the economic value of land resources. In: Land resources: now and for the future. Cambridge University Press, Cambridge, UK

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Forest Hydrology in the Tropics Stefan Julicha*, Hosea M. Mwangia,b and Karl-Heinz Fegera a Institute of Soil Science and Site Ecology, Technische Universt€at Dresden, Tharandt, Germany b Biomechanical and Environmental Engineering Department, Jomo Kenyatta University of Agriculture and Technology, Nairobi, Kenya

Abstract Forest hydrology covers the water cycle in forests and tree-dominated landscapes. It describes the processes which lead to partitioning of rainfall water into water which returns to the atmosphere via evapotranspiration (green water) and water which contributes to the discharge in rivers and streams via groundwater flow and surface and subsurface flow (blue water). There is a tight link between water fluxes and biogeochemical processes controlling water quality, i.e., erosion and leaching of nutrients and contaminants. Distribution of green and blue water fluxes is determined by the climatic characteristics, topography soil properties, and vegetation. A number of human activities affect the water cycle in forest ecosystems: the most severe ones are deforestation and conversion to other land uses/cover like pasture, agricultural cropland, or urban areas. Upon conversion, factors controlling the hydrological processes are perturbed which leads to changed behavior of the blue and green water fluxes. Tropical forest ecosystems are determined by high input of energy and water which leads to unique processes in the water cycle. This chapter describes the major hydrological processes in tropical forests which control the conversion of rainfall into blue and green water fluxes. The consequences of human activities on the hydrological processes are also discussed.

Keywords Forest Hydrology; Rainfall-runoff Processes; Blue and Green Water Fluxes

Introduction Forest hydrology is the study of water within the context of forests and forestry land use at various spatial scales. The focus encompasses the individual site complex (tree-soil) to whole tree stands and extends to landscapes and even large regions (i.e., basins of large rivers). Forest hydrology addresses all waterrelated processes within an area that is covered with trees or woodland vegetation structures. Furthermore, it deals with the input-output relationships of water resources as regulated by forests and its management (Hewlett 1982). Forest hydrology raises principal questions such as: • What are the processes and controlling factors along flow paths and storage reservoirs of water in forests? • How do modifications of the forest related to the plant-soil complex affect flow paths and storage? • How do changes in forests or woodland structures (related to management and/or environmental conditions – notably the climate) influence the availability and timing of water resources? *Email: [email protected] Page 1 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_152-1 # Springer-Verlag Berlin Heidelberg 2015

• How does a complete change of land use/cover (i.e., deforestation or afforestation) affect the water flows and related fluxes of suspended materials or solutes? Forest hydrology is a classical interdisciplinary subject which is mainly based on forestry and hydrology. There are traditional links to silviculture and forest engineering (e.g., construction of forest roads, river beds, check dams etc.) as well as to watershed and water resources management with its manifold interfaces to civil, environmental, and hydraulic engineering. Furthermore, strong links exist to geomorphology, soil science as well as to climatology, (hydro-)meteorology, and ecophysiology. In recent years the classical – in many respects silviculture/engineering-oriented – forest hydrology has become an integral part of ecohydrology focusing on the interactions between water and ecosystems (cf. Zalewski et al. 1997). In this context, the water cycle is seen as integral part of biogeochemical cycles and their controls on the ecosystem level (Schlesinger 1997). Thus, ecohydrology creates a new background for the assessment and management of water resources related to sustainable development. This implies the understanding of system functioning and stability as well as the resistance and resilience of ecosystems to stress. Some of the new concepts follow basic hypotheses whereby (1) hydrological processes generally regulate biota and related structures; (2) biotic structures can be shaped as a tool to regulate hydrological processes; and (3) the mentioned regulations can be integrated with technical measures to achieve sustainable water resources and related ecosystem services. For research, this means integrating the functioning of linked terrestrial-aquatic ecosystems with large-scale hydrological processes embedded in the dynamics of the three components terrestrial watershed, water (both quantity and quality), and biota (cf. Zalewski et al. 1997; Falkenmark and Rockström 2004). Forest hydrology combines field measurements, experiments, and modeling to characterize and predict processes and manageable resources. Principal measuring instruments include rainfall and streamflow gauges, devices for collecting and measuring water fluxes in tree canopies, devices to measure sap flow in trees, wells and piezometers to measure the dynamics of groundwater and perched water tables, and various sensors to monitor soil moisture (volumetric contents with TDR probes or matric potentials with tensiometers). Another important aspect is to characterize the chemical composition of water in trees, tree stands, soils, groundwater aquifers, and streams. Forests and woodland landscapes are integral part of the water cycle. However, there are general differences between tree-dominated systems and other land-use types: trees are taller (also have rougher surface) and have in most cases a deeper root system compared to other vegetation like grass or agricultural crops (cf. Hewlett 1982; Calder 2005). The larger and rougher surface leads to better mixing of heat and water vapor in the boundary layer of atmosphere and tree canopies. This increases evaporation and in many cases also affects transpiration. The deeper and in most cases larger rooting system of tree vegetation usually extracts water from deeper soil layers. This leads to higher transpiration rates especially during dry periods where soil water supplies are decreasing (Calder 2005). The water cycle of forests can be described (normally at annual but also at shorter time periods) by the water balance equation like elsewhere in other climates and geographic regions or land uses: Precipitation (rainfall) = streamflow + evapotranspiration + changes in storage usually denoted as P = Q + E + DS. Storage can be soil moisture, groundwater, snow cover, and ice glaciers (in high altitudes like at Mt. Kilimanjaro or in the Andes of South America), temporary or perennial surface water bodies. Also the plants themselves may store some amounts of water, for example, in the canopy or stem. Each component in the water balance equation is affected by the complex interaction of various processes. The

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_152-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 1 Theoretical scheme of a watershed and its sub-basins as well as its divides

measurement of the individual components in the field occurs at different scales. Thus, upscaling and downscaling approaches, mostly via process-based modeling (e.g., Beven 2012), are necessary. In principle, the water balance can be quantified at various spatial scales. In hydrology and water management, a watershed or catchment is a topographically delineated land area above a defined point in a stream or river which contributes to the discharge at this point (see Fig. 1) (Dingman 2002). Adjacent catchments are separated by the surface water divide (Fig. 1). A divide defines the area in a landscape with the highest elevation, which causes runoff to flow in different directions (Falkenmark and Rockström 2004). Watersheds can be subdivided into sub-watersheds with respect to tributaries in the stream network of the watershed. A watershed can be either delineated manually on a topographic map or digitally by using GIS-based algorithms for the analysis of digital elevation models. For the digital method, several algorithms exist like calculation of flow direction and flow accumulation (Moglen and Maidment 2005). In the manual method, the divide is traced from the chosen river cross section by following the contour lines of the topographic map in an angle of 90 (Dingman 2002). The above mentioned components of the water balance equation are controlled by (micro)climate, geology, relief/topography land use as well as other physical watershed conditions, notably soil properties (soil depth, texture, porosity, and related water storage capacity: cf. (Brady and Weil 2008)). As a matter of fact, land cover and land use play a prominent role in partitioning of water into the various hydrological processes of the water balance and are the special focus in forest hydrology. The combination of vegetation and soil characteristics as well as climatic conditions like rainfall intensity and duration defines the partitioning of rain into the amount of transpired and evaporated water as well as the portion of water which infiltrates into the soil and finally discharges via the watershed outlet. The situation in the global and regional climatic system defines how much energy (via solar radiation and heat) and water is available in the watershed.

Blue and Green Water Fluxes One way to illustrate the partitioning of water at the soils surface is the concept of blue and green water fluxes (Fig. 2). Water which infiltrates into the soil and moves as subsurface flow to groundwater aquifers and other freshwater bodies or moves as surface runoff into the stream, freshwater lakes, and reservoirs is considered as “blue” water. In contrast, water which returns to the atmosphere via evapotranspiration is considered as “green” water. Green water fluxes can be considered as productive via transpiration of the vegetation and therefore contributing to biomass production or nonproductive through the evaporation of water on bare soil, vegetation surfaces, and water surfaces (Falkenmark and Rockström 2004). It is important to understand that green water cannot be recycled and is lost subsequent to evapotranspiration,

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_152-1 # Springer-Verlag Berlin Heidelberg 2015

Table 1 Partitioning of rainfall in blue and green flow components for hydroclimates in the major ecosystem zones (biomes) of the world

Climate region Subtropical and tropical

Subarctic temperate

Equatorial

Ecosystem Desert savanna Dry subhumid savanna Wet savanna Tundra Taiga Mixed forests Wooded steppes Wet evergreen equatorial forest

Phytomass (Mg ha 1 year 1) 2–6 4–12 8–20 1–2 10–15 10–15 8–12 30–50

Rain (mm year 1) 300 1,000

Blue water flow Surface flow Subsurface flow (mm year 1) (mm year 1) 18 2 100 30

Green water flow Total ET (mm year 1) 280 870

1,800 370 700 750 650 2,000

360 70 160 150 90 600

1,200 260 400 500 530 800

240 40 140 100 30 600

Based on Falkenmark and Rockström (2004); adapted from L’vovich (1979)

Fig. 2 Partitioning of rainfall water in “blue” and “green” water fluxes in the landscape, the partitioning points of rainfall water are represented by P (Adapted from Falkenmark and Rockström 2004)

whereas blue water could be reused, for example, for irrigation and food production. This needs to be considered by the management planning of water resources. For assessment of water resources in different regions, the balance between the flows of green and blue water is a useful concept. At the global scale, the uneven distribution of rainfall in conjunction with large differences in regional energy factors controlling evapotranspiration leads to different balances in the partitioning of green and blue water fluxes. Table 1 summarizes major values for some larger biomes of the world.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_152-1 # Springer-Verlag Berlin Heidelberg 2015

The partitioning of rainwater in to blue or green fluxes occurs at several points on the land surface (see Fig. 2). At first incident, rain is divided into water intercepted by the vegetation (where it evaporates) and water which reaches the soil surface. At surface the rainwater can either infiltrate into the soil or flows as surface runoff following the topographic gradient. How much water is transformed into blue and green fluxes depends on the land use (determines vegetation and therefore size of the intercepting canopy) as well as the soil characteristics, which influence the infiltration capacity and surface runoff generation. The portioning processes are also affected by the intensity and duration of the rainfall events itself and the length of the period between precipitation events. Another partitioning point is in the rooting zone of the soil where it is determined how much water is taken up by the plant and finally converted into (productive) green water flow or blue water which infiltrates to the groundwater or discharges as subsurfaces flow into the river. Hence, land use/cover together with soil characteristics is decisive for the transformation of water into blue and green water fluxes. The soil properties, e.g., soil texture, porosity, and hydraulic conductivity, control the soil water storage capacity, whereas the vegetation determines how much water is needed for the biomass production (short vs. tall crops) and where the soil water is extracted (by the architecture and size of the root system). The climate conditions, e.g., the evaporative demand of the atmosphere, determine how much water is transpired (Falkenmark and Rockström 2004).

General Climatic Characteristics of the Tropics Amounts and temporal patterns of precipitation in the tropical zone are dominated by the atmospheric circulation. In general, rainfall follows the Intertropical Convergence Zone (ITCZ) which is dependent on the solar movement. In the ITCZ warm air masses with high water content evaporated from the tropical seas converge and cause to have the highest rainfall amounts around the equator (Dingman 2002). Topography (notably large mountain ranges) and circulation patterns like the monsoon in Africa/Asia or the trade winds also determine the annual rainfall amount as well as the rainfall seasonality in the tropical zone. For example, in South America a precipitation gradient exists between 2,286 and 1,478 mm from equator going south to 20 S (da Rocha et al. 2009). Here, the length of the dry period increases, and the annual rainfall in the dry period decreases with increasing distance from the equator going south. On the African continent, the mean annual precipitation declines faster in going north from the equator than going south. For example, the mean annual precipitation in the sub-Saharan area (15 N) is around 200–400 mm compared to 600–800 mm in area of 15 South (Nicholson 2000). The same characteristics are also exhibited by the length of the rainy season as well as the seasonality of rainfall. The presence of larger mountain ranges leads to higher rainfall (Nicholson 2000). The same characteristics of rainfall distribution and amounts can be seen in the tropical zones of Asia and Australia.

The Water Cycle in Tropical Forests In the water cycle of a watershed, rainfall is the source for the replenishment of soil water, groundwater recharge, and finally for discharge from streams and rivers (cf. Fig. 3). A significant part of the precipitation in the terrestrial part of a watershed is returned to the atmosphere through evaporation from bare soils and vegetation surfaces (as nonproductive green water flux) and also through transpiration of the vegetation (as productive green water flux) (Calder 2005). Evapotranspiration (evaporation and transpiration) is one of the major processes in the hydrological cycle. It is driven by the amount of incident energy (solar radiation), the water vapor deficit, wind (aerodynamic resistance), and amount of water available, as well as the vegetation type. In the tropical zone, especially in forest or woodland systems, Page 5 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_152-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 3 The major processes of the hydrological cycle in a tropical forest (Adapted from FAO forestry Paper 155); with GWQ ground water flow, SSQ subsurface flow, SQ surface flow, SF stem flow, TF throughfall, Et transpiration, Ei interception evaporation, SWt soil water uptake by trees

Fig. 4 Comparison of annual evapotranspiration rates versus annual precipitation rates for different types of tropical forests (Figure adapted from (Kume et al. 2011) and cited supplementary data herein). Note that different methods where used for the determination of ET rates

evapotranspiration is much higher as compared to other biomes. This is due to the high input of solar radiation as well as the high precipitation amounts (see above). In general, the global annual ET for tropical forests is around 1,500 mm (Kume et al. 2011) which means around 65 % of the annual rainfall is transpired. As it can be seen from Fig. 4, the annual evapotranspiration rates in tropical forest increase with increasing annual precipitation up to 2,000–2,200 mm rainfall. Above this value, the evapotranspiration rates level off a value of approximately 1,500–2,000 mm for rainfall amounts even considerably higher than 2,000 mm. Since the water vapor deficit is a driving factor of evapotranspiration, high rainfall rates result in high humidity, and therefore the evapotranspiration process might be impeded. As described above, evapotranspiration is the sum of several processes by which liquid water is vaporized and Page 6 of 18

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transferred to the atmosphere. This includes the evaporation of water intercepted by vegetation canopy (leaves, branches, and trunks) and transpiration of the trees and plants. For both processes to occur, distinct prerequisite conditions are required. A source of energy is needed for the evaporation process. A gradient in humidity between leaves or canopy surface and the adjacent boundary layer of the atmosphere is needed to enable water uptake by the atmospheric layer close to the vegetation. Finally, water vapor has to overcome the resistances of canopy and the atmospheric boundary layer to be transferred from vegetation to atmosphere (Roberts et al. 2005). These prerequisites are influenced by the meteorological and micro-climatological conditions which are controlled by solar radiation, temperature, wind, precipitation as well as the physical and physiological properties of the vegetation (i.e., shape, growth, height). The incident rainfall is either intercepted by the vegetation canopy or reaches the soil surface where the water is evaporated or infiltrated into the soil (Fig. 3). The amount of interception by the vegetation depends on the characteristics of the vegetation and the amount of water already stored on the canopy or vegetation surface as well as the characteristic of the rainfall like duration and intensity (Dingman 2002). An appropriate characterization of the vegetation is the leaf area index (LAI) which influences the storage capacity of water on the leaves and also indicates the development stage of the plant or tree (Grip et al. 2004). In general, the LAI in the tropical rainforest is very high with LAI values of 8–12 (Schultz 1995). The LAI strongly depends on plant species, for example, Miyazawa et al. (2014) report LAI values of 2–4 for native species and non-endemic species like Acacia and Eucalyptus for tropical forests in Cambodia. Open tropical rainforests in the Amazonia region could have LAI values of 4.5, whereas a dense tropical rainforest may be characterized by higher LAI of 6 (Germer et al. 2010). For a tropical rainforest in Borneo, a LAI between 4.8 and 6.8 has been measured (Kume et al. 2011). In general, it can be assumed that with higher LAI, the canopy storage capacity will increase and thus the interception fluxes. Results from measurements from 40 sites in tropical rainforests distributed over the entire tropical zone suggest that interception can make up to 17 % of the annual rain fall with a variety ranging between 10 % and 20 % (Kume et al. 2011). Water which is not intercepted by the canopy reaches the soil surface either as throughfall or as stemflow (Fig. 3). Here, throughfall is the dominating process. Throughfall comprises the precipitation which falls directly to the soil surface through the vegetation cover or is dripping from aboveground vegetation canopies (Levia et al. 2011). Comparable to interception, the amount of throughfall depends on the size and shape of the canopy (characterized typically by LAI) as well as the duration and intensity of the rainfall event. The presence or absence of understorey vegetation influences the magnitude of throughfall at the site scale as well, since water dripping from the uppermost layer of the canopy can be intercepted by the surface of the understorey vegetation. With prolonged rainfall duration, the maximum canopy storage is reached, and throughfall starts to intensify (Levia et al. 2011). Manfroi et al. (2006) report values for throughfall in a lowland tropical forest of between 80.5 % and 91 % of the incident rainfall, whereas other studies suggest a range of 47–91 % (Levia et al. 2011). As illustrated in Fig. 3, stemflow is another hydrological process which may have distinct effect on water fluxes in forest ecosystems. Stemflow is the part of the rainfall which is drained from the leaves of the canopy and then routed to the ground via branches and the stem (Levia et al. 2011). In general, the magnitude of stemflow generation is controlled by rainfall intensity as well as canopy structure and species (i.e., bark characteristics) (Hofhansl et al. 2012). Germer et al. (2010) found that for the same species and given canopy architecture, the most influencing factors for stemflow generation are diameter at breast height of the trees and the rainfall amount. Overall, stemflow in tropical rainforests can make up to 0.5–3 % of annual rainfall (Manfroi et al. 2004; Levia et al. 2011 and citations herein). Experiments demonstrated that higher rainfall intensities lead to increased stemflow volumes (Germer et al. 2010; Manfroi et al. 2004). Although stemflow only has a minor magnitude compared to other processes like interception or throughfall at the site scale, stemflow can have significant impact on runoff Page 7 of 18

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generation and is an important process for the transfer of solutes (nutrients) from the vegetation cover to the soil surface (Hofhansl et al. 2012; Germer et al. 2010). In summary, it can be stated that there is a relationship between rainfall intensity and magnitude of interception, stemflow, and throughfall. During events with low rainfall intensity, most of the incident precipitation will be intercepted by the canopy and then mostly evaporated. With prolonged duration or higher rainfall intensity, more stemflow and throughfall are generated since the storage capacity of the canopy is then exceeded. Another important component of the evapotranspiration process is transpiration. This process includes the uptake of soil water by the plant roots, the transport of the water from the rooting system to the leaves via the vascular system, and the evaporation of the water in the intercellular spaces of the leaves (Dingman 2002). At the cellular level of the leaves, the release of water vapor to the atmosphere is regulated by the stomata which together with the guard cells form a pore system which can be opened and closed. The physiological control of this process depends on the species and specific adaptation to site conditions. Uptake and transport of water in the trees is mainly driven by differences in the water potential of leaves, xylem, roots, and soil (Kumagai 2011). When leaves transpire water to the atmosphere, the water potential in the leaves is lowered, resulting in water transfer from the xylem into the leaves. Thus, the pressure in the xylem system is lowered which causes also a decrease in water potential which is finally transmitted into the root system. Due to the difference of water potential between roots and soil (high to low), water is absorbed (Kumagai 2011). In contrast to evaporation of intercepted rainfall, transpiration involves physical and physiological processes since the opening and closure of the stomata of the leaves is a major factor steering this process. The function of the stomata is mainly controlled by physical factors like solar radiation, temperature, water vapor deficit, and the carbon dioxide concentration as well as the water supply from the soil (Roberts et al. 2005). In many tropical forests, there is a significant gradient in radiation, air temperature, water vapor concentration, wind speed, and CO2 concentration from the top of the canopy to the ground. Magnitude and direction of this gradient are mostly influenced by density, height, and shape of the trees, with respect to their foliage. A combination of these factors controls the transpiration rate at the leave level which can be significantly different between the top of the canopy and the lower leaves of the tree or the understorey vegetation. Additional to the aforementioned climate parameters at the stand level, transpiration is also controlled by the physical and physiological characteristics of the vegetation like albedo, aerodynamic roughness, and surface conductance (Roberts et al. 2005). Albedo determines the amount of incident shortwave solar radiation which is reflected by the vegetation canopy (Kumagai 2011). Compared to grassland and other vegetation types from different climates, tropical forests tend to have low values for albedo, resulting in a high input of energy via solar radiation (Roberts et al. 2005). The aerodynamic conductance is determined mainly by tree height as well as wind speed and controls water vapor deficit in the boundary layer. The vegetation controls water loss via the closure of stomata in reaction to solar radiation, water vapor deficit, and available soil moisture as surface conductance (Roberts et al. 2005; Grip et al. 2004). Kume et al. (2011) report an average annual transpiration for a tropical forest in Borneo of around 1,114 mm. Furthermore, Kumagai et al. (2004) described daily transpiration rates between 2.86 and 3.48 mm/day under dry and wet conditions for the same site. For tropical forests in the Amazon region, transpiration rates of 3.45 mm/day during dry season have been measured (Shuttleworth et al. 1984). In contrast, Roberts et al. (1993) reported 2.27 and 4.55 mm/day for dry and wet conditions, respectively.

Runoff Generation Processes For the generation of runoff at the hillslope and landscape scale (and the determination of flow paths of blue water fluxes, cf. Fig. 2), topography (relief) factors are crucial. Together with the hydraulic properties Page 8 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_152-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 5 A conceptual framework for runoff generation processes at the hillslope (Adapted from Elsenbeer and Vertessy (2000))

of the soil and the characteristics of the rainfall (intensity and duration), this results in complex runoff processes whose contribution and interaction show a distinct spatiotemporal variability, mostly depending on soil moisture dynamics (cf. Hewlett 1982; Dubrueil 1985; Bonell 1993, 2005; Sidle et al. 2000). The nature of the soil is a key factor in deciding how rainfall will infiltrate and move through the soil, i.e., whether water will move vertically or more laterally (Bonell 2005). Precipitation which reaches the soil surface can either infiltrate into the soil, pond at surface, or, if a topographic gradient exists, flow as surface runoff to lower elevations. The water in the soil can be taken up by the plants via transpiration and becomes green water, percolates to deeper soil layers or the groundwater, or moves laterally on impermeable layers following the slope. The magnitude and dynamics of the rainfall partitioning at the soil surface are controlled by the climatic conditions, e.g., rainfall intensity and duration, by the vegetation cover and the soil physical properties which determine soil water storage capacity and hydraulic conductivity. The ability of a soil to store and conduct water is mainly influenced by its texture and structure but also by the presence or absence of rocks and organic material. Generally, soils with smaller particle sizes (clay, silt or loam) can store more water than coarse sandy soils. In contrast, saturated hydraulic conductivity increases with the size of the particles. Another important characteristic of the soil is the storage of plant available water. It determines the amount of stored soil water which plants can use for transpiration and therefore the conversion of blue water into green water in the soil. Here, loamy textures have the highest amounts, whereas in clayey soils water is bound with high tensions and not available for plants. In sandy soils the storage capacity is clearly lower (cf. Brady and Weil 2008). The position in the landscape like on a plateau or a top of a mountain, a hillslope, or floodplain determines the magnitude of the topographic gradient. The topographic gradient influences the generation and magnitude of surface and lateral subsurface flow as well as the vertical percolation of water in the soil profile toward the groundwater aquifer (see Fig. 3). For example, steep slopes in combination with shallow soils underlain with bedrock favor generation of surface runoff and lateral subsurface flow since percolation to deeper soil horizons or groundwater is inhibited and water storage capacity of the soil is quickly exceeded (saturation excess overland flow). In contrast, flat areas like floodplains or valley bottoms with almost no topographic gradient vertical water movement in the soil toward the groundwater aquifer is dominant and depends mainly on hydraulic conductivity defined by texture and soil organic matter content (Brady and Weil 2008). In the tropics, some of the most important soil properties for runoff generation are the infiltration capacity, the saturated hydraulic conductivity, and the anisotropy. Anisotropy describes the change of soil hydraulic conductivity with depth (Elsenbeer 2001; Bonell 2005). Following the conceptual framework

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of Elsenbeer and Vertessy (2000) (Fig. 5), the depth to a layer in a soil which impedes percolation (bedrock or weathered clay rich material) determines the magnitude of lateral subsurface flow as well the formation of saturation excess overland flow. In many tropical soils, a decline of soil hydraulic conductivity has been determined (Elsenbeer 2001). Schellekens et al. (2004) found evidence that in sloped areas lateral subsurface flow is the dominant rainfall-runoff process (cf. Dubrueil 1985; Bonell 1993, 2005). In addition to texture and content of soil organic matter, the presence or absence of macropores highly determines the infiltration capacity of the topsoil. Through macropores, usually preferential flow pathways are formed which enhance infiltration and bypass macropores (Beven and Germann 1982; Weiler 2001). Preferential flow paths are usually formed by the rooting network of plants and also result from the mixing activity of soil fauna (Lin 2010). Chappell (2010) indicates that pipe flow may also be an important hydrological process in tropical soils. For tropical and subtropical hilly watersheds of NE India, Shougrakpam et al. (2010) found that saturated macropore flow is the dominant hydrological process. As demonstrated by dye tracer experiments, the process of infiltration into saturated macroporous soils is primarily controlled by size, network, density, connectivity, saturation of surrounding soil matrix, and depth-wise distribution of macropores. Undisturbed forest soils along hillslopes were characterized by a high degree of macroporosity throughout the soil profile, whereas at sites with agricultural land-use sealing of macropores at the topsoil due to hard pan formation and disconnected subsoil macropores (Shougrakpam et al. 2010). Water which is not intercepted by the vegetation reaches the soil surface and infiltrates or moves as surface runoff following the topographic gradient. In watersheds, processes contributing to runoff formation depend on the given natural context (topography, soil, bedrock geology) and thus exhibit a highly dynamic behavior both in space and time. The generation of surface runoff is mainly determined by the roughness of the surface (bare soil vs. vegetation) and the infiltrability of the soil as well as the rainfall intensity. If the rainfall intensity exceeds the infiltration capacity of the soil, infiltration excess or Hortonian overland flow is generated (cf. Brady and Weil 2008). More commonly, however, there is a reduction in the permeability in the upper soil due to the presence of more impervious soil layers. These deflect water laterally, either at the surface (as infiltration excess overland flow or subsurface flow). The subsurface flow (also called subsurface stormflow or interflow) may emerge at the surface as return flow and combine with precipitation falling on saturated soils to produce saturation excess overland flow (Bonell 1993, 2005). Besides properties in the vegetation-soil system, runoff generation processes are related to landform attributes and antecedent rainfall (e.g., Sidle et al. 2000). Knowledge of stormflow response is critical to the assessment of management practices, notably in steep headwater catchments (Bonell 1993; Dubrueil 1985). Thus, process information is indispensible for the implementation of catchment models which describe the routing of water and materials to larger stream systems (Beven 2012).

Hydrological Impacts of Clearance and Conversion in Tropical Forests Land cover (i.e., vegetation) plays a major role in the partitioning of rainfall into water which evaporates (via evapotranspiration) back into the atmosphere (green water) and water which finally discharges into the rivers after infiltrating into the soil (blue water) (see Fig. 2). Major forest land cover changes comprise conversion from forest to agricultural fields, conversion from dense forest to forest with lower density due to selective logging and afforestation of formerly cleared sites. By changing land cover or vegetation, the characteristics and magnitude of the blue and green water fluxes at a site are affected. This in turn has consequences for the governing runoff generation processes as well as the recharge of soil water or groundwater. At least at the headwater catchment scale, the behavior of total flows, dry flows, and high flows will be affected (Bonell 2005). Magnitude and duration of the effects (short term or long term) on Page 10 of 18

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blue and green water fluxes strongly depend on the type of change in forest cover. In general, with change in vegetation cover, characteristics like LAI and routing system are changed. This impacts the portioning of the rainfall into blue and green water fluxes. Change in LAI usually affects the evapotranspiration characteristics of the canopy, microclimatic environment, and radiation balance (Grip et al. 2004). The soil hydraulic properties of undisturbed tropical landscapes tend to be in equilibrium with the prevailing rainfall characteristics (notably short-term rain intensities) (cf. Bonell 2005). Therefore, in closed tropical forests, overland flow is not generally favored because the dense root mat and the incorporation of soil organic matter in the topmost soil layers encourage high infiltration rates. Annual erosion rates from closed tropical forests are minor in comparison with disturbed landscapes (Bonell 2005). In many cases surface flow is drastically increased by human land-use activities (notably leading to compaction by livestock or heavy machinery, destruction of coarse soil aggregates, or even sealing of the soil surface). A higher percentage of surface flow will increase soil erosion and accelerate runoff which can contribute to flooding of downstream areas. For a proper analysis of the effects of changes in forest cover on water yield, it should be differentiated between impacts on total water yield and impacts on seasonal distribution of discharge. Bruijnzeel (2004a) summarized studies which have shown that the reduction of forest cover leads to an increase in total water yield of the catchment mainly due to an increase of baseflow or dry season (weather) flows. The changes are mainly attributed to lower evapotranspiration rates of the new land use/land cover leading to higher groundwater recharge. Results from paired catchment experiments in all types of climate indicate that in general at least 20 % of the (forested) area has to be changed to see a clear change the stream flow (Bosch and Hewlett 1982). However, the magnitude and effect of change in larger basins depend on the land-use distribution. For example, the effects of deforestation may be compensated by other land-use change processes like afforestation (mainly through the growing of secondary vegetation directly after clear-cutting) as well as the abandonment of agricultural used areas (fast growing secondary vegetation) (Costa et al. 2003; Bruijnzeel 2004a). Furthermore, studies on the impact of forest clearance on water yield demonstrate that in cases where secondary forest vegetation is allowed to grow, total blue and green water fluxes return to post-clearance characteristics in the next 4–5 years, although pathways and dynamics may have changed compared to pre-clearance conditions (Bruijnzeel 2004a; Grip et al. 2004). This is caused by the fact that the secondary vegetation resembles the characteristics of the primary forest after canopy closure. That means secondary forests in general may have the same features in canopy interception and transpiration as primary vegetation. Figure 4 clearly shows that the relationship between rainfall and evapotranspiration is not significantly different for primary and secondary forests. However, if the soil physical properties (notably macroporosity) have been irreversibly changed in the after clearing and in the initial phase of secondary growth through erosion and/or compaction, it becomes likely that runoff generation and thus streamflow dynamics are also irreversibly changed. As a consequence, there may be no return to pre-clearance behavior (Bruijnzeel 2004a; Calder 2005). If a forested area is permanently converted into agricultural fields or pasture, permanent increases of streamflow in the affected watershed could be observed. Short or annual vegetation transpires less water and has usually shorter roots whereby this vegetation cannot extract water from deeper soil regions during periods with no rainfall. The same can be expected for the introduction of plantations with non-endemic tree species like Acacia or Eucalyptus. Higher water use and a deeper rooting system can lead to reductions in water yield compared to primary forests. This is crucial mainly in tropical catchments where soil water resources are the limiting factor (Bruijnzeel 2004a).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_152-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 6 Comparison of elevation and average daily rainfall (a) and cloud water interception (CWI)/fog drip (D) and average daily rainfall (b) for TCMF at different elevations and positions on the mountain (Own figure based on data reported in Giambelluca and Gerold (2011) and citations herein) Table 2 Comparison of the hydrological processes throughfall (TF), stemflow (SF), cloud water interception (CWI), and interception evaporation (Ei) for lower montane rainforest (LMRF), lower montane cloud forest (LMCF), upper montane cloud forest (UCMF), and elfin cloud forest (ECF) or subalpine cloud forest (SACF) expressed as % of the incident rainfall LMRF LMCF UMCF SACF/ECF

Throughfall (TF) 62–85 54–106 64–179 75–126

Stemflow (SF) 0.1–2.2 0.2–8.8 0.1–30.5 2.8–18

Cloud water interception (CWI) 4 7.5 17 23

Interception evaporation (Ei) 32 24 6.2 9.5

Based on data reported in Giambelluca and Gerold (2011)

The Role of Tropical Montane Cloud Forests Tropical montane cloud forests (TCMF) play a special role of in the water cycle of tropical forests. Although they only form a small portion with 1.4 % of tropical forests globally (Bruijnzeel et al. 2011), they have significant impacts on streamflow and therefore provide valuable hydrologic ecosystem services to downstream areas. A TCMF is defined as “a type of evergreen mountain forest in tropical areas, where local conditions cause cloud and mist to be in frequent contact with the forest vegetation” (United Nations Environmental Program UNEP cited in (Giambelluca and Gerold 2011)). Most TCMFs can be found in tropical Central and South America as well as in tropical Asia (40.8 % respectively 43.2 %), whereas in Africa only 16 % of the total TCMF area are situated (Bruijnzeel et al. 2011). TCMFs can be classified in several subtypes representing different elevations and compositions of tree species as well as tree stature and height which have different hydrological functioning. At the lowest elevation, lower montane rainforest (LMRF) can be found representing the zone below the cloud belt (Bruijnzeel et al. 2011). Going upward with elevation, the next zone is formed by lower montane cloud forest (LMCF) with high moss cover and tree height ranging from 15 to 35 m. At higher elevations, the zone of upper montane cloud forest (UCMF) connects to the LCMF with tree heights from 2 to 20 m. The highest zones are formed by elfin cloud forest (ECF) or subalpine cloud forest (SACF) with stunted trees and ferns as undergrowth (Giambelluca and Gerold 2011).

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The major difference between TCMF and other tropical forest types is the role of specific hydrological processes which may dominate the water cycle. The main input of water in TCMF is the deposition from clouds and fog (cloud and fog stripping). Due to lower solar radiation – because of high fog occurrence or low cloud cover – and lower temperatures, evapotranspiration is reduced, and processes like canopy throughfall and stemflow are more dominant (Giambelluca and Gerold 2011). The most important factor affecting rainfall amount and cloud exposure is the topographic situation at the mountain. TMCF stands situated at leeward side of the mountain experience much less precipitation than on the windward side or isolated stands on the ridges due to the rain shadow effect (Fig. 6a). Consequently, the yield from cloud water interception (CWI) and fog drip (FD) is much lower there. Table 2 summarizes the relationship among the most important hydrological processes for the different types of tropical montane cloud forests. With increasing elevation and exposure to fog (mist) and clouds, throughfall and stemflow as well as CWI increase from LMRF to SACF/ECF. In contrast, interception evaporation (Ei) decreases due to high humidity, low temperatures, and low radiative input. For UMCF and SACF/ECF, cloud water interception is next to precipitation a major source of water. For the upper montane cloud forest (UMCF) and subalpine/elfin cloud forest (SACF/ECF), the high values for throughfall and stemflow show the importance of water input via fog and clouds. UMCF has the highest amounts of throughfall and stemflow water yields. This can be explained by the form of the trees. The average height and LAI of trees are higher than in the SACF/ECF where only stunted trees can be found. This leads to a higher surface to strip water from fog and clouds although exposure is higher in SACF/ECF. Compared to other tropical forest types, throughfall and stemflow are much higher, whereas interception evaporation (Ei) is considerable lower. This highlights the contrasting hydrological functioning of tropical montane cloud forests as compared to other forest types. In general, tropical montane cloud forests provide unique ecosystem services for the adjacent region in lower elevations. They often represent “watertowers” and thus land use and notably forest conservation play a prominent role in the regional water cycle. Due to the contact with the wet zone of the atmosphere, TCMF are able to stabilize flows in dry periods downstream. Like in the other tropical forests, conversion to other land uses can have significant effects on the hydrological cycle. For example, with the establishing of pasture or agriculture, the water stripping efficiency in this region is lost, which leads to shifted dynamics in the streamflow. As compared to other forest types, the exposure of soils after deforestation could lead to soil erosion and therefore to intensified surface runoff generation (Bruijnzeel 2004b). The negative impacts of land-use change may be mitigated by tree plantations (afforestation) and/or agroforestry systems. Like in tropical lowland forests, secondary vegetation may resemble the hydrological processes of the TCMF and lead to similar behavior like before clearance (Muñoz-Villers and McDonnell 2013). However, it should be considered that such surrogate tree-dominated vegetation structures may not be as efficient to strip water from fog and clouds as compared to the primary forests. This is due to much smaller stand heights and less structured canopies. Furthermore, soil properties (mostly macroporosity) may have been irreversibly changed. In plantations of exotic tree species such as Acacia mangium, Gmelina arborea, Paraserianthes falcataria, and Eucalyptus spp. and pines transpiration may also be higher than in forests of indigenous species (Bruijnzeel 2004a). Notably in eucalypt plantations, soil hydrophobicity is a common phenomenon which may result in an increase of surface flow (Shakesby et al. 2000) and soil erosion (Calder et al. 1993) under forest cover.

The Case of the East Usambara Mts. (Tanzania) A good example for a tropical montane cloud forest system is the East Usambara Mts. (NE Tanzania) which are one of a chain of isolated mountains stretching in a great arc around East Africa (Hamilton and Page 13 of 18

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Lwengera

Muzi

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Lanconi 1C1 Sigi

Mjesani

Mabayani Dam

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Tanga Amani Longuza

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Key Flow gauging station Raingauge Climate station Bombwera

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Fig. 7 Location of the Sigi River catchment in the Eastern Usambara Mts. (NE Tanzania) (Source: NERC 1994)

Bensted-Smith 1989; Newmark 2002). The Eastern Usambaras are drained by the Sigi River which is compounded by a major dam at Mabayani located at 90 m asl about 15 km from the coast near Tanga (Fig. 7). Constructed in 1978, the Mabayani dam is the principal source of water for the City of Tanga. It supplies over 90 % of the required water for about 300,000 people and industrial activities. The Sigi River basin comprises an area of 870 km2. The mountains rise steeply from the coastal plain to form a plateau at about 1,000 m asl. Some of the individual peaks reach 1,300 m asl. The upper catchment is mountainous and in still large patches covers a tropical submontane moist forest complex (“cloud forest”). The primary forests are listed as one of the biodiversity “hot spots” of the world (Hamilton and Bensted-Smith 1989). On the highly dissected plateau deeply weathered, acidic and highly leached red soils (mostly Acrisols) have developed (Hamilton and Bensted-Smith 1989). In contrast, the lower catchment, descending to the coastal plain, is hilly and undulating. The annual average rainfall of the catchment varies from around 1,000 mm at the dam, up to 2,000 mm in the mountains (NERC 1994). The Sigi River catchment experiences a bimodal type of rainfall. This rainfall regime corresponds to two rainfall peaks, one representing the short rains in October to December and the other the long rains in March to May. The period January to February usually receives little rainfall from a few isolated rainfall events and is generally referred to as a transition period between the short and long rains. The quantity and quality of water in the Sigi River basin have been deteriorating over time. There is an increase in sediment loading into the Sigi River resulting in an increase in turbidity levels attributed to higher rates of reduction in vegetation cover (Tresierra 2013). The natural primary forests in the East Usambaras were reduced from 9,962 ha (85 %) in 1955 to 6,066 ha (52 % of total forest) in 1995, while the area under cultivation increased from 1,090 ha (9 %) to 5,448 ha (46 %) within the same time frame. Major problems in some sub-catchments include encroachment into the riparian zones for cultivation and settlement by smallholder farmers and expansion of tea plantations. Small-holder agriculture in the East Usambaras is still in a semi-shifting cultivation stage, where pressures on land and productivity have been moderated by clearing new forest areas into cultivation and where cash crops such as cardamom have played a major role in the expansion of agriculture into the forests (Yanda and Munishi 2007). Land Page 14 of 18

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Fig. 8 Trends of dry season flow in the Sigi River catchment (Yanda and Munishi 2007)

clearing for agriculture has also increased forest cover fragmentation, degrading the watersheds in the mountains. It has been reported by Newmark (2002) that the Eastern Usambaras have experienced serious deforestation over the last decades notably since the 1960s when Tanzania became independent and a large number of settlers came to the Eastern Usambaras. Clearing of forests vegetation seems to be ongoing even though the forest has been preserved under various protection aspects, e.g., also catchment forest (Hamilton and Benstedt-Smith 1989). Adverse effects to land and water have not only resulted from deforestation but also from the burning of forest land as part of agricultural practices during land preparation. These changes in the land-use upstream have had a drastic impact on the water reservoir downstream as its storage capacity has been gradually decreasing due to siltation caused by erosion and landslides. The Mabayani reservoir was surveyed in 2010, by depth sounding method. The results showed that the average depth of the reservoir has decreased by 3.3 m from 8.7 m at the time of filling the dam to 5.4 m at the time of the study (about 38 % decrease). The reservoir capacity has decreased from 8 million m3 at the time of construction to 5.9 million m3 at the time of carrying out the study (25 % decrease) (Tresierra 2013). According to Yanda and Munishi (2007), the mean annual and rain season discharge/flow volumes in the Sigi River basin have declined slightly in the period of 33 years. The most apparent decline is the dry season discharge and flow volumes which show a greater decrease by about 0.8 m3 s 1 (Fig. 8). This is an annual rate of decrease of about 0.024 m3 s 1 year 1 and 606,000 m3 year 1, respectively, which is a significant decrease given the increasing demand for water resulting from increasing population and diversified uses downstream. The declining dry season flows may reflect the reduced capacity of the catchment to store moisture. Furthermore, there is evidence for slightly declining flows during the long rains and the short rain seasons. Also a high influence of long rains and short rains on flows has been detected which may be attributed to the declining vegetation cover (Yanda and Munishi 2007). A consistent explanation for the changed discharge pattern is not easy. Besides changes in land cover, also potential changes in climatic conditions have to be considered. However, the availability and quality of long-term rainfall data are limiting factors and source of distinct uncertainty. For the cloud zone of the Sigi catchment (>900 m asl), there is the station at Amani which during the period 1920–2000 shows a slight trend of declining annual rainfall, whereas the trend analysis for stations in the lower altitudes resulted in a slight increase in annual rainfall (Yanda and Munishi 2007). Despite some problems with

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inaccurate readings, there have been assumptions on the effect of decreasing forest cover on the local climate in the Eastern Usambaras. Hamilton and Macfayden (1989) found evidence for increased annual rainfall variability since the 1960s. Rainfall has become less with rainfall events more concentrated in torrential episodes. This is in accordance with statements of long-time residents of the East Usambaras who reported that the climate on the Amani plateau has changed greatly since that time: “There is now much less mist, rain is less predictable and more concentrated in particular episodes, and it is warmer” (Hamilton 1989). However, to what extent a causal relationship exists between these reported changes in climate and large-scale deforestation which started simultaneously in the Eastern Usambaras remains unclear.

References Beven K (2012) Rainfall-runoff modelling: the primer, 2nd edn. Wiley-Blackwell, Chichester Beven K, Germann P (1982) Macropores and water flow in soils. Water Resour Res 18:1311–1325 Bonell M (1993) Progress in the understanding of runoff generation dynamics in forests. J Hydrol 150:217–275 Bonell M (2005) Runoff generation in tropical forests. In: Bonell M, Bruijnzeel LA (eds) Forests, water and people in the humid tropics – Book I. Cambridge University Press, Cambridge, pp 314–406 Bosch JM, Hewlett JD (1982) A review of catchment experiments to determine the effect of vegetation changes on water yield and evapotranspiration. J Hydrol 55:3–23 Brady NC, Weil RR (2008) The nature and properties of soil, 14th edn. Prentice Hall, Upper Saddle River Bruijnzeel LA (2004a) Hydrological functions of tropical forests: not seeing the soil for the trees? Agric Ecosyst Environ 104:185–228 Bruijnzeel LA (2004b) Tropical montane cloud forest: a unique hydrological case. In: Bonell M, Bruijnzeel LA (eds) Forests, water and people in the humid tropics – Book I. Cambridge University Press, Cambridge, pp 462–483 Bruijnzeel LA, Mulligan M, Scatena FN (2011) Hydrometeorology of tropical montane cloud forests: emerging patterns. Hydrol Process 25:465–498 Calder IR (2005) Blue revolution/integrated land and water resources management, 2nd edn. Earthscan, London Calder IR, Hall RL, Prasanna KT (1993) Hydrological impact of Eucalyptus plantation in India. J Hydrol 150:635–648 Chappell NA (2010) Soil pipe distribution and hydrological functioning within the humid tropics: a synthesis. Hydrol Process 24:1567–1581 Costa MH, Botta A, Cardille JA (2003) Effects of large-scale changes in land cover on the discharge of the Tocantins River, Southeastern Amazonia. J Hydrol 283:206–217 Da Rocha HR, Manzi AO, Cabral OM et al (2009) Patterns of water and heat flux across a biome gradient from tropical forest to savanna in Brazil. J Geophys Res Biogeosci 114:G00B12 Dingman SL (2002) Physical hydrology, 2nd edn. Prentice Hall, Upper Saddle River Dubrueil PL (1985) Review of field observations of runoff generation in the tropics. J Hydrol 80:237–264 Elsenbeer H (2001) Hydrologic flowpaths in tropical rainforest soilscapes – a review. Hydrol Process 15:1751–1759 Elsenbeer H, Vertessy RA (2000) Stormflow generation and flowpath characteristics in an Amazonian rainforest catchment. Hydrol Process 14:2367–2381 Falkenmark M, Rockström J (2004) Balancing water for humans and nature: the new approach in ecohydrology. Earthscan, London Page 16 of 18

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Germer S, Werther L, Elsenbeer H (2010) Have we underestimated stemflow? Lessons from an open tropical rainforest. J Hydrol 395:169–179 Giambelluca TW, Gerold G (2011) Hydrology and biogeochemistry of tropical montane cloud forests. In: Levia DF, Carlyle-Moses D, Tanaka T (eds) Forest hydrology and biogeochemistry – synthesis of past research and future directions. Springer, Dordrecht/Heidelberg/London/New York, pp 221–259 Grip H, Fritsch J-M, Bruijnzeel LA (2004) Soil and water impacts during forest conversion and stabilisation to new land use. In: Bonell M, Bruijnzeel LA (eds) Forests, water and people in the humid tropics – Book II. Cambridge University Press, Cambridge, pp 561–589 Hamilton AC (1989) Climatic change on the East Usambaras – statements on climatic and environmental change. In: Hamilton AC, Bensted-Smith R (eds) Forest conservation in the East Usambara Mountains, Tanzania. IUCN, Gland/Cambridge, pp 115–116 Hamilton AC, Bensted-Smith R (1989) Forest conservation in the East Usambara mountains, Tanzania. IUCN, Gland/Cambridge, 392 pp Hamilton AC, Macfayden A (1989) Climatic change on the East Usambaras – evidence from records from meteorological stations. In: Hamilton AC, Bensted-Smith R (eds) Forest conservation in the East Usambara Mountains, Tanzania. IUCN, Gland/Cambridge, pp 103–107 Hewlett JD (1982) Principles of forest hydrology. University of Georgia Press, Athens Hofhansl F, Wanek W, Drage S et al (2012) Controls of hydrochemical fluxes via stemflow in tropical lowland rainforests: effects of meteorology and vegetation characteristics. J Hydrol 452–453:247–258 Kumagai T (2011) Transpiration in forest ecosystems. In: Levia DF, Carlyle-Moses D, Tanaka T (eds) Forest hydrology and biogeochemistry – synthesis of past research and future directions. Springer, Dordrecht/Heidelberg/London/New York, pp 389–406 Kumagai T, Saitoh TM, Sato Y et al (2004) Transpiration, canopy conductance and the decoupling coefficient of a lowland mixed dipterocarp forest in Sarawak, Borneo: dry spell effects. J Hydrol 287:237–251 Kume T, Tanaka N, Kuraji K et al (2011) Ten-year evapotranspiration estimates in a Bornean tropical rainforest. Agric For Meteorol 151:1183–1192 L’vovich MI (1979) World water resources and their future – translation by the American Geophysical Union. LithoCrafters Inc., Chelsea Levia DF, Keim RF, Carlyle-Moses DE, Frost EE (2011) Throughfall and stemflow in wooded ecosystems. In: Levia DF, Carlyle-Moses D, Tanaka T (eds) Forest hydrology and biogeochemistry – synthesis of past research and future directions. Springer, Dordrecht/Heidelberg/ London/New York, pp 425–443 Lin H (2010) Linking principles of soil formation and flow regimes. J Hydrol 393:3–19 Manfroi OJ, Koichiro K, Nobuaki T et al (2004) The stemflow of trees in a Bornean lowland tropical forest. Hydrol Process 18:2455–2474 Manfroi OJ, Kuraji K, Suzuki M et al (2006) Comparison of conventionally observed interception evaporation in a 100-m2 subplot with that estimated in a 4-ha area of the same Bornean lowland tropical forest. J Hydrol 329:329–349 Miyazawa Y, Tateishi M, Komatsu H et al (2014) Tropical tree water use under seasonal waterlogging and drought in central Cambodia. J Hydrol 515:81–89 Moglen GE, Maidment DR (2005) 15: digital elevation model analysis and geographic information systems. In: Anderson MG (ed) Encyclopedia of hydrological sciences. Wiley, Chichester Muñoz-Villers LE, McDonnell JJ (2013) Land use change effects on runoff generation in a humid tropical montane cloud forest region. Hydrol Earth Syst Sci 17:3543–3560 NERC (1994) Tanzania urban sector engineering project – yield estimates for Tanga and Morogoro. Report Natural Environment Research Council. Institute of Hydrology, Wallingford Page 17 of 18

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Newmark WD (2002) Conserving biodiversity in East African forests: a study of the Eastern Arc Mountains, Ecological studies 155. Springer, Berlin-Heidelberg Nicholson SE (2000) The nature of rainfall variability over Africa on time scales of decades to millenia. Glob Planet Change 26:137–158 Roberts J, Cabral OMR, Fisch G et al (1993) Transpiration from an Amazonian rainforest calculated from stomatal conductance measurements. Agr For Meteorol 65:175–196 Roberts JM, Tani M, Bruijnzeel LA (2005) Controls on evaporation in lowland tropical rainforest. In: Bonell M, Bruijnzeel LA (eds) Forests, water and people in the humid tropics – Book I. Cambridge University Press, Cambridge, pp 287–313 Schellekens J, Scatena FN, Bruijnzeel LA et al (2004) Stormflow generation in a small rainforest catchment in the Luquillo Experimental Forest, Puerto Rico. Hydrol Process 18:505–530 Schlesinger WH (1997) Biogeochemistry: an analysis of global change, 2nd edn. Academic, San Diego Schultz J (1995) The ecozones of the world/the ecological divisions of the geosphere; with 48 tables. Springer, Heidelberg Shakesby RA, Doerr SH, Walsh RPD (2000) The erosional impact of soil hydrophobicity: current problems and future research directions. J Hydrol 231–232:178–191 Shougrakpam S, Sarkar R, Dutta S (2010) An experimental investigation to characterise soil macroporosity under different land use and land covers of northeast India. J Earth Syst Sci 119:655–674 Shuttleworth WJ, Gash JHC, Lloyd CR et al (1984) Eddy correlation measurements of energy partition for Amazonian forest. Q J Roy Meteor Soc 110:1143–1162 Sidle RC, Tsuboyama Y, Noguchi S, Hosoda I, Fujieda M, Shimizu T (2000) Storm-flow generation in steep forested headwaters: a linked hydrogeomorphic paradigm. Hydrol Process 14:369–385 Tresierra JC (2013) Equitable payments for watershed services: financing conservation and developmentcase studies on remuneration of positive externalities (RPE)/Payment for Environmental Services (PES). Prepared for multi-stakeholder dialogue FAO, Rome, 12–13 Sept 2013 Weiler M (2001) Mechanisms controlling macropore flow during infiltration: Dye tracer experiments and simulations. Ph.D. thesis, Swiss Federal Institute of Technology, Zurich Yanda PZ, Munishi PKT (2007) Hydrologic and land use/cover change analysis for the Ruvu River (Uluguru) and Sigi River (East Usambara) watersheds. Final report for WWF/CARE Dar es Salaam, Tanzania, 80 p Zalewski M, Janauer GA, Jolankai G (eds) (1997) Ecohydrology. A new paradigm for the sustainable use of aquatic resources. UNESCO IHP technical document in hydrology 7. IHP –V Projects 2.3/2.4, UNESCO, Paris, 60 pp

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Introduction to Watershed Management Hosea M. Mwangia,b*, Stefan Julicha and Karl-Heinz Fegera a Institute of Soil Science and Site Ecology, Technische Universt€at Dresden, Tharandt, Germany b Biomechanical and Environmental Engineering Department, Jomo Kenyatta University of Agriculture and Technology, Nairobi, Kenya

Abstract Scarcity and threats to freshwater resources from pollution, climate change, and overexploitation have made it increasingly important to have sound watershed management. The link between land, water, and people has further made it necessary to widen the scope of watershed management beyond the “water resources.” Overall ecosystem functions as well as the improvement of socioeconomic status of the local communities are of paramount importance for the success of watershed management. The chapter provides a general overview of watershed management and modern challenges originating from climate change and land-use pressures. It highlights some of the critical issues that should be addressed for successful watershed management with a regional emphasis on tropical Africa. In this context, sustainable forest management and also agroforestry is a key factor in water resources management in general and upland resources development in particular. Integrated water resources management (IWRM) including stakeholder participation, livelihood improvement, flood risk management, and financing of watershed management is presented. Furthermore, the scheme of watershed planning process which is fundamental for the development and implementation of watershed management plans is stressed. Watershed assessment, a key component of watershed planning, is outlined based on a case study in the Sasumua dam watershed, Kenya.

Keywords Integrated water resources management; Flood risk management; Watershed management planning; Stakeholder engagement

Introduction Availability of freshwater resources is essential for human life and well-being, economic development, and ecosystem health (Falkenmark and Rockström 2004). Both terrestrial and freshwater aquatic ecosystems require freshwater to thrive for continued supply of ecosystem services to human beings. The human society equally requires freshwater for its survival and economic development. Therefore, both the ecosystems and the human society are linked through the freshwater cycle (Fig. 1) which is a part of the entire hydrological cycle. Human demands for water are usually broken down into five major water use sectors (WWAP 2012): • Food and agriculture (mostly irrigation), which accounts for about 70 % of water withdrawals globally • Energy *Email: [email protected] Page 1 of 23

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Fig. 1 Linkages between freshwater cycles, human livelihood, and ecosystems (Adapted from Falkenmark and Rockström 2004)

• Industry • Human settlements, which includes water for drinking and household uses such as cooking, cleaning, hygiene, and some aspects of sanitation • Ecosystems (both aquatic and terrestrial), whose water demands are determined by the water required to sustain or restore the benefits to people (ecosystem services) These uses, which are all beneficial for human well-being, compete for the available freshwater. This competition compounded by the uneven distribution of water resources over time and space and the way human activity is affecting that distribution are the underlying causes of water crises in many parts of the world (e.g., Vörösmarty 2009). Furthermore, climate change is superimposed on the complex water cycling in watersheds. Notably, the increase of extreme events like drought and heavy rainfall puts additional pressure on water supplies. There is increasing concern related to population growth, overutilization of groundwater aquifers, waterlogging and salinization, pollution through urban and industrial wastes, fertilizers and pesticides from agricultural land, and flooding of cultivated, urban, and industrial areas. Many of these problems are related to changes in land use, i.e., deforestation and other reduction of close-to-nature vegetation forms like wetlands, urbanization, and intensification of agricultural production (UNEP 2009). To address the various water crises, innovative ways of enhancing water security are required. Water security is defined as the availability of an acceptable quantity and quality of water for health, livelihoods, ecosystems, and production, coupled with an acceptable level of water-related risks to people, environments, and economies (WWAP 2012). This includes the sustainable use and protection of water systems, protection against water-related hazards (i.e., floods and droughts), sustainable development of water resources, and safeguarding water functions and services for humans and the environment. Managing the challenges of water security therefore requires an integrated management approach based on sound understanding of the watershed processes and interactions among watershed components, i.e., land, water, and people. An integration of natural and social science-based research is important to improve that understanding.

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Fig. 2 Watershed management planning process

The 1992 United Nations Conference on Environment and Development (UNCED) held in Rio de Janeiro emphasized, in Chapter 18 of its Agenda 21, the holistic management of freshwater as a finite and vulnerable resource. The chapter advocates for water resources planning and management for the protection of the quality and supply of freshwater resources and proposes application of integrated approaches to the development, management, and use of water resources. This integrated approach, known as integrated water resources management (IWRM), is now being adopted globally. Ten years after UNCED, a major impetus to improving IWRM was provided at the Johannesburg 2002 World Summit on Sustainable Development (WSSD). A large number of countries agreed to the Johannesburg Plan of Implementation, calling for the development and implementation of IWRM and water efficiency strategies, plans, and programs at national and at regional levels. The first step in IWRM process (Fig. 2) is to create an enabling environment by changing policies and laws and creating new (or rearrange) institutions that have a legal mandate for water resources management. With right policies, legislations, and institutions, IWRM planning and implementation become faster and smoother. For watershed management to be successful, the focus should go beyond the “water resource” itself and include socioeconomic and environmental concerns. Development activities in the watershed should be incorporated in watershed management plans, and there should be a concerted effort to improve livelihood. Thus, understanding the dynamics and the structure of the local communities is important. The community should be actively involved in watershed management because its success highly

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Table 1 Examples for international basin commissions in Africa, Europe, and Asia Organization Lake Victoria Basin Commission (LVBC) Nile Basin Initiative (NBI)

Basin/ watershed Lake Victoria Nile River

Okavango River Basin Commission (OKACOM) Zambezi Watercourse Commission (ZAMCOM) Mekong River Commission (MRC) International Commission for the Protection of the Rhine (ICPR) International Commission for the protection of the Danube River (ICPDR)

Okavango River Zambezi River Mekong Rhine

International Commission for the Protection of the Elbe River (ICPER)

Elbe

Danube

Participating countries Kenya, Tanzania, Uganda Burundi, DR Congo, Egypt, Kenya, Rwanda, South Sudan, Sudan, Sudan, Tanzania Angola, Botswana, Namibia Angola, Botswana, Malawi, Mozambique, Namibia, Tanzania, Zimbabwe, Zambia Cambodia, Lao PDR, Thailand, Vietnam Switzerland, France, Germany, Luxemburg, the Netherlands Austria, Bosnia and Herzegovina, Bulgaria, Croatia, Czech Republic, Germany, Hungary, Moldova, Montenegro, Romania, Slovakia, Slovenia, Serbia, Ukraine Germany, Czech Republic

depends on whether or not they embrace the watershed management efforts. The watershed management programs should also be “environmental conscious,” i.e., seeking to preserve and protect terrestrial and aquatic biodiversity, preventing land degradation, and avoiding/reducing unsustainable land-use practices. Indeed, IWRM not only advocates for sustainable development and management of land, water, biomass, and other resources for human well-being but also the protection of natural ecosystems. In this context, sustainable forest management and agroforestry is a key factor in water resources management in general and upland resources development in particular. Forests provide a wide range of environmental services, some of which are water related (i.e., protection from soil erosion, optimal water retention, and minimal leaching of nutrients and contaminants). Thus, conservation of headwater forest catchments (notably tropical cloud forests; see Julich et al., this book) is particularly important for sustainable provision of watershed services. The complex relationship between land and water (including the life they support) necessitates a drainage-based watershed management approach. This approach brings all water users and potential water polluters within a particular watershed on a platform where they can share the water equitably for development and also control its pollution. The upstream and downstream water-related interests are commonly addressed and managed which minimizes water-related conflicts. The scale of individual watershed management units is an issue that is crucial for meaningful participation of stakeholders in the watershed. In general, the scale of watershed units should be large enough to include the major upstream and downstream interests and small enough to ensure active participation of all stakeholders and allow comprehensive watershed assessment. In trans-boundary water basins, collaboration among the countries or states sharing the water basin is required. To do this, creation of international river basin organization with representation of member countries or states is required. Such organizations ensure that interests of member countries are addressed. Examples of international basin organizations in sub-Saharan Africa, Europe, and Asia are summarized in Table 1.

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Integrated Water Resources Management (IWRM) Integrated Water Resources Management (IWRM) recognizes that water resources have many dimensions. Thus, the objective of IWRM is to integrate all sectors which utilize or are related to water resources including the different institutions and policies for efficient management of water resources. The Global Water Partnership (GWP), an international network founded in 1996 to foster IWRM, defines IWRM as “a process which promotes the coordinated development and management of water, land, and related resources, in order to maximize the resultant economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystem” (GWP 2000). The IWRM principles focus on a holistic multi-sectoral approach in water management which integrates/includes governance, institutional, scientific, technical, socioeconomic, and environmental aspects of water management (UNEP 2010). The four principles are: 1. Freshwater is a finite and vulnerable resource, essential to sustain life, development, and the environment. 2. Water development and management should be based on a participatory approach, involving users, planners, and policy makers at all levels. 3. Women play a central part in the provision, management, and safeguarding of water. 4. Water has an economic value in all its competing uses and should be recognized as an economic good. The important question to ask in IWRM then is: “integrate what and why?” Sound water resources management must deal with the natural and the socioeconomic components of the watershed. Natural and human systems should therefore be integrated for efficient and sustainable management of the water resources. Integration should be done both within and between the systems. Integration is intended to change the traditional fragmented and uncoordinated development and management of water resources (GWP 2000). Under natural system, the focus should be on: • Integration of land and water management: Water (of good quality and in sufficient quantities) is essential for most land developments (e.g., irrigation, industrial or domestic water supply). To ensure sustainable supply of good quality freshwater, good management of land (terrestrial ecosystems) is required. Thus, land and water resources are interdependent and require integrated management approach. • Integration of “blue” and “green” water management: Efficiency of water use is crucial in managing the rising demand and competition for water among various uses. Efficient use of green water (water used for biomass production, i.e., soil water used or “lost” in the process of evapotranspiration) would save “blue” water (freshwater in lakes, river, springs, and groundwater beyond the rooting zone) (cf. Julich et al., this book). For example, increasing irrigation efficiency will save water for other uses, notably for domestic or industrial use. • Integration of surface and groundwater management: Surface and groundwater resources are connected through the hydrological cycle which also affects their availability in space and time. • Integration of management of water quality and quantity: Water pollution is one of the major threats facing dwindling freshwater resources. Pollution impairs water quality and makes it unsuitable for most uses and therefore adds more pressure on the remaining freshwater resources. • Integration of upstream and downstream water-related interests: Excessive upstream water use could lead to insufficient water for downstream uses. Equitable sharing of water is required for sustainable development and to avoid water-related conflicts. Upstream human activities should assure availability Page 5 of 23

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and good quality of water for downstream users at all times. Land use in upstream areas should maintain natural flood retention and minimize erosion losses. • Integration of freshwater management and coastal zone management: Management of freshwater should consider the needs of coastal zones for water quantity and quality. Human system integration involves: • Cross-sectoral policy development integration: Water is a core pillar in development. Water is required in different sectors such as domestic, agricultural, industrial, and environmental. All these sectors traditionally have separate policies. Development of such policies should consider the specific water requirement and availability as well as the respective impact on water quality. • Integration of stakeholders in watershed planning and decision-making: Stakeholder participation ensures that all interests and concerns of various stakeholders are taken care of in the watershed management planning. • Integrating water and wastewater management: To minimize the pollution of freshwater resources by wastewater and ease pressure on freshwater resources, wastewater reuse and recycling is required. Opportunities for wastewater reuse and recycling are available for other water uses that do not require strict water quality standards (relative to drinking water standards), e.g., irrigation, gardening, and process water cooling (UNEP 2005). The whole idea of IWRM is therefore to facilitate efficient and smooth water resources management for sustainable development. Adoption of IWRM at national level helps in faster and smoother watershed management planning and implementation at the local (watershed and sub-watershed) level. Most countries are making good progress in planning and implementation as agreed in the Johannesburg 2002 World Summit on Sustainable Development (UNEP 2012). A worldwide survey carried out by UN Water showed that about 80 % of the countries are at advanced stages of changing their water policies and law to accommodate IWRM, while 65 % have developed IWRM plans out of which 34 % are implementing the plans (UNEP 2012). In Africa, a recent study commissioned by African Minister’s Council on Water found that 76 % of the countries are in the process of implementing national laws to allow an enabling environment for IWRM, while 44 % have already developed and are implementing national plans (AMCOW 2012).

Participatory Watershed Management In participatory watershed management, stakeholders in the water resources development, conservation, and management are actively involved from the start of decision-making. In this case, decisions are not imposed on them, but they are part of the decision-making process where they can share their views, concerns, interests, and fears and also offer their resources in terms of time, finances, skills, and knowledge to the watershed management process. In the past, both top-down and bottom-up approaches in watershed management failed because of lack of support by stakeholders who did not feel ownership of the watershed management decisions (Johnson et al. 2002). People often resist decisions imposed on them if they were not part of the decision-making process. Since the modern scope of watershed management goes beyond the water resources itself and includes improving livelihoods and sustainable developments within the watershed, the net of stakeholders is wide. It includes individuals, groups, and institutions that have direct interest in the water resources, e.g.:

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• • • • •

Water users People whose actions are likely to impair water quality, e.g., smallholder farmers and industries People in forest management or with interest in environmental conservation People with scientific knowledge (notably local ecology) of the watershed Government and nongovernmental institutions with interest or mandate in natural resource management and livelihood improvement

Participation goes beyond informing them of the watershed management programs. It involves collecting and incorporating their views, fears, and interests in the watershed management plans. With the wide range of stakeholders with a variety of resources, participation includes collaborating with them for the benefit of the watershed management (FAO 2006).

Livelihoods and Watershed Management People and all their activities are an integral part of watersheds. The social, religious, economic, and political aspects of life should be considered in watershed management planning as well since they determine the level of success of watershed management efforts. Those watershed management efforts that are contrary to community traditions, beliefs, norms, and values are likely to fail. Livelihood comprises of capabilities, resources, and activities required in order to live (Chambers and Conway 1991). It generally consists of everything tangible or non-tangible that people rely on to make a living. People use the resources at their disposal to make a living. The resources can be natural/physical (e.g., land, water, crops, forests, animals, etc.), financial (e.g., income, savings), human (education, skills, knowledge, etc.), and social (interactions, traditions, beliefs, etc.) (FAO 2006). Actually it is peoples’ everyday business to make a living and continuously improve their living standard. Therefore, watershed management plans should be established within the livelihood framework. Watershed management cannot be independent of livelihoods, and watershed management should put as much emphasis on ways to improve livelihood as it does on ways to prevent watershed degradation. To improve livelihoods, special efforts have to be made to optimize the use of the resources available to local communities. Understanding the local communities’ way of living is crucial before designing watershed management programs. For instance, simply providing a toilet for a community that practices open defecation may not be enough way for improving their sanitation condition. People may shun the use of the toilet because of their beliefs. During watershed management planning, understanding local livelihoods may help to identify the resources available at household level and develop sustainable strategies to optimize their use. It would further help to design sustainable solutions to the existing environmental risks that are also acceptable to the local community.

The Role of Forest Management in Watershed Management Forests natural or managed are essential elements of the landscape and provide valuable ecosystem services to the communities in the watershed like soil protection, carbon sequestration, and production of timber, firewood, fruits, and fodder. Forests play an important role in the hydrological cycle of a watershed. Compared to other land uses like agriculture and urban areas, some hydrological processes are dominant and determine the partitioning of rainfall into streamflow and evapotranspiration (fluxes of “blue” and “green” water [cf. Julich et al., this book]). For example, evapotranspiration rates in forests are higher than in agricultural systems due to higher canopy interception and a deeper rooting system which Page 7 of 23

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can access soil water from deeper horizons (Calder 2005). Changes in forest cover can lead to changes in magnitude and dynamics of water yield, increase of dry season weather flow, and higher sediment load from soil erosion. The nature and magnitude of changes in the water cycle and related watershed response depend on the watershed characteristics (i.e., soils and relief/topography), type of change in forest cover (selective logging vs. conversion of forest into agricultural land), as well as the overall distribution and dynamics of land use in the watershed (Recha et al. 2012; Bruijnzeel 2004; cf. Julich et al., this book). For example, the conversion of forest to agriculture in one part of the watershed and the simultaneous abandonment of agriculture areas in another part could balance the hydrological impacts at the catchment scale. It has been widely accepted that forests are crucial to the sustainable management of water ecosystems and resources (Calder 2002, 2005; FAO 2013). Therefore, watershed management should also promote appropriate forest management and protection in order to maximize the positive effects of forests or other tree-based vegetation structures on water resources (water management through forest management). Finally, it has to be recognized that the hydrological function of forests is an important but just one in a whole bundle of benefits which forests provide to society. There is a range of productive, conservation, amenity, environmental, and livelihood benefits. Therefore, a key challenge faced by land, forest, and water managers is to maximize this wide range of multi-sectoral forest benefits without detriment to water resources and ecosystem function.

Flood Risk Management Floodplains are preferred for human settlement and socioeconomic development because of their proximity to rivers, guaranteeing rich soils for agriculture, abundant water supplies, means of transport, and aesthetic purposes (APFM 2007). This essentially increases flood risk because the magnitude of flood disaster is not a factor of flood water alone but is also augmented by the vulnerability of the people living in the floodplains and the economic activities present. In big cities of some developing countries, informal settlements spring up in public land such as riparian areas along the water courses (e.g., Mukuru and Mathare slums in Nairobi, Kenya). Informal settlements (slums) are characterized by congestion, unplanned structures made of weak building materials, and high levels of poverty – all of which constitute high vulnerability of the inhabitants to flood disaster. Traditionally, flood defense was the main focus for flood protection where structural solutions such as dykes were seen as the ultimate solutions (Chang et al. 2010). Loss of lives, displacement of people, and destruction of property occur when the structural flood protection measures fail. Such catastrophic flooding events have demonstrated the limitations of flood defense and the need for more strategic, holistic, and long-term approaches to manage floods in the form of flood risk management (Khatibi 2011; Johnson and Priest 2008). Therefore, flood risk management should integrate strategies for flood protection before the flood (e.g., dykes, early warning systems), managing the flood disaster during a flood event (e.g., evacuation) and post-flood recovery measures. The strategies should comprise of structural and nonstructural measures applicable to specific locations within the watershed. Appropriate strategies should be bundled in flood risk management plans which should be developed as part of IWRM (APFM 2007). In Europe, for example, the EU member states are required by the Flood Risk Directive (EC 2007) to carry out flood risk assessment and develop flood hazard and flood risk maps as well as to establish flood risk management plans for areas with significant flood risk (Mostert and Junier 2009). Preventive nonstructural flood risk management strategies, where appropriate, may include retaining as much water in the watershed/landscape as possible to reduce flood peaks. Land-use changes that minimize water infiltration (e.g., urbanization and deforestation) contribute to the increase of flash floods. The Page 8 of 23

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presence of undisturbed forests in the watershed helps to retain considerable amount of water through enhanced infiltration, consequently reducing the peaks of flash floods (Wahren et al. 2012; Recha et al. 2012). Watershed characteristics such as watershed slope and soil properties, e.g., depth, porosity, water storage capacity, organic matter content, and antecedent soil moisture condition, determine the extent to which forests reduce the peaks and volume of floods. The impact of forest (or any other land use) on flood peaks tends to be higher in smaller watersheds than in large basins where variability in rainfall characteristics such as areal distribution and intensity may override the effects of land use (Bruijnzeel 2004; FAO 2013). It is important to realize that the flood protection provided by forest in regions where floods are generated (notably in the upland of catchments) has inherent limitations, particularly related to the magnitude of storm events (cf. Calder et al. 2007; Bathurst et al. 2011). One major limitation depends on the site-specific retention potential, notably in the soil. Nevertheless, it is reasonable to expect that the mitigation potential of forests and tree-based vegetation structure on flood formation would become larger with a corresponding increase of the forested area of a watershed particularly in the upstream headwater areas. The “forest effect” is most significant for the more frequent small- and medium-sized floods (Wahren et al. 2012). Another limiting factor for the “forest effect” in flood mitigation may be the lack of land for afforestation given other competitive land-use requirements, notably cropland agriculture at sites which due to specific topographic and soil properties would be more effective for flood protection than others. In order to reduce flooding risks in populated downstream areas, it may be required that rivers obtain more space to accommodate excess water during flooding events. In this context, forests in alluvial floodplain including riparian may play a crucial role. However, in many cases forest land along river courses have been reduced at the expense of settlements and agriculture. As a consequence, existing floodplain forests which are adapted to flooding events should be protected and maintained. For the restoration of disturbed systems and/or planting of new forests dedicated to water retention in floodplains, detailed knowledge is needed in terms of expected flooding dynamics (i.e., water levels, duration of flooding, sediment loads, groundwater flows), related tolerance of tree species against flooding, and potential morphological and biotic responses (cf. Bayley 1995). The effect of forests (trees) on water availability during dry seasons or droughts needs to be considered as well. Furthermore, the acceptance of local population has to be assured by establishing participatory planning and management processes (cf. Roggeri 1995).

Financing Watershed Management Programs One of the challenges that face watershed management programs is the source of finances required for their implementation. Collaboration of various stakeholders allows sharing of costs and resources available from different partners. It is possible to have different organizations (e.g., NGOs) or different government institutions having similar or related projects in the same watershed. In a participatory watershed management, related projects or programs which can complement each other should collaborate and share financial and human resources. When the local communities support the watershed management programs, they can as well contribute their time, labor, and finances to undertake some activities, e.g., soil and water conservation in their farms. Government is a major stakeholder in watershed management. In many countries, government charges some levies for water abstraction. Some of this money should be channeled back for watershed management. Recently, the concept of watershed economics has gained popularity where the concept of environmental services is used as a source of funds to finance watershed management activities (Brauman Page 9 of 23

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et al. 2007). The approach recognizes and appreciates the true value of environmental goods and services which have always being regarded as “free goods and services” from nature, e.g., provision of fresh quality water and carbon sequestration. In this arrangement, the beneficiaries of the environment services (whether locally, nationally, or internationally) provide some incentives to the stewards of the environmental services for the conservation of the ecosystem (cf. Mwangi et al., this book). This arrangement, commonly known as Payment for Ecosystem Services (PES), is a potential source of financial resources.

Watershed Management Plans Watershed (river basin) management plans are the key management tools in IWRM. In Europe such river basin management plans are required to be established by the Water Framework Directive (EC 2012). A watershed management plan is a time-bound strategy that describes how to achieve management objectives. The plan includes the goals, problems, feasible interventions, actions, participants and their roles, time frame, and resources required to carry out the stipulated actions for an effective watershed management. The goals of watershed management planning may differ from one watershed to the other based on local priorities. Generally, the objectives revolve about equitable sharing of water resources, environmental protection, and enhanced economic and social development (Pegram et al. 2013). Equity in sharing of water resources should be ensured with regard to the spatial distribution of the users and also among the different uses. Water resources should thus be shared equitably at international (among countries sharing a trans-boundary basin), national (among various administrative regions), and local (sub-watershed upstream and downstream) levels. Equity is also required between different uses, e.g., domestic, agriculture, energy, industrial, etc. Environmental protection may target issues like control of pollution of water resources, biodiversity conservation, rehabilitation of degraded lands, etc. Promotion of social and economic development can be achieved through improving livelihoods of the local communities and national economy at national level. Watershed management planning (Fig. 2) is not a one-way process; it is iterative and adaptive in nature with cycles of a few years. The lessons learned from one cycle are incorporated in the subsequent cycles. It should also be flexible enough to allow informed modification of strategies during the implementation phase if necessary. Furthermore, watershed planning is a participatory process where all stakeholders are involved and actively participate in the process. The stakeholders may include government departments, private companies, individuals, community groups and association, scientific community and NGOs dealing with agriculture, forestry, hydropower, and environmental protection. The list may be long but should generally include all water users (of “green” or “blue” water), potential water polluters, and anyone interested in environmental-related matters and livelihood improvement. This ensures that the interests of both upstream and downstream water users are taken into account. Watershed planning is done at two levels – short term and long term. Short-term planning is done for short period cycles (e.g., 5-year cycles), while long-term planning (for like 20 or 25 years) is a high-level strategic planning that takes into consideration the development agenda and political climate of a country or of member states for trans-boundary watersheds. Short-term watershed planning is done at the watershed and sub-watershed level and should aim at identifying and solving the specific water resources problems at the community level. The short-term watershed plans should be designed with the aim of achieving the long-term watershed plans. The watershed management process encompasses the following steps: 1. Stakeholder identification and engagement Page 10 of 23

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2. Watershed assessment (a) Scoping (b) Setting out watershed management objectives (c) Data collection and analysis (d) Selection of watershed management strategies 3. Development of watershed plan 4. Implementation of the plan 5. Monitoring and evaluation 6. Revision of the plan

Stakeholder Identification and Engagement As already pointed out, watershed management is very wide in terms of the components/sectors it involves, e.g., agriculture, forestry, nature and biodiversity conservation, etc. This makes it necessary to first identify all the stakeholders in the watershed who use or are likely to pollute water, who may be affected by watershed management decisions, who make water resources-related decisions, and generally anyone who has an interest in the water resources management including those who can facilitate or block watershed management efforts. Possible stakeholders in a watershed may be: • Land owners and managers • Pastoral communities • All water abstractors (whether individuals or private and public organizations), e.g., agricultural farms community-based water organizations, schools, hotels, water supply companies, etc. • Government ministries or department (at national, federal, state, and county levels), e.g., water, irrigation, environment, agriculture, fisheries, forestry, etc. • Government of countries sharing trans-boundary water resources • Research institutions, e.g., universities, colleges, and public or private research institutions in fields related to natural resources management, e.g., in water, forestry, agriculture, etc. • Community-based organizations • Nongovernmental organizations • Environmental conservation groups • Individuals, groups, and companies whose activities are likely to impair the water quality All these stakeholders should be reached and informed of the intended watershed planning and the need for their involvement in the process to offer ideas and also raise their concerns. Of course, there may be some challenges when reaching some of the stakeholders, and therefore it is important to show them how they are going to benefit from the whole process in short and in the long term. This stage of stakeholder engagement influences the success of watershed management because if most of the stakeholders embrace the process, they will contribute in the planning, and it will remove some hurdles that are likely to emerge at advanced stages of the planning process. To get the maximum benefit from the stakeholders, it is prudent to know or group the stakeholders into various categories depending on their status, skills, and potential roles in the planning process (e.g., USEPA 2008): • Stakeholders with technical skills, e.g., researchers, scientists, and government representatives • Stakeholders who can provide financial resources, e.g., NGOs, government ministries and department, companies, etc.

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• Stakeholders who can provide local or scientific information about the watershed, e.g., village elders, universities, research institutes, etc. • Stakeholders who could be having programs (already running or planned) that can be integrated in the watershed management planning • Stakeholders who will have a direct role in implementing the watershed plan • Stakeholders who may be affected by the implementation of the plan • Any other relevant category depending on the composition of the stakeholders and their relevance in the watershed management planning and implementation Innovative ways of engaging the stakeholders should be used so as to solicit their views, ideas, and concerns. This could be in the form of public meetings, surveys, specialized committees, consultative forums, etc. The idea is to actively involve the stakeholders in the planning process where their resources in form of skills, knowledge, ideas, finances, connections will be used to benefit the process. The concerns, views, and interests of various stakeholders are also discussed and incorporated in the plans in the best way possible for the benefit of all the stakeholders and the environment.

Watershed Assessment A fundamental part in the process of watershed planning or integrated water resources management (IWRM) is the evaluation of the current conditions of the water and natural resources as well as socioeconomic status in the watershed. In this step, all the information required for identification of issues/problems related to water resources in the respective watershed and specific measures to address them is collected and analyzed. The more formal definition of water resources assessment is “the determination of the sources, extent, dependability and quality of water resources for their utilization and control” (WMO 2012). The assessment of the socioeconomic conditions of the watershed is helpful in understanding the existing and possible future growth in key water-using sectors of the economy, social dynamics, and interactions and possible social impacts of watershed management decisions. Through watershed assessment process, the following information should be obtained: Quantity and demand of freshwater resources in the catchment Since rainfall is the major source of freshwater resources in a watershed, it is necessary to have information about the annual precipitation amounts as well as information about its spatial and temporal (seasonality) variability (cf. Julich et al., this book). Additionally, it is important to know about the quantity and frequency of river discharges since they form the basis for planning of water-related developments, water sharing, and flood risk management. Assessment of available freshwater resources should also include groundwater and other surface water resources, e.g., freshwater lakes and reservoirs. Another important aspect of the quantification of water resources is the assessment of the current and future water demand in the watershed for: • • • •

Domestic use Industrial production Hydropower generation Irrigation

Quality of water resources

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For the planning process, it is important to know about the status of the quality of the water resources as well as possible sources of pollution. In general, stream water quality can be impaired via point sources like discharges of untreated or insufficiently treated wastewater from municipalities and industries. Another source of impairment is the nonpoint source pollution from the landscape in form of agricultural chemicals like fertilizer or pesticides as well as sediments eroded from unprotected soils in the landscape (e.g., after clear-cutting or forest fires). Socioeconomic conditions in the watershed The socioeconomic conditions in the watershed determine future water demand and influence land use and therefore impact quantity and quality of the water resources. On the other hand, most measures developed by the watershed management planning will also have socioeconomic impacts. Thus, data and information on water use, current population, and growth rates are necessary. In order to select or design management strategies that are able to improve livelihoods, information of the sources and levels of income of the community are necessary. Information on values, norms, beliefs, and social interaction of the local communities may also be required in order to design strategies that are acceptable. Other data and information necessary to characterize the watershed include biophysical characteristics (e.g., topography, soils, land use, hydrogeology, etc.) and climate (e.g., rainfall, temperature, evapotranspiration rates, etc. [cf. Julich et al., this book]). The extent and quality of information required depend on the objectives and scope of the watershed management. Watershed Assessment Process Scoping To get a preliminary understanding of the watershed and all the underlying issues, the first task is to carry out scoping exercise. Scoping helps to identify the scale and full extent of watershed problems, issues to be addressed, and external issues that may constrain or facilitate the process such as the government policies and legal framework. It is based on the existing data and information as well as discussion with the stakeholders. It therefore aids in setting the boundaries of the planning process and the geographical boundaries of the watershed. With scoping, the process remains focused. Setting Out Watershed Management Goals After scoping, the stakeholders have a clearer picture of the issues that they need to address. Therefore, the objectives for the watershed management are set taking into account the issues identified and the resources available. The goals may be broad at the start but will narrow down as the process continues. When setting the goals, it is important to keep in mind that all issues that were identified during the scoping stage may not be addressed at the same time, and therefore it is a good idea to prioritize some issues. An example of a goal at this stage may be to reduce the surface water pollution or developing an equitable water sharing plan in the watershed. The goals may be broad but will help in the next stage of data collection and analysis. Data Collection and Analysis As pointed out already, the extent and the quality of data and information required will depend on the objectives and scope of watershed management. The first step in data collection is to gather all the relevant existing data. The sources may include- but not limited to: government departments and institutions, NGOs, universities, research institutions, and credible Internet databases. Data quality assessment is necessary to ensure that the data used for analysis do not lead to wrong conclusions or wrong decisions especially the selection of watershed management strategies. Time series analyses (e.g., trend analysis), for example, require long-term (e.g., over 20 years) observed data series (e.g., of discharge, rainfall, temperature, etc.). This kind of data always requires quality checks Page 13 of 23

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(e.g., wrong entries and presence of gaps) before analysis. Details on the causes and how to deal with uncertainties including gap filling of observed climate, discharge, and water quality data are available in literature (e.g., McMillan et al. 2012; WMO 2012). Additional data may be collected if it is required and not available. Data collection is also necessary during the monitoring and evaluation stage. The process of data collection should employ the right tools, equipment, and methods to ensure data collected is credible and correct for decision-making. Wrong design and timing of sampling for water quality, for example, could lead to considerable over- and underestimations of, for example, nutrient and sediment loads in the watershed (McMillan et al. 2012; Defew et al. 2013; Jordan and Cassidy 2011). With technological advancements, there are several tools and computer programs that are available for data analysis. Geographical information system (GIS) is a powerful tool for the analysis and visualization of spatial data. GIS is particularly useful in distributed rainfall-runoff modeling. It allows input of data with spatial variability (e.g., soils, land use, rainfall) in the models. Watershed delineation and calculation of flow parameters, e.g., flow path length, accumulation, and direction from topographic data (e.g., digital elevation models), are some of the capabilities of GIS applicable in watershed modeling. Remote sensing is another technology with a wide application in watershed assessment (Ward and Trimble 2004). Analysis of satellite images and aerial photography is a quick way of getting watershed conditions. One common and important analysis of satellite images is the development of land-use/land cover maps of watersheds through visual or digital image classification techniques (Richards 2013). This is a quick and economical way of assessing the current status of land use/land cover in the watershed as well as to investigate the land-use/land cover changes over time. Another important application of remote sensing with regard to watershed hydrology is the use of weather satellite to monitor earth-atmosphere systems. Weather satellite data can be analyzed to retrieve information for weather forecast. Meteorological parameters that can be derived from weather satellite data include: precipitation, sea and land surface temperature, radiation, wind, water vapor, clouds, and atmospheric gases, e.g., carbon dioxide. Methods of analysis of these parameters can be found in the literature (e.g., Thies and Bendix 2011; Li et al. 2013; Trigo et al. 2008; Bellerby 2004). Information on soil moisture is useful not only in hydrology but also in other applications such as crop production. Research has shown that there is potential of deriving soil moisture from remote sensing data (e.g., Albergel et al. 2012; Njoku et al. 2003). Analysis of hydrometeorological data is essential for water resources assessment, conservation, and planning of watershed development. Weather parameters, i.e., precipitation, temperature, evaporation, etc., and streamflow are regularly measured in many watersheds. Analysis of long-term observed climatic and streamflow data shows the water balance in the watershed. Several analyses can be carried on the observed historical data depending on the intended objective. Table 2 provides examples of some typical analysis for river discharge and rainfall data. There are more analysis that are applicable for the two (rainfall and discharge) and other climatic variables which can be found in literature (e.g., Maidment 1993; Ward and Trimble 2004). The average and variability of the climatic parameters and discharge are equally useful and informative of watershed conditions and can be analyzed using basic descriptive statistical procedures. Selection of Watershed Management Strategies and Interventions After data analysis, the existing status of the watershed will be known, and measures to improve or protect the evaluated conditions should be developed. The strategies and related measures should solve the specific problems identified, e.g., for pollution, actions or activities to improve water quality to the required standard should be selected. The strategies may be developed for different spatial scales, e.g., national, watershed, and sub-watershed (farm) level. A portfolio of possible interventions can be developed in a first step and afterwards the most

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Table 2 Examples of typical analysis of streamflow and rainfall data Typical analysis Streamflow (discharge) data Flow duration curves

Frequency analysis 1. Low flow analysis 2. Flood frequency analysis Flood (flow) routing Mass curves Hydrographs Hydrological modeling and simulation Double-mass curves Rainfall data Areal rainfall Intensity-Frequency-Duration (IDF) curves Hydrological modeling and simulation

Usefulness Water yield assessment; planning and licensing of water diversions from the river, e.g., for water supply, irrigation, hydropower, etc.; reserve (environmental) flow estimation; reservoir sedimentation studies; water quality management, e.g., waste-load allocation Abstraction licensing, waste-load allocations, environmental flow estimation Flood risk assessment, design of hydraulic structures, e.g., dykes, culverts, spillways, etc. Flood risk management (e.g., flood warning systems, natural, and man-made waterways transport management Water storage reservoir design and operation Flood risk management (e.g., flood warning systems), design of water control structures and watershed planning Prediction of land use and climate change on water resources Checking inconsistency (variation) in observed data record Spatial representation of rainfall for planning and hydrological modeling Peak runoff (flood) estimation, design of flood control structures Prediction of land use and climate change on water resources

feasible ones selected. Suitable criteria for evaluating the strategies should be developed and agreed upon. Some of the factors to consider are (USEPA 2008): • Effectiveness • Cost • Acceptance by the stakeholders One way of evaluating the effectiveness of selected management strategies are numerical computer models (Leavesley 2005). Such models are powerful tools which can be used for the prediction of desired scenarios where a number of processes are simulated using a number of inputs. However, it is important to note that different models have different capabilities, data requirements, and also limitations. Quality of input data directly affects the model outputs and therefore the results of computer model is as good (or as bad) as the data used. The Soil and Water Assessment Tool (SWAT) (Arnold et al. 1998) is an example of a hydrological model that has been widely used for assessing land management scenarios, also in tropical regions (e.g., Gathenya et al. 2011; Hunink et al. 2012; Garg et al. 2012; Quintero et al. 2009). SWAT can be used to evaluate the effectiveness of best management practices for soil and water conservation on water quality and water yield. Economic analysis of the strategies is required to determine the cost-effectiveness of the strategies and also assess the cost (of implementation and maintenance/running) and the benefits (short term and long term) of the strategies.

Development of the Watershed Plan The watershed management plan is the blueprint for development and management of water resources. It sets out the goals, objectives, and actions for managing the water resources within a specified duration of Page 15 of 23

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time (GWP and INBO 2009). The plan should be actionable with set time frames, specific roles, and responsibilities and the also the financing mechanism. The plan should include: • • • • • • • • • •

Watershed description Status of the watershed (from water resources assessment) Stakeholder analysis Watershed management goals and objectives Watershed management strategy analysis Selected watershed management strategies Roles and responsibilities of implementation Implementation schedule Financing arrangement for implementation including sources of funds Monitoring and implementation plan

Implementation of the Watershed Plan The plan is just a roadmap to watershed management, and therefore it has to be implemented to achieve the set goals. It is wise to have a lead institution or team spearheading the implementation by coordinating the various activities. Capacity development of the individuals’, groups’, or agencies’ implementation activities on the ground is required and should be availed. Information on the progress of the implementation of the plan should continuously be shared among all the shareholders including those who do not have the implementation responsibility. This makes the process credible and smoother because stakeholders are more likely to support the plan when they perceive it as transparent. Continuous flow of information reduces conflicts and other roadblocks that may appear during the implementation of the plan.

Monitoring and Evaluation Monitoring and evaluation program is one of the main components of watershed management plans and should be developed during the stage of plan development. The main aim of monitoring and evaluation is to measure the progress of the implementation of the plan towards meeting watershed management objectives and to assess the impact the watershed management efforts are making on the watershed issues identified during the watershed assessment. Monitoring is intended to find out the degree and extent to which the watershed management plan and the selected strategies are changing the state of water resources and the economic, social, and ecological conditions in the watershed (GWP and INBO 2009). Monitoring Criteria When developing the monitoring program during the plan development stage, criteria for measuring progress should be developed as well. It is only against these criteria that the success of watershed management efforts can be assessed. The criteria set ought to be realistic and agreed upon by the stakeholders. Criteria comprise of indicators or targets that should be achieved within specific time frames. The indicators can be qualitative or quantitative depending on the variables or activities to be measured. For example, turbidity can be used as an indicator for sediment load reduction in surface water. Turbidity can be measured by equipment such as turbidity meters which give quantitative values or Secchi disks which is more qualitative. Targets such as the size of total land put under agreed soil and water conservation interventions (including afforestation) within a time frame can also be used to monitor progress. Another indicator may be the annual sedimentation in lakes and reservoirs recorded in dated sediment cores. Page 16 of 23

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Monitoring Programs Monitoring should be made for the water resources themselves and also for the watershed management efforts. The monitoring programs should take into account these two levels of assessment. Measuring the water resources requires determination of the parameters to be measured and the frequency of measurements. The parameters to be monitored depend with the already-set objectives, and the frequency of measurements should be agreed upon. These measurements come with a cost which should also be included in the budget. The roles and responsibilities of monitoring should also be thought and agreed beforehand. The monitoring team should be credible and diligent in their work to ensure transparency of the process. Monitoring the watershed management efforts is helpful to make sure that the implementation program is on schedule. It also helps to identify and solve any issues that may arise during implementation and if necessary change of tact or modification of some strategies. It is also a learning process where lessons learned are used to improve the planning and implementation process in the subsequent watershed planning and implementation cycles. For this reason, documentation is very crucial because it keeps a record of the process of implementation for reporting and for reference. Impact Evaluation Watershed management is done to achieve some objectives, e.g., minimize land degradation or raise efficiency in water use. Therefore, after implementation of the watershed management plans, it is always wise to assess whether the set of strategies developed or the implementation of the plan met the set objectives. It is basically assessing the impact of the implemented strategies on the water resources, livelihood, ecosystem, etc. as set in the objectives. The other aim of evaluation is to get information/ lessons that should be used in the improvement of the watershed management program. Evaluation should be carried out on the planning and implementations process and the outcome of the watershed management efforts. Planning and implementation process evaluation should focus on: • • • •

Stakeholder engagement Use of resources, e.g., financial and human resources Organization and management of the process Implementation activities (coordination and their effectiveness)

The evaluation of the outcome of the watershed management should be based on the set objectives and may include impact on: • • • •

Water quality Water sharing Livelihood improvement, i.e., socioeconomic status Environmental protection and rehabilitation, e.g., rehabilitation of degraded lands

Evaluation can be carried out using a variety of methods depending on what is to be assessed, e.g., observations, measurements, focus group discussion, and survey interviews. The results of the monitoring and evaluation process should be well documented and used to make adjustments in the plan.

Revision of the Plan Watershed management is an iterative and adaptive process where the lessons from one stage or cycle are used to improve the planning and implementation process in subsequent stages and cycles (cf. Fig. 2). Therefore, the results of monitoring and evaluation should be used to make adjustments in the planning and implementation programs. Page 17 of 23

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Watershed Assessment: Case Study Sasumua Watershed, Kenya The Sasumua dam watershed (Fig. 3) is located in the central highlands of Kenya and supplies 15 % of water used in the capital, Nairobi. The local Water Resources Users Association (Sasumua WRUA) carried out a water abstraction survey with support of Water Resources Management Authority (WRMA). WRMA is the state institution with the legal mandate to oversee water resources management in Kenya. The objectives of the survey were to establish the water resources base in the catchment; establish the level of compliance of water use, allocation, and permit conditions; and document riparian area land-use conditions. The abstraction survey was necessary in this watershed because there were several unregistered abstractions and abstraction exceeded the licensed limit. Therefore this exercise was necessary to estimate naturalized flows for water allocation planning. Prior to the survey, meetings were held to sensitize the local community and especially all the water abstractors on the planned exercise. The meetings, which were organized through the WRUA committee officials and supported by WRMA, were not only important to inform the community of the survey but 36°36'30"E

36°42'0"E

0°37'30"S

0°37'30"S

Chania

Kiburu 0°43'0"S

Sasumua

!(

!(

# *

0°43'0"S

# * !(!( Others

0 1 2 3 4 Kilometers

0°48'30"S

0°48'30"S Legend !( Intake

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Weather station Stream Chania tunnel Kiburu pipe Sasumua Reservoir Sub-watershed boundary

36°36'30"E

36°42'0"E

Fig. 3 Sasumua watershed (Mwangi et al. 2012a) Page 18 of 23

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Table 3 Surface water abstraction status of Sasumua watershed (Mwangi et al. 2012b) Stream Chania Kiburu Sasumua

Permitted abstraction (m3/day) 1,459 11,467 173

Estimated abstraction (m3/day) 7,599 12,152 173

Fig. 4 Soil erosion “hotspots” in Sasumua watershed based on simulation using the SWAT model (Mwangi et al. 2012a)

also to reduce hostility from the community and gain their acceptance and cooperation during the exercise. The meetings also sought to assure the unregistered/illegal abstractors that the exercise was not intended to arrest or prosecute them. Those with abstraction permits were requested to carry them to site during the day of survey exercise of which the schedule was communicated to them early enough. Existing data such as climatic, discharge, reservoir levels, and water abstraction permits were first collected from various organizations. Elected WRUA officials led the fieldwork which involved measuring of water abstraction from all diversion points which were well known by the local WRUA officials. A combination of methods and equipment was used to measure the water diverted from the river, e.g., current meters, Acoustic Doppler Velocimeter (ADV), bucket and stopwatch, external pipe flow meters, and hydraulic computations from dimensions of flow structures. Engagement of the local communities through their elected officials in the WRUA proved to be very helpful in this exercise. Most of the water abstractors including the unlicensed ones turned up for the exercise and gave the required information. It also gave the opportunity where the WRMA officials met the illegal abstractors (found to comprise 25 % of all abstractors) and informed them of the need to register

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and apply for water abstraction licenses. The estimated abstractions were found to exceed the permitted amount (Table 3). As it was found out, the excess abstraction was not only because of unregistered water users but also contributed by abstraction in excess of permitted limits by licensed abstractors (Mwangi et al. 2012b). Free engagement with the abstractors was very useful in getting this information which otherwise they would not divulge. Collaboration with other institutions working in the watershed was useful to provide data, information, and resources which were necessary for this exercise and also for the entire watershed management. Pro-poor Rewards for Environmental Services in Africa (PRESA) project which is a collaboration between World Agroforestry Centre (ICRAF) and the Jomo Kenyatta University of Agriculture and Technology (JKUAT) provided topographic, climatic, and land-use data. Further, research studies conducted in the watershed under the project had identified soil erosion “hotspots” (Fig. 4) and identified suitable sustainable land management practices to control degradation of the watershed (Mwangi et al. 2012a, 2014).

References African Ministers’ Council on Water (AMCOW) (2012) Status report on the application of integrated approaches to water resources management in Africa. African Ministers Council on Water, ISBN 978-87-90634-01-8 Albergel C, Rosnay P, Gruhier C, Muñoz-Sabater J, Hasenauer S, Isaksen L, Kerr Y, Wagner W (2012) Evaluation of remotely sensed and modelled soil moisture products using global ground-based in situ observations. Remote Sens Environ 118:215–226 Arnold JG, Srinivasan R, Muttiah RS, Williams JR (1998) Large area hydrological modeling and assessment, Part 1: model development. J Am Water Res Assoc 34:73–89 Associated Programme on Flood Management (APFM) (2007) Formulating a basin flood management plan: A tool for integrated flood management. World Meteorological Organization/Global Water Partnership Bathurst JC, Birkinshaw SJ, Cisneros F, Fallas J, Iroumé A, Iturraspe R, Gaviño Novillo M, Urciuolo A, Alvarado A, Coello C, Huber A, Miranda M, Ramirez M, Sarandón R (2011) Forest impact on floods due to extreme rainfall and snowmelt in four Latin American environments 2: model analysis. J Hydrol 400:292–304 Bayley PB (1995) Understanding large river-floodplain ecosystems. Bioscience 45:153–158 Bellerby TJ (2004) A feature-based approach to satellite precipitation monitoring using geostationary ir imagery. J Hydrometeorol 5:910–921 Brauman KA, Daily GC, Duarte TK, Mooney HA (2007) The nature and value of ecosystem services: an overview highlighting hydrologic services. Annu Rev Env Resour 32:67–98 Bruijnzeel LA (2004) Hydrological functions of tropical forests: not seeing the soil for the trees? Agri Ecosyst Environ 104:185–228 Calder IR (2002) Forests and hydrological services: reconciling public and science perceptions. Land Use Water Resour Res 2:2.1–2.12. http://www.luwrr.com. Accessed 25 Jun 2014 Calder IR (2005) Blue revolution: integrated land and water resource management. Earthscan, London Calder IR, Smyle J, Aylward B (2007) Debate over flood-proofing effects of planting forests. Nature 450:945 Chambers R, Conway G (1991) Sustainable rural livelihoods: practical concepts for the 21st century. Institute for Development Studies (IDS) discussion paper no. 296. Institute for Development Studies, London Page 20 of 23

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Chang L, Shen H, Wang Y, Huang J, Lin Y (2010) Clustering-based hybrid inundation model for forecasting flood inundation depths. J Hydrol 385:257–268 Defew LH, May L, Heal KV (2013) Uncertainties in estimated phosphorus loads as a function of different sampling frequencies and common calculation methods. Mar Freshw Res 64:373–386 European Commission (EC) (2007) Directive 2007/60/EC of the European Parliament and the council of 23 October 2007 on the assessment and management of flood risks. Off J Eur Union L 288:27–34 European Commission (EC) (2012) Report from the Commission to the European Parliament and the Council on the Implementation of the Water Framework Directive (2000/60/EC) River basin management plans, Brussels. http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52012DC0670&from=EN. Accessed 25 Jun 2014 Falkenmark M, Rockström J (2004) Balancing water for humans and nature: the new approach in ecohydrology. Earthscan, London Food and Agriculture Organization of the United Nations (FAO) (2006) The new generation of watershed management programmes and projects. FAO forestry paper 150. FAO, Rome Food and Agriculture Organization of the United Nations (FAO) (2013) Forests and water. International momentum and action. Food and Agriculture Organization of the United Nations, Rome Garg KK, Karlberg L, Barron J, Wani SP, Rockstrom J (2012) Assessing impacts of agricultural water interventions in the Kothapally watershed, Southern India. Hydrol Process 26:387–404 Gathenya M, Mwangi H, Coe R, Sang J (2011) Climate – and land use-induced risks to watershed services in the Nyando River basin, Kenya. Exp Agri 47:339–356 Global Water Partnership (GWP) (2000) Integrated water resource management. GWP Technical Advisory Committee (TAC) Background papers no. 4. Global Water Partnership, Stockholm Global Water Partnership, International Network of Basin Organizations (GWP & INBO) (2009) A handbook of integrated water resource management in basins. GWP & INBO, Stockholm. ISBN 978-91-85321-72-8 Hunink JE, Droogers P, Kauffman S, Mwaniki BM, Bouma J (2012) Quantitative simulation tools to analyze up and down interactions of soil and water conservation measures: supporting policy making in the Green Water Credits Program of Kenya. J Environ Manage 111:187–194 Johnson CL, Priest SJ (2008) Flood risk management in England: a changing landscape of risk responsibility? Int J Water Resour D 24:513–525 Johnson N, Ravnborg HM, Westermann O, Probst K (2002) User participation in watershed management and research. Water Policy 3:507–520 Jordan P, Cassidy R (2011) Technical note: assessing a 24/7 solution for monitoring water quality loads in small river catchments. Hydrol Earth Syst Sci 15:3093–3100 Khatibi R (2011) Evolutionary systemic modelling of practices on flood risk. J Hydrol 401:36–52 Leavesley G (2005) 129: rainfall-runoff modeling for integrated basin management. In: Anderson MG (ed) Encyclopaedia of hydrological sciences. Wiley, Chichester Li ZL, Tang BH, Wu H, Ren H, Yan G, Wan Z, Trigo IF, Sobrino JA (2013) Satellite-derived land surface temperature: current status and perspectives- a review. Remote Sens Environ 131:14–37 Maidment RD (1993) Handbook of hydrology. McGraw-Hill, New York McMillan H, Krueger T, Freer J (2012) Benchmarking observational uncertainties for hydrology: rainfall, river discharge and water quality. Hydrol Process 26:4078–4111 Mostert E, Junier SJ (2009) The European flood risk directive: challenges for research. Hydrol Earth Syst Sci Discuss 6:4961–4988 Mwangi HM, Gathenya JM, Mati BM, Mwangi JK (2012a) Evaluation of agricultural practices on ecosystem services in Sasumua watershed, Kenya using SWAT model. Paper presented at 7th JKUAT scientific, technological and industrialization conference. Nairobi, 15–16 Nov 2012 Page 21 of 23

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Mwangi JK, Gathenya JM, Mwangi HM (2012b) Sasumua catchment abstraction survey report. Sasumua Water Resources Users Association/Water Resources Management Authority, Nairobi Mwangi HM, Feger KH, Julich S, Gathenya J, Mati B (2014) A model-based approach to assess the effects of sustainable land management practices on hydrological ecosystem services – case studies from Eastern Africa. Forum f€ ur Hydrologie und Wasserbewirtschaftung Heft 34.14- Wasser, Landschaft, Mensch in Vergangenheit, Gegenwart und Zukunft- Beitr€age zum Tag der Hydrologie, Kartholische Universt€at Eichst€att-Ingolstadt, 20–21 Mar 2014 Njoku EG, Jackson TJ, Lakshmi V, Chan TK, Nghiem SV (2003) Soil moisture retrieval from AMSR-E. IEEE Trans Geosci Remote 41:215–229 Pegram G, Li Y, Quesne LT, Speed R, Li J, Shen F (2013) River basin planning: principles, procedures and approaches for strategic basin planning. UNESCO, Paris. ISBN 978-92-3-001152-9 Quintero M, Wunder S, Estrada RD (2009) For services rendered? Modeling hydrology and livelihoods in Andean payments for environmental services schemes. Forest Ecol Manag 258:1871–1880 Recha JW, Lehmann J, Walter MT, Pell A, Verchot L, Johnson M (2012) Stream discharge in tropical headwater catchments as a result of forest clearing and soil degradation. Earth Interact 16: Paper No. 13, 1–18 Richards JA (2013) Remote sensing digital image analysis, 5th edn. Springer, Berlin/Heidelberg Roggeri H (ed) (1995) Tropical freshwater wetlands: a guide to current knowledge and sustainable management, Developments in hydrobiology (Netherlands) 112. Kluwer Academic Publishers, Dordrecht. ISBN 0-7923-3785-9 Thies B, Bendix J (2011) Satellite based remote sensing of weather and climate: recent achievements and future perspectives – review. Meteorol Appl 18:262–295 Trigo IF, Peres LF, DaCamara CC, Freitas SC (2008) Thermal land surface emissivity retrieved from SEVIRI/Meteosat. IEEE Trans Geosci Remote 46:307–315 United Nations Environment Programme (UNEP) (2005) Water and wastewater reuse. An environmentally sound approach for sustainable urban water management. UNEP Division of Technology Industry and Economics (DTIE)/Global Centre Foundation (GCF), Osaka United Nations Environment Programme (UNEP) (2009) Water security and ecosystem services – the critical connection. A contribution to the United Nations world water assessment programme. UNEP, Nairobi United Nations Environment Programme (UNEP) (2010) From concept to practice-key features, lessons learned and recommendations from implementation of the IWRM 2005 target. UNEP integrated water resources management programme. UNEP Collaborating Centre on Water and Environment, Nairobi United Nations Environment Programme (UNEP) (2012) The UN-water status report on the application of integrated approaches to water resources management. United Nations Environment Programme, Nairobi. ISBN 978-92-807-3264-1 United States Environmental Protection Agency (USEPA) (2008) A handbook for developing watershed plans to restore and protect our waters. United States Environmental Protection Agency Office of Water, Washington, DC Vörösmarty CJ (2009) The Earth’s natural water cycles. In: Brite R, Clayson AM (eds) The United Nations world water development report 3: water in a changing world. UNESCO/Earthscan, Paris/ London, pp 166–180 Wahren A, Schw€arzel K, Feger KH (2012) Potentials and limitations of natural flood retention by forested land in headwater catchments: evidence from experimental and model studies. J Flood Risk Manage 5:321–335 Ward AD, Trimble SA (2004) Environmental hydrology, 2nd edn. CRC Press LLC, Boca Raton

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World Meteorological Organization (WMO) (2012) Technical materials for water resources assessment, vol 2, Technical report series. World Meteorological Organisation, Geneva. ISBN ISBN 978-92-6311095-4 World Water Assessment Programme (WWAP) (2012) The United Nations world water development report 4: managing water under uncertainty and risk. UNESCO, Paris

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Watershed Management Practices in the Tropics Hosea M. Mwangia,b*, Stefan Julicha and Karl-Heinz Fegera a Institute of Soil Science and Site Ecology, Technische Universit€at Dresden, Dresden, Germany b Biomechanical and Environmental Engineering Department, Jomo Kenyatta University of Agriculture and Technology, Juja, Kenya

Abstract Tropical watersheds are characterized with high input in energy which allows agricultural production throughout the year. Many tropical countries have developing economies largely supported by agriculture. Unsustainable agricultural production is a major cause of land degradation and water pollution. Watershed management in the tropics should focus on practices which promote synergies among agricultural production, environmental protection, and poverty alleviation. In this chapter the concept of sustainable land management practices which is crucial in selection of appropriate watershed management practices is discussed. Further, the environmental services approach in watershed management is highlighted, and some examples of water-related Payment for Environmental Services (PES) schemes and programs in tropical Africa are given. A case study of a successful PES program in Kenya is then discussed. The need for creating an enabling environment for watershed management by creating appropriate policies, laws, and institutions is discussed, and a case study of legal and institutional framework from two East African countries is presented.

Keywords Water resources management; payment for environmental services; sustainable land management practices

Introduction The demand for freshwater worldwide is rising as more water is needed for domestic, irrigation, and industrial use. Water scarcity is a major challenge facing the world today and is a source of conflict among countries, states, and even local communities sharing water resources. Dealing with water scarcity requires integration of several solutions ranging from efficient use, recycling, and reuse as well as sound management of water resources. Pollution, overexploitation of groundwater, climate change, and unsustainable human activities in watersheds (e.g., deforestation, soil degradation) are some of the major threats facing water resources today. Sound watershed management ensures that the water resources are protected from pollution and a sustainable supply of freshwater. Watershed management today goes beyond the traditional soil and water conservation, thanks to increased environmental awareness, research, and technological advancement. It now additionally includes practices like protection from micro-pollutants, flood risk management, conservation of floodplain and aquatic biodiversity, and poverty alleviation.

*Email: [email protected] Page 1 of 16

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Watershed management has evolved over the years, and many countries in the world have toward the end of the twentieth century embraced involvement of the stakeholders. Agenda 21 of the 1992 United Nations Conference on Environment and Development (UNCED) held in Rio de Janeiro emphasizes the need for integrated and participatory watershed management. Chapter 18 of Agenda 21 emphasizes the need to use integrated approaches in development, management, and use of the finite and vulnerable freshwater resources. Other chapters of Agenda 21 also touch on various aspects of watershed management, e.g., combating deforestation, desertification, and drought, sustainable mountain development, and integrated approach to planning and management of land resources. The Rio conference publicized the concept of Integrated Water Resources Management (IWRM) which is now globally accepted as an effective approach to watershed management (UNEP 2010). IWRM advocates for a holistic approach. It includes participation of stakeholders and recognizes freshwater resources as finite and vulnerable and urges its recognition as a social and an economic good. During the 2002 Johannesburg World Summit on Sustainable Development (WSSD), 193 countries agreed to adopt the IWRM approach to water resources management. Studies commissioned by various organizations have found that many countries are making good progress in the development and implementation of IWRM plans (AMCOW 2012; GWP 2004, 2006). Climate and land use are two main factors that impact watershed hydrology (cf. Julich et al. this book). Climate affects land-use/land cover as well i.e., it influences water and energy supply which determines the spatial and temporal variation of vegetation. The relationship is complex, and one of the challenges hydrologists are facing today is to separate the effects of changes in climate and land use in watershed hydrology for predictive purposes. Tropical climate is characterized with great input in solar energy. Hence, tropical watersheds experience warmer temperatures and less fluctuation in day length as compared to temperate regions. These climatic conditions enhance growth of vegetation all year round. The evergreen nature of tropical vegetation including tropical forests and high temperatures causes high evapotranspiration water losses from tropical watersheds. The climatic conditions in the tropics allow open field agriculture throughout the year. Most tropical countries have developing economies, and agriculture supports a large share of their economies. The humid tropics in particular are highly suitable for agriculture. Thus, one of the major challenges for watershed management in the tropics is deforestation and conversion of the tropical forests to agricultural land. This type of land-use change affects watershed hydrology by increasing the runoff flow, reducing dry season weather flows, and increasing soil erosion as a result of soil disturbance (Bruijnzeel 2004; Recha et al. 2012). Encroachment into the forests is partly attributed to the rising population and poverty in many tropical countries. Thus, to succeed, watershed management practices in the tropics must as well address poverty alleviation. Soil and water conservation is a major component of watershed management. Watershed climate and weather affect the purpose and the type of soil and water conservation practices. In the arid and semiarid regions, soil and water conservation practices should address water scarcity by minimizing soil moisture loss through evaporation, runoff harvesting, etc. In humid areas, the aim is to safely dispose excess rainwater, reduce soil erosion by runoff, reduce the speed of runoff, and enhance in situ infiltration of rainwater. Seasonal or short-term weather conditions, e.g., daily, weekly, or monthly, affect soil and water conservation needs across the entire spectrum of climatic regions. During the wet seasons or periods of heavy storms in arid and semiarid regions, the immediate aim of soil and water conservation is to safely dispose the runoff (either for storage or off to the rivers, lakes, or seas) with minimum runoff. During the periods of drought in humid regions, minimizing soil moisture losses for plant growth is a primary need. Therefore, soil and water conservation practices should be designed to cope with the climatic and seasonal weather conditions of a particular watershed. Freshwater resources are limited, and therefore, deliberate efforts should be made to prevent their pollution. Watershed management practices that control impairment of both surface water and Page 2 of 16

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groundwater from point and nonpoint source pollution need to be put in place. Soil erosion leads to sedimentation and siltation in surface water bodies. Eroded particles mostly originate from fertile topsoil rich in organic matter that has a high affinity to agricultural chemicals (e.g., pesticides) and nutrients from fertilizers causing nonpoint (“diffuse”) water pollution. Thus, soil and water conservation practices on the farmland and in the riparian areas (e.g., planting trees and hedges) assist in trapping of these pollutants before making their way to surface water. Furthermore, direct discharge of untreated wastewater and liquids and disposal of solid waste into water bodies that pollute water should be prohibited in law and in practice. Watershed management requires people’s awareness of the dangers of environmental degradation and the need to conserve the environment. The political goodwill is another important requirement for environmental protection- including watershed management. More important is having policies, laws, and institutions that address all aspects of environmental management.

Sustainable Land Management Practices There is a complex relationship between land, water, and people. Unsustainable land management practices lead to land degradation and threaten availability and quality of freshwater resources and livelihoods. Sustainable land management (SLM) simply means people taking good care of the land for supply of environmental goods and services today and in the future. It is the adoption of land-use systems that through appropriate management practices enables land users to maximize economic and social benefits from land while maintaining or enhancing the ecological support functions of the land resources (Liniger et al. 2011). It seeks to strike synergies among competing ecosystem services that land is expected to provide such as food production and soil conservation. The aim is to use land management practices that have other benefits besides conservation that will drive their adoption. Thus, SLM objectives are to increase land productivity, to conserve and protect ecosystems, and to improve livelihoods (Liniger et al. 2011). The idea is to make sure that land is put into its productive agricultural use (e.g., for food and fodder) and at the same time to avoid or minimize negative effect on the environment.

Land Productivity Land development is an important activity in watershed management as it has an effect on its capacity to produce watershed services. Therefore, productive agricultural land use should be a key element of watershed management programs. This is more relevant in developing countries where agriculture contributes a large share to their national economies. In order to maximize land productivity, SLM practices should ensure good soil and water management. This includes increased water availability (to the crops and other plants) during periods of water scarcity and proper management of excess rainwater in wet seasons. Runoff harvesting and practices which minimize evaporative soil moisture losses and improve irrigation efficiencies are examples of good water management during drought. Drainage of agricultural fields and minimizing soil nutrient loss through leaching and surface runoff is necessary during wet seasons. Sound soil management practices are required to maintain and improve soil fertility which is controlled by soil properties such as structure, organic matter content, and cation exchange capacity. Activities that degrade such soil properties, e.g., soil erosion and accelerated mineralization of soil organic matter, should be controlled by all means to ensure sustainable productivity of the land. On the other hand, practices which improve the soil properties such as good crop residual management should be encouraged (Lal 2009, 2013).

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Improving land productivity extends beyond the soil and water management to other areas such as planting of high yielding crop and other plant varieties and species and good crop husbandry. The point is that increased land productivity improves livelihoods and minimizes environmental degradation.

Environmental Protection Maximizing land productivity should not be done at the expense of the environment. Ecological health of the watersheds and the integrity of water resources should be protected even in the pursuit of increased land productivity. Watershed management should prevent land degradation in the form of soil erosion, soil physical and chemical properties degradation, desertification, and deforestation. The measures should prevent loss of biodiversity and control surface and groundwater impairment through point and nonpoint source pollution. In watersheds where land degradation is already taking place, watershed management practices should be designed to rehabilitate the land and the water resources. There are several soil and water conservation interventions which can be used to prevent land degradation and water pollution (Lal 2009, 2013). The interventions can be categorized into agronomic, vegetative, structural, and management measures (WOCAT 2007).

Livelihood Improvement Adoption of the SLM practices by land users and managers depends on the expected benefits and the costs of establishment. Practices that have benefits other than soil and water conservation are more likely to be adopted, for example, grass strips which are source of fodder in the short term and used for soil and water conservation in the long term (Mwangi et al. 2014). The livelihood of the farmers using grass strips would be improved from the extra income generated from increased milk production or from direct sale of fodder. Another example is agroforestry with tree species that can provide additional benefits such as fruits, fodder, and firewood. As pointed out already, increasing land productivity is necessary to improve livelihoods. When the socioeconomic status improves, people are more likely to follow the environmental laws. In contrast, the primary concern of poor people is to satisfy the basic needs in life such as food, water, and shelter. To them, environmental protection is a secondary issue. There are several sustainable land management practices that are already in use worldwide and which are common and applicable in different regions. Several studies have assessed the potential or the effectiveness of such practices in conservation (e.g., Arabi et al. 2008; Quintero et al. 2009; Mwangi et al. 2012). There is also rich literature on these practices especially in the tropical Africa where more details can be found (e.g., Mati 2007; Reij et al. 1996). World Overview of Conservation Approaches and Technology (WOCAT) maintains an online database of various practices applicable and used in different parts of the world (WOCAT 2007).

Watershed Management Policies: Legal and Institutional Framework Current watershed management practices require creation of an enabling environment for effective watershed management. An enabling environment implies having the right policies, laws, and plans for watershed management (AMCOW 2012; FAO 2006). Poverty highly contributes to environmental degradation, and therefore, watershed management policies should be designed taking into account the national poverty alleviation and development strategies (FAO 2006). The integrated approach of water

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Fig. 1 Water institutional setup after Kenya Water Act (2002) (WRMA Water Resources Management Authority, CAAC Catchment Area Advisory Committees, WRUA Water Resources Users’ Associations, WSRB Water Services Regulatory Board, WSB Water Services Boards, WSP Water Services Providers)

resources management requires integration of policies of all sectors that use or are likely to abuse water resources. The national policies on planning, agriculture, irrigation, water, forestry, and environment should ideally complement each other. New legislations that prioritize water resources management and create or strengthen the water management institutions are required. The laws should include regulations on, e.g., water sharing and prevention of water pollution and give water institutions power to enforce the laws. Lack of proper legal and institutional framework has been cited as one of the constraints hindering the development and implementation of IWRM plans (UNEP 2010; AMCOW 2012). Many tropical African countries embraced and committed to the introduction of IWRM. Some of those countries, e.g., Kenya and Ghana, have already developed and implemented IWRM policies, laws, and plans, while others are at different stages of development. In the following subsections, watershed management practices from two tropical countries in East Africa are presented with a focus on the legal and institutional framework. Kenya has fully implemented IWRM plans, while Tanzania is in the process (AMCOW 2012).

Situation in Kenya Watershed management in Kenya is legally the mandate of Water Resources Management Authority (WRMA), a statutory body created under the Water Act (2002). The institution came into operation in the year 2005 and has the mandate to effectively regulate and manage water resources in the country. It has the responsibility of monitoring, assessing, managing and protecting water resources among other responsibilities. Water resources management is guided by National Water Resources Management Strategy (NWRMS) which is developed by the Ministry of Water. Based on NWRMS, WRMA develops Catchment Management Strategies (CMS). The country is divided into six drainage-based catchment areas, and WRMA develops a CMS for each of the units. A CMS is a tool used to guide the use, development, management, and protection of water resources. Regional Catchment Area Advisory Committees (CAAC) (Fig. 1), formed for each of the six catchment areas, advise WRMA on water resources utilization, protection, and proper management of the resource. Further down at the subregional level, Sub-Catchment Management Plans (SCMPs) are used as tools for planning and implementing water

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Fig. 2 Forest areas in Kenya (adapted after KFS 2009)

resources management. The SCMPs are developed from CMS and are tailored for small sub-catchments where specific local interests and concerns are addressed. SCMPs are developed in a participatory process where water-related problems, their causes, and feasible interventions are identified and prioritized in a plan. The plan also includes the specific roles of stakeholders identified during the scoping phase of plan development, the budget of implementation of proposed interventions, as well as the time schedule. At the grassroots level (sub-catchment level) in each of the six catchment areas, Water Resources Users’ Associations (WRUA) comprising of local communities and water resources users are formed with the support of WRMA. The mandates of WRUAs are water-related conflict resolution and to work with WRMA to oversee fair resource utilization and management at the local level. SCMPs are developed and implemented by WRUAs with support of WRMA. By 2012, about 400 WRUA had already been established (WRMA 2012).

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Fig. 3 Institutional framework for water resources management in Tanzania (Adapted from Onyando et al. 2013)

The Constitution of Kenya (CoK 2010) that was passed in 2010 created a devolved system of governance where the country is divided into 47 counties. This created 47 county governments and the overall national government. In the new system of governance, some functions of WRMA have been assigned to the national government, while others have been devolved to the county governments. Catchment management and protection is one of the functions that have been devolved to county governments. As transition to county governments and devolvement of functions to counties which started operation after 2013 general election continues, WRMA envisages playing a facilitation role of watershed management to the county governments. This will be done through their already established subregional offices, which will work with county governments and WRUAs to develop and implement SCMPs (WRMA 2013). Kenya Forest Service (KFS) is a separate state corporation which also plays a major role in watershed management. It is responsible for conservation, development, and sustainable management of forests in Kenya (Fig. 2). Several natural forests including the five main “water towers” (Mt. Kenya, Aberdare Range, Mau Forests Complex, Cherangani Hills and Mt. Elgon) are headwaters of many rivers in the country. Conservation of these montane forests is very important for sustainability of river flows. The Kenya Forest Act (2005) provides for community involvement in forest management. KFS works with the local communities through registered Community Forest Associations (CFA). The communities benefit from the Income Generating Activities (IGAs) that they initiate in the forests (KFWG 2013). Examples of IGAs in Kenya are beekeeping, ecotourism, grazing, and firewood collection (Mbuvi et al. 2009). The aim of this form of Participatory Forest Management (PFM) is to foster partnership between the government and the communities in conservation and management of forests for mutual benefit. Other state corporations that play a role in water resources management include the National Environment Management Authority (NEMA), Kenya Water Towers Agency, and river basin development Page 7 of 16

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authorities, e.g., Tana and Athi River Development Authority (TARDA). Several non-governmental organizations (NGOs) such as WWF are also actively involved in watershed management programs.

Situation in Tanzania Water resources management in Tanzania falls under the Ministry of Water and is guided by the Water Resource Management Act (2009). A schematic illustration of the institutional framework of water resources management in Tanzania as provided in the Act is shown in Fig. 3. The National Water Board (NWB) advises the Minister on water resources planning and management as well as the conflict resolution in national and international waters. The Basin Water Boards are responsible for water resources management in their respective basins and work with catchment and sub-catchment water committees to coordinate and harmonize integrated water resources management plans at catchment and sub-catchment levels, respectively.

Environmental Services’ Concept for Watershed Management The concept of environmental (ecosystem) services received much attention globally at the start of the twenty-first century after the United Nations commissioned the Millennium Ecosystem Assessment (MEA 2005). The assessment noted that the economic development experienced towards the end of the twentieth century had caused serious ecosystem degradation. A red flag was raised as a warning for actions to stop environmental degradation; otherwise, the ecosystem’s capacity to provide environmental services continued to get limited. Since then, the concept of environmental services has been widely used in the environmental conservation programs. Innovative market-based schemes such as Payment for Environmental Services (PES) have been developed and applied for environmental conservation especially on water resources and forest conservation (Namirembe et al. 2013; Tresierra 2013; Nyongesa 2011). In PES schemes, the beneficiaries of the environmental services compensate the stewards of the services. Water resource-based PES schemes are commonly referred to as Payment for Watershed Services (PWS). Water-related services provided by the natural environment are commonly referred as watershed services or Hydrological Ecosystem Services (HES) (Brauman et al. 2007). The interaction of water and the environment (ecosystem) throughout the hydrological cycle provides many benefits to human beings. The benefits include: (i) Provision of freshwater. This can be divided into green and blue water. Green water is the water in the soil that is available for plant growth through transpiration, while blue water is the water available for drinking from different sources including rivers, freshwater lakes, springs, and underground aquifers. (ii) Water purification. As the water moves through the cycle, it sometimes gets contaminated (through human activities). The ecosystem has the ability to remove most of the pollutants from the water naturally. (iii) Flow regulation. When the water gets on the Earth’s surface as precipitation, it takes different pathways. The pathways are infiltration, surface and subsurface flow, and evaporation. The condition of the particular surface determines how the water will be partitioned into these pathways. Through this process the ecosystem is able to regulate overland flow – flash floods and groundwater flow – including recharge and discharge from underground aquifers. An ecosystem that allows high water infiltration is able to reduce flash floods and increase recharge of underground aquifers which ensures continuous flow of streams even in dry weather seasons. Page 8 of 16

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_155-1 # Springer-Verlag Berlin Heidelberg 2015

These benefits that are derived from water-environment interaction referred as hydrological ecosystem services or watershed services. A watershed is basically a topographically delineated area (land and water surfaces) draining into a common outlet. The outlet could be a reach of a river, a valley, a reservoir, a lake, or a sea. Anthropogenic activities on a particular watershed may have a positive or negative effect on water quality or quantity. The human activities may be a distance upstream of where their effects are felt in a watershed. In other words, upstream human activities have an effect on downstream water users. The effects may also include loss lives and property of downstream residents in case of floods. It is in this regard of upstream-downstream connection that the concept of Payment for Watershed Services (PWS) is based.

Payment for Environmental Services (PES) Projects for Watershed Management in Africa In the last decade, PES schemes have been used for watershed management in many countries in Africa, Latin America, and Asia (FAO 2006). In Africa, several schemes have been started though under different names. Most of these programs are promoted by various NGOs such as WWF, Care international, World Agroforestry Centre (ICRAF). Pro-poor Rewards for Environmental Services in Africa (PRESA), for example, is a program spearheaded by ICRAF, which has been piloting a number of PES projects in East and West Africa. The program has implemented PES projects across seven watersheds in Kenya, Tanzania, Uganda, and Guinea (Namirembe et al. 2013). The projects are targeted at watersheds with unsustainable agricultural activities and deforestation. PRESA project sites in Kenya are Sasumua (Mwangi et al. 2011), Lake Victoria, and Upper Tana (Balana et al. 2011) watersheds. In Tanzania, the sites are Mt. Uluguru and Usambara watersheds, while Albertine Rift and Fouta Djallon watersheds are the project sites in Uganda and Guinea, respectively (Namirembe et al. 2013). A similar market-based reward scheme called “Green Water Credits” (GWC) was started in Upper Tana Basin in Kenya (Hunink et al. 2012). WWF and CARE have also spearheaded a number of PES projects in Kenya and Tanzania under the name “Equitable Payment for Watershed Services” (EPWS). The EPWS project sites are Lake Naivasha watershed in Kenya, Zigi River watershed in East Usambara Mts. (Tresierra 2013), Ruvu River (Uluguru Mts.) in Tanzania (Kwayu et al. 2014), as well as the trans-boundary Mara River Basin shared by Kenya and Tanzania. PES requires the presence of willing sellers (stewards) and buyers (beneficiaries) of the environmental service (ES). One of the challenges of PES schemes is to identify and convince potential buyers to join and contribute financially to the scheme. To engage private companies/institutions and buyers of ES, a strong business case need to be formulated. Lessons learned from Kenya demonstrate that such kind of proposals needs to reach and be embraced by the top decision-making organs of the company (Namirembe et al. 2013). Another bottleneck that requires special attention is the legal and institutional arrangement. The legal framework ought to be flexible to allow direct participation of private sector in watershed management. In Kenya, for example, private entities abstracting surface or groundwater pay statutory fees to the government. Most potential buyers cite this as a reason for not joining PES schemes as part of that money is meant for watershed conservation. However, the money paid for conservation which can be accessed from the Water Service Trust Fund (WSTF) by WRUAs can only be used for conservation of public land. This leaves out privately owned land which is the main form of land tenure system and a major source on nonpoint source pollution. Some of the above-mentioned challenges have presented roadblocks to many of the PES projects discussed here and hindered them to continue to the implementation phase. The WWF/CARE EPWS program in the Lake Naivasha watershed in Kenya is an example of one of the projects that has undergone the implementation phase and is now in the scale-up phase. The project is discussed in detail as an example of a successful PES program where insights/lessons can be drawn from other similar projects. Page 9 of 16

Fig. 4 PES sites in Lake Naivasha (Nyongesa 2012)

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_155-1 # Springer-Verlag Berlin Heidelberg 2015

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_155-1 # Springer-Verlag Berlin Heidelberg 2015 30,000 26,717

sediment ton/ha

25,000 20,000 15,633 15,000 10,000 4,565

5,000 0

16 Forest

0

1 Agriculture

Grass

Agric + 50m strip Agric + 25m strip

Agric + 15m strip

Scenario

Fig. 5 Simulated sediment yield with land-use change scenario in Geta sub-catchment (Source: Gathenya 2007). Agriculture represents status quo Table 1 PWS implementation costs per hectare of farmland (Ellis-Jones 2007) Land-use change scenario 10 m grass strips 25 m grass strips 100 % pasture Agroforestry

Implementation costs per ha farmland (US$) 134 336 3,655 5,164

Opportunity costs per ha farmland (US$) 71 178 711 711

PES Scheme for Lake Naivasha Watershed, Kenya

The PES in Naivasha watershed was designed to be implemented in three phases. The first phase started in 2006 and involved the scoping and feasibility study. The implementation (2nd phase) started in 2008, and the project is in the final scale-up phase (Nyongesa 2011). Watershed Description Lake Naivasha is situated in the East Rift Valley of Kenya (Fig. 4). It is the largest inland freshwater lake in Kenya and is fed by two main perennial rivers, i.e., Malewa and Gigil. River Karati is a seasonal river that also drains into the lake. Rivers Turasha-Kinja and Wanjohi are tributaries of River Malewa that has its headwaters in Aberdare Mountains. Commercial horticulture is one of the main economic activities around the lake. The horticultural farms which surround the lake use the lake water for irrigation. Other economic activities around the lake include ranching, agriculture, tourism, fishing, and geothermal power production (Chiramba et al. 2011). Smallholder agriculture predominates the upper catchments of Malewa River. Scoping and Feasibility Study This phase essentially entailed assessing the feasibility and viability of initiating a PES scheme in the watershed. It included watershed characterization (hydrological assessment), economic analyses (i.e., cost/benefit analysis and business case analysis), livelihood analysis, and legal and policy assessment (Chiramba et al. 2011; Ellis-Jones 2007). The objective of hydrological assessment was to characterize the watershed problem by identifying the watershed services under threat and identify the possible interventions to enhance the provision of ES (Gathenya 2007). The assessment, which employed the use of the Soil and Water Assessment Tool (SWAT) model (Arnold et al. 1998), identified water quality as the key watershed service which had to be addressed. Soil erosion was found to be a major source of sediments

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_155-1 # Springer-Verlag Berlin Heidelberg 2015

(Fig. 5) and agricultural chemicals in the water. The study identified five soil erosion “hotspots” in the watershed out of which two (Turasha and Wanjohi sub-catchments) (Fig. 4) were prioritized for piloting. Land-use change recommendations made were establishment grass strips and terraces on steep slopes to reduce soil erosion, rehabilitation, and maintenance of riparian zones and agroforesty (Chiramba et al. 2011). Economic analysis was initiated to identify potential buyers of the ES, assess their willingness to join the scheme, and carry out a cost/benefit analysis (CBA) for the conservation measures selected during the hydrological assessment. The opportunity cost the farmers (sellers) had to incur as a result of conservation as well as the benefits the buyers were to receive was assessed in the CBA (Table 1). Commercial flower growers, water companies, power-generating companies, and businesses in the tourism industry such as hotels and government-owned Kenya Wildlife Service were identified as the potential buyers (Nyongesa 2011). The economic analysis provided sufficient financial justification for implementation of the scheme. Crop strip and restoration of riparian areas were found to be the most economical and feasible interventions (Gathenya 2007; Ellis-Jones 2007). The objective of the livelihood assessment was to establish livelihood aspects that would impact the design of PES scheme and also assess the willingness of the sellers (farmers) to voluntarily join the scheme. Key finding and recommendation from this study was that the land should not be taken out of its productive use and compensation should be in form of goods and services-not cash based. Majority of land owners are men, and if rewards are cash based, the money would not likely reach the women who are very important in the implementation and sustainability of conservation measures. Legal and policy analysis was undertaken to assess the viability of PES in terms of Kenyan law and also determine a legally feasible structure for engaging the upstream sellers and downstream buyers of ES. It was found that reward mechanisms were not recognized in law. However, the law recognized communitybased Water Resources Users’ Association (WRUA) as responsible for water management at the local level and Water Resources Management Authority (WRMA) as the state organ tasked with management and protection of water resources in the country. The selected watershed management measures were found to be best implemented through the already established WRUAs with the involvement and permission of WRMA. Implementation Phase Turasha and Wanjohi sub-catchments were selected for piloting. The two are located in the foothills of Aberdare ranges, and both are sub-catchments of Malewa River that feeds to the lake. WRUAs already established for both sub-catchments through WRMA were used as a platform to engage with stewards (sellers) of the watershed services. The buyers were mainly the commercial horticultural crop growers and are represented in an umbrella called Lake Naivasha Water Resources Users Association (LANAWRUA). The scheme started with 565 farmers whose membership was mainly drawn from farms in the identified “hotspots” in the two sub-catchments. The buyers association, LANAWRUA, is composed of Lake Naivasha Growers Group (LNGG) and the Lake Naivasha Riparian Association (LNR) (Nyongesa 2011). The two associations representing the sellers and the buyers, respectively, entered into a legally binding contract with the sellers committing to undertake mutually agreed conservation practices and the buyers committing to compensate the sellers for the conservation activities. The farmers were supplied with suitable grass varieties (usable as fodder and also appropriate for conservation) and agroforesty tree seedlings. LANWRUA made first two payments (about USD 10,000 each) to the sellers through their respective WRUAs. The payments which are conditional (only paid to the farmers who have implemented the agreed conservation measures) were shared to 470 farmers and 504 farmers for the first and second payments,

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_155-1 # Springer-Verlag Berlin Heidelberg 2015

respectively. The payment was in a form of vouchers which are redeemable for agricultural inputs at agreed local shops (Nyongesa 2011, 2012). Scale-Up Phase The program is currently in the scale-up stage which targets to include more farmers in the watershed. In this stage the number of farmers in the scheme has increased and more have expressed their willingness to join. The third payment was made in 2012, a total of 784 farmers from the two WRUAs benefited from USD 13,500 paid by the sellers (Nyongesa and Muigai 2012). More buyers have also shown interest and joined the scheme. The latest entrants comprise of ranchers and more flower companies. Future plans include expansion of the scheme internally and also externally to other regions (Chiramba et al. 2011). Monitoring Aspect A team composed of buyer and seller representatives is used to monitor the progress of implementation of the project. WWF as an intermediary and WRMA as the state organ tasked with conservation are also represented in the monitoring exercise. The team ensures that both parties fulfill their obligations as stipulated in the contract. Water quality (sediments) change monitoring is done by trained WRUA members using turbidity meters (Nyongesa and Muigai 2012). Impact/Achievements Though the water quality change in terms of sediment reduction is a long-term benefit, there has been reported qualitative improvement of water turbidity in the streams (Nyongesa 2011). Additionally over 45 ha of land have been put under a combination of different conservation measures (Nyongesa and Muigai 2012). The local community’s awareness of the importance of soil and water conservation has increased as demonstrated by the rising number of farmers joining the scheme. Livelihood has been improved from direct compensation from the scheme and also the secondary benefits like increased milk production due to increased availability of fodder (grass). The willingness of new buyers to join the scheme further demonstrates the viability of market-driven conservation in the region. Challenges Some of the challenges experienced in the Lake Naivasha PES project include: (i) Stretched resources – as more farmers embrace the project and express interest to join the scheme, the financial support from the committed buyers get stretched. A deliberate effort to engage and bring on board more potential buyers in the scheme is required. (ii) Many potential buyers perceive PES as “imposing an extra payment” for watershed conservation because water abstractors are obliged by law to pay a statutory fee for watershed conservation to the government. (iii) Pollution from degraded public lands – public land is not covered in the scheme, yet it is a major contributor of water pollution. (iv) Changing land ownership where parents subdivide their land to their children as part of inheritance poses a challenge of commitment of the new land owners to the PES scheme (Chiramba et al. 2011; Nyongesa and Muigai 2012).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_155-1 # Springer-Verlag Berlin Heidelberg 2015

References African Ministers’ Council on Water (AMCOW) (2012) Status report on the application of integrated approaches to water resources management in Africa. ISBN 978-87-90634-01-8 Arabi M, Frankenberger JR, Engel BA, Arnold JG (2008) Representation of agricultural conservation practices with SWAT. Hydrol Process 22:3042–3055 Arnold JG, Srinivasan R, Muttiah RS, Williams JR (1998) Large area hydrological modeling and assessment part 1: model development. J Am Water Resour Assoc 34:73–89 Balana BB, Yatich T, M€akel€a M (2011) A conjoint analysis of landholder preferences for reward based land-management contracts in Kapingazi watershed, East Mt. Kenya. J Environ Manage 92:2634–2646 Brauman KA, Daily GC, Duarte TK, Mooney HA (2007) The nature and value of ecosystem services: an overview highlighting hydrologic services. Annu Rev Environ Resour 32:67–98 Bruijnzeel LA (2004) Hydrological functions of tropical forests: not seeing the soil for the trees? Agri Ecosyst Environ 104:185–228 Chiramba T, Mugoi S, Martinez I, Jones T (2011) Payment for Environmental Services pilot project in Lake Naivasha Basin – a viable mechanism for watershed services that delivers sustainable natural resource management and improved livelihoods. UN-Water international conference on water in the green economy in practice: Towards Rio+20. Zaragoza, Spain, 3–5 Oct 2011 Constitution of Kenya (2010) Republic of Kenya Ellis-Jones M (2007) Naivasha Payment for Environmental/Watershed Services feasibility study overview. CARE Kenya and WWF- Eastern Africa Regional Office (EARPO), Nairobi Food and Agriculture Organization of the United Nations (FAO) (2006) The new generation of watershed management programmes and projects-FAO forestry paper 150. FAO, Rome Gathenya JM (2007) Feasibility assessment for Naivasha– Malewa payments for watershed services hydrological assessment WWF/CARE PES Project. WWF- Eastern Africa Regional Office (EARPO) and CARE Kenya Global Water Partnership (GWP) (2004) Informal stakeholder baseline survey- current status of national efforts to move towards sustainable water management using an IWRM approach. GWP, Stockholm Global Water Partnership (GWP) (2006) Setting the stage for change – Second Informal Survey by the GWP Network – giving the status of the 2005 WSSD target on national Integrated Water Resources Management and water efficiency plans. GWP, Stockholm Hunink JE, Droogers P, Kauffman S, Mwaniki BM, Bouma J (2012) Quantitative simulation tools to analyze up and down interactions of soil and water conservation measures: supporting policy making in the Green Water Credits Program of Kenya. J Environ Manage 111:187–194 Kenya Forest Service Act (2005) Republic of Kenya Kenya Forest Service (KFS) (2009) Kenya Forest Service strategic plan 2009/2010-2013/2014. KFS, Nairobi Kenya Forestry Working Group (KFWG) (2013) Participatory forest management plans (PFMG), Development, implementation, review and proposed monitoring framework report. Miti Mingi Maisha Mbora programme. Kenya Forest Service/East African Worldlife Society, Nairobi Kwayu EJ, Sallu MS, Paavola J (2014) Farmer participation in equitable payment for watershed services in Morogoro, Tanzania. Ecosyst Serv 7:1–9 Lal R (2009) Ten tenets of sustainable soil management. J Soil Water Conserv 64:20A–21A Lal R (2013) Climate-strategic agriculture and the water-soil-waste nexus. J Plant Nutr Soil Sci 176:479–493

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Liniger H, Studer M, Hauert C, Gurtner M (2011) Sustainable land management in practice-guidelines and best practices for sub-Saharan Africa. TerrAfrica, World Overview of Conservation Practices and Technologies (WOCAT) and Food and Agriculture Organization of the United Nations (FAO), Rome, ISBN 978-92-5-000000-0 Mati B (2007) 100 ways to manage water for smallholder agriculture in eastern and southern Africa – a compendium of technologies and practices. SWMnet working paper 13. Improved Management in Eastern & Southern Africa (IMAWESA), Nairobi Mbuvi MTE, Ongugo PO, Maua JO, Koech CK (2009) Making participatory forest management work in Kenya. Policy Brief, Kenya Forestry Research Institute (KEFRI), Nairobi Millennium Ecosystem Assessment (MEA) (2005) Ecosystems and human well-being: synthesis. World Resources Institute, Island Press, Washington, DC Mwangi JK, Gathenya JM, Namirembe S, Mwangi HM (2011) Institutional and policy requirements for payment for watershed services in Kenya – a case study of Sasumua watershed, Kenya. PRESA policy brief No. 2. ICRAF, Nairobi Mwangi HM, Gathenya JM, Mati BM, Mwangi JK (2012) Evaluation of agricultural practices on ecosystem services in Sasumua watershed, Kenya using SWAT model. Paper presented at 7th JKUAT scientific, technological and industrialization conference. Nairobi, 15–16 Nov 2012 Mwangi HM, Feger KH, Julich S, Gathenya J, Mati B (2014) A model-based approach to assess the effects of sustainable land management practices on hydrological ecosystem services – case studies from Eastern Africa. Forum f€ ur Hydrologie und Wasserbewirtschaftung Heft 34.14- Wasser, Landschaft, Mensch in Vergangenheit, Gegenwart und Zukunft- Beitr€age zum Tag der Hydrologie, Kartholische Universt€at Eichst€att-Ingolstadt, 20–21 Mar 2014 Namirembe S, Mwangi JK, Gathenya JM (2013) Implementing PES within public watershed structure: a case study of Sasumua watershed in Kenya – case studies on remuneration of positive externalities (RPE)/Payment for Environmental Services (PES). Prepared for multi-stakeholder dialogue FAO, Rome, 12–13 Sept 2013 Nyongesa JM (2011) Payment for environmental services: an integrated Approach to natural resource management and livelihood improvement – a case study of Lake Naivasha- Malewa River Basin sub-catchment, Kenya. African Crop Sci Confer Proc 10:479–484 Nyongesa JM (2012) Equitable payments for watershed services (EPWS): ecosystem based approach in water resource management – a case of Lake Naivasha Basin Kenya. Second targeted regional workshop for GEF: IW projects in Africa, Addis Ababa, 12–15 Nov 2012 Nyongesa JM, Muigai P (2012) Payment for environmental services: PES scheme in Naivasha Basin, Kenya – Promoting green development and growth through linking downstream water users to upstream land managers. WWF- East Africa Region Project Office (EARPO)/CARE Kenya, Nairobi Onyando J, Agol D, Onyango L (2013) Phase III – final evaluation report- WWF Mara River Basin Initiative, Kenya and Tanzania. WWF Kenya Country Office (KCO) & WWF Norway Quintero M, Wunder S, Estrada RD (2009) For services rendered? Modeling hydrology and livelihoods in Andean payments for environmental services schemes. Forest Ecol Manag 258:1871–1880 Recha JW, Lehmann J, Walter MT, Pell A, Verchot L, Johnson M (2012) Stream discharge in tropical headwater catchments as a result of forest clearing and soil degradation. Earth Interact 16(Paper no. 13):1–18 Reij C, Scoones I, Toulmin C (1996) Sustaining the soil – indigenous soil and water conservation in Africa. Earthscan, New York Tresierra JC (2013) Equitable payments for watershed services: financing conservation and development – case studies on remuneration of positive externalities (RPE)/Payment for Environmental Services (PES). Prepared for multi-stakeholder dialogue FAO, Rome, 12–13 Sept 2013 Page 15 of 16

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United Nations Environmental Program (UNEP) (2010) From concept to practice-key features, lessons learned and recommendations from implementation of the IWRM 2005 Target. UNEP Integrated Water Resources Management Programme. UNEP Collaborating Centre on Water and Environment, Nairobi Water Act (2002) Republic of Kenya Water Resources Management Act (2009) United Republic of Tanzania Water Resources Management Authority (WRMA) (2012) Water Resources Management Authority strategic plan 2012–2017. Water Resources Management Authority, Republic of Kenya, Nairobi Water Resources Management Authority (WRMA) (2013) Water Resources Management Authority framework for engaging with county governments. Water Resources Management Authority, Republic of Kenya, Nairobi World Overview of Conservation Approaches and Technologies (WOCAT) (2007) Where the land is greener- case studies and analysis of soil and water conservation initiatives worldwide. Liniger H, Critchley W (eds). WOCAT/CTA/FAO/UNEP/CDE, ISBN 978-92-9081-339-2

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Range Management A. Swenne

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Types of Rangeland and Their Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Grasslands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Savannas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shrublands or Steppes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Desert Shrublands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shrub Woodlands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Savanna Woodlands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Woodland . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Forest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ecology of Rangelands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Ecosystem Concept and Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Functioning of the Ecosystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Succession and Climax . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Interactions Between Plants and Animals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Principal Floristic Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rangeland Productivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Physiology of Range Plants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Phenology of Range Plants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Regulation of Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Morphology of Plants and Grazing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Growth Characteristics of Grasses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Effects of Grazing on Range Plants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Range Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Range Inventory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Range Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Grazing Management and Stocking Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Range Improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Vegetation Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fertilization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reseeding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Water Conservation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Provision of Water and Salt for Livestock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Animal Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Numbers and Distribution of Cattle, Sheep and Goats . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nutrition and Feeding of Livestock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fodder from Trees and Shrubs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Importance of Fodder Trees and Shrubs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nutritive Value of Browse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Browse Intake . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Propagation Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yields . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Economics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Forestry Versus Range Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Range Development in the Tropics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Optimum Stocking Rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Land Tenure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Socio-Economic Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Range Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

41 42 43 44 47 47 48 48 49 55 55 57 57 58 60 60 61 62 63 64 64 65 66 66 67

Introduction It is impossible to give precise figures on the areas covered by rangelands. Some indications on land use types can be found in the Production Yearbook (FAO 1989), and percentages calculated on the basis of those data are shown in Table 1. FAO defines permanent meadows and pastures, however, as “land used permanently (5 years or more) for herbaceous crops, either cultivated or growing wild” and forests and woodland as “land under natural or planted stands of trees, whether productive or not, and includes land from which forests have been cleared but that will be reforested in the foreseeable future.” To include all forests in the rangeland areas can be questioned, of course. On the other hand, large tracts of land that do not belong to the above-mentioned categories are in many cases grazed by nomadic flocks and should be considered as rangelands. Williams et al. (1968) estimated that 47 % of the earth’s land surface is rangeland, whereas Holechek et al. (1989) stated that if all the uncultivated land with the potential to support grazing by domestic animals is taken into account, rangelands comprise about 70 % of the world’s land area and are the major type of land found in all continents. What is less questionable is the importance of rangeland to animal production. Rangelands in the USA provide domestic ruminants with between 50 % and 65 % of their total feed needs. In Australia, one-third of the cattle and sheep populations

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Table 1 Percentages of land area under permanent meadows/pastures and forest/woodland in 1988 (FAO 1989) World Africa North and Central America South America Asia Europe (-USSR) Oceania

Permanent meadows/pastures 24.6 26.8 17.3 27.3 25.3 17.7 52.1

Forests/woodland 31.0 23.1 32.2 51.1 19.6 33.3 18.5

Total 55.6 49.9 49.5 78.4 44.9 51.0 70.6

are supported by rangeland. On a world basis, rangelands contribute about 70 % of the feed needs of domestic ruminants, that percentage being close to 100 % in many parts of the tropics. Rangelands are important to foresters. Very limited areas of rangelands are totally void of woody vegetation. Actually, the density of trees is an important parameter in classifying different types of rangelands. In the wet tropics, there is usually no big problem in defining types of land use with regard to forestry and range. In the dryer regions, and especially in the arid and semi-arid areas, it very often happens that forestry and range development go together, or at least they should. If and when emphasis is put on forestry, there is a clear risk that the animal production linked with range development is totally neglected because of the lack of basic knowledge about improvement and management potentials and practices. This, in turn, leads to a situation where existing resources are not used to their maximum. It may also be at the root of conflicts with local populations whose socio-economic backgrounds are geared more towards animal production.

Types of Rangeland and Their Distribution The numerous combinations of factors affecting vegetation in the world have resulted in correspondingly numerous vegetation combinations typical of each set of conditions. Activities of man and his livestock, such as grazing, cultivation, timber cutting, control of fire, damming and diverting of water, have qualitatively or quantitatively changed almost all of the world’s vegetation. Several classifications of native vegetation have been made by ecologists that are, in part, applicable to range usage (Crowder and Chheda 1982). An international system of vegetation classification was put forward by UNESCO (1973). This retains the terms: forest, woodland, scrub (shrubland and thicket) and grassland. Different types are distinguished within each formation class. For grasslands, this is based on the height of the grass layer, and the density and nature of an eventual tree synusia. According to Stoddart et al. (1975), seven major categories of vegetation provide most of the world’s grazing lands: grasslands, desert shrubs, woodland shrubs, tropical savannas, temperate forests, tropical forests and tundra. Each of these may be

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divided into smaller vegetation types. Taking into consideration the fact that grasses make up an essential component of the vegetational cover of more than half the land surface of the tropics and sub tropics (Rattray 1960) distinguishes six different plant communities according to the density of grass cover: grassland, savanna, steppe, woodland, forest and undifferentiated. Holechek et al. (1989) consider that grassland, desert shrublands, savanna woodlands, forests and tundra are the basic rangeland types of the world. Each of these types comprise several plant associations that support a slightly different biota because of variations in climate, soils and human influences. As there is such a large number of types of rangeland described in the literature, only the most common will be dealt with here.

Grasslands The term “grassland” is normally used in a broader context than the term “pasture.” Both terms are used for vegetation that is predominantly composed of grasses, but includes other legumes and herbs (forbs); most are grazed. Grassland includes barely managed rough grazing, rangelands and natural grasslands, whereas pasture is generally used more for managed agricultural grassland. The distinction between the two words is not clear-cut. Natural grassland, often called “climax grassland,” generally occurred in areas where the growth of trees was prevented or restricted by climatic or soil conditions. Large areas of natural grassland existed where the rainfall was inadequate for forests, e.g. steppes, prairies and pampas, and these graded into areas where rainfall was sufficient to support scattered trees, i.e. savanna. In both of these areas, the presence of trees was probably limited by fire also (Moore 1964). Natural grassland also occurred where temperatures were too low (e.g. high altitude and tundra), or wind velocities too high (e.g. coasts and exposed areas) for trees. Soil conditions also restricted tree growth in some areas that became dominated by grasslands, e.g. on saline soil (salt marshes and saline desert soils) and on frequently waterlogged soils (marshes). Many areas of natural grassland (e.g. salt marsh) occur as small islands in areas of forest. The most extensive semi-natural grasslands of the world are extensions of natural grasslands. Most of the productive agricultural pastures of the world are man-made, originally produced by felling or burning natural forest. Their continued existence depends upon grazing, burning, intermittent ploughing and resowing, the use of selective herbicides etc. The most important factors are grazing and burning. Unlike trees, most grassland species are well adapted to being grazed and burned; they usually recover rapidly and often are more productive and more competitive under moderate grazing or burning (Snaydon 1981). Without this management, most agricultural pastures would revert to scrub and eventually to forest, which is the climax vegetation of those areas (Moore 1964). Man-made grasslands are therefore stages in plant succession, i.e. they are serial communities. These pastures are often termed “deflected climaxes,” “disclimaxes,” or “plagioclimaxes.” Such grasslands are botanically unstable; even small changes in environmental conditions, in grazing management, and stocking rate can lead to large and rapid changes

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in botanical composition (Davies 1960). For Crowder and Chheda (1982), a typical grassland is an open plain tract of land having a dense cover of tall or short grasses and associated herbaceous species. Shrubs and trees are absent or widely scattered, usually clumped into low-lying moist areas and spread along water courses. The grasses may be endemic or native to a given region, being referred to as “natural” components. They may have migrated into the region under the influence of man or grazing animals and are completely integrated into the natural flora, in which case they are said to be “indigenous” or “semi natural.” Many authors in different parts of the world have proposed subdivisions in order to give a more detailed classification of grasslands in their particular area. In South Africa, dry, Highveld and montane grasslands are differentiated from low to high elevations (Adamson 1938). Highland grasslands are recognized in Kenya between 2200 and 3000 m with a minimum of 1000 mm rainfall and frequent mist (Phillips 1959). Montane open grasslands occur in Ethiopia at about 2500 m and upward, under 750–1275 mm annual rainfall (Keay 1959). The same types are described as cool, mountain grasslands in Latin America (Roseveare 1948). Wet and dry grasslands have been identified in Sri Lanka (formerly known as Ceylon) (Holmes 1946). These two have been subdivided into arid, sub arid, mild arid, sub humid and humid in South Africa (Phillips 1959). Tussock and hummock grasslands occupy parts of the steppe and sub desert regions of Australia (Wood and Williams 1960). In Papua New Guinea, grasslands are identified on the basis of plant height (Heyligers 1965). In many regions open grassland is replaced by grass-woody plant associations. A proposal was made in East Africa to use canopy cover as a criterion in measuring the contribution of trees and shrubs to grazing lands (Pratt et al. 1966). Areas dominated by grasses, but with widely scattered or grouped trees and shrubs having a canopy cover no greater than 2 %, were called grasslands. Bushed and wooded grasslands had scattered or grouped shrubs or trees, respectively, with less than 20 % canopy cover. Areas of arid or infertile land sparsely covered by grasses and dwarf shrubs not exceeding 1 m in height, but sometimes with widely scattered larger shrubs or stunted trees, were called dwarf-shrub grassland. Subtypes suggested for these categories were manifold in describing associations on a local level (Crowder and Chheda 1982). Grasslands are a minority type but are productive grazing lands where they occur. Dry land cultivation of large areas in unsuitable climates has been attempted, resulting in serious weed invasion. In the USA, Argentina and Africa, the grasslands are mainly a fire-induced disclimax, and shrub invasion follows overgrazing or other forms of fire prevention. In Australia, grasslands grow on a cracking clay unsuitable for tree growth (Snaydon 1981).

Savannas The majority of the grasses present in savannas are hemicryptophytes, and the annual dormant period occurs during the dry season. The woody layer is variable, and it is thus possible to recognize a number of facies: grass savanna (without any

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woody layer), shrub savanna, tree savanna and savanna woodland. A formation very similar to savanna woodland is woodland that has a denser and taller tree layer (covering over 50 % of the area) and a reduced grass cover, which may still be continuous enough to permit the passage of fire. It is also necessary to describe the transition between savannas and forests as well as the dynamic relationship between these two formations. It is generally accepted that, apart from certain special soil conditions, the climate of savanna regions is normally that where forest could occur, and savannas constitute a non-natural state maintained by fire. Thus, savannas are the result of the degradation of former extinct dry ecosystems (dry woodlands, etc.), or are the result of the destruction of dense humid forest and its replacement by a savanna flora (periforest savannas). In these areas bordering the forest in humid climates, the ligneous flora of the savanna is often poor and reduced and is always very different from that of the dense humid forest. In recently deforested areas in particular, savannas are totally herbaceous formations with species such as Pennisetum purpureum or Panicum maximum in Africa and Imperata cylindrica in many areas. These can be considered as “forest fallows” that could, given the circumstances, return to forest or evolve to true savannas. The forest/savanna boundary is clear-cut and maintained by fire. There is no transitional formation but a mixed landscape occurs formed of a mosaic of areas of forest and savanna (and often secondary formations and fallows). In many regions, especially in Africa, the evidence of former dry forest formations has almost disappeared because of the length of time of human intervention. Thus, two-thirds of the African forest has disappeared in several centuries. The very rapid disappearance of tropophilous forests is perhaps due to the frequency and intensity of fires in savanna regions with a marked dry season. Elsewhere, as in Brazil for example, the relicts of these forests occupy large areas (cerrado). The Brazilian campos cerrados derive from the degradation of these forests, and they have the same ligneous flora. Although the Brazilian cerrados often have a particular physiognomic structure because of the presence of a very dense woody layer, they can be considered as true shrub savannas that have not been subjected to a strong degradation by fire or by overgrazing as in Africa. In Asia (India, Malaysia and Southeast Asia in particular) the existence of savanna ecosystems is, in the majority of cases, a direct result of short- or long-term degradation of various forest formations. In regions having very old civilizations, such as India, true annually burnt savannas occur only on mountains and plateau that are relatively sparsely populated (UNESCO 1979). The tropical savanna grades into a forest on its more humid boundary and into grassland on its more arid boundary. The climate of savannas is largely monsoonal with distinct wet and dry seasons. Plants make rapid growth at the onset of rains with lush vegetation occurring within days of the first monsoonal rain. During the dry season, only the woody plants escape dormancy, and even some of them shed their leaves. The largest savanna type is the Acacia-tall-savanna of Africa. It stretches in a broad belt from east to west across the center of Africa between the desert scrub to the north and the tropical forests to the south. Similar savannas occur

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in eastern and southern Africa. Acacia and Combretum are the main tree genera. Herbaceous vegetation, mainly grasses, provides a dense ground cover and most of the annual dry -matter production. Stoddart et al. (1975) concur with many authors that savannas are difficult to identify because many areas between forests and grasslands exhibit the savanna structure. Due to external factors, changes may occur. On the humid boundaries, increased grazing intensity and fire control may lead to woodland encroachment. On the dry boundaries, desert encroaches following drought, heavy grazing and removal of trees for charcoal. The descriptions of the many types of savannas have led to a complexity and synonymy of terms and nomenclature in attempts to separate categories and classifications of plant formations. The distinction between savanna and steppe has not been clearly defined since the classification of both is based on the nature of the herbaceous layer and on the density of the woody vegetation (Cole 1963).

Shrublands or Steppes The term “steppe” was originally used for open and treeless plains of xerophilous vegetation in Russia and Asia, i.e. short, wiry, tufted perennial grasses that developed under cool, temperate, low-rainfall or arid conditions. A warm steppe exists in tropical and sub-tropical regions where xerophytic plants developed under low-rainfall or arid conditions. Steppe vegetation was described in Africa (Keay 1959; Rattray 1960) and Australia (Wood and Williams 1960) but has less common usage in South America and Southeast Asia. The warm steppe refers to vegetation cover of low-growing trees or shrubs with widely spaced annual or perennial grasses, as well as treeless grass-herb sub-desert formations. Steppe formations occur in areas with a rainfall of less than 500–600 mm/year and a dry season of 8–9 months. This implies a fundamental difference from savannas in the ways of utilization: in the savannas, forage is largely from grasses grown during the wet season and also from the smaller amount of regrowth in the dry season after burning; in the steppe, all the forage is provided during the brief wet season. Steppe can be defined according to the Yangambi classification (CSA 1956) as: “open herbaceous formations, sometimes mixed with woody plants; generally not subjected to fire; perennial Gramineae with a widely spaced distribution, generally not exceeding 80 cm high, with narrow, rolled or folded leaves, originating mainly from the base; annual plants are often abundant between the perennial plants.” Thus steppe can be distinguished from savanna by the less dense grass layer as well as by the xeromorphic characters and annual nature of many species. Woody plants are often thorny or succulent and belong to different floristic groups from those of the savannas. Tropical steppes may be considered as derived from degraded scrub such as the Brazilian caatinga or the thickets of southwestern Madagascar. They cover large areas of sandy and saline soils in northwestern India and Pakistan. Different types may be recognized according to the characters of the woody layer:

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– grass steppe (hemicryptophyte steppe); – dwarf-shrub steppe (chamaephyte steppe); – succulent steppe (Cactaceae, Euphorbiaceae; halophilic plants, e.g. Salsolaceae); – tree or shrub steppe (nanophanerophyte or phanerophyte steppe, e.g. Acacia spp. in Africa and Eucalyptus spp. in Australia) It is appropriate to mention an intermediate type of vegetation that occurs as an almost totally herbaceous formation dominated by perennial grasses belonging principally to the genus Aristida. These have the morphology of steppe plants with narrow basal leaves that are strongly xeromorphic. This type of formation has the appearance of a steppe, but it can be found in regions with a relatively long wet season, i.e. in savanna climate, but where edaphic conditions are particularly unfavorable. They are of low pastoral value and cover considerable areas, for example in west central Africa (over the Kalahari sands), on the high plateau of Madagascar and in the Campos Limpos of central southern Brazil. The term pseudo-steppe was proposed to describe them. These formations are the result of excessive overgrazing in peninsular India (UNESCO 1979). In the steppe climates of Australia, bunch grasses predominate and are usually associated with scrub trees on thorn bushes and annuals (Moore 1964). A cool grass steppe described in the eastern region of La Pampa in Argentina is an extension of the humid pampa to the north and a transitional zone abutting on a xerophilous region of woodland to the west.

Desert Shrublands Desert shrublands are the driest of the world’s rangelands and cover the largest area. Woody plants less than 2 m in height with a sparse herbaceous understorey characterize vegetation of this type. Desert shrublands have received the greatest degradation by heavy grazing of the rangelands’ biomes and show the slowest recovery from degradation. In some cases, desert shrublands have been created by degradation of arid grasslands by heavy livestock grazing. Desert shrublands generally receive less than 250 mm of annual precipitation. The amount of precipitation varies much more from year to year than in the other biomes. In hot desert shrubland areas, precipitation occurs as infrequent, high-intensity rains during a short period (less than 90 days) of the year. This results in long periods where the water content of the soil surface is below the permanent wilting point. This provides highly unfavorable conditions for short, fibrous-rooted plants (grasses). Coarse-rooted plants (shrubs) can collect moisture from a much greater portion of the soil profile than those with short, fibrous roots near the soil surface. Desert shrub roots extend considerable distances laterally as well as downward. The sparse spacing of desert shrubs permits individual plants to collect moisture over a large area. This explains why they can survive long, dry periods much better than grasses.

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The shrubs are important as a stabilizing influence both environmentally and as a fodder reserve. When in good condition, the main sources of fodder are the associated perennial grasses although the extremely arid areas can support only ephemeral or annual herbs. Flexible grazing systems are essential in the desert shrublands to avoid overuse during the frequent drought. Overuse of the pastures first removes the perennial herb component and annual or ephemeral herbs become dominant. Grazing use of the shrubs increases, and the more palatable shrub species die out, overland waterflow and soil erosion increase and a more xeric vegetation establishes itself, which is dominated by succulent species (Harrington 1981).

Shrub Woodlands Shrub woodlands usually occur in about the same annual rainfall belt as grasslands, but low-growing trees (usually less than 10 m) and dense shrubs are the dominant vegetation. Some of the main reasons for the dominance of trees are: lack of periodic fire, poor rainfall distribution during climatic cycles, shallow and rocky soils, and heavy use by grass-eating animals. Many of these woodlands have a high potential for range improvement. The tropical woodlands are found where the forests are flanked by dry regions. In Africa, they may give way to tropical savannas in more favorable situations or where fire has held the woodland in check. Thorn forests occur on the Indian subcontinent in the drier monsoonal area. Tropical woodlands occur in the northern portion of Australia where a summer rainy period produces 420–750 mm of rain followed by a dry period of 3–9 months. Woody species are mainly Eucalyptus with a mixture of other shrubs such as Acacia, Hakea and Terminalia (Stoddart et al. 1975).

Savanna Woodlands Savanna woodlands are dominated by scattered, low-growing trees (less than 12 m tall). They have a productive herbaceous understorey if not excessively grazed. Heavy grazing usually results in loss of understorey grasses and an increase in the density of the trees and shrubs. Typically, savanna woodlands occur as a transition zone between grassland and forest. Shifts towards grassland or forest take place continually in this biome, depending on grazing intensity, fire control, logging, and drought. Shrub and tree densities on many savanna woodlands have increased substantially because of fire suppression and heavy grazing of the understorey. Rocky, thin soils favor woodlands in grassland climatic zones because the long, coarse roots of woody plants can grow down into cracks in the rocky layer where moisture is collected. Further, many woody species have long lateral roots that can absorb moisture over a large area of very thin, rocky soil. Without periodic fire, most of the wetter portion of the tall grass type with loamy to sandy soils is quickly

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invaded by trees and shrubs because considerable moisture reaches that portion of the soil profile below 2 m (Holechek et al. 1989).

Woodland The woodlands with which grasses are associated are open forests with deciduous and semi-deciduous trees, often having their crowns touching, and with a sparse undercover of tall grasses that thicken when the trees are removed. In areas of high rainfall, grasses may be absent because of the closed tree canopy. Burning is usually practiced to remove the old accumulated material and to maintain an open woody plant formation, otherwise the derived grassland reverts to woodland (Crowder and Chheda 1982).

Forest Tropical forest of dense, complex mixtures of trees, vines and epiphytes are found in tropical areas of all continents. Those areas are of little importance for grazing. Hot, wet conditions endanger the health of domestic animals, and diseases and parasites are common. Little herbaceous vegetation is produced under dense canopy, and it is usually of poor forage quality. Where commercial cattle operations exist in the tropical-forest type, they are dependent upon improved pastures from which the forest has been removed and grass established (Stoddart et al. 1975). According to Holechek et al. (1989), forests are distinguished from savanna woodlands by having trees over 12 m in height that are closely spaced (less than 10 m apart). In many areas, forests are managed primarily for timber production and are too dense to have any grazing value. They can produce considerable forage for both livestock and wildlife, however, when thinned by logging or fire or when in open stands. A large percentage of the present grasslands developed from forests and are considered fire subclimaxes (Crowder and Chheda 1982).

Ecology of Rangelands The Ecosystem Concept and Components An ecosystem is a “functional unit consisting of organisms (including man) and environmental variables of a specific area” (Van Dyne 1966). It contains living and non-living elements and there is an exchange of energy and matter among these elements or components (Lewis 1969). These components are the abiotic (non-living) factors, primary producers, consumers, and decomposers. The living and non-living elements comprising a piece of rangeland on which man has placed boundaries for management purposes is referred to as a rangeland ecosystem (Holechek et al. 1989). Each component affects, and is affected by, each of the

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Fig. 1 A diagrammatic representation of the interactions that occur between the components of a grazed pasture ecosystem (Snaydon 1981)

other components. The magnitudes of the various actions and reactions differ and are indicated broadly by the thickness of the arrows in Fig. 1. The grazing animal is a part of the plant’s environment and the plant a part of the animals. So long as the two live together, the welfare of each is dependent upon the other. This concept is fundamental in range management. Never can the forage and the animal be considered separately. Each of these must be looked upon as part of a great and intricately related biological complex. The abiotic factors form the setting or environment in which the biotic factors operate. With the exception of fire, the manager has little control over them. They enter into his decisions in determining the suitability of a site for various uses, but they are not easily manipulated. The biotic factors can be controlled more easily. Their manipulation is the basic tool used in determining productivity and usefulness to man. Four basic functions are performed by organisms in the biotic portions of an ecosystem. Producer organisms are plants that capture the energy from the sun. They are the only major agent for converting the sun’s energy into food for animals. The number of livestock or wildlife that a particular range can support depends upon the plants ability to synthesize food by fixing light energy through photosynthesis. Consumer organisms are animals that eat, rearrange and distribute the energy captured by plants. Primary consumers are herbivores that live directly off plants such as some insects, livestock and large ungulates. Secondary consumers are those animals that eat herbivores, i.e. carnivores (Stoddart et al. 1975). Decomposers function primarily in the decomposition process and are responsible for preventing accumulations of organic matter. Without decomposers, ecosystem functioning would not be possible because there could be no nutrient cycling, and elements would eventually be tied up in undecomposed organic material. The decomposer microorganisms are generally bacteria and fungi as well as actinomycetes, algae, and lichens, which possess the enzyme systems necessary to break down resistant organic materials. Several other groups of organisms also function as microconsumers and are active in detrital food chains (Paris 1969). Manipulators are organisms that deliberately rearrange the factors of the ecosystem for their own benefit. Man is the master manipulator. The abiotic components consist mainly of the soil and climatic factors and are not usually manipulated by the range manager.

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Grazing animals, pasture plants and microorganisms form the biotic components of the ecosystem. All three of these components interact with one another. For example, grazing animals affect the pasture through defoliation, through return of nutrients and through treading. Conversely, the pasture affects grazing animals through the amount of feed available, the seasonal pattern of production, and through pasture quality. Microorganisms interact, directly and indirectly, with both pasture plants and grazing animals; microbial pathogens attack both plants and animals, while microbial symbionts (e.g. rumen microflora, N-fixing bacteria, and mycorrhiza) stimulate the growth of animals and plants, and microbial saprophytes decompose plant and animal remains, thus releasing nutrients. In addition to these two component interactions, there are also three-component interactions. For example, pasture plants, grazing animals and soils interact in the cycling of mineral nutrients and so do pasture plants, saprophytic micro-organisms and soils. Similarly four-component and five-component interactions can be envisaged.

Functioning of the Ecosystem Range ecosystem function can be viewed mainly from two standpoints: energy flows and chemical cycles. These really represent physiological processes within the ecosystem. Energy flows throughout the ecosystem and operates under the first law of thermodynamics (Holechek et al. 1989). Energy Flow. Interactions between plants, animals and the environment are considered most simply by investigating the fate of individual elements (or compounds) and energy within pasture ecosystems. The various nutrient elements (N, P, K, and S etc.), carbon and water are all cycled in ecosystems. In contrast, energy flows through ecosystems; it enters as solar radiation, is progressively dissipated as it passes through the ecosystem (Fig. 2) and is finally lost by re-radiation into outer space (Snaydon 1981). Studies have shown that less than 1 % of the usable solar radiation received by plants in range ecosystems is utilized in photosynthesis (Sims and Singh 1978). Snaydon (1981) calculated the efficiency of each trophic level in a grazed pasture ecosystem in the humid temperate region: – efficiency of the pasture (producer level), 0.7 %, – efficiency of use of the photosynthetically active solar energy, 1.4 %, – efficiency of the grazing animal (first consumer level): relative to energy content of food consumed, 10 %, – relative to energy content of herbage produced, 2.5 %, – relative to total solar energy receipt, 0.017 %. We see that the energetic efficiency of both herbage production and animal production is very low. Herbage production, and hence the energetic efficiency of herbage production, can be increased by additional inputs, such as fertilizers and irrigation, and perhaps also by grazing management and by using improved species

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Fig. 2 Diagrammatic representation of energy flow through successive trophic levels of an ecosystem (Stoddart 1975)

and cultivars. Animal production (and so energetic efficiency) can be increased by increasing herbage intake, e.g. by improving nutritional value or by increased stocking rate, if it is suboptimal, or by using breeds that convert feed more efficiently (Snaydon 1981). Communities in climax condition are more stable than those of lower stages. The maximum diversity of the high stages of succession offers maximum resiliency and freedom from degradation. Thus it may be desirable to manage a critical watershed for climax conditions even though forage production may not be maximized. The range manager’s job is to minimize energy and nutrient drain on the ecosystem and maximize system health. One of the major ways to insure ecosystem health is through manipulating the producer level of the ecosystem (Stoddart et al. 1975). Chemical Cycling. The second basic functional process of range ecosystems is chemical cycling. Unlike energy, chemical elements cycle through the various compartments and can be reused (Fig. 3). The source of many elements, except for nitrogen, is the soil parent material. In many cases, the soil acts as a sink or reservoir for chemical elements. Nitrogen Cycling. Although there is a great abundance of nitrogen in the atmosphere, most plants and all grazing animals cannot metabolize elemental nitrogen directly. It must be “fixed” or transformed by “free-living” microorganisms or those living in symbiotic relationship with certain plants in nodules on their roots. These organisms convert atmospheric nitrogen into forms that can be used by the plants. In natural grassland systems, the input of nitrogen by nitrogen-fixing micro-organisms is reduced by competitive interactions with the many other types of organisms present (Clark and Paul 1970). Thus the growth of pastures and

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Fig. 3 Relations of inputs, stores, and products from a rangeland ecosystem (Stoddart et al. 1975) (Adapted from Perry 1970)

grazing animals is frequently limited more by the availability of nitrogen than by that of any other essential nutrient (Henzell and Norris 1962). Nitrogen input and flow through the different components of the pasture system are controlled by interacting processes that create a complex ecosystem (Fig. 4).

Succession and Climax Definition Succession is the orderly process of community change. It is the process whereby one association of species replaces another, until the final community is reached. This final, somewhat stable community, is often called the climax. Such a succession usually is gradual and involves a series of changes that follow a more or less regular course. Succession results from a change in habitat and invasion of new species. Change of environment or habitat results in change of the plant cover adapted to the area. Change in habitat sometimes results from action of plants upon soil and microclimate. Thus the plants themselves may initiate the change that ultimately will result in succession and their own destruction. Succession may be either natural or induced. Natural succession takes place until climax conditions are reached. It results from soil changes in the process of soil succession. Also, both before and after climax is reached, advancement or recession of the process may result from fluctuation in the habitat. Distinguishing between natural

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Fig. 4 A flow chart of major nitrogen pathways in animal production from a grazed pasture (Simpson and Stobbs 1981)

and induced succession is important. Induced succession results generally from the action of man, and hence is not a condition imposed by nature. As such, it can be modified by man more readily than can natural succession. Succession not only involves a change in species composition but also a change in plant abundance (Stoddart et al. 1975). In some cases, succession may be looked at simply as a re-arrangement of species that were present during initial stages, perhaps only as seeds or other propagules. The proportion of the various species changes during succession, but different groups of species may dominate different stages for different time periods. These shifts or rearrangement of species over time emphasize the initial floristic composition theory of succession (Egler 1954). Another type of succession involves immigration of new species to the site from other sites with time progression. Different groups of species dominate the site for various periods. Egler (1954) used the term “relay floristics” to describe this type of successional change. Primary succession starts from bare areas and proceeds to the development of a somewhat stable climax vegetation. Such changes require extremely long periods, on the scale of hundreds or even thousands of years. Consequently, primary successions may be of interest, but they play a small role in range management. It is important to recognize that other ecosystem components undergo succession as well as vegetation.

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Primary Succession The term primary succession generally is applied to natural plant succession on previously un-vegetated areas leading to a climax. Large areas of rangeland originated from deposits of wind- or water-moved soil. Under such conditions, soil formation and modification were not extensive. Other rangelands originated from dry rock surfaces (Stoddart et al. 1975). On bare ground, there may be microsites where lichens, algae or moss are supported. As the rock is weathered, and water and organic matter are added from the lichens or algae, a rudimentary soil is formed. Seeds from nearby plants may be available to germinate and to support vascular plants. These are often annuals that can survive under harsh conditions. With further weathering and soil formation, some perennial plants may become established. These are generally herbaceous plants, but eventually if the climate will support them, woody plants will become established. Each assemblage of plants influences soil and microclimate, sometimes making it more suitable for plants that need more water, nutrients, and so on. Thus, some plant species alter the environment such that it is no longer suitable for them, and they are replaced by other plants. Total biomass (plants and animals), total energy storage, diversity and rate of mineral cycling increase as succession proceeds (Lewis 1969). Holechek et al. (1989) summarize the processes of primary succession as follows: – The development of soil from parent materials. – Increasing longevity with successional advance. – Replacement of species with broad ecological requirements by those occupying narrow niches complementary with other species. – Greater accumulation of living tissue and litter per unit area with successional advance. – Modification of micro-environment extremes. – Change in size of plants from small to large. – Increase in the number of pathways of energy flow. – More nutrients tied up in living and dead organic matter. – Greater resistance to fluctuation in the controlling factors.

Secondary Succession Secondary succession refers to a succession, usually induced, on land previously occupied by more highly developed vegetation destroyed by unusual circumstances, such as fire. Range managers routinely deal with secondary succession, but rarely with primary succession; however, sometimes erosion does change the initial soil surface conditions. Generally, we are concerned mainly with vegetational changes in secondary succession and how these changes influence habitats for other organisms. Secondary succession generally occurs much faster than primary succession, and generally, in a more predictable fashion. The variability in secondary succession is reduced as the climax is approached (Huschle and Hironaka 1980).

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Climax The final stage of succession is the climax. The climax has been viewed in different ways by different authors. Some have considered that the climax is “stable,” others that it is in “dynamic equilibrium” with the environment. Clements (1916) viewed the climax as controlled primarily by the macroclimate. This he referred to as the “climatic climax.” He viewed large areas of landscape as having the same climax governed by the climate. Development of climax vegetation was considered a very slow process on the same time scale as geologic changes. Tropical Rangelands and Climax Vegetation The herbaceous climax formations in tropical regions are most frequently edaphically determined. Most grazing land ecosystems have been transformed by annual fires or by overgrazing, with changes in the floristic composition leading to a reduction in their fodder value. Nevertheless, some ecosystems seem to be in balance with present-day environmental conditions, and they are described as a pseudo-climax, periclimax or disclimax, according to the author. Grazing land formations closest to climax vegetation are: • The tree or shrub steppes of arid and semi-arid regions having a short period of vegetative growth and a high proportion of annual grasses and being difficult for fire to sweep through. Their limiting factor is the low annual rainfall concentrated in a few months. Physiological and phenological adaptation of the species to the arid conditions also con tributes towards maintaining their equilibrium. These are the areas of nomadic pastoralism. They are very sensitive to all types of abuse: overgrazing around watering points or villages; and removal of woody material. • Edaphic savannas or grasslands on marshy or temporarily flooded soils. These formations are common in humid areas but also exist under dry climates in interior deltas (e.g. Niger and Senegal), around large lakes (Chad) and along major watercourses (UNESCO 1979). The climax in the tropical humid zone is forest. The majority of authors recognize the anthropogenic origin of grazing land ecosystems. Grass, shrub or tree savannas play a large role in tropical montane areas (e.g. Mt Cameroon, mountains of southern India and Sri Lanka). Their ever increasing extent, at the expense of the forest, is due to repeated burning, even in areas with low population density. The ecological conditions of this zone (large daily variation in temperature and available moisture) make forest formations vulnerable and their reestablishment in savanna areas more difficult (Blasco 1970).

Plant Retrogression Any of a great number of actions may disturb the climax plant cover and bring about retrogression leading away from the climax. Retrogression may be caused by drought, fire, or grazing. If this action is temporary, a succession leading back to climax follows.

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Causes of Retrogression. By far the most important of the factors bringing about retrogression on range is improper grazing. The retrogression of a plant cover under grazing does not follow in the reverse order to the succession that gave rise to it, because the retrogression is usually of vegetation and not of soil. Since the climax soil is damaged less easily, it is more permanent than the vegetation, and its retrogression lags far behind. The stages of grazing retrogression in vegetation, then, are determined not by climate or soil, but by the newly introduced biotic factor, usually livestock. Unfortunately, grazing continues to weaken the soil-protecting vegetation, and soil deterioration also occurs. Water or wind may move away the developed surface soil to the point that exposed sub-soil is incapable of again supporting climax plants. Succession to the climax, therefore, must again await development of a new soil mantle. Especially in arid areas, soil formation is a very slow process involving hundreds, or even thousands, of years. Soil retrogression caused by erosion and trampling may progress so far that vegetation may be held in a sub-climax stage, even though grazing has ceased entirely. Absence of a rapid secondary succession following good management often confuses the range manager, since vegetation cannot respond to improved grazing conditions as he expects. Retrogression of vegetation under grazing may follow a multitude of courses, depending on vegetation and type of grazing. Grazing during a restricted season may harm only certain species, whereas others may benefit because of reduced competition. If a short grazing season results in use of a certain species during a critical growth stage, that species may disappear. Similarly, because of forage-preference differences among kinds of livestock, grasses may increase on a sheep range at the expense of forbs and brush; conversely, on cattle ranges, grass may disappear. Too intensive grazing is marked by a disappearance of the preferred plants or of those physiologically less resistant to grazing. Retrogression thus involves plant competition. The removal of climax plants by abuse beyond their endurance leaves space for other plants. Less preferred or more resistant plants may survive and replace the removed plants. These species are sometimes referred to as increasers, because they increase under heavy grazing. Continued grazing will cause an influx of species, often annual, which are not part of the climax. These are called invaders. The most preferred climax plants, under stress of heavy grazing, lose vigor, as evidenced by reduction in annual growth; reduction or complete absence of reproduction activity; and, in woody plants, abnormality of growth induced by removal of the growing tip and excess stimulation of lateral buds. Continued physical disturbance of the preferred plants results in their death. Death and disappearance may result from starvation following reduced photosynthesis, competition from other plants less weakened by grazing, natural old age accompanied by lack of reproduction, or drought made more serious by a weakened root system. Composition change on the range usually is gradual, marked first by a decrease in the most preferred plants, and the plants physiologically and anatomically most susceptible to grazing injury (decreasers). Accompanying the decrease in numbers is a decrease in competition, which results in an increase of less preferred or more resistant individuals (increasers). Animals change their diet, because of increasing shortage of desirable species, to those less preferred. Thus,

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succession continues, with better climax plants progressively becoming fewer. Following, or simultaneous with, these composition changes comes the invasion of new species. The first invaders are mobile annuals; later, the invasion of herbaceous or woody perennials of low grazing value often takes place. The annual invaders may be highly preferred by stock for a short season, but they often are adapted to thrive despite grazing. Most invading perennials are not highly preferred by stock. Climax plants ultimately may disappear: They leave first from the most accessible and, hence, most grazed areas, and soon are evident only under the protection of a stout shrub or thorny cactus. Continued heavy grazing forces stock to consume the invading species, which suffer as did the climax species. The most preferred and most susceptible species are removed first, and the less valuable temporarily increase in numbers. As grazing continues, these may bear the brunt of the grazing, and their numbers will decrease. If these are not followed by new invaders such as shrubs of low palatability, the land approaches a barren state, with soil deteriorating rapidly. Secondary Succession Following Retrogression. The secondary succession following improved grazing conditions usually differs from primary plant succession since good soil conditions may remain. Frequently, however, soil retrogression follows plant retrogression, because of erosion and trampling. In such cases, secondary succession may be almost as slow as primary succession, and may follow in very similar steps towards the climax. When soil has not deteriorated along with vegetation, succession of vegetation, upon removal of grazing stress, may be very rapid, especially in areas of high precipitation. It is especially rapid if climax plants have been removed. Practical management may maintain climax cover but, often, a vegetation cover lower than climax proves most practical. It is impossible to obtain the best use of a range without some disturbance, and the range manager cannot always have climax vegetation as his goal. When maintenance of maximum soil protection is wanted, it may be desirable to manage for near climax conditions and capitalize on the diversity of higher stages. Changes in plant composition may not result in reduced plant cover. Cover may actually increase. Forage Value of Invading Species. The preference that an animal displays for a plant is not an accurate index to its value for grazing. Animals can be forced to eat almost any plant, and some of the less liked species are as nutritious as are the preferred ones, and animals sometimes do as well on them. A slight decrease in palatability on the plant cover after excess grazing may, in itself, be no indication of reduced value. Usually, however, invasion of less preferred species is accompanied by marked reduction in grazing capacity, independent of volume yield. This, is probably attributable to the fact that animals eat less of feed they do not like rather than to nutritional difference. Nutritional studies have failed to show consistent differences between climax and invading species, except that invading ephemerals are likely to become dry earlier and to deteriorate more upon drying than are longlived perennials. In some cases, particularly in the leached soil of monsoonal tropics, the climax vegetation is low in nutritive value during the dry season. The introduction of weedy annuals results in improved forage quality during the dry season. Unfortunately, most rangeland climates are hazardous for establishment of

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young plants and, since this process is a frequent necessity for short-lived species, their dependability is greatly reduced. Annual plants depend upon a favorable period each spring during which they can germinate and send their roots to the moist subsoils. Such a period is far from a surety over most ranges, and, hence, failures are common. Fluctuation in forage volume from year to year is much greater on ranges high in annual plants. Annuals are, likewise, most variable in their season of growth. Perennials, having deep roots already established, are less dependent upon current precipitation and more upon temperature, which is less variable, for their start of growth. Annuals are dependent upon precipitation for initiation of growth and may reach their period of productivity at vastly different dates from 1 year to another. Annuals are short lived and are best grazed during their green period, often only 6–8 weeks, which may not fit well with the management scheme. Most poisonous plants are low in palatability, hence increase upon heavy grazing is inevitable. Retrogression following misuse is the greatest single factor contributing to poisoning. Gradual invasion of low quality species and decline of good forage, indeed even serious decrease in total production, may escape notice of the range manager. This decrease in forage ultimately forces animals to eat plants that normally remain untouched (Stoddart et al. 1975).

Interactions Between Plants and Animals Ecosystem Stability and Grazing Ecosystems may develop some degree of stability over time with certain levels of herbivores present. These herbivore levels may fluctuate and at times may be destructive of the vegetation. Hence climax equilibria must encompass considerable variation in producer and consumer organisms. In many cases, livestock numbers were in excess of the capacity of the resources to support them. In these cases, induced regression occurred, which resulted in less primary production, accelerated erosion, and so on. The impacts of grazing by domestic livestock are varied. It is extremely difficult to generalize because of differences in climate, resistance of different species to grazing, stocking levels, composition of vegetation, grazing season, and many other factors. In some cases, shifts in species composition may be minor, whereas in other cases, they may represent changes in life forms (Holechek et al. 1989). Plant communities change in an orderly way when grazed by a particular kind of animal. Those plants most preferred by the animals are the first to show signs of grazing stress. They lose vigor, little annual growth is produced, and reproduction is almost absent. As grazing is continued, these palatable plants, (or decreasers) die. With the death of the more palatable plants, the less palatable members of the plant community (increasers) increase in abundance, resulting in a change in community composition. As the community progresses toward the less palatable plants, the grazing animals must change their food habits, move to new areas, or die. In turn, populations of new animals may develop that prefer the dominant species of the altered community. In that case, the increaser plants may become decreasers under the grazing pressures of the new herbivores.

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Range vegetation, then, is being influenced constantly by the kind and number of animals present. Indeed, the native rangelands of the world are the result of different types of grazing pressures. In Africa, where more than 20 species of large herbivores raze the same range, niche segregation among different species is highly developed. Talbot and Talbot (1963) reported that in Kenya, there are more than 70 species of grasses for wildebeests (Connochaetes); however, 5 plant species comprised from two-thirds to three-fourths of the diet and 10 species made up 90 % of the diet. Talbot (1962) reported that the diets of animals grazing the East African rangelands were complementary and non-duplicating. Most of the large species ate different plants, but where they did eat the same plants, they ate different portions of the same species. When the preferred forage species of the highly selective African ungulates are utilized, the animals move to new areas rather than eat forage not normally eaten.

Organic Reserves and Grazing Organic reserves are reserve compounds that are elaborated by the plant from the simple sugars produced by photosynthesis. They are then stored, either passively or actively, and ultimately utilized by the plant at some later date for maintenance or growth. The usual organs of storage are plant roots, rhizomes, stolons and tiller bases. In pasture plants, the most important reserve compounds are the carbohydrates, i.e. sugars, fructosans and starches. Davidson and Milthorpe (1965a, b) have pointed out that these reserve carbohydrates are in equilibrium with a pool of labile structural and nitrogenous compounds. In general, the evidence strongly suggests that organic reserve compounds, both protein and carbohydrate, are utilized during the first week of regrowth and that later regrowth is dependent on leaf area and photosynthesis. From an animal production point of view, it is necessary to consider the influence of the carbohydrate reserves on ruminant growth and nutrition. As pointed out by Blaser et al. (1966), forages can be low in utilizable energy, and fertilizer nitrogen applied to increase the yield may result in an additional lowering of utilizable energy per unit weight of forage. On the other hand, imposition of grazing managements (for example lax and infrequent grazing) to produce high carbohydrate reserves will be accompanied by reduced dry matter yield. Thus, better quality of forage to improve animal nutrition may have to be balanced against reduced pasture and animal production per unit area. Root Reserves Although the grazing animal is only capable of utilizing the above-ground herbage, the magnitude of the root reserve pool will influence the regrowth after a grazing or defoliation. Further, as grazing affects the development of new root mass, it directly influences the capacity of the pasture to withstand periods of soil moisture stress and to compete for soil nutrients, in particular soil horizons. In a dynamic situation, the plant attempts to maintain a fixed relationship between its chemical composition and weight, but as environment forces it to move away from this position, it can only do so by altering its root-to-shoot ratio. Thus, an increase in photosynthesis

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initially causes an increase in root weight, which ultimately results in more mineral absorption and further shoot growth. Following defoliation, the organic reserves in the root system are utilized to restore the absorptive and photosynthetic capacities of the whole plant, reducing root weights.

Species Composition Livestock numbers exert a powerful influence on the vegetation of intensively managed pastures. Vegetational changes in pastures occur as a result of the action of one or all four possible mechanisms. Plants may possess attributes such as low palatability or accessibility, which prevent removal by grazing (Kydd 1966). Animals differ in their grazing behavior with some species exercising greater dietary selection than others. Botanical composition can be influenced by the level or spatial distribution of plant nutrients (Hilder 1964; Rossiter 1966; Wolfe and Lazenby 1973a, b). Finally, climate and the physical environment exert powerful and interactive effects with the previous three mechanisms. The value for animal production of a particular botanical change will be small in the short term in many cases. When the grazing pressure is low, and the pasture supply is plentiful, then grazing animals are able to select forage of much higher quality than the average on offer. In the long term, where persistence of the vegetation type is considered, it is obviously necessary to maintain a particular species composition in order to sustain a particular animal production system. In grasslands, animal selectivity, grazing frequency and defoliation intensity all operate together. Under infrequent defoliation, erect species such as grasses are able to grow taller to shade and suppress more prostrate species such as legumes, whereas under frequent defoliation, the competitive advantage of the grass is removed and the more prostrate species can dominate the sward. Thus, infrequent defoliation tends to maximize dry matter yields in both mono-specific and mixed pastures, but in the latter, there is also a change in species composition towards grass dominance. The legume, however, is not always the suppressed species. The stage of growth at which defoliation takes place will also influence the outcome of defoliation, but although grass dominance is favored by light or infrequent stocking, which results in an erect habit and a large number of fertile tillers (Stem and Donald 1962), this sequence in which the prostrate species are shaded and reduced may be modified by the particular characters of the dominant species. Such a character may allow the species to survive grazing or it may be a character that allows it to grow aggressively under the particular physical or chemical conditions prevailing in the niche it occupies (Vickery 1981).

Principal Floristic Groups Grazing land ecosystems have a diversity due both to their belonging to a particular floristic region and to edaphic and climate factors of the sites. As they are often secondary or derived formations, their flora is usually less rich than that of the

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climax ones. For example, the flora of the Guinea-type savannas is much poorer than that of the dense evergreen forest. On the contrary, the steppe areas of northern Mexico have a remarkable floristic diversity. Moreover, the flora of grazing land ecosystems has generally been profoundly influenced by the action of fire and grazing; this leads to additional diversification, through a succession of vegetation types, but it is marked by a severe selection of species, of which the most tolerant, often having the lowest fodder value, are encouraged. Many autochthonous species have thus been eliminated and replaced by pantropical species that are adapted to the conditions and have been introduced either accidently or willingly by man (Imperata cylindrica, Heteropogon contortus, Hyparrhenia rufa and many others). In the grazing lands of annual grasses occurring in arid regions (Sahel steppes) the passage of fire before seed dispersal may have profound effects on the replacement of the grass cover, whilst, in more humid regions, fire is often responsible for maintaining a balance, and its suppression can lead to shrub invasion and a succession to climax forest.

Woody Strata Many grazing land ecosystems are mixed formations having herbaceous cover and a woody stratum, and the relative importance of these two layers is very varied. In the arid and semiarid climates, the woodlands and thickets are often of thorny species (Acacia spp., Prosopis spp. and Cactaceae). In zones having a dense dry forest climax, many of its species are adaptable to life in savanna or in woodland. The tree density of these formations depends on edaphic conditions (e.g. in the Brazilian cerrado) or on anthropogenic action (the Miombo of central Africa). In the zones having a dense evergreen forest climax (the Guinea-type forest-margin savannas and in Amazonia), the woody cover is always poor and only a small number of species can adapt to these conditions (Curatella spp., Byrsonima spp. in America; Hymenocardia spp. and Annona spp. in Africa). On waterlogged soils, palms may be the dominants. The woody layer influences the grass cover through its shade; under a humid climate, shade favors shade-tolerant species of low fodder value and low productivity; thus, ecological niches favorable for development of forest species are created, and it is often necessary to keep the woody vegetation under control by periodic fires. In all savannas in forest climax areas, the suppression of fire and competition of herbaceous plants due to overgrazing lead to rapid woody plant invasion. On the contrary, in a semi arid climate, shade may favor the development of mesophytic species having high productivity; for example, in the African Sudan zone, the grass biomass in sunlight zones varied from 70 to 250 g/m2 (according to the soil type), whereas it is >300 g/m2 in shaded areas; in the Sahel steppe areas, the grass biomass may be multiplied by 2.5 in shaded areas. Grass Stratum This is the essential element of pasture productivity. In humid zones, with long periods of active growth, grasses are usually almost only grazed in their green state during their growth period in the wet season and as secondary regrowth in the dry

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season. In arid zones, with a much shorter growth period, the shorter grasses are largely consumed in a dry state after seed dispersal. Some graminoid species or some genera, with a wide geographical range, play a predominant role; these include: Andropogoneae • Hyparrhenia spp. and Andropogon spp., which are very well represented in all humid and sub-humid regions (especially H. diplandra, H. rufa, A. gayanus); • Saccharum spontaneum, Dichanthium spp. and Themeda spp. are important species of some grazing lands in Africa, Asia and Australia, Sehima nervosum, Cymbopogon spp. and Chrysopogon spp. are important in grazing lands of monsoonal Asia, especially India; • Heteropogon contortus and Imperata cylindrica are two pantropical species that are predominant in many types of pasture. Paniceae • Panicum maximum and Pennisetum purpureum, two species originating from the Guinea region of Africa, which are cultivated in all the tropics; • Cenchrus spp. represent one of the essential fodder resources of areas with long dry seasons; • Pennisetum clandestinum, originating from upland areas of eastern Africa, has been introduced in many regions, especially in South America (Brazil and Uruguay) and in Indochina; an excellent fodder species that forms an essential part of upland pastures; • Paspalum spp. has many species and is important in many grazing lands of humid and subhumid America; • Echinochloa spp. (in flooded areas), Panicum spp., Brachiaria spp., • Digitaria spp., etc. Arundinelleae Although of lesser value, many species of Loudetia spp., Tristachya spp. and Trichopteryx spp. play an important role in grazing lands on poor soils. Aristida spp. has many species and is found in all ecosystems having an unfavourable water balance due to climate or edaphic reasons. Many other species are capable of playing a varying role (Chloris spp., Cynodon spp., Eragrostis spp., Sporobolus spp., etc.). Genera having holarctic affinities (such as Bouteloua spp. in the New World and also Agrostis spp., Bromus spp., Poa spp., Stipa spp.) are found only at high altitude or in regions in contact with areas outside the tropics (as in northern India, the Cape region, southern Brazil, Mexico). The fodder value of forb species and their role is generally not so well known. Many species with a growth period longer than that of the grasses may play an essential role during dry periods in semi-arid pastures; this is true in the Sahel where it is the non-graminoid species (forbs or shrubs) that supply almost all the nitrogen. Legumes do not always play as important a role in tropical grazing lands as in temperate or Mediterranean regions. Some species are widely used, especially as crops; they

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mainly belong to Phaseoleae (Phaseolus spp., Vigna spp., Centrosema spp. and Pueraria spp.) or the Hedysareae (Stylosanthes spp., Desmodium spp., etc.). Their role in natural pastures is very variable; in the Guinea-type savannas of Africa, not only are they few in number but they are practically inedible (Indigofera spp., Crotalaria spp., Tephrosia spp., etc.); they have a more important role in America, as, for example, in northeastern Argentina (Desmodium spp.) or in the llanos (Stylosanthes spp.). A study of the semi-arid ecosystem of the Serengeti area (eastern Africa) has also shown that some legumes (Crotalaria spp., Indigofera spp. and Glycine spp.) were frequent and may even be predominant over several square kilometres; however, they are disregarded by the large herbivores and only Grant’s gazelle eats them during the dry season. The importance of some Trifolium spp. in upland areas, especially in eastern Africa, should also be mentioned. The possible role of plants belonging to other families is very little known; they may be important in arid zone pastures (e.g. in the Sahel many species remain green during the dry season and are very palatable) (UNESCO 1979).

Rangeland Productivity Biomass and standing crop have been used nearly synonymously to refer to the weight of organisms at a given time. The essential distinction between productivity and biomass or standing crop is that productivity is a rate process with a specified time interval, whereas biomass and standing crop refer to quantities at a particular point in time. Herbage is a term often used by range workers and refers to the biomass off all herbaceous vegetation at one point in time (Pieper 1978). Not all the herbage is usually eaten by livestock or other herbivores, since some may be unavailable (out of reach or protected by a shrub or spiny plant) or not readily acceptable at conservative stocking rates. Forage, although defined in various ways by different authors, generally refers to herbage available and acceptable to grazing animals (Pieper 1978). Thus forage is always less than herbage. Browse has been defined as “that part of leaf and current twig growth of shrubs, woody vines, and trees available for animal consumption” (Duvall and Blair 1963). Thus browse is comparable in some ways to forage. Herbage or browse biomass is usually expressed in terms of dry weight per unit area. The quantity of herbage and browse is never stable on rangelands within or between years. Most rangelands are characterized by a single growing season, when soil water and temperatures are suitable to support plant growth. Early in the growing season plant growth is slow, then reaches a peak during mid-growing season, and finally slows and then ceases during the dormant season. It is assumed often that herbage standing crop is nearly stable during the dormant season. Many processes, however, such as respiration, translocation, shattering, herbivory, and so on, continue during the dormant season and contribute to the decline in herbage biomass (Pieper et al. 1974). Thus herbivores face a declining food supply as the dormant season proceeds even without considering their own consumption.

26 Table 2 Grass genera grouped according to the most abundant kind of non-structural carbohydrate stored in stem bases (Smith 1972; Ojima and Isawa 1968); quoted in Stoddart et al. (1975)

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Fructosans Agropyron Agrositis Alopecurus Arrhenatherum Bromus Calamagrostis Dactylis Elymus Festuca Hordeum Lolium Phalaris Phleum Poa Triticum

Sucrose Avena Sorghum Zea

Starches Andropogon Bouteloua Buchloe Cynodon Distichlis Echinochloa Eragrostis Leptoloma Muhlenbergia Oryza Orysopsis Panicum Paspalum Phragmites Sorghastrum Spartina Sporolobus Stipa

Physiology of Range Plants Most grasses fall into one of two groups with respect to the kind of non-structural carbohydrate present in vegetative parts those in which starches predominate and those in which fructosans predominate. The former are of tropical or subtropical origin; the latter are of temperate origin. Some contain neither starch nor fructosan in any quantity (Table 2). Starch is the most abundant carbohydrate found in trees (Kramer and Kozlowski 1960).

Phenology of Range Plants Growth Patterns In the tropics, grasses and legumes develop as annuals or as perennials. There are no true grass or legume biennials in the tropics. With some species, such as Chloris gayana, Cenchrus ciliaris, Hyparrhenia rufa and Panicum maximum, a short vegetative period of 4–6 weeks is followed by stem elongation and emergence of floral parts. Unless plants are cut, new tillers develop and produce inflorescences throughout most of the growing season. A number of species, such as Pennisetum purpureum, Tripsacum laxum, Andropogon gayanus, Axonopus scoparius, Melinis minutiflora and Brachiaria ruziziensis, remain vegetative over a longer period of time. Stem elongation occurs during the latter part of the rainy season in these species, with a fairly uniform development of inflorescences and seed maturity in the dry season. Perennial tropical legumes are more drought tolerant than grasses. Most perennial species produce flowers during the latter part of the rainy season or early dry season. Generally, flowering is non-uniform and spread over several weeks, or even

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months. The growth pattern of grasses and legumes is different, and adds to the complexity of compounding mixtures for sowing, as well as to the difficulty in management of mixed swards. Furthermore, the imposition of grazing or cutting treatment during one phase of the growth cycle of any given mixture may indirectly affect subsequent cycles to a great extent.

Stages of Growth and Development – Crowder and Chheda (1982) identify the following general stages of growth: Seedling- time from emergence to tiller formation or axillary branching. – Establishmental – a transitional period when young plants are producing leaves and tillers, nodal and secondary roots. – Vegetative – production of leaves, shoots, stolons and rhizomes with no visible, or relatively few, floral stems. – Floral stem elongation – shoots having flower primordial increase in height, or length, as internodes lengthen. – Reproductive – floral and seed production. Leaf, Stem and Root Growth In the early stages of growth, the herbage consists entirely of leaves. As grasses age, stems comprise a greater percentage of the bulk forage. As the aboveground plant parts increase in size, the root system also enlarges. Roots generally comprise less of the total plant weight than the shoots. They usually constitute a greater proportion of the total plant weight in the juvenile stage than in the more mature plant stage, but exceptions occur. Species differ in their shoot: root ratios. Legumes produce a primary or taproot that develops vertically and reaches depths of 8 m or more, depending on the species and soil type.

Regulation of Growth Soil Moisture. Rainfall is the greatest single factor affecting growth and herbage dry matter production. Temperature. The dry matter yield of plant tops and roots of tropical grasses increases markedly with an increase in temperature to an optimum that lies between 30
C and 35
C. Tropical legumes have a lower optimal growth temperature than tropical grasses. Light Intensity. Plant growth increases as light intensity increases, up to the point of light saturation of the leaves in a canopy exposed to full sunlight. Shading would reduce plant growth and development. Burton et al. (1959) showed that reduced light decreased herbage yields, production of roots and rhizomes, nutrient reserves for regrowth and total available carbohydrates (TAC) in the herbage of Cynodon dactylon Coastal (Table 3). The effect was even more dramatic with high rates of applied N, with forage yields being decreased proportionately as light was reduced, i.e. a reduction of light by 30 % decreased yields by about 30 %. In full sunlight, applied N consistently

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Table 3 Influence of light intensity on the growth and production of Cynodon dactylon Coastal (Burton et al. 1959) Available light (%) 100.0 64.3 42.8 28.8

Seasonal dry matter (t/ha) 15.5 14.1 10.6 8.1

Roots and rhizomes (t/ha) 5.17 3.51 3.44 2.39

Reserve index (g) 2.2 1.6 0.8 0.1

TACa (%) 15.8 14.0 10.5 9.0

Lignin (%) 9.2 9.7 10.2 10.4

a

TAC total available carbohydrates

increased plant density and leaf area. Both declined with shade and within 2 years many plants had died after receiving only 28.8 % sunlight. Shade significantly increased the lignin content of the herbage, which would decrease digestibility. Thus animals consuming forage produced under cloudy climatic conditions could be expected to make less live-weight gains. Photoperiod. The influence of day length on plant growth is usually over shadowed by its conspicuous effect on flowering in many grasses and legumes. When short-day plants, such as Stylosanthes humilis and S. guianensis (Mannetje 1965) and Hyparrhenia rufa (Agregeda and Cuany 1962), are grown in long days, many or all plants remain vegetative and accumulate dry matter.

Morphology of Plants and Grazing Morphological as well as physiological characteristics determine the ability of plants to tolerate removal of foliage. Specific differences in the number and position of perennating buds and growth sequences make plants differentially susceptible to injury from cropping. The location of meristematic tissues is important; greater impacts occur where active tissue can be readily removed. Shrubs can be eaten back into previous year’s growth, but with herbs, only the removal of the current year’s production is possible. Under repeated use, however, shrubs may become so compacted that animals can obtain forage from them only with difficulty, an effective means of protecting buds against removal. Plants with tough fibrous stems survive grazing better than do those with weak soft stems. Protective structures, such as thorns and spines, limit use and promote survival.

Growth Characteristics of Grasses The differences in growth and bud characteristics are of great importance for the range manager. Grasses that have a high proportion of vegetative stems, those that delay the elevation of the apical bud, and those that sprout freely from axillary buds are most resistant to grazing and most productive under use. It is these characteristics that influence differential responses among species such as the reduction of mid-grasses and the increase in low, turf-forming grasses on the short-grass plains.

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Effects of Grazing on Range Plants The ability of a range plant to survive and produce forage under grazing cannot be explained on the basis of carbohydrate content, morphology, root growth, or reproduction alone. All are interrelated, and what adversely affects one affects another. For example, low carbohydrates and few vegetative buds may go together, and lowered forage production integrates all these separate factors together into a practical guide useful to the range manager when based on consecutive years of records. With some exceptions, experience has shown that total forage yield from grasses on arid ranges decreases with increased frequency of clipping and closer harvesting in any 1 year. Even more important is the cumulative effect of close and frequent forage removal over a span of years. Any grazing, whether moderate or heavy and whether early or late, has a measurable influence upon the metabolism of a plant. With reduction of photosynthetic tissue comes reduction in carbohydrate and nitrogen reserves and decreased forage production. This is one of the most important effects of incorrect grazing. Critical to the range plant is the influence of grazing upon volume and depth of the root system. A reduction of food reserves slows the growth of the entire plant, and root growth is no exception. The acceptance of these facts is basic to range management. Provided that grazing is neither too frequent, too close, nor improperly timed, plants have great ability to survive use.

Effects of Time of Forage Removal on Forage Production At any given level of use, forage production is affected greatly by the time of forage removal, for plants are more vulnerable at some periods than others. If forage removal occurs in the early growth stages and while moisture is available, the healthy plant quickly replenishes lost foliage and there is little disruption of plant functions. The same level of clipping in midseason is much more critical. In general, defoliation early in the growing season is less detrimental than at a later time. In dry climates, time cessation of grazing may be more important to plant welfare than time of beginning of grazing (Stoddart 1946). Grazing that removes herbage just prior to the onset of the dry season prevents normal food storage, development of roots, and formation of buds. Grazing or clipping after the foodstorage cycle has been completed has the least effect. Combinations of drought and heavy grazing are particularly detrimental to plants. Effects of Grazing on Production from Shrubs and Forbs Most shrubs and forbs, unlike grasses, are not well adapted to regenerate forage removed through grazing. It is well known that browsing or clipping shrubs encourages twig growth at the expense of flowers and fruits, but the effects only become apparent in following years. By thus keeping shrubs in a vegetative condition, increased forage production may result (Garrison 1953). Certain shrubs can withstand heavy utilization year after year when cropping takes place during the winter. Conversely, heavy and repeated clipping during the growing season can cause rapid declines in subsequent forage yields and increase plant mortality

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(Lay 1965). Generally, forbs are less resistant to grazing than are grasses, although many leguminous plants withstand repeated use. Many of the more productive forbs are weak-stemmed and are readily damaged through breakage and lodging by trampling (Stoddart et al. 1975).

Effects of Grazing upon Reproduction of the Plant Decrease in valuable forage plants on the range does not result entirely from the death of established plants, although death is a significant factor (McKell et al. 1966), but also from a decrease in reproduction and consequently a smaller number of young plants available to replace those that are dying. The life span of a range plant varies from a few weeks in annuals to 50 years or more in shrubs and, possibly, in perennial grasses also. When it becomes evident that mature plants are not being replaced by young plants, maintenance of the range requires an immediate change in livestock management to allow normal reproduction. A healthy range has a mixture of many classes of plants. Old and senescent plants die and are being replaced constantly by new ones. The reproduction process must not be interrupted to the point where no new plants are available to replace those that are dying. The influence of grazing upon seed production is twofold. The animals may graze the plant so heavily as to consume the seedstalks prior to dropping of seed, or cropping may disturb the physiology of the plant as to inhibit seed formation. Probably the latter is far more important than the former, despite the general opinion to the contrary. Very intense grazing would be necessary to consume all the seed produced by healthy plants. Because nature is so lavish with the number produced, the seed remaining after the usual grazing may produce all the young plants for which there is space. Some plants protect their seeds so as to make them inaccessible to ordinary grazing; on others they are easily accessible and highly preferred. Since seed formation requires large quantities of concentrated food reserve, any depletion in the reserve of the plant interferes with normal seed formation. Seed production is especially important to annuals, since it is the only way they can reproduce. It has been shown that seed production in annual grasses can be greatly reduced by clipping, especially late in the growth season. It is unlikely, however, that grazing can reduce seed production below the amount needed for production (Stechman and Laude 1962). Grazing may influence species composition, however, because of its differential effect on seed production and other responses among various species (Stoddart et al. 1975). Other Influences of Grazing Upon Vegetation Animals also influence vegetation indirectly. Grazing animals have an influence upon the soil, tending to compact it to surprising depths, especially during the spring or other moist season. Not only are compact soils poor absorbers of precipitation, they also restrict normal root development. The roots are sometimes only half their normal length. Compaction is greatest near the surface; thus the hard soil increases the difficulty of seedling emergence and establishment, and depresses vigor (Barton et al. 1966). Conversely, when the soil is not wet, animals are believed to be beneficial in loosening the soil surface and in covering seeds that

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have accumulated on the surface. The mechanical action of animals in loosening seed, in carrying burs, awned seeds, and the like, in their hair, in distributing hardcoated seeds through the feces, and in loosening bulbs, corms, and bits of rhizome so that they may be transported elsewhere is probably of unexpected importance. There are instances in which total protection of range from livestock has failed to result in the expected revival of the vegetation, presumably because of the lack of animal action in aiding reproduction. In arid regions, it is possible that grazing induces better moisture relations since, with the removal of herbage, the transpiring surface is reduced and plants may be better able to withstand drought. Where great quantities of plant material accumulate, production may be lowered (Stoddart et al. 1975).

Range Management Range Inventory Ecological surveys deal with the physical and environmental factors such as precipitation, topography, soils, and broadly defined vegetation communities. They provide useful basic information to other kinds of range inventories, though they are not strictly essential to them. Commonly, they are undertaken to provide a framework for other more intensive inventories. These broad surveys often form the first step in range management planning (Stoddart et al. 1975). Range forage inventories are most commonly for the purpose of determining the grazing capacity of rangeland either for domestic livestock or wild herbivores. Special consideration is given to plant species and types that are preferred as forage, though other physical and biological data bearing on range productivity and management procedures may be included. Utilization surveys are ways of assessing the current grazing pressure exerted by foraging animals as a means of determining appropriateness of current stocking levels or management systems. Condition and trend analyses are at present the most important range evaluations. The data compiled from them enable the range manager to judge the adequacy of stocking and management practices. Based on successional and community dynamics concepts, they are designed to assess whether range sites within the range ecosystem are at, or depart from, accepted standards and capabilities based on their potential for production. Multiple use surveys are whole spectrum analyses done to determine the entire biological and physical resource base with the objective of integrating all capabilities and uses of the range into a comprehensive and coherent plan. Rangeland appraisals are for the purpose of determining economic productivity of a range area. The physical inputs come from information developed in inventories described above. These are related to other factors outside the range area, but intimately associated with it.

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The initial determination of the quality of grazing land considered primarily as a system for meat production is through species inventories, association inventories and the morphological and behavioral adaptive structures of plants. The whole question is to define production potential in terms of the total matter available for transformation by livestock. The mode of growth and production of plant communities or individuals indicate the present production of the ecosystem and the way in which the ecosystem evolves under the influence of human interventions. It is important that all aspects of primary production be studied in detail for effective management; primary production processes control the growth rate of animals and thus determine the total yield of the ecosystem (UNESCO 1979).

Vegetational Attributes A vegetation inventory provides data on the absolute or relative abundance of plant species by vegetation types. Data may be estimates or they may be quantified by numeration, by ground cover, by volume, or by weight. Normally, the data are derived from sample plots positioned throughout the area sampled. Vegetative types most often form the basis of the sampling unit (Stoddart et al. 1975). There are many methods available for determining vegetational characteristics (Brown 1954; Mannetje 1978; Pieper 1978; Risser 1984). Weight or Biomass Increases in biomass through the growth process over time are generally considered productivity estimates that include a time dimension. Most estimates of plant biomass or standing crop include only that above the soil surface. Belowground biomass is very important for plant functions, but it is difficult to measure and generally not included in inventory or monitoring procedures. Direct harvesting is considered the most reliable method of determining aboveground biomass, but it is too time consuming to be of practical value for inventory or monitoring of extensive range areas. Several weight estimate techniques have been developed for rapid and fairly reliable determination of herbage weight (Pechanec and Pickford 1937; Shoop and McIlvain 1963). These procedures involve estimating herbage weight by species from small quadrants in the field. Training of observers in the field is necessary. This can be done easily by checking the estimates with clipped quadrants. The method is considered reliable enough to be used on detailed research studies (Shoop and McIlvain 1963). Weight estimates can be adjusted by clipping a portion of the quadrants that have been estimated. Double sampling procedures involving regression adjustments have been outlined by several workers. Area or Cover Aerial or canopy cover refers to the area covered by the vertical projection of the crown of plants onto the soil surface (Brown 1954; see Fig. 5). Basal cover or area refers to the area occupied at the intersection of the plant and soil surface. Woody plant cover is often expressed in terms of canopy cover since the basal area of trees and shrubs is very small in relation to the role of these plants in the plant community. Basal area is most often used for herbaceous plants since it was

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Fig. 5 The manner in which vegetation is projected for purposes of cover determination. If other than forage cover is being estimated, the foliage in the top of the shrubs would also be included (Modified from Stoddart et al. 1975)

assumed that basal area was not influenced greatly by seasonal precipitation and temperature. These assumptions concerning the relative stability of basal area of grasses, however, may be misleading (Young 1980). Cover determination is often conducted for inventory and monitoring purposes. The two methods that appear to meet time requirements for inventory and monitoring procedures are estimation (Stewart and Hutchings 1936; Daubenmire 1958), and the point-step method (Evans and Love 1957). Estimating procedures usually involve estimating cover by species in relatively small plots. Often, cover classes are used instead of whole percent unit estimates (Table 4). In this case it is only necessary to estimate cover in the nearest cover class and then to use midpoints for data summarization. The point-step method was developed as a rapid, objective method of determining cover and species composition of large range areas (Evans and Love 1957). The method involves cutting a notch or marking a spot on the observer’s boot. The observer paces across the range area, recording whatever is directly beneath the notch or mark on his or her boot. Individual species, litter, bare ground, rock, and so on, can be recorded. Other devices, such as a fine rod or tripod, can be used to make placement of the point more objective (Owensby 1973). Care must be taken to make the point as small as possible, to avoid overestimation of cover (Holechek et al. 1989). In older range literature, cover was called density, which should not be confused with its present usage.

34 Table 4 Cover classes rated according to percentage of ground surface covered by vegetation (Daubenmire 1958)

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Class 1 2 3 4 5 6

Coverage (%) Range 0–5 5–25 25–50 50–75 75–95 95–100

Midpoint 2.5 15.0 37.5 62.5 85.0 97.5

Density or Frequency The simplest inventory is a species list in which consideration is given not to relative amounts, but only to presence of a plant. Number lists are made by counting the number of individual plants of each species occurring in sample plots (Stoddart et al. 1975). Density is defined as the number of individual plants per area (Cooper 1959). In some cases, it is difficult to identify an individual plant for sod-forming species (Dix 1961). In these situations, it may be necessary to use a plant unit such as an individual shoot. Density can be determined by counting the number of plants in quadrants, but quadrant size is critical. Large quadrants serve well for vegetation with low density but may be too time consuming for areas with high density. Frequency sampling is fast and easy to conduct in the field. If one determines density from quadrants, frequency can be calculated from the same data since frequency represents the percentage of the quadrants in which the species occurs. Quadrant size is critical with frequency sampling also. If the quadrant is too large, many species will have high frequencies, whereas if the quadrant is too small, frequencies will be too low, especially for the less abundant species. Hyder et al. (1963) provide guidelines for frequency sampling. Sample Plots Sample plots vary in size, depending primarily on the kind of vegetation studied. Tree and shrub stands require larger plots than herbaceous vegetation. The most effective sampling of an area can be obtained by the use of numerous small plots, rather than fewer and larger plots, but the plot chosen must be large enough to encompass individual plants of the larger species present. Spacing of individual plants and the number and distribution of species are important in determining plot size. The plot size required increases both as distance between plants and the number of species increase. Plots may be round, square, or rectangular. Sometimes rectangular plots are elongated greatly in length and narrowed in width (belt transect), sometimes to a mere line (line transect). Transects are especially useful to sample across ecotones where one vegetation type intergrades into another. Permanent plots are commonly square or rectangular since marking the corners of the plots with stakes ensures more accurate placement of a plot marker at subsequent visits. Iron rods hurried in the soil can be used also for plot marking. Subsequent detection is then made by using a metal detector. Irrespective of shape, permanent plots are commonly referred to as quadrants especially when

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the position and area of each plant are mapped. Round plots are used more frequently for temporary than for permanent plots. Whatever size of plot and the area sampled, effort must be made to obtain a representative sample. Though carefully selected plots may fulfill this criterion, statistical theory requires that plots be randomly located, since all measures of statistical reliability are based on chance occurrence. As a practical matter, a purely random arrangement of plots makes plot location much more time consuming than a mechanical arrangement in which plots are spaced regularly at fixed intervals. Consequently, elements of the two methods are combined. This is done by randomly selecting lines through the area under study and randomly locating plots along these. Thus, plot location is simplified, and chance is permitted to operate so that statistical analyses are possible. Since the number of plots required to obtain an adequate sample depends on the heterogeneity of vegetation, this number can be minimized by reducing the heterogeneity of the population being sampled. This can be done by dividing the area under study into subareas on the basis of differences in the vegetation. Plant communities differ from place to place because of edaphic factors such as slope, exposure, and soils. Recognizing these differences beforehand and making these subareas the sampling units well reduce the variability among individual plots which, in turn, enables one to attain a given degree of reliability with few plots (a smaller sample). The outlines of these sampling areas should be drawn on a base map, preferably aerial photos, before collection of vegetation data is begun (Stoddart et al. 1975).

Photography and Remote Sensing Photographs are a useful aid to range analyses because they provide visual evidence that is difficult to convey by data alone. They are especially useful in reconstructing changes in vegetation over a period of years. Close range photography has not, however, proved helpful as an analytical device because of the distortion resulting from varying proximity to the camera of vegetation occupying different height strata. Aerial photographs are more useful, their quality and usefulness varying with the type of imagery used. Most useful are large-scale (1:1000–1:5000) aerial photographs taken for the specific purpose of making vegetative resource surveys (see Chap. 4, this Vol.).

Range Condition In classifying rangeland for potential productivity under good management, it is necessary to know whether the vegetation is improving or deteriorating. This requires a knowledge of the desirable natural and naturalized plants, their competitiveness and desirable densities, acceptability to animals, tolerance of drought and trampling etc. Weedy species can serve as indicators of the degree of deterioration or depletion. Information about soil characteristics, particularly inherent fertility, is important with regard to maintaining vegetative cover for sustained herbage growth and as a safeguard against erosion (Crowder and Chheda 1982).

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The term “range condition” to the range manager has a special meaning relating current condition of the range to the potential of which the particular area is capable. It should not be confused with immediate availability of forage. The range manager attempts to discover whether the plants that should grow in a particular situation are present and in good vigor. He notes the quantity of each species present as a basis for determining the degree to which the productivity of the range has been impaired. Range condition, in this sense, is best described as the state of health of the range.

Assessment of Range Condition Climax Approach. This method of rating range conditions is applicable to perennial grasslands and is based on a comparison of the present vegetation with that of the previous composition at a given interval of time (Dyksterhuis 1949). As indicated earlier, range plants, whether desirable or undesirable, can be classified as “increasers,” “decreasers” and “invaders.” The first two can be valuable herbage types but the latter are mostly undesirable and are generally abundant on overgrazed, unstable rangeland. In developing the base from which future comparisons are made, individual species are placed in one of the three groups and relative percentages of each group (inclusive of all species) are recorded. This is usually tabulated so as to rate the range condition as excellent, good, fair or poor. Such data should be taken periodically throughout the season to provide records under varying conditions. Thus, by knowing the current range condition, and comparing it with past situations under similar circumstances, adjustments in stocking rates and distributions can be made. This scheme is more satisfactory where bunch type grasses comprise the vegetation rather than creeping and trailing types (Crowder and Chheda 1982). Palatability Rating. In this system used for annual-type rangelands, ratings are made of plants highly acceptable to the livestock. Data are collected early in the season before moving animals on to the range. Excellent to good conditions indicate a large proportion of highly preferred plants, a relatively dense cover, a thin mulch on the soil surface and no active erosion. Ranges in fair to poor condition are dominated by less palatable species and a greater number of undesirable plants. Those in poor condition consist of sparse soil cover, plants of poor growth, many weedy species and heavy soil erosion (Crowder and Chheda 1982). Range Potential. This approach attempts to express the current herbage production in relation to the ultimate potential (Humphrey 1949). It requires prior knowledge of the range vegetation and output, with emphasis given to ratings of botanical composition and density of cover, plant vigor (potential production), quantity of mulch and degree of soil erosion. In predicting potential herbage production and stocking capacity, it is assumed that (1) range condition is not a temporary state but repeatable under comparable environmental circumstances, (2) a current rating differing from the expected normal would not necessitate reclassifying the range condition on an annual basis and (3) excellent to good

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range will produce more than fair to poor condition, even though the current rating might suggest a modification (Crowder and Chheda 1982). Score Cards. In this method, the range evaluator has before him a list of important factors such as (1) general growth and vigor of the desirable herbage species, (2) density, composition and overall grazing value of the vegetation, (3) indicator plants, including annual grasses, weeds and poisonous plants, (4) soil erosion indicators, such as quantity of mulch, extent of erosion and formation of gullies and (5) animal indicators, which include weight gains of the livestock and appraisal of the wildlife population. Numerical values assigned to the various items are scored and summarized to provide a rating of the range condition (Parker and Woodhead 1944).

Condition Trend Condition ratings, even though they are accurate, are of little use without knowing the trend in condition. A range in poor condition that is still deteriorating requires different treatment from a poor range that is in the process of improving. Trend has been defined as the direction of change in range condition. Generally trend is considered upward (or improving) or downward (declining) or stable. Determining trend is highly important. Generally, livestock reductions and wide-scale changes in management are unnecessary if condition trend is upward, although, by improved management, rate of range improvement may be increased. Poor range condition does not mean that current management practices are wrong. Only trend of condition will reflect correctness of current grazing practice. Trend can be determined only by careful analyses of the range. Judging range trend is even more hazardous than judging range conditions, because there are few objective means for assessing trend. Soil and vegetative factors are commonly listed to ensure consideration of a uniform set of factors. Soil factors include, among others, presence of litter, evidence of soil trampling, and presence and condition of gullies. Plant factors include such things as plant vigor, seedling establishment, degree of present utilization, and evidence of past utilization, especially on browse plants. Obviously, each of these factors may be judged positively or negatively. Gullies may be new and raw indicating deterioration, or they may be filling in, indicating improvement. If seedlings of better species are present, conditions are favorable. Seedlings of poor or invader species are an indication of deterioration (Stoddart et al. 1975). Vegetation measurements on one site at intervals of time can indicate whether the trend in condition is up or down, provided there is opportunity for comparison with a reference site that is known to have had little or no grazing use. This comparison is essential because seasonal changes can induce temporary vegetation responses, which mask the effects of management. If details of stock management of the site are known, it is often possible to identify the cause of the trend. Vegetation changes due to grazing can usually be related to the percentage of the current season’s growth that is utilized by the animal (Heady 1973).

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Grazing Management and Stocking Rate Stocking Rate and Grazing Capacity Stocking rate is defined by the Society for Range Management as the amount of land allocated to each animal unit for the entire grazeable period of the year. Carrying or grazing capacity are terms commonly used when discussing stocking rate. These terms refer to the maximum number of animals that can graze each year on a given area of range for a specific number of days without inducing a downward trend in forage production, forage quality, or soil. Although actual stocking rates may vary considerably between years because of fluctuating forage conditions, grazing capacity is generally considered to be the average number of animals that a particular range will sustain over a period of time. Selection of the correct stocking rate is the most important of all grazing management decisions from the standpoint of vegetation, livestock and economic return. Although this has been the most basic problem confronting ranchers and range managers, specific approaches to this problem are still generally unavailable. It is generally agreed that there is no substitute for experience in stocking-rate decisions on specific ranges. Regardless of the technique used, all methods so far developed based on vegetation analyses yield only an estimate of grazing capacity. True grazing capacity can be determined only by stocking with an estimated number of animals and watching the range trend (Stoddart et al. 1975). A practical solution is recognizing vegetational changes that lead to range decline and making adjustments of stocking rates before deterioration becomes severe. The importance of range condition and trend studies have been stressed as guides in the determination of carrying capacity and assessment of management. There is, however, a lack of information for most tropical rangelands concerning productivity of major range types and their stocking capacities under different treatments. Information on potential herbage production is needed rather than preconceived concepts of vegetation climax and succession. In many places, the livestock numbers already exceed the potential stocking capacity, especially in localities of communal grazing. Thus, overgrazing is the common practice and destocking becomes difficult to achieve, because it demands a radical change in the pastoralists’ way of life. Under such conditions, completely new approaches must be devised to modify the land tenure system and the social structure before range management practices can be imposed (Crowder and Chheda 1982). Grazing Systems Grazing systems are alternative means of grazing by deploying stock on the pasture year round. They usually include a period of rest from grazing. They may incorporate periods of intense grazing to increase use of less palatable species and to reduce competition for the palatable species (Acocks 1966). In other systems, the animals are moved almost continuously on the principle that overgrazing occurs plant by plant and that if animals are prevented from regrazing a plant it will recover and may even be improved in vigor because of tillering or branching induced by removing of apical dominance (Goodloe 1969). Some systems employ

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rest periods that are long enough to ensure that seeds are set either periodically or every year, or that desirable plants attain sufficient size to withstand another grazing. A very important use of the rest periods is to promote sufficient fuel for a controlled burn and to prevent damaging overuse of the recovery growth. Traditional grazing societies frequently employ forms of deferred grazing to make hay or reserve fodder for winter grazing. The following characteristics of a good grazing system are listed by Stoddart et al. (1975): – It is based on the physiology and life history of the plants. – It is suited to the kind of plant present. – It is adapted to soil conditions, and erosion, for instance, will not result during heavy grazing. – It will move plant succession toward higher productivity by favoring the desired plants. – It is not detrimental to animal gain. – Its implementation is practical in a ranching operation. The last point is vital. Heavy investment in fencing, water installations, etc., is neither economically nor socially possible in most parts of the arid zone. The improvements perceived by the introduction of a grazing system have frequently been ascribed to the fact that, to operate it, considerably more attention had to be paid to the condition of the pasture than was normal, thus improving pasture management irrespective of the system employed. Grazing systems are secondary in importance to the regulation of animal density and require considerable understanding of plant phenology and long-term experimentation (Harrington 1981). Grazing systems can be classified into the following categories: Continuous: livestock are placed on the range and allowed to remain indefinitely, as is the case of year-round grazing even with seasonal herbage growth. Animals have free access to any part of the range. Deferred: the range is divided into camps or paddocks (sometimes called ranges) so that a long period of rest is systematically allotted to each, the deferment falling at different times of the year over a predetermined number of years. The resting period coincides with a fixed time (by calendar or season) before and after burning and may include an interval to allow for seed set and maturity. Variations of the deferred grazing system have been employed in various parts of Africa in order to provide fodder reserves during the dry season and to accumulate flammable material for late and effective burns. A certain number have been described in the literature (West 1955; Heady 1960; Rains 1963; Naveh 1966; Howell 1978). Rotational (sometimes called divisional rotation): separation of the range into 2, 3, or 4 equal, or nearly so, areas and rotating the entire herd from one division to another at systematic intervals. Deferred rotation: a division of the range with a given portion deferred at some critical period of the year, generally during seed set and maturity, with sufficient time allowed for seedling establishment.

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Choice of Grazing System The choice of grazing system depends on such factors as the condition of the range and the trend of condition, rainfall and its distribution, length of the dry season; vegetative cover and the potential production of grasses, forbs and browse plants; objectives of the livestock enterprise; the land tenure system; type of livestock and quality of desired product; and above all, managerial skill. The system should be simple in design and implementation since the more complicated grazing schemes require closer supervision and greater attention. If a deferred plan is employed, a small number of paddocks and infrequent movement of cattle simplify range and grazing management. With less available moisture, the value of continuous grazing becomes more pronounced. In regions with less than 250–375 mm yearly rainfall, the formalized deferred and rotational schemes are not appropriate, so that traditional nomadic and transhumance rotations between wet-dry and dry-season grazing, under controlled stocking rates, are probably more desirable. Rotational grazing is usually more beneficial in the more humid areas where there is wider range of species and greater differences in animal acceptability of plants. Influence of Stocking Rate on Livestock Production Generally, as stocking rate is increased, productivity per animal declines. Differences in animal productivity between light and moderate stocking rates are much less than between moderate and heavy stocking rates. Although productivity per animal unit declines as stocking rate increases, productivity per unit area increases up to a point. It then decreases as scarcity of forage reduces nutrient intake by livestock. Maximum gains per animal and per unit area are not possible concurrently. Animals will cease to gain weight as forage becomes increasingly scarce and often lower in nutritive quality. During drought periods, heavy stocking can be economically disastrous because the complete lack of forage will necessitate that all livestock be removed from the range and fed hay or sold at low prices. Ranchers using light to moderate stocking rates have much higher levels of forage standing crop throughout the year and generally more vigorous plants than do those using heavy stocking rates. This forage reserve permits much less adjustment in animal numbers than would be necessary under heavy stocking rates. The decline in livestock performance per animal unit as grazing intensity increases is explained by reduced forage intake and diet quality. Decreased forage availability reduces animal selectivity and forces them to consume diets lower in quality. It also forces animals to spend more energy on foraging activity that could otherwise go into production. Influence of Stocking Rate on Economic Returns Heavy grazing generally maximizes gross economic returns, but net economic returns are maximized by moderate grazing. Death losses and supplemental food costs are higher for heavy grazing compared with moderate grazing (Klipple and Costello 1960; Shoop and Mcilvain 1963; Abdalla 1980). On cow-calf or ewe-lamb

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Fig. 6 Effects of overgrazing

operations, weaning percentages (percentage of female animals in the herd producing a marketable offspring) are lower for heavy compared with moderate grazing. Livestock can make high gains on heavily grazed range for a few years, particularly if they are given supplemental feed and precipitation is average or above. In drought years, however, the reduction in livestock productivity both per animal unit area is far more severe than on moderately grazed ranges. Death losses from poisonous plants are much higher on heavily grazed ranges because the nonpoisonous, palatable species are less available. Continued heavy grazing results in gradual degradation of soil and vegetation resources (Fig. 6).

Range Improvement Drastic manipulations of range ecosystems are sometimes required or desired. The invasion of unwanted plants, severe droughts, past abuses by grazing animals, or the desire of the operator to change botanical composition or productivity on all or part of the range unit can make practices to revegetate with useful plants desirable. High management inputs are required once these risky, costly practices are used if the land manager wishes to realize a reasonable return on his investment. The most economical method for reclaiming deteriorated grazing lands is through use of methods not requiring planting of desirable species. This may be accomplished by

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control of unwanted plants, concentrating moisture or harvesting precipitation, and/or grazing management. Proper grazing use of desirable plants is very important. If natural revegetation is not feasible, planting of desirable vegetation may be needed (Holechek et al. 1989). According to Harrington (1981), however, capitalintensive measures involving herbicides, fertilizers and machinery are generally not justified in the arid zones except as once-only corrective measures.

Vegetation Control A notable increase in stocking capacity can be achieved by clearing land of unwanted woody growth so as to allow the growth of native and naturalized grasses. Bush control operations should first be carried out on land of high production potential. These should be followed by measures to prevent reinfestation. The costs and expected economic returns should be carefully calculated before the decision is made to launch a bush control program (Crowder and Chheda 1982). The control of unwanted plants is necessary to make more water available for the reproduction and production of desirable vegetation. This may be accomplished by chemical, biological, or mechanical means; by judicious use of fire; or by use of different animal species. Plant control in range management is simply the reduction of unwanted or undesirable plants that have invaded or increased in a plant community. Plants “out of place,” or the movement of certain species out of their normal range or habitat, is one of the major problems on rangelands of the arid and the semi-arid regions (Holechek et al. 1989). Fire is the most common method of bush control on most rangelands. Handslashing can be a rather cheap and effective way of controlling vegetation where labor is available. In the humid regions, however, rapid regrowth occurs from stems and roots, so that other control measures are often needed or else the benefits may not last even for 1 year. In that case it can be useful to combine slashing with burning. Slashing with sufficient time for drying of woody material prior to burning generates more intense and uniform fires when heavy bush covers the area than burning without slashing (Crowder and Chheda 1982). Considerations in selection of mechanical methods (bulldozer, holt breaker, chaining, cutters etc.) are availability of equipment, the size and stand of the plants to be eliminated, whether the target plants have sprouting or nonsprouting characteristics, soil conditions and the type of terrain (Holechek et al. 1989). In general, mechanical control methods are costly and are used on land of high productive potential along with other practices for range improvement. Satisfactory control of unwanted plants and considerable improvement in the grazing capacity of rangelands may often be obtained by applying herbicides (Gibbens et al. 1986). Herbicides may be classified as contact, translocated, selective, nonselective, and soil sterilant. A contact herbicide kills only those plant parts that are directly exposed to the chemical (for example, diquat and paraquat). A translocated herbicide is applied to one part of a plant but is carried to other parts of the plant by plant tissues (for example, 2, 4-D, 2,4,5-T). A selective herbicide

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(e.g. the herbicides listed as translocated herbicides) kills or damages a particular species or groups of species with little or no injuries to other plants. A non-selective herbicide kills or damages all plant species (e.g. paraquat). A soil sterilant is an herbicide that kills or damages plants when it is present in the soil. Most of these herbicides are selective at low rates and non-selective at high rates. Broadcast spraying is the method of herbicide application most commonly used on rangelands. Since the herbicide is applied to all plants, desirable as well as undesirable, selective herbicides are generally required. Applying granulated or pelleted herbicide is also used to control unwanted plants. The latter method is less dependent than foliar sprays on stage of growth but does require precipitation to dissolve the granules or pellets so that the herbicide may penetrate into the soil. Fundamentals to consider are: – Proper kind of herbicide. – Proper rate of application. The amounts of herbicide required to provide adequate control vary among plant species. Higher rates than those needed for adequate plant kill cause damage or death to leaves and branches, so that herbicides are not translocated to the proper site and death of the plant does not result. – Proper volume. The volume is dictated by the target species. It is important to obtain adequate coverage but not excessive amounts that will seriously contaminate the adjacent environment. – Proper time. The phonologic development of the target species, or associated plants, is a reliable index to seasonal susceptibility. Plants are most sensitive to foliar sprays when they are growing vigorously, and the leaves are fully expanded (Holechek et al. 1989). Results from herbicides and arbocides have been variable, with kills up to 80 % or more for first applications. Repeated treatments, and combinations with other control measure such as burning, are needed for more complete control. Browse plants are likely to be seriously damaged or killed (Crowder and Chheda 1982).

Fertilization Fertilizers have rarely been used on rangeland outside the USA and even there, the economic advantages are rare (Stoddart et al. 1975). Phosphorus has been successfully used on the infertile soils of Australia to establish rangeland legumes (Shaw and Bryan 1976). It is unlikely that economic benefit will be derived from applying fertilizer to arid and semi-arid rangeland. Response of natural and semi-natural grasslands to added fertilizer nutrients has been demonstrated, but more favorable results occur when combined with other improvement practices (Crowder and Chheda 1982). Nevertheless fertilization has advantages over other means of range improvement. It requires no highly specialized equipment; costs are less than for seeding, and a period of rest is not necessary. Fertilization is undertaken

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primarily to increase forage production, but it can also provide a more varied forage mix, more palatable and nutritious forage and a longer grazing season. The most widely applied elements are nitrogen, phosphorus and potassium. Nitrogen. Most tropical soils are deficient in nitrogen and heavy applications are required to produce high yields of grass with high protein content. Differences in response to applied nitrogen has been observed. This is due to the following factors: species, stages of growth, amount and time of application, soil moisture and climatic condition. Unfortunately, there is little or no response to nitrogen fertilization in the arid and semi-arid regions. Nitrogen is subject to leaching by water and in areas of heavy rainfall, split applications are necessary to avoid nitrogen losses. Grasses respond better to nitrogen applications than legumes. Therefore, continued use of high nitrogen fertilizers causes a rapid decline in the legume component of grass-legume mixtures. According to Vallis et al. (1968), this is due to the fact that grasses grow faster and are more aggressive than legumes and that they are more persistent under frequent defoliation. Furthermore, applied nitrogen reduces nodulation of the legume, which reduces its competitive capability. Response of native species in depleted rangelands to nitrogen application is usually low, except if phosphorus is supplied at the same time. Phosphorus. Highly weathered tropical soils are generally deficient in phosphorus. Phosphorus fertilizers become efficient only when the P-fixation capacity of the soil is reached and residual phosphorus supply accumulates. Phosphorus is little subject to leaching, and it is thus possible to fertilize heavily with expectations of carryover effects for several years. When pastures are grazed, a large portion of the soil P taken up by grasses and legumes is returned in the excrement of grazing livestock or in plant residue. This also reduces the need for high applications of fertilizer after initial fertilization. Unlike that of nitrogen, the phosphorus requirements of grasses depend more on soil properties than on the grass species. Once the fixation capacity is satisfied, one or two applications per year is sufficient to meet the nutrient requirements of grasses. Phosphorus is essential in nodule development and nitrogen fixation of legumes. Successful establishment and growth of legumes cannot be expected if phosphorus is not available in adequate quantities. Response of native species in rangelands is usually low, but legume density can increase. Potassium. Response to potassium application depends on the species fertilized as well as on the availability of nitrogen and phosphorus. Since about 80 % of the potassium consumed by animals is returned to the soil via excreta, the need for maintenance application is low.

Reseeding Whether natural revegetation or artificial planting is used depends on the residual vegetation. For further revegetation to be effective, there must be residue of desirable plants to take over and dominate the site. In instances where undesirable vegetation is competing severely with the establishment of desirable vegetation, it

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is necessary to reduce or eliminate such undesirable vegetation (Holechek et al. 1989). Range seeding is practiced in the USA in regions where the natural flora has been degraded by overstocking or where the natural woody vegetation has been removed. Mature plants compete with seedlings for moisture and nutrients, which results in most seedlings failing to establish. Thus, the first plants to establish themselves can resist subsequent germination events even under very favorable conditions. If artificial seeding is carried out in such a way as to favor the desired species and the resulting plants are properly managed, the benefits, and thus the costs, may be spread over many productive years without fear of competition from undesired species (Harrington 1981). In deciding whether an area should be seeded, the range manager should ask the following four questions: – Is seeding absolutely needed? Range can be rehabilitated more positively and at lower cost by better livestock distribution, better systems or reduced stocking. Only where the desirable native perennial forage plants are almost completely killed out is seeding essential. – Are proven methods available for the site? Where not available, projects should not be undertaken until satisfactory procedures have been developed. – Can prove methods be used? On many sites the procedures are known for the general type but cannot be applied because excessive rocks, steep slopes or other factors prevent use of the types of equipment or procedures needed. – Can the area be given proper grazing management after seeding? Seeding should not be started until proper grazing management can be assured.

Basic Criteria for Successful Revegetation – Change in plant cover must be necessary and desirable. – Terrain and soil must be suitable for seeding. Deep fertile soils on level. – To-gently sloping land are preferred sites for seeding. – Precipitation and water concentration must be adequate to assure establishment and survival of seeded species. – Competition from unwanted plants must be removed or reduced. Most plants used for revegetation are perennials. Seedlings of these species are often slowgrowing and cannot compete with existing, unwanted plants. A good seedbed will provide the best possible moisture conditions for existing plants before seeding. In addition, it is sometimes necessary to control unwanted plants that are competing with the seedlings of the desirable plants. – Adapted plant materials should be used. The plant species selected for seeding must be compatible with management objectives. It is important to use only those species and varieties well adapted to the soil, climate, and topography of the specific site being revegetated. If native plants are being revegetated, species of local origin are used. – Mixtures of plant types rather than single species should be seeded because: all areas have variable conditions of soil, moisture and slope and each species

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produces abundantly on the site more nearly supplying its needs; seasonal forage production is likely to be more uniform; a mixed diet is more desirable to livestock; some plants of the mixtures may have favorable influence on others (e.g. legumes). Mixtures, however, require greater management skills since they are subject to differential utilization by animals and tolerance to grazing. Highly palatable species may be killed out and less palatability species may be underutilized. Seed treatments should be used. Various microbial treatments (e.g. nitrogen fixing bacteria or mycorrhizal fungi) may enhance seedling survival. Dormancy of most seeds can be reduced by special treatments (e.g. scarification). Proper seeding rates should be used. It is important to use enough seed to get a good stand, but not more than necessary. Too much seed can produce a stand of seedlings so thick that individual plants compete with each other. Proper depth of seeding is necessary and determined by the plant species. Optimum depth of seeding is roughly four to seven times the diameter of the seed. Seeding equipment should be used that provides positive seed placement at the desired depth. More stands are lost because seeds are planted too deep than too shallow. Correct seeding dates are important. The most desirable time to seed is Immediately before the season of the most reliable rainfall and when temperature is favorable for plant establishment. Uniform distribution of seed is essential. Seedbed preparation is essential also. The major objectives of preparing seedbeds for seeding are to (a) remove or substantially reduce competing vegetation, (b) prepare a favorable micro environment for seedling establishment, (c) firm the soil below seed placement and cover the seed with loose soil, and (d) if possible, leave mulch on the soil surface to reduce erosion and to improve the micro environment. Revegetated areas must be properly managed. All seedlings must be protected from grazing by animals through the second growing season, or until the seeded species are well established.

Methods of Direct Seeding Drill Seeding. Drilling is by far the best method of planting seed where site conditions permit. The seed is covered to the proper depth by the drill control, distribution is uniform, the rate of seeding is positively controlled, and compaction can be utilized if necessary. Broadcasting. is any method that scatters the seed directly on the soil without soil coverage. The seed, however spread, must be covered in some way if it is to germinate and become established. Limitations to broadcasting seeding are: – a heavier seeding rate is required; – covering of seed is poor compared to drilling; – distribution of seed is often poor;

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– loss of seed to rodents and birds can be great; – establishment is generally slower. This method should be avoided if possible (Holechek et al. 1989). Interseeding. An alternate method is to cut furrows or otherwise destroy the existing vegetation in strips placed across the area at fixed intervals into which the desired plants are sown. This technique offers the following advantages: there is less disturbance to the site; the species introduced can be those that complement existing forage; forage production remains high during the treatment period; where legumes are introduced, this may result in higher production of the existing species, and it is less costly than complete cultivation (Stoddart et al. 1975).

Water Conservation The most universal factor limiting production in arid and semiarid zones is lack of adequate soil moisture. In those areas, any mechanical modification of range sites that will improve infiltration into soil will reduce soil-moisture stress and increase production. Several techniques exist to reduce surface runoff and improve infiltration. Pitting involves the creation of small basins to catch and hold precipitation. Specialized equipment have been developed in the USA and in Australia for that purpose. Pitting is usually combined with seeding operations. Chiseling can be used on heavy clay soils and where hardpans form beneath the soil surface. Not only is water penetration low on these areas, but plants find it difficult to establish themselves in the compacted soils. Water-spreading structures consists of dams and dikes that intercept surface runoff and convey it out of natural drainage areas at low gradients across the land surface where it can be absorbed. Similar systems of water management are used by African pastoralists for crop production and for rangeforage supplementation. Dams and brushwood deflectors in the ephemeral streams of the Sahelian Zone divert water onto “run-on” areas. These small areas, periodically irrigated, may produce almost as much forage as the vast area of surrounding rangeland (Stoddart et al. 1975). Contour furrows can be ploughed or listed strips placed close together and generally not smoothed after plowing.

Provision of Water and Salt for Livestock On arid and semi-arid rangelands, adequate daily water supply is rare. The daily water intake of range livestock reaches about 8.21/100 kg of live weight in the dry season, and about half this amount during the wet season. Actual water intake varies with the moisture content of herbage and climatic conditions. Animal output is greater with daily watering than every second or third day, and the distance walked between grazing and the watering site affects productivity. With widely spaced watering points, the area around the supply is seriously trampled arid overgrazed, whereas the more distant herbage is not utilized and generally of low quality.

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Opening and closing of water points can be used to draw animals to or away from sections of the range as desired. Salt licks can be used similarly. Left to themselves on the open range, stock will overgraze favored parts of the range whilst leaving substantial areas ungrazed. Government attempts to control human nomadic movements using a similar technique are difficult to achieve in practice because closing of watering points is very unpopular. Construction of new watering points is often part of attempts to develop arid-zone environments by opening up unused or littleused pastures. In the absence of control of stock numbers, the result is usually an increase in the area of depleted range with no increase in animal production or decrease in drought susceptibility (Harrington 1981).

Animal Production Numbers and Distribution of Cattle, Sheep and Goats The world’s cattle population is increasing more slowly than the world’s human population. The total is now more than 1000 million. Somewhat more than one-third of the world’s cattle population are to be found in the tropics. Within the tropics, the largest concentrations of cattle are found in northeast and east Africa, South America, the Indian subcontinent and tropical Australia. Stocking rates are very high in the Caribbean and the Indian subcontinent and very low in the humid region of central Africa, the semi-arid region of western Asia and the humid region of Papua New Guinea. On the other hand, the number of cattle per 1000 inhabitants is very high in tropical Australia (Where cattle are extensively ranched), moderately high in west, northeast and east Africa (where cattle are often managed in a nomadic or transhumant system), and in South America, where cattle are ranched. There are small numbers of cattle per 1000 inhabitants in the humid region of central Africa, where the tsetse fly is prevalent, in Southeast Asia where the farming system is mainly a subsistence one, and in Papua New Guinea (Fig. 7). Approximately one-quarter of all African sheep are to be found in South Africa. Within tropical Africa, sheep are important in Ethiopia, Kenya, Mali, northern Nigeria, Somalia, the Sudan and Tanzania. Within tropical America, the largest national flocks are to be found in Mexico, Bolivia, Brazil and Peru. Within tropical Asia, with the exception of India, sheep populations are relatively small, but there has been a very marked increase in the sheep population of Myanmar. Virtually all the sheep in tropical Oceania are to be found in the drier areas of tropical Australia. More than 50 % of the world’s goat population is found in the tropics. The largest concentrations are in Africa and in the Indian subcontinent. Goats are possibly the most widely distributed of domestic livestock. They are found in countries representing the climate extremes of the tropics, from the arid and semiarid areas of South America to the wet and humid tropics of Southeast Asia. Their wide distribution is partially explained by their ability to survive and thrive in environments where vegetation is extremely sparse. Their rustic and hardy qualities enable them to withstand dry environmental conditions much better than

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Fig. 7 Stocks of cattle and buffaloes, and sheep and goats (2010) (FAO 2013)

Cattle and buffaloes

Sheep and goats

2.0

billion heads

1.5

1.0

0.5

ld or W

ia an ce O

Eu

ro

pe

ia As

as ic er Am

Af

ric

a

0.0

cattle. They perform best, however, in the drier tropics and on light sandy soils. In Africa, for instance, the greatest concentrations of goats are to be found in East Africa, northern Nigeria and Morocco. This pattern of distribution is also true of the Indian subcontinent, western Asia, South and Central America and the Caribbean. Dwarf goats are found throughout the humid tropics, and it could be that they are especially adapted to this type of climate.

Nutrition and Feeding of Livestock Dry Matter It is important to know the amount of dry matter since animals eat a certain amount of forage, the dry weight of which is proportional to the size of the animal (ca. 2.5 kg/ day/100 kg live weight for cattle). The percentage of water present in vegetation varies considerably during the seasons. Non-climatic factors can prolong or attenuate these variations; these include the vegetative stage of the plant, water-regulating mechanisms and buffering effects of surrounding vegetation. The amount of dry matter present is generally fairly low at the beginning of the growing period and varies between species, but is ca. 30 %. It then increases fairly rapidly and remains for a long time at ca. 50 %, reaching 60 % at the time of fructification. Leaves that are still alive in the middle of the dry season only have ca. 25–30 % water.

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Standing dead matter during the wet season has a very varied water content (15–40 %) depending on the amount of rain preceding harvesting; the dry matter content of straw during the dry season is nearly 95 %. The dry-matter content of the tree leaves (initially 30–40 %) increases in the same way. It appears that grass growth is disrupted if the water content is reduced to below 60 %, but some dicotyledonous appear to be more resistant. The rate of desiccation of living herbaceous matter is governed by the density of the vegetation cover. The percentage of water increases from 30 % in herbaceous savanna to 40–45 % in shrub savanna (according to the extent of woody cover) and never falls below 50 % in savanna woodland (UNESCO 1979).

Energy The major nutrient need for body functioning in terms of quantity is that of energy. This is provided by carbohydrates (starch, cellulose, hemicellulose, and sugars) and fats. Energy provided by the metabolism of these nutrients is necessary for maintenance of body heat and for work, growth, fattening, and reproduction. Proteins may also provide energy if supplied in excess of the animal’s needs for muscle and tissue formation (Stoddart et al. 1975). Several measures of energy value of forage have been proposed: digestible energy, metabolizable energy and net energy. Successively, each of these represents a further refinement, and theoretically, each gives a more accurate index to nutrient value than the preceding index. Digestible, Metabolizable and Net Energy Of the total energy available from a forage (between 4.19 and 4.90 Cal/g on a dry-matter basis in tropical pastures, Butterworth 1964), a portion is lost as faecal energy and the remainder is considered as the usable digestible energy. About 20 % of this digestible energy is lost as combustible gases, mostly methane during digestion and in the production of urine, leaving metabolizable energy available for the animal’s metabolic and productive activities. Additional energy is lost as heat when the animal digests and metabolizes the forage. The energy that remains is the net energy of the forage available to meet maintenance and production needs of the animal. Energy Content The energy content of forage is a fairly variable concept. The choice of nutrition units and their representative value have been widely discussed by livestock rearers; some were concerned with digestible energy content, but this is generally expressed in terms of forage units (one forage unit is the energy equivalent of 1 kg of barley = 1648 Cal) or in starch units (1 starch unit = 1.43 forage unit). The energy content is, ecologically speaking, the calorific value that can be used in the study of energy flows within the ecosystem. Plant matter contains slightly more than ca. 4 Cal/g dry weight. It is necessary to make measurements if more detailed analysis is required since this value varies widely between species, organs and seasons. The distribution of energy within the plant biomass markedly differs from the distribution of the biomass itself. Maximum values are attained by seeds (>5

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Cal/g dry weight), less in green and standing dead leaves and are generally least in litter and roots (sometimes ca. 3 Cal/g). Marked variations occur during the growth cycle, especially if calorific value is determined from dry matter without ash. Maximum values in aerial organs are reached at the time of flowering and fruiting; significant energy concentrations may also occur at other times in perennial plants, when there is accumulation of reserves in twigs. The creation of energy and nutrient reserves also explains the range of variations observed in roots (up to 1 Cal/g) (UNESCO 1979). Calculation of Energy Total Digestible Nutrients – If digestibility is available: DOM ¼ DCP þ DEE þ DCF þ DNFE Where DOM is digestible organic matter; DCP digestible crude protein; DEE digestible ether extract; DCF digestible crude fiber; DNFE is digestible nitrogenfree extract; TON is total digestible nitrogen; DM is dry matter; CF is crude fiber; SE is starch equivalent. TDN ¼ DOM þ ðDEE  1:25Þ – If digestibility is not available: fresh grasses: TDN ¼ 54:6 þ 3:66Loge CP  0, 26CF þ 6:85Loge EE hay: TDN ¼ 51:78 þ 6:44Loge CP Energy – Metabolizable energy: ME ðCal=kg DMÞ ¼ TDN  3:65 – Net energy: NE ðCal=kg DMÞ ¼ ME  ð1 Cal  DMÞ NE ¼ FU=kg DM In fodder units (FU): 1648 NE In starch equivalent: 2360 ¼ SE=kg DM

Feeding Requirements Tables 5, 6, and 7 give the feeding requirements for cattle, sheep and goats. Forage Intake by Animals An animal consumes forage in varying amounts. Therefore, assessment of forage quality depends not only on the nutritive value of the forage but also on the quantity of that forage voluntarily eaten or, in other words, on the total quantity of digestible nutrients consumed by the animal. The gross or total energy content of tropical pasture is relatively constant, varying between 17.2 and 18.7 MJ/kg of dry matter (Minson and Milford 1966). Because of this constancy, the results of most intake studies are expressed in terms of dry matter. The quantity of dry matter eaten depends not only on the quality of the pasture but on the size of the animal eating the pasture. To eliminate differences in body size on the measurements of feed intake most results of intake studies are quoted in terms of grams of feed dry matter

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Table 5 Feeding requirements of cattle

Energy in FU

Maintenance (kg) 100: 1.2 150: 1.6 200: 2.0 250: 2.3 300: 2.6 400: 3.2 500: 3.8

DCP (Digestible Crude Protein)

0.6 g per day per kg live weight

Ca

5 g/100 kg live weight 3 g/100 kg live weight 5 g/100 kg live weight

P NaCl

Growth Per kg gain Weaning: 1.2–1.7 6–12 months: 2.1 12–18 months: 2.7 18–24 months: 3.0 24–36 months: 3.2 Total in g per FU weaning: 130–140 6–12 months: 100–130 12–18 months: 80–100 18 months +: 80 15–25 g/kg gain 10–20 g/kg gain 2 g/kg gain

Fattening Per kg gain Beginning: 3.0 Middle: 3.5–4 End: 4–5

80–120 g/ UF

Milk production 0.38 per kg milk at 4 % fat

Gestation 7th month: 0.1/100 kg live weight 8th month: 0.2/100 kg live weight 9th month: 0.3/100 kg live weight

60 g per kg milk at 4 % fat

100/FU

3 g/kg milk 1.5 g/kg milk 2 g/kg milk

6 g/100 kg live weight 5.5 g/100 kg live weight

eaten per unit metabolic weight, where metabolic weight is the 0.75 power of body weight in kilograms. Feed intake expressed in this way varies from 30 g/day per kg 0.75 for mature tropical pasture to 140 g/day per kg 0.75 for immature temperature pastures. In ruminants, intake depends largely on the capacity of the digestive tract, particularly the rumen. The animal stops eating when a certain degree of “fill” is reached and starts to eat again when the “fill” is reduced as a result of digestion and movement of the residue through the digestive tract. Even though with forage of very high digestibility (over 70–75 %), blood metabolite level can control intake by ruminants, under most conditions (particularly in the tropics where forage generally has lower digestibility), gastro-intestinal fill controls intake. Therefore, some authors (Raymond 1969; Cordoba et al. 1978) have concluded that involuntary physiological reflexes, rather than subjective preference, control voluntary forage intake by ruminants. Animal intake of tropical forage, particularly grasses, is, in most cases, considerably lower than temperate species. This low level of intake is generally considered to be the major cause of low animal productivity in tropical environments. Ingalls et al. (1965) suggested that 70 % of the variation in animal productivity can be accounted for in terms of voluntary intake differences, as

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Table 6 Feeding requirements of sheep

Energy in FU

DCP (Digestible Crude Protein)

Ga P NaCl

Maintenance (kg) 10: 0.26 20 0.38 30: 0.47 40: 0.53 50: 0.58 60: 0.64

Per kg live weight 2–3 g/day (lamb) 0.8–1.2 g/day (adult) 0.5 kg/100 kg live weight 0.3 kg/100 kg live weight 0.5 kg/100 kg live weight

Growth Per 100 g gain 1st months 0.16 2nd month 0.21 3rd month 0.27 3rd month +: 0.32 Total in g per FU 3 months: 150–190 g 3–5 months: 135 g 1.8–7.5 g/day

Fattening 3rd month +5 % 4th month +20 % 5th month +50 % of maintenance requirements

3 months -: 0.8 g per kg live weight 3–5 months: 1.3–1.8 g per kg live weight Total: 3.5–5 g 2.5–3.5 g

Milk production 0.6 FU per kg milk at 8 % fat

110 g/l milk

Gestation 0.40–0.55 per 100 g gain

Total: 60–70 g/ FU

4–5 g/milk

1.2–4.5 g/day

3–4 g/milk

5 g/kg gain

2 g/milk

Table 7 Feeding requirements of goats

Energy in FU

Maintenance (kg) 10: 0.43 20: 0.50 30: 0.57 40: 0.64 50: 0.71 60: 0.78

Growth Per 100 g gain: 0.15–0.30

DCP (Digestible Crude Protein)

30–55 g/day

Total in g/FU: 100–170

Ca

0.7–3.0

2.0–3.2

P

0.5–1.8

1.3–2.0

Milk production Per kg milk at: 3 % fat: 0.32 4 % fat: 0.36 5 % fat: 0.4 Per kg milk at: 3 % fat: 50 4 % fat: 55 5 % fat: 60 4 g/kg milk 3 g/kg milk

Gestation 4th month: maintenance +0.25

4th month: maintenance +20 g

Maintenance +1.5 g Maintenance +1.8 g

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compared to 30 % accounted for by digestibility differences. A higher rate of intake is directly related to the shorter time that ingesta are retained in the rumen (Poppi et al. 1981). Intake of tropical legumes is considerably higher than that of tropical grasses.

Sensory Responses and Palatability The critical decision of an animal about whether or not to accept a particular food item is controlled by information relayed by the sense organs of sight, smell, touch and taste, probably in that order. The term palatability may be used to refer to the sensory properties of the food that influence its acceptance by the consumer. The ability to distinguish basic properties of sweetness, sourness, bitterness and saltiness seems to be common to all mammals, but animal species vary in their thresholds of detection and tolerance for these tastes. Domestic ungulates reject herbage contaminated by feces of their own species, but can be induced to accept it if the odor is masked by spraying the herbage with molasses (Odberg and FrancisSmith 1977). This response is presumably adaptively related to avoiding parasite contacts and may be of significance to the formation of localized defecation sites by those grazing ungulates that occupy restricted ranges. In experiments with sheep, Theron and Booysen (1966) found that the tensile strength of grasses was the most important determinant of preference. In other experiments with sheep involving impairment of different senses; however, Krueger et al. (1974) demonstrated that taste had the greatest influence on forage preferences, with other senses appearing supplementary. Deterrents The significance of secondary compounds of plants to plant-herbivore relationships has become clear only in recent years. Cates and Rhoades (1977) propose that these secondary chemicals can be divided into two categories: – Digestibility-reducing compounds, mostly tannins, which form complexes with protein. These inhibit the digestive action of proteolytic enzymes and possibly interferes directly with the form of these enzymes. This binding is most effective at low pH, below pH 8 for condensed tannins and below pH 5 for hydrolysable tannins. Their action is associated with an astringent sensation. – Toxic substances that interfere directly with the physiology of the consumer or possibly with that of its symbiotic microbiota. For example, pyrrolizidine alkaloids and oxalates affect liver and kidney function, other alkaloids and amines attack the central nervous system, saponins destroy erythrocytes by lysis, cardenolides act on muscle systems, cyanide inhibits the action of cytochrome oxidase and non-protein amino acids become miss-incorporated into proteins. Monoterpene alcohols, but not their esters or hydrocarbons, exert an inhibitory effect on the rumen microbiota. Most of these compounds seem to be associated with a bitter taste. Volatile terpenes (essential oils) produce a variety of characteristic odors.

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Tannins seem characteristic of woody plants and are much less common in herbs. An estimated 80 % of dicotyledonous woody perennials contain tannins, compared with 15 % of herbaceous dicotyledons (Cates and Rhoades 1977). Tannins are particularly abundant in mature tissues, where they may be present in quantities up to 60 % of dry mass. A difference of 7 % in the tannin content of the North American legume Sericea lespedeza caused the food intake of cattle to drop by 70 %. Alkaloids have been reported from several 1000 plant species of a wide variety of growth forms, whereas significant quantities of cyanogenic glycoside have been found in several 100 species. The proportion of alkaloid-bearing plants seems to be higher in tropical regions than in temperate areas. Toxins are generally present only in small amounts, and reach highest concentrations in immature tissues, which are the most susceptible to herbivory. Generally, secondary compounds seem much less prevalent among grasses. The widespread occurrence of various secondary chemicals in dicotyledons, and their general absence from the Gramineae, could be an important factor in the grazer-browser dichotomy.

Fodder from Trees and Shrubs Importance of Fodder Trees and Shrubs Herbage for livestock taken from trees and shrubs is known as browse. It may be eaten directly from the natural growth of the plants or from regrowth of sprouts after cutting near ground level (known as coppice). In addition, woody branches can be cut from taller shrubs and trees, thus falling to the ground, where the twigs, seeds, pods and even the bark are eaten. This is known as pollarding and is a common practice with Acacia senegal, Terminalia brownei and Baphia bequaertii, for instance (Dougall and Bogdan 1958; Lawton 1968). In Australia, Brachychiton populneum, Heterodendrum oleifolium, Ventilago viminalis, Flindersia maculosa and Casuarina cristata withstand lopping. Regeneration takes place from roots or stems, but Acacia aneura seems incapable of regeneration unless a large amount of leaf is retained. The value of certain trees and shrubs as fodder in times of drought has been widely recognized (Dougall and Bogdan 1958; Everist 1969; Wilson 1969). This is particularly the case in arid and semi-arid zones, where leaves, pods and flowers may form a high portion of the diet at certain times of the year (Lawton 1968; Gray 1970). As most browse plants are deep-rooting, they are able to exploit the soil moisture and fertility to greater depths than grasses and forbs, maintain green leaves for longer or initiate new growth ahead of the wet season. Some are deciduous and lose their leaves at the onset of dry weather; the leaves are eaten from the ground by livestock. Some leaves may have senesce and drop just ahead of new leaf development. Both legumes and non-legumes are browsed, although the leguminous species have the added ability to nodulate and enhance soil fertility. Other characteristics distinguish fodder trees and shrubs from herbaceous species:

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– Their perennial nature. All ligneous and most sub-ligneous species are pluriannual, and, as a result, provide a constant biological resource. – Their long growth phase. The phenology and development of ligneous species do not depend to any marked degree on the rainy season. Some species produce new leaves well before the return of the rains, and foliage lasting on the tree long after the end of the rainy season is very frequent. Some species are also able to provide a feed source throughout the year. Whether in the form of leaves or fruit, these plants enable a supplementary feed source to be found during difficult periods. – Their relatively delicate character when young. The fact that ligneous, plants are delicate when young is linked with their perennial nature, which is not conducive to regeneration by natural sexual processes. While the plants are young they are vulnerable to constant browsing and sensitive to fire (Piot 1980). An estimated 75 % of the trees and shrubs in Africa are browsed to some extent by domestic animals and game (Whyte 1947). In the savannas in the arid, semi-arid and sub humid zones, ligneous species are an important component of livestock diet. Many of them are browsed or lopped as dry-season feed. Ligneous species also have an important effect on the quality, seasonality and productivity of the grass cover growing in their shade. The main browse species found are the following: Acacia albida, A. senegal, A. seyal, A. mellifera, A. etbaica, A. bussei, A. ehrenbergiana, A. laeta, A. tortilis, A. flava, A. giraffae, A. sieberiana. Many legume species are of great importance also. This is the case of Bauhinia rufescens, Entada africana, Pterocarpus lucens, Albizzia amara, Dichrostachys cinerea, Prosopis africana, Tamarindus indica, and Dalbergia melanoxylon. Other families have important browse species such as the Capparidaceae, the Combretaceae, the Tiliaceae, the Sterculiaceae, the Rhamnaceae, the Anacardiaceae, the Rubiaceae, the Zygophyllaceae and the Salvadoraceae. Ruminants cannot meet their maintenance needs on dry grass alone. Since in the dry tropics, the dry season lasts 6–9 months, and there is usually no supplementary feeding, livestock and wildlife often depend entirely on browse to balance their diet in protein, phosphorus, calcium and vitamin A during this season. Many pastoral groups in the arid and semi arid tropics habitually lop branches from various forage species to make the forage accessible to livestock during the dry season. In Latin America, shrub-dominated ecosystems used as grazing lands cover huge areas. This is the case of the Cerrado and Caatinga of central eastern and northeastern Brazil, the coastal deserts and subdeserts of Peru and Chile, the Chaco of Argentina, Paraguay and Bolivia, the Monte of Argentina, the Andean Puna of Peru, Bolivia, Chile and Argentina. As in other parts of the World, browse is mainly used by livestock outside the growing season when the weather is too cold or too dry (Gasto and Contreras 1972; Soriano 1972). Roseveare (1948) listed 385 trees and shrubs as being eaten by cattle in South America. Some important species are the following: Acacia spp., Prosopis spp., Cercidium spp., Capparis spp., Caesalpinia ferrea, Cassia excelia, Ziziphus jozeiro, Piptadenis spp., Lycium spp., Chenopodium

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peniculatum, Atriplex coquimbana, A. atacamensis, A. repanda, A. sagit tifolium, Maytenus spp. and Opuntia spp. The arid zone covers 70 % of the surface of Australia. About one-third receives less than 250 mm of rainfall and is only used for extensive grazing. Browse is an important component in extensive grazing systems, and some 200 species have been reported to be browsed by livestock (Everist 1972), although only 40 of them are widespread and play a major role in the livestock industry. The browse ecosystems cover some 2.5 million km2 or 30 % of Australia’s land surface. Some of the Australian browse species have been introduced to other continents and are planted as forage, especially several species of Acacia spp., Atriplex spp. and Maireana spp. Lists of browse species can be found in many publications (Van Rensburg 1948; Everist 1958; Kadambi 1963; Wilson and Brendon 1963; Lawton 1968; Le Houerou 1980; FAO/UNEP 1983).

Nutritive Value of Browse Browse plants are less subject to seasonal variation than grasses in terms of nutrient content. Furthermore, they leaf out at the end of the dry season, before the rains and before other forage plants appear. This occurs at a time when animal need is maximal for feed of a higher nutrient content, as they are grazing on low-quality grasses. Browse plants alone keep healthy animals in fair condition, but may be inadequate as the sole feedstuff. A mixture of several species for browsing is superior to a single species. The pods of some trees are highly nutritive and readily consumed by livestock and game. In general, browse plants have consistently higher crude protein levels than grasses, ranging from about 10 % to more than 20 % (leguminous shrubs) on a dry weight basis (Rose Innes and Mabey 1964). Fiber content and lignin is higher than in grasses, and minerals are high also with an average of 10 %, although calcium and phosphorus are usually low. Dry matter content ranges between 30 % and 60 % while trees and shrubs are growing compared to 60–80 % for dry grass. Dry matter digestibility varies from less than 30 % to over 70 % according to species, the part of the plant and the phenological stage. Browse plants are low in energy and added energy content evaluated on the basis of digestibility averages 3 MJ/kg fresh matter (0.42 FU) but varies in the same way as digestibility (0.28–0.86 FU).

Browse Intake The intake of browse varies with the type of animal, season, the alternative vegetation, availability and palatability of the ground flora. Species of animals differ in the amount of browse they eat. With regard to feeding habits, livestock species are usually classified as being grazers or browsers. According to circumstances, however, grazers can satisfy part of their nutritional needs by browsing

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woody species; there are no 100 % browsers among livestock. The percentage of feed from trees, shrubs and grasses in the diet of livestock varies according to availability as well as to the seasons. Cattle are considered to be typical grazers whereas sheep and goats are transitional between extreme grazers and extreme browsers. Goats, however, definitively use more fodder from trees and shrubs than do sheep. The goat is the domestic animal that is best adapted to woody forage in view of the anatomy and physiology of its digestive tract. As indicated earlier, browse is on average poor in energy. In consequence, the animal needs to ingest greater quantities to satisfy its needs. The goat has smaller maintenance requirements, per unit of live weight, than cattle or sheep: 18.64 Cal/kg live weight, against 21.94 for sheep and 31.35 for cattle. It can ingest more than 6 kg of dry matter per day per 100 kg live weight, whereas the corresponding figures for sheep and cattle are 3.8 and 2.9. Thus, taking into account the utilization coefficient of the food, the lower limit for energy content in order to meet maintenance needs is 31.35 kcal/kg of dry matter for goats, 57.75 for sheep and 107.25 for cattle. One can conclude from these figures that the goat is the only domestic ruminant that is capable of growth using browse exclusively, thus explaining its adaptation to and proliferation in poor vegetation (Le Houerou 1980). Browse can ensure the maintenance needs of sheep but does not allow production. Where browse is the principal diet of heep and cattle in the absence of herbage, either seasonally or fulltime (e.g. in Somalia and some parts of Australia dominated by Acacia aneura), productivity is low. Animal selectivity plays a major role in determining the usefulness of browse plants. Acacia senegal, readily eaten by goats and camels, spreads on extensive areas in the absence of these animals. The thorny nature of A. brevispica and A. mellifera makes them little accessible to cattle but they are freely eaten by goats. A. nilotica and Combretum spp. and Albizzia spp. are preferred at certain periods or during the absence of other food; at times, only the flowers, which shed, are eaten. In Australia sheep prefer A. aneura, whereas Capparis mitchellii inflorescences are eaten in preference to leaves. Acacia cambagei is only eaten when dry. Some species of browse, although regarded highly as fodder, have been reported as toxic at times, e.g. Heterodendron oleifolium (Everist 1969), Acacia nilotica (Glover et al. 1966). Eucalyptus populnea trees are regarded as unpalatable and poisonous but may be safely eaten when young. The fruits of Atalaya hemiglauca contain toxins, but the lower leaves are eaten by sheep and cattle without toxic effects.

Propagation Techniques The main methods used are: – direct drilling – planting out of young plants raised in the nursery

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– planting rootstocks – planting out cuttings, before or after the roots have been set – grafting. Direct Drilling. Direct drilling is used only for a small number of species, generally those with low height and a high rate of germination with rapid development from the seedling stage. This is the case for Atriplex semibaccata, A. glauca, A. canescens, Haloxylon persicum, H. aphyllum, Artemisia herba-alba. The advantage of direct drilling is obviously its low cost. Planting out Young Plants. Planting out young plants raised in the nursery, although much more expensive, is often preferred. This is especially true in arid areas since the chances of success are far higher. Competition between the trees and shrubs planted can be more easily reduced or eliminated, and planting densities are low so that it is possible to provide one or more waterings, which will help the young plants to recover. The best technique is to concentrate runoff water on the beds to be planted several months before planting, to ensure that the minimum necessary reserves of water are in the soil. This can be done by creating microcatchment areas during land preparation. The young plants should be between 75 and 100 days old when they are transplanted. They should not exceed 20–25 cm in height nor have a diameter of over 5 mm at the neck. In the arid zone, it is recommended that the resistance of nursery plants should be strengthened by low and infrequent irrigation at least a month before planting out. Seed scarification before planting is often necessary in order to prevent inhibitions to germination caused by seed coats, especially for Acacia and Prosopis species. Propagation by Cuttings. Many species are suitable for propagation by cuttings from the stem or roots, from lignified plant material, from root stalks or from young branches (e.g. Atriplex halimus and A. nummularia). Propagation by cuttings can be practiced in the nursery or out in the field. In the latter case, rooted cuttings may or may not be used. In many cases it is advantageous to use rhizogenic hormones (indol butyric acid). Plant Spacing and Density. Plant spacing and density depend on the species under consideration, on the development expected and the management and utilization methods planned. For instance, shrubs such as Medicago arborea and the most common Atriplex are planted at densities of 500–5000 stocks per hectare depending on the environmental aridity, the nature of the soil and the management method. Maintenance. During the first few years, it can be advisable to reduce competition from weeds. This allows better establishment in terms of survival rates and more rapid growth. Species like Faidherbia albida and Prosapis, which tend to start their development in a bushy way, can be pruned in order to develop a single trunk. Other species like the Atriplex need to be cut back to remain within reach of the animals. In most cases, it is necessary to enclose plantations to avoid damage caused by uncontrolled grazing by livestock and wild animals. This can be done by using live fences which is cheaper than barbed wire, but they should be established at least 3 years before planting fodder trees or shrubs.

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Management The management of a plantation depends on many factors such as the species, the production type (fruit or leaves), the type of utilization (gathering by man or direct browsing by livestock) and whether the production system is extensive, intensive or semi sedentary. In some cases, the fruit are collected when they fall on the ground and may even be sold as is the case in Mali, Senegal and Mexico, for instance. Most species are browsed directly during periods of scarce feed supply or may even be utilized continuously (Leucaena). It is advisable, however, to avoid browsing during the period of active growth of the shrubs. Fodder shrubs and trees should usually be planted in single species stands. Different species have different biological and edaphic requirements and react differently to utilization. As a consequence it is very difficult to obtain a rational management for each one of them when they are mixed together. If diversification is desired this than be done by having monospecific plantations within the same management unit. The species used for direct browsing generally need periodic cutting back, either for the purpose of rejuvenating and revigorating of aging plantations or to bring the consumable biomass within reach of the animals. Coppice growth produces an abundance of very palatable forage. It should be used carefully and with moderation to avoid exhausting the shrubs and killing them. As a rule of thumb, a forage utilization rate of 60 % constitutes a maximum not to be exceeded at each utilization. The duration of each utilization should be as short as possible and, as a general rule, should never exceed 1 week or normal regeneration might be impaired. Generally speaking, trees have a productive life of 100 years or more. Shrubs remain productive for a shorter period of time (up to 40 years for Atriplex).

Yields Ligneous species are characterized by a relatively regular, if not constant, interannual production. As such, they provide a stabilizing element in pastoral or agropastoral systems. Their root system, which is generally powerful, plays a particularly important role. The roots of trees and shrubs can often penetrate to a depth of 10 m and sometimes well beyond. This root system enables these species to reach levels of subsoil in which water is present (inaccessible to grass species) enabling them in particular to make use of ground water at a fairly deep level. The perennial nature of these species also enables them to use early or late rainfall or rainfall occurring at unseasonal times. Browse plantations established on good soils are often highly productive. In Zambia and Zaire respectively (formerly known as Rhodesia), 10–20 large Acacia albida trees per hectare produce from 1100 to 2200 kg of pods without serious yield reduction of surrounding grass (West 1950). Smaller trees such as A. subulata, when spaced at 25–50 per hectare yielded from 550 to 1100 kg of pods per year. For Opuntia spp., yields are usually between 3000 and 10,000 kg/ha/year (Monjauze and Le Houerou 1965). Atriplex spp.

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plantations in North Africa and the Near East produce 1250–5000 kg DM/ha/year of forage (Franclet and Le Houerou 1971; Le Houerou 1975). Plantations of Acacia cyanophylla, A. salicina, A. victoriae and A. ligulata have a forage production of 1500–6000 kg DM/ha/year. In the semi-arid zone, Medicago arborea produce 3000–6000 kg DM/ha/year (Hamrouni and Sarson 1974). In the arid and semiarid zones of West Africa, plantation shrubs can produce 500–2000 kg of consumable DM/ha/year (Le Houerou 1980). In the sub-humid and humid African tropics, production of Leucaena spp. ranges from 6 to 12 t of DM/ha/year of forage (Savory and Beale 1974; Taylor 1980). Generally speaking, well-established and managed plantations have an annual per hectare production of 5–10 kg of consumable DM for each millimeter of rainfall.

Economics A study on the economic viability of browse plantations (Acacia, Opuntia, Atriplex and Prosopis) in Africa (De Mongolfier and Le Houerou 1980) reached the following conclusions: operating costs are fairly low owing to the extensive nature of the plantations, the fact that labor requirements to protect them and ensure their productive output are fairly modest, and that labor costs in Africa are low in any case. Investment costs vary widely but unit costs (cost per plant) vary much less. The lowest costs occur when the planting density is high (as for Opuntia spp. and Atriplex spp.) or when planting is carried out by direct drilling and not by transplanting young plants raised in the nursery (Leucaena leucocephala and A triplex semibaccata). Direct drilling, however, cannot be used in the semi-arid and arid areas of tropical Africa, where it is too risky. In areas where rainfall is unreliable, even transplanting nursery plants is not without risk of failure and requires special care (the plants must be watered) to ensure survival. As a result, tree and shrub plantations in these areas are fairly expensive. A second factor further increases the establishment cost of plantations in Africa, namely, the cost price of barbed wire fencing (in some cases it might double the establishment cost). An alternative solution is to plant thorn edges, but it has the drawback of prolonging the non-productive pre-development period. The IRR (internal rate of return) appears extremely sensitive to variations in investment costs and browse yields, especially when these are low. The IRR falls by 0.6 % when investment costs rise by 1 %. The IRR doubles when browse production moves from 500 to 1000 FU/ha and increases by almost 70 % when production rises from 1000 to 2000 FU/ha. If a level of 10 or even 15 % is identified as the minimum IRR, it appears that the profitability of browse plantations is assured at all production levels (except in the case of Opuntia spp. and Acacia cyanophylla) when investment costs do not include enclosures. Opuntia plantations appear to have the lowest IRR for a given level of browse production and do not appear to produce browse at a sufficiently low cost to justify the level of investment.

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Forestry Versus Range Development Increasing demographic pressure has led to the situation where more and more marginal lands are used for agriculture, infringing on areas that were previously covered with rangelands or forests. This is particularly the case in the arid and semiarid regions of the world. As a consequence, conflicting situations arise with regard to whether priority should be given to range or forestry development. Forestry and range are considered by many people as being totally different and distinct disciplines. This feeling is reinforced by the fact that from the administrative point of view, there are usually distinct departments dealing with each of them. This is true not only at the ministry level in most of the developing countries, but also within the national and international cooperation agencies. Furthermore, land use planners almost never consider land use units where forestry and range development should be carried out jointly. This is a most unfortunate situation because foresters and range managers have quite a lot in common. They both have to deal with the “left-overs” of agricultural development. In other words, they have to work in the most challenging conditions. This is why they usually are the most knowledgeable people with regard to understanding fragile ecosystems and integrating their various components. Trying to make the best out of degraded land and to curb erosion is the common lot of foresters and range managers, especially in the arid and semi-arid areas. Provision of fuelwood for the local populations and fodder for their livestock are two of the major issues that are frequently addressed by development projects. Because there is no proper integration of both in the planning stage, however, one issue very often receives priority over the other. This leads to situations where, for instance, a forestry project has to take into consideration some form of range management after a while because of the pressure of local herds that have less grazing land without an increase in their fodder supply. At that stage, it is very difficult for a range manager to produce an effective management system, if only because foresters in the dry areas tend to plant mixed stands of trees and/or shrubs with different management requirements. Furthermore, in stands where trees bear fruit of high value for livestock (e.g. Prosopis spp. or Acacia spp.), the maximum yields are reached at a time when fuelwood should be collected as well. Even at the planning stage, foresters should avoid the temptation to recreate climax vegetation at all costs. As stated earlier, it is quite difficult to define exactly what climax vegetation should look like, this is particularly true in areas where extensive soil degradation has taken place because of erosion. Range managers almost never deal with climax vegetation because it is not the most productive from the livestock production point of view. Another problem is that foresters are usually reluctant to let any livestock graze or browse in reforested areas. This attitude is quite legitimate in young plantations. It is less so in pre-mature or mature plantations. There is still a strong feeling among many foresters that livestock is detrimental to tree growth. That feeling comes close to revulsion when goats are concerned, even though goats are mainly present in the driest and most degraded areas. Goats are blamed for destroying whole forests and

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accelerating the desertification process. There was a time when pictures showing goats climbing on trees were quite common in some publications. There is a growing number of scientists, however, that believe that mismanagement is the major cause of forest degradation by livestock. As a consequence, during the past years, integration of animal and forest production has been a growing concern among some foresters as well as range managers. From the forester point of view, livestock can be useful in controlling the growth of the understory to obtain better timber production, to reduce the risk of fire or to accelerate the cycling of nutrients.

Range Development in the Tropics Rangelands represent an important resource in many countries around the world. About 30–40 million people in arid and semi-arid regions have “animal-based” economies. Over 50 % of these people live in Africa, and they are commonly referred to as “pastoralists” (Sandford 1983). They derive most of their income and sustenance from livestock grazing in arid and semiarid areas. In the Sahel, for example, large portions of the population are directly dependent on their livestock for food and cash to purchase alternative food and other necessities (Simpson and Evangelou 1984). Rangelands in many sub-tropical and tropical areas are being stressed as animal numbers expand to meet a growing human population dependent on a shrinking base. As a consequence, many countries have experienced destructive grazing to varying degrees. In many cases, range deterioration is most pronounced around watering points and other areas of livestock concentration. The primary reason for this situation is overstocking due to an excessive number of livestock or a decrease in available grazing areas or a combination of both. A growing number of experts, however, emphasize the importance of the human factor. According to Harrington (1981), for instance, analysis of the reasons for the widespread degeneration of arid zone pastures in both developed and traditional economies indicates that management decisions are strongly influenced by sociological and economic factors, that condition of the animals is often secondary and that condition of the pasture is rarely given any consideration at all. Only when pastures fail to recover after a drought is concern for the plant life exhibited by arid zone inhabitants. Such damage is not repaired in a human life span and thus there is little motivation to make the necessary effort and sacrifices. Arid zone plant life is adapted to drought, but the perennial plants are at their most vulnerable in such conditions and can suffer permanent damage if overutilized by stock. The breeds of cattle, sheep and goats common in the arid zone are also adapted to drought. They can move long distances away from droughtstricken areas, subsist on poor quality dead plant matter, suffer over 25 % loss in body weight and show compensatory gain when better conditions prevail. The worldwide downward trend in condition of arid zone pastures is evidence that it is man who is ill adapted to the arid environment, and not the animals and plants on which he depends. The reasons for heavy stocking are many and complicated.

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Optimum Stocking Rate Determining optimum stocking rate is complicated by extreme temporal and spatial variability in herbage and browse production on rangelands. Coping with these variations is a challenge to the most progressive operator as well as the nomadic pastoralist in developing countries. Providing flexibility in livestock operations to meet these variations is difficult under the best conditions. In most range areas, precipitation patterns are unimodal, with a fairly short rainy period with limited opportunities for plant growth. Consequently, at the end of the dry season and early in the rainy season, livestock are under maximum stress from the standpoint of intake and nutritive quality of their diet. In many cases, pastoralists have little flexibility in adjusting to these stress conditions and must suffer outright mortality of their animals. When droughts occur, the situation is even worse. The inhabitants of the arid zone are relatively deprived of normal standards of living. In an age of increasingly effective means of communication, these relative disadvantages are more apparent and are affecting the traditional strategies for surviving in the arid zone. Governmental influence in nomadic and transhumant societies, often reinforced by the people’s changing aspirations, is encouraging a more settled way of life. This intensifies grazing pressure in the settled areas and makes the people more prone to disaster.

Land Tenure In most of the developing countries tenure rights are usually nil or customary only. Where grazing rights exist, they are usually secondary to any other usage and cropping unsuitable land has devastated the traditional grazings. This situation is exacerbated by increasing government control due to better communications, which favors the villager and attempts to constrain the nomad (Widstrand 1975). The primary type of land tenure for extensive range areas around the world is open grazing. Herders who graze on these unrestricted ranges are sometimes divided into three classes: – Nomadic. Herders who have no permanent base; they take all their provisions with them as they move with their livestock. – Transhumance. Herders who have a permanent base to which they return each year. They move with their livestock during certain parts of the year. – Sedentary. Often farmers who also raise stock on the side. They have a permanent home and graze livestock in the vicinity of their permanent base. It is easy to visualize nomadic grazing systems in arid and semiarid areas as a mechanism with maximum flexibility for herders to provide feed and water for livestock. Often, these patterns were seasonal, with movements away from permanent water during the rainy season and the reverse in the dry season. The impact of

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local droughts can be minimized by altering some of these movements to those areas less influenced by the drought. If the dry season extends longer than normal, herders can move to other areas in search of forage. These nomadic and seminomadic systems were well adapted for many rangelands around the world when human populations were relatively small and forage and water were plentiful for the livestock that supported the human population. As the human population increased, however, the number of livestock needed to support the human population also increased, putting additional stress on fragile vegetation and resulting in considerable range deterioration. Many Western range people consider communal grazing as one of the prime factors responsible for destructive grazing with excessive livestock (Hardin 1968); but not all writers agree with Hardin’s argument. Artz (1985), for example, argues that in most communal systems, there are various regulations within the group to control abuse. Shifts from communal grazing to private ownership have not alleviated all problems of destructive grazing (Runge 1981; Sandford 1983). On the other hand, Gilles and Jamtgaard (1982) have listed examples in Peru and Africa where communal rangelands have been grazed for years without serious range deterioration. Other critical resources, under the control of a family group, grazing association, and so on, may indirectly control grazing pressure (Gilles and Jamtgaard 1982).

Socio-Economic Environment The keeping of large numbers of livestock as signs of prestige and wealth has often been blamed for being a major cause of overstocking without any productive purposes. This is true in some societies, but it would be a mistake to generalize to all the existing pastoral systems. In ancient pastoral economies, pastoralists do not hold their wealth “on the hoof” simply because of a social desire to have large herds. Their policy is a rational one because there is normally no alternative form of investment open to them. In many cases, offtake from the herds is determined by ecological constraints and increased prices do not change the numbers of male animals sold for slaughter (Wilson and Clarke 1976). Granting such pastoralists security of land tenure will not cure the overgrazing problem unless alternative forms of investment are also provided. On the other hand, no rational pastoralist will reduce his breeding herd if he is grazing communal land unless he is guaranteed that his neighbors will do likewise. Organized destocking would actually increase both animal productivity and the number of people able to live in some nomadically grazed areas. Animals require maintenance rations before they can produce a surplus. Thus the greater the number of animals on a range, the greater the number of maintenance rations required, and, after a certain optimum, maintenance can only be supplied at the expense of production. On this basis, it has been calculated that if the Sahelian drought of the 1970s reduces animal populations in that region by 50 %, the production of meat and milk might actually double (USAID 1974).

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Range Projects Many project analysts, when approached in private, confess their reluctance towards range development projects, going as far as to declare that they know very few cases where that kind of project has proved successful. Similar feelings are expressed by many range management experts although it is very often for different reasons. Range development projects as such are not very numerous. More often range is a component of broader-scale projects such as rural development, animal production, forestry development, watershed management or soil and water conservation. Animal production projects usually have three components: animal health, animal production and range management. The animal health program aims at reducing the losses due to endemic diseases by implementing vaccination campaigns as well as improving productivity by carrying out treatments for internal and external parasites. The main objective of the animal production component is to improve animal husbandry systems. In principle, better health and productivity of livestock should lead to a decrease in livestock numbers, especially where overgrazing is a major problem. This is rarely the case, and, consequently, any improvement of range production is short lived.

Conclusion The immediate prospect of reducing destructive grazing in sub-tropical and tropical countries is not bright. Heavy stocking and deterioration of basic resources remain one of the most serious problems facing the range livestock sector worldwide. With a few exceptions, the arid zone grazing societies are hinterlands of cities or humid agricultural societies and the economy and politics are geared to the advantage of the latter (Stamp 1961; Perry 1970). If the arid zone is to continue to be productive, the pastures to maintain health, and social conflict to be avoided, it is essential that adequate social and economic studies be undertaken, that social services be provided and prices for arid zone products be commensurate with their value to the national economy. Range development projects should be carefully planned and designed, and realistic goals should be set. In the planning phase, all factors should be taken into account, and integration at the regional and even national level is a prerequisite. Careful analysis of the socio-economic conditions should have priority over technical approaches if lasting success is hoped for. Remedies for problems relating to excessive livestock numbers on rangelands are complex and not easily resolved. Continued exploitation of the basic range resources, however, may lead eventually to the elimination of livestock production for thousands of nomadic and seminomadic people as well as to a dramatic reduction in the availability of animal products.

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References Abdalla SH (1980) Application of simulation techniques to evaluate grazing management policies in the semidesert grasslands of southern New Mexico. PhD thesis, New Mexico State University, Las Cruces Acocks JPH (1966) Non-selective grazing as a means of veld reclamation. Proc Annu Grassl Soc South Afr 1:33–39 Adamson RS (1938) The vegetation of South Africa. British Empire Vegetation Committee, Kew, London Agregeda O, Cuany RL (1962) Efectos fotoperio´dicos y fecha de floracio´n en jaragua (Hyparrhenia rufa). Turrialba 12:146–149 Artz NE (1985) Must communal grazing lead to tragedy? In: White LD, Tiedeman JA (eds) Proceedings of the 1985 International Rangeland Resources Development Symposium. Cooperative Extension, Department of Forestry and J Range Management, Washington State University, Pullman Barton H, McCully HM, Box T, Box JE (1966) Influence of soil compaction on emergence and first-year growth of seeded grasses. J Range Manage 19(3):118–121 Blasco F (1970) Montagnes du Sud de l’Inde: savannes, forets, ecologie. Trav Sect Sci Tech lnst Fr Pondichery 10:77–103 Blaser RE, Brown RH, Briant HT (1966) The relationship between carbohydrate accumulation and growth of grasses under different microclimates. In: Proceedings of the 10th International Grassland Congress, Helsinki, pp 148–150 Brown D (1954) Methods of surveying and measuring vegetation, Commonwealth Bureau of Pastures and Field Crops, Bulletin, 42. Commonwealth Agricultural Bureaux, Farnham Royal Burton GW, Jackson JE, Knox FE (1959) The influence of light reduction upon the production, persistence and chemical composition of Coastal bermudagrass, Cynodon dactylon. Agron J 51:537–542 Butterworth MH (1964) The digestible energy content of some tropical forages. J Agric Sci 63:319–322 Cates RG, Rhoades DF (1977) Patterns in the production of anti-herbivore chemical defenses in plant communities. Biochem Syst Ecol 5:185–194 Clark FE, Paul EA (1970) The microflora of grassland. Adv Agron 22:375–435 Clements FF (1916) Plant succession: an analysis of the development of vegetation. Carnegie Inst Wash Publ 54:53–60 Cole MM (1963) Vegetation nomenclature and classification with particular reference to the savannas. S Afr Geogr J 45:3–14 Conseil Scientifique pour I’Afrique (CSA) (1956) CSA specialist meeting on phytogeography: Yangambi, vol 22, London, 28th July – 8th Aug 1956 Cooper CF (1959) Cover vs. density. J Range Manage 12:215 Cordoba FJ, Wallace JD, Pieper RD (1978) Forage intake by grazing livestock: a review. J Range Manage 31:430–438 Crowder LV, Chheda HR (1982) Tropical grassland husbandry, Agricultural series. Longman, London Daubenmire RF (1958) A canopy-coverage method of vegetational analysis. Northwest Sci 53:43–64 Davidson JL, Milthorpe FL (1965a) Carbohydrate reserves in regrowth of cocksfoot (Dactylis glomerata L.). J Br Grassl Soc 20:15–18 Davidson JL, Milthorpe FL (1965b) The effect of temperature on the growth of cocksfoot (Dactylis glomerata L.). Ann Bot (Lond) NS 29:407–417 Davies W (1960) The grass crop- it’s development, use and maintenance, 2nd edn. Spon, London De Mongolfier C, Le Houerou HN (1980) Study on the economic viability of browse plantations in Africa. In: Le Houerou HN (ed) Browse in Africa. The current state of knowledge. ILCA, Addis Ababa, pp 449–464

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Howell LN (1978) Development of multi-camp grazing systems in the Southern Orange Free State, Republic of South Africa. J Range Manage 31:459–461 Humphrey RR (1949) Field comments on the range condition method of forage inventory. J Range Manage 2:1–10 Huschle G, Hironaka M (1980) Classification and ordination of plant communities. J Range Manage 33:179–182 Hyder DN, Conrad CE, Tueller PT, Calvin LD, Poulton CE, Sneva FA (1963) Frequency sampling in sagebrush-bunchgrass vegetation. Ecology 44:740–746 Ingalls LR, Thomas JW, Benne EJ, Tessar M (1965) Comparative response of wether lambs to several cutting of alfalfa, birdsfoot trefoil, bromegrass and reed canarygrass. J Anim Sci 24:1159–1164 Kadambi K (1963) Useful fodder trees and grasses for cultivation in Ghana. Ghana Farmer 7:75–80 Keay RWJ (1959) Vegetation map of Africa south of the Tropic of Cancer. Oxford University Press, London Klipple GE, Costello DF (1960) Vegetation and cattle responses to different intensities of grazing on short-grass ranges on the central Great Plains. U.S. Department of Agriculture Technical bulletin, vol 1216 Kramer PJ, Kozlowski TI (1960) Physiology of trees. McGraw-Hill, New York Krueger WC, Laycock WA, Price DA (1974) Relationship of taste, smell, sight and touch to forage selection. J Range Manage 27:258–262 Kydd DD (1966) The effect of intensive sheep stocking over a five-year period on the development and production of the sward. Sward structure and botanical composition. J Br Grassl Soc 21:284–288 Lawton RM (1968) The value of browse in the dry tropics. East Afr Agric For J 33:227–230 Lay DW (1965) Effects of periodic clipping on yield of some common browse species. J Range Manage 18:181–184 Le Houerou HN (1975) Report on a consultation mission to the Range Organization of Iran. AGPC, Mise FAO, Rome Le Houerou HN (ed) (1980) Browse in Africa- the current state of knowledge. ILCA, Addis Ababa Lewis JK (1969) Range management viewed in the ecosystem framework. In: Van Dyne GM (ed) The ecosystem concept in natural resource management. Academic, New York, pp 88–91 Mannetje L’t (1965) The effect of photoperiod on flowering, growth habit and dry matter production in four species of the genus Stylosanthes. Aust J Agric Res 16:767–771 Mannetje L’t (1978) Measurement of grassland vegetation and animal production. CAB, Farnham Royal McKell CM, Whalley RD, Brown V (1966) Yield, survival, and carbohydrate reserve of Harding grass in relation to herbage removal. J Range Manage 19:86–89 Minson DJ, Milford R (1966) The energy value and nutritive value indices of Digitaria decumbens, Sorghum almum and Phaseolus atropurpureus. Aust J Agric Res 17:411–423 Monjauze A, Le Houerou HN (1965) Le role des Opuntia dans l’economie agricole Nord Africaine. Bull Ec Nat Super Agric Tunis 8–9:85–164 Moore CWE (1964) Distribution of grasslands. In: Barnard C (ed) Grasses and grasslands. Macmillan, London, pp 182–203 Naveh Z (1966) Range research and development in the dry tropics with special reference to East Africa. Herb Abstr 36:77–85 Odberg FO, Francis-Smith K (1977) Studies on the formation of ungrazed elimination areas in fields used by horses. Appl Anim Ethol 3:27–34 Ojima K, Isawa T (1968) The variation of carbohydrates in various species of grasses and legumes. Can J Bot 46:1507–1511 Owensby CE (1973) Modified step-point system for botanical composition and basal cover estimates. J Range Manage 26:302–303

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Stem WR, Donald CM (1962) Light relationships in grass-clover swards. Aust J Agric Res 13:599–614 Stewart G, Hutchings SS (1936) The point-observation-plot (square-foot-density) method of vegetation survey. J Am Soc Agron 28:714–722 Stoddart LA (1946) Some physical and chemical responses of Agropyron spicatum to herbage removal at various seasons. Utah Agricultural Experiment Station Bulletin Stoddart LA, Smith AD, Box TW (1975) Range management, 3rd edn. McGraw-Hill, New York Talbot LM (1962) Food preferences of some East African ungulates. East Afr Agric For J 27:131–138 Talbot LM, Talbot MH (1963) The wildebeest in Western Masailand, East Africa. Wildl Monogr 12:27–45 Taylor MS (1980) Initial performance of Leucaena at a sub-humid mid-altitude location in Ethiopia. In: Le Houerou HN (ed) Browse in Africa. The current state of knowledge. ILCA, Addis Ababa, pp 415–418 Theron EP, Booysen PV (1966) Palatability in grasses. Proc Grassl Soc South Afr 1:111–120 UNESCO (1973) International classification and mapping of vegetation. Ecology and conservation series, 6 UNESCO (1979) Tropical grazing land ecosystems. Natural resources research. UNESCO/UNEP/ FAO, Paris USAID (1974) An approach to the recovery and stabilization of the Sahelian/Sudanian range and livestock industry. Technical Staff Paper AID/AFR/CWR Vallis I, Henzell EF, Marin AE, Ross PJ (1968) Isotopic studies on the uptake of nitrogen by pasture plants. IV. Uptake of nitrogen from labelled plant material by Rhodes grass and Siratro. Aust J Agric Res 19:65–77 Van Dyne GM (1966) Ecosystems, systems ecology, and systems ecologists. ORNL-3957. Oak Ridge National Laboratory, Oak Ridge Van Rensburg HJ (1948) Notes on some browse plants. East Afr Agric J 13:164–166 Vickery PJ (1981) Pasture growth under grazing. In: Morley FHW (ed) Grazing animals, World animal science. Elsevier, Amsterdam, pp 55–77 West O (1950) Indigenous tree crops for southern Rhodesia. Rhod Agric J 47:214–217 West O (1955) Veld management in the dry, summer-rainfall bushveld. In: Meredith D (ed) The grasses and pastures of South Africa, Pretoria, South Africa. pp 624–636 Whyte RO (1947) The use and misuse of shrubs and trees as fodder. Joint publication Commonwealth Agricultural Bureaux, 10. Hurley Widstrand GG (1975) The rationale of nomad economy. Ambio 4:146–153 Williams RE et al (1968) Conservation, development and use of the world’s rangelands. J Range Manage 21:355–360 Wilson AD (1969) A review of browse in the nutrition of grazing animals. J Range Manage 22:23–28 Wilson JG, Brendon RM (1963) Nutritional value of some common cattle browse and fodder plants of Karamoja, Uganda. East Afr Agric For J 28:204–208 Wilson RT, Clarke SE (1976) Studies in the livestock of southern Darfur, Sudan. II. Production traits in cattle. Trop Anim Health Prod 8:47–57 Wolfe EC, Lazenby A (1973a) Grass-white clover relationships during pasture development. I. Effects of superphosphate. Aust J Exp Agric Anim Husb 13:567–574 Wolfe EC, Lazenby A (1973b) Grass-white clover relationships during pasture development. II. Effects of nitrogen fertilizer and superphosphate. Aust J Exp Agric Anim Husb 13:575–580 Wood JG, Williams RJ (1960) Vegetation. In: The Australian environment. CSIRO, Melbourne, pp 67–84 Young SA (1980) Phenological development and impact of season and intensity of Defoliation on Sporobolus flexuosus (Thurb.) and Bouteloua eriopoda (Torr.) Torr. PhD thesis, New Mexico State University, Las Cruces

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Forest Road Engineering J. Sessionsa*, R. Heinrichb and H. Castaneda-Langloisc a College of Forestry, Oregon State University, Corvallis, OR, USA b Logging and Roads Branch, Food and Agriculture Organization, Rome, Italy c San Salvador, El Salvador

Abstract Unlike roads used by the general public, forest roads serve a limited purpose. Their specialized function stems from three characteristics: low traffic volume, traffic mostly in one direction, and traffic of long and heavy trucks. Each road or section of roads is not subjected to the same amount of traffic. The characteristics of each section of road depend on its function in the road system. At its extreme points, the forest road is an extension of the harvesting system. Road builders concerned about constructing roads as economically as possible must find a solution between the natural conditions of the area and the actual needs of the expected traffic. A number of relatively inexpensive actions taken during planning, construction, and maintenance, if done in a consistent and disciplined manner, will protect the quality of the tropical forest environment.

Keywords Road planning; Route Selection; Road Layout; Road construction and maintenance

Purpose of Forest Roads Unlike roads used by the general public, forest roads serve a limited purpose. Their specialized function stems from three characteristics: low traffic volume, traffic mostly in one direction, and traffic of long and heavy trucks. Each road or section of roads is not subjected to the same amount of traffic. The characteristics of each section of road depend on its function in the road system. At its extreme points, the forest road is an extension of the harvesting system.

Traffic Volume The traffic on forest roads is usually low, being restricted to the extraction of logs and the activities connected with it. Traffic in the case of native forests may be of short duration. With man-made forests, transport may be seasonal. The number of trips past a given point on the main road serving a logging area will never be excessive, even during periods of intense activity. A total of 20 vehicles a day in each direction could be considered a good average – in unusual circumstances, 30 vehicles. Traffic levels remain such that the movement of vehicles is independent of each other – too much traffic is not a problem. At the most, safety rules may impose some control at special points, for example, blind corners, approaches to bridges, crests of hills, and at intervals of 0.5 km or so for turnouts.

*Email: [email protected] Page 1 of 50

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Direction of Transport Almost all the transport is in one direction, going from the forest to the points of log conversion or redistribution. The tendency is for converging traffic or loaded trucks toward transfer points where the loads are sorted before transport to sawmill and factories. The transfer points are located at a wharf, a waterway (tributary, river, or lagoon), a junction on a main road carrying heavier traffic, or a station on a main railway. Therefore, the profile of a forest road can have different characteristics in the two directions. Vehicles returning empty of the forest can climb steeper gradients than those they climb when traveling loaded.

Design Vehicle Forest traffic is mainly concerned with light vehicles for personnel transport and with vehicles for transporting long and heavy logs. Light vehicles, used to carry staff or workers, can be some combination of jeeps, pickups, vans, or light trucks. These vehicles can normally go everywhere that trucks can go. The log-hauling truck determines the design of the road. These trucks are slow, heavy vehicles, usually composed of a truck with two rear axles pulling a special pole trailer or semitrailer or sometimes pulling a full trailer. A modern truck is 200–325 kW with a semitrailer which makes a unit with an overall length of about 20 m and a gross load of 35–60 t. These heavy, articulated vehicles should be able to take curves, climb grades at a reasonable speed, and descend hill safely. The controlling gradients should remain low even at the expense of a certain increase in the length of the route, except in the case of extremely high road construction costs. Controlling gradients uphill in the direction of the forest (returning empty) can be considerably more than the downhill controlling gradients coming out (traveling loaded). Depending upon the terrain, empty trucks could climb 8–12 % grades, while loaded trucks are normally limited to maximum climbing grades of 6–8 %. An exception would be all-wheel-drive trucks that can climb steeper grades.

Design Objectives

Road builders concerned about constructing roads as economically as possible must find a solution which is compromise between the natural conditions of the area and the actual needs of the expected traffic. On the one hand, to construct a road for too low an estimated volume of traffic can result in high transport and maintenance costs. On the other hand, the cost of a road constructed to a standard that is too high cannot be met by the value of the forest which this road serves. The development of the road network must be considered simultaneously with the extraction system to roadside to reach an economical mix. The work of studying and constructing forest roads must always be considered and carried out considering existing economic conditions. Expenditure for permanent construction of too high a standard should be carefully balanced against a more economic temporary solution adapted to the present needs.

Economic Basis for Forest Road Construction In order to determine the most economical alignment, standard, or density of the road system, it is necessary to be able to calculate the cost of the vehicles which use the roads and the cost of the roads themselves.

Page 2 of 50

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Table 1 Machine operating cost estimate (After FAO (1977), adapted from Sessions (2007)) Machine: Description ________ _____________________________________________________________ Gross HP __________________________ Delivered cost __________________________ Life in years ________________________ Hours (days): per year ________ life ________ Fuel: Type______________________________ Price per liter ___________________________ Tires: Size ______________________________ Type ____________ Number ______________ Cost of replacement set _______________________________________________________ Operator Rate per hour (day) __________________ Fringe benefits ________________________ % Cost component

Cost per hour (day)

a)

Depreciation

=

_____________________

b)

Interest

=

_____________________

c)

Insurance

=

_____________________

d)

Taxes

=

_____________________

Operating labor

=

_____________________

e)

f)

g)

where f = costs of labor fringe benefits expressed as % of direct labor cost Sub totala _____________________ Fuel = GHP × X × CL _____________________ where GHP = gross engine horsepower; CL = fuel cost per liter in dollars; X = 0.12 for diesel fuel, 0.175 for gasoline Oils and greases = GHP × X × 3.4

eb

_____________________

100

where X = 0.20 for tractors, skidders, front end loaders and trucks; X = 0.30 for feller - bunchers and knuckle boom loaders; X = 0.50 for processors, harvesters and forwarders h)

Servicing and repairsc =

_____________________

i)

Tires for hauling rigs = 0.0006 × CST where CST = cost of set of replacement tires

_____________________ Totaleb

_____________________

a

This represents the cost per standing hour of a hauling rig eb This represents the cost per traveling hour of a hauling rg, and cost per productive machine or effective hour for other machines c Include tires except for hauling rigs d Use lifetime travelling hours in case of hauling rigs eb Cost multiplication update to 2006

Determination of Truck Costs The operation costs of a truck are the sum of several components: – – – – – – – – –

Depreciation or capital write-off Interest on average investment Insurance: public liability and property damage, fire etc. Annual taxes, including cost of licensing Operating labor Fuel, including fuel taxes Oil and grease Servicing and repairs (except tires for trucks) Tires for trucks and trailers

Truck hourly cost can be calculated using the form shown in Table 1. This form can be used for compiling the estimated operating cost per unit for all equipment including the operator or operators. For trucks and trailers, the time units should be divided between “standing hours” and “traveling hours.” For comparing alternative road standards, the cost per traveling hour is usually the most appropriate hourly cost to use.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

90

SPEED OF AVERAGE EMPTY TRUCK - RETURN

80 SPEED (km/h)

70 60

AVERAGE SPEED LOADED OF EMPTY

50 40 30 20 10 0 10

SPEED OF AVERAGE LOADED TRUCK 8

6

4

2

0

–2

–4

–6

–8

–10 –12 –14 –16

GRADE IN DIRECTION OF LOAD (PERCENT)

Fig. 1 Example of truck travel speed as a function of grade (After Byrne et al. 1960)

Determination of Road Construction Costs

Road construction costs are often calculated using the “engineer’s” method. Quantities required for clearing and grubbing, earthwork, surfacing, drainage structures, and surfacing are estimated and then multiplied by the unit costs for the items (i.e., cost per meter, square meter, or cubic meter). For further reference regarding formulas and tables to assist in calculating earthwork quantities and surface areas for clearing and grubbing, consult Megahan (1976). Alternatively, the productivity of road construction equipment under a set of anticipated conditions can be estimated from local experience by the road superintendent. The unit cost (currency unit/m) of the road is then estimated by dividing the daily cost of the equipment by the estimated daily productivity. The cost of a section of road is then equal to the unit cost multiplied by the length of the road.

Truck Travel Times Truck travel time is affected by the vertical and horizontal alignment, the gross vehicle load, the truck’s power plant and drive train characteristics, the volume of traffic, the conditions of the road surface, operator training, and weather conditions. Truck travel times over a section of road can be derived from tables or figures using data from (a) local observations or (b) by mathematical models. Figure 1 illustrates the effect on truck speed as a function of vertical alignment for a loaded truck with a power-to-weight ratio of 2.9 kW/t and an unloaded truck with a power-to-weight ratio of 8.2 kW/t. Figure 2 illustrates the effect on truck travel time of horizontal alignment. Procedures to use ideas outlined in Figs. 1 and 2 are described in Byrne et al. (1960).

Selection of the Most Economical Road Standard The determination of the most economical road standard can be based on a comparison of combined annual costs of road construction, road maintenance, and transport. The formula for annual cost is A ¼ R þ M þ T; where A is the total annual cost, R is the annual cost of road construction for the amortization period, M is the annual road maintenance cost, and T is the transport cost for the annual log volume to be hauled out over the road. To compute the correct annual cost of road construction, the appropriate

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

MINUTES PER ROUND TRIP km

5

4

AVERAGE RADIUS = 15m 30m

3

60m 2

1

0

90m 120m 180m 245m

1

2

3

4

305m

8 9 10 11 12 13 14 15 5 6 7 NUMBER OF CURVES PER km

Fig. 2 Example of truck travel time as a function of road alignment for single lane roads (After Byrne et al. 1960)

interest rate and capital recovery formula must be used. The route and road standard with the lowest annual cost is the most economical.

Seasonal Timing of Transport In many tropical forests, surfacing material is scarce and expensive. Consideration needs to be given to selection of which roads need to be surfaced and which roads will be used during the dry season. Considerations include mill demands, length of season, variability of soils within the harvest area, alternative wood supplies, and reserve areas for prolonged wet weather. To reduce the amount of surfaced roads, the use of storage (surge) yards has been used successfully. A surge yard is a storage area along surfaced road (all-weather road) where logs can be stored. Trucks haul on unsurfaced roads to the surge yard in dry weather. During heavy rains, logs are taken from surge yards to the mill.

Road Standards Basic Terminology The terminology used in describing the road structure is shown in Fig. 3. • Travel Way. The road surface design width designated for vehicle travel, each travel lane of a double lane road, and the single lane width on single land road. • Shoulder. The designated road shoulder width specified in a design or any width in excess of the travel way width available as a usable shoulder adjacent to the travel way. • Subgrade. The subgrade is the road surfacing foundation. • Base Course. The layer of material above the subgrade that supports the weight of traffic. On roads with only one layer on top of the subgrade, the layer has a dual function; it provides for vehicle support and is the vehicle running surface.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 3 Road cross section

• Surface course. The top layer of the travel way that provides a running surface for vehicles. On aggregate-surfaced roads, no strength is assumed for surfacing when there is a base course under the surface course. • Roadside ditch. The ditch constructed at the bottom of a back slope parallel to the road subgrade for the purpose of collecting road surface and cut bank runoff water. • Intercept ditch. A ditch located above a cut bank to collect runoff water and divert it from cut banks that will erode. • Subdrains. Any form of drain placed within the subgrade or under a roadside ditch for the purpose of collecting and removing underground water. • Cross slope. A general term for either the crown of superelevation of travelways and/or shoulders.

Forest Road Classification Forest roads are classified in the following way: 1. Access roads are permanent transport links between the forests and public roads. They serve for transport from villages to the forests and from forests to the wood processing sites. In some instances, wood of up to 100,000 m3 or more may be transported annually on these rural access roads. These roads may also serve as public roads, although they may be maintained by private logging companies. Access roads and main forest roads usually are constructed to be all-weather roads. They are trafficable most of the year and are intended to be permanent roads. Secondary forest roads and skidding roads usually are suitable as dry-season roads. If they will be abandoned, they are referred to as temporary roads. 2. Main forest roads (branch roads, forest truck roads) form the basic forest road network. They allow all-year truck transport of wood. When needed for several years, these roads require higher standard construction. 3. Secondary forest roads (feeder roads, subsidiary roads) are connecting lines in the forest from the landings to the main roads. They are accessible by trucks in the dry season but are closed down

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Table 2 Characteristics for forest roads in the tropics (Heinrich 1975)

Road type Access road Main forest road Secondary forest road Skidding road Skidding trail

Road width including shoulders in m 9–12

Road use Truck permanent Truck 8–10 permanent Truck 6–8 Tractor temporary Tractor temporary

Width of travel way in ma 7–10

Min. curve radius in m 50

6–8

30

5–6

20

Max. gradient in % 6 (8)b

Truck loads per day More than 50 b 8 (10) Up to 50

Traffic Cost estimate in speed in km money units per per hour m road 50–60 10–15 25–40

7–10

10 (12)c Up to 6 15–25

1–7

3.5–4.5

0.3–1

3.5–4.5

0.05–0.1

a

In steep and difficult terrain conditions, the road widths given above have to be reduced considerably Maximum gradient in steep, difficult terrain for unloaded trucks when driving uphill c Maximum gradient in steep, difficult terrain for a short distance b

during rainy season. Often they are abandoned after logging operations. Therefore, surfacing generally is not done. 4. Skid roads are temporary dirt roads between the trees. They serve as skidding or forwarding routes from the felling site to a landing constructed along a secondary forest road. For skid roads in mountainous terrain, earth moving may be done by hand, small bulldozers or loaders. For skid roads in flat, easy terrain, earth moving usually is not needed. In mechanized transport, as with skid trails, logging residues may be left on the roads to protect the soil. 5. Skid trails in the forest are spaces between the trees, which are used to move wood from the stump area to the side of the skid roads. No dirt is moved to form the trails, but trees and underbrush may be removed. Stumps have to be cut as low as possible. In mechanized transport, logging residues are sometimes left on the skid trail to protect the soil. 6. According to the means of transport, the roads may be named truck, tractor, or animal roads. According to their position, the forest roads in mountainous terrain may be valley, slope, or mountain ridge roads. According to construction, the roads may be earth roads, graveled, or chemically stabilized roads or roads with a permanently stabilized (e.g., concrete or asphalt) surface. Typical characteristics for forest roads in the tropics are shown in Table 2. Traffic speeds indicated in the table are also called design speeds. These speeds can be achieved only when the roads are properly maintained.

Route Selection A fundamental principle guides all planning: the main paths of the alignment are decided in advance by a method of successive approximations on maps, plans, or rough sketches on an increasing scale, which are later checked by reconnaissance carried out on the ground. Many construction, maintenance, and operating problems with forest roads in the tropics could be avoided by systematic planning.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

There are five phases in the systematic and increasingly detailed study of the terrain: – Examination of general information from maps, aerial reconnaissance, and aerial photographs to select a proposed route corridor – Drawing of preliminary alignments using the information collected – Detailed ground reconnaissance to locate preliminary alignment possibilities – Establishing the final alignment by correcting the preliminary one using information gained by the ground reconnaissance – Marking out and staking the selected alignment with regard to the actual ground conditions to guide construction

Examination of Documents

The first phase consists in making a rough sketch of the general direction of the alignment. For this all the available cartographic documents on the region must be used. General Maps The first step is to identify what maps of the area exist. In spite of imperfections, these maps can, in the first stage, be a considerable help. Some information will be found in them which will be quite easy to check, for instance, the lines of ridges, the principal rivers, waterfalls, or rapids on important rivers. Aerial Reconnaissance Aerial reconnaissance is often valuable. The advantage is that the whole forest zone can be seen. Helicopters are best in rough topography because speed and elevation can be varied. A detailed plan of the different flights should be made beforehand. These flights should be plotted on a small-scale map or rough sketch, even if they are not very accurate. The plan can be for flights of two kinds: either for a grid with a spacing of from 5 to 10 km or for flights between two points consisting of prominent landmarks which are easy to identify, such as the corner of a forest, a waterfall or rapid, a river junction crossroads, isolated homesteads, or a village. If aerial photographs, even small-scale ones of about 1:50,000, are available, they should be used. They are complete pictures of the terrain on which all the important topographical details can be marked. Each photograph can be examined qualitatively and angles for direction can be measured on it. With vertical photographs of fairly even ground, it is possible to obtain a good assembly of several strips. The result is obtained is a mosaic which can serve as a provisional map. This mosaic can be photographed, but it must not be forgotten that the errors in putting individual photographs together can be considerable. Stereoscopic examination of photographs is essential to understanding the terrain and the forest. The stereo pair is the common part of two consecutive photographs of one strip, that is, two taken successively by the airplane on the same flight. Stereoscopic examination allows the simultaneous study of the planimetric details and the nature of the topography. It gives the impression of examining a small rough model of the ground. This examination, though fairly easy, needs some preliminary training. It consists of learning to use a stereoscope correctly and to interpret the stereographic picture obtained. Satellite images can also be used as a substitute for aerial photography. They can reduce the cost of helicopter or plane flights which is especially useful in small-scale operations. Satellite imagery also has the advantage of being easier to georeference for calculating distances. Although the spatial resolution is generally lower than that of photography, satellite imagery generally has a higher Page 8 of 50

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Elevation

624 m

360 m Existing roads streams Contours (25m)

0

0.5

1

Kilometers

Fig. 4 Digital elevation model (DEM) for a sample forest management area in Cinquera, El Salvador. A hillshade effect has been added to highlight geomorphological features of the terrain (Created by Castaneda 2014)

spectral resolution. This means that there is more information beyond visible light such as infrared, near-infrared, microwave, and thermal radiation. These additional data can be used for identifying vegetation types, swamps, rocky outcroppings, and other key features in the terrain. Use of Digital Elevation Models The geographic information systems (GIS) allow for reducing costs and speed of these preliminary analyses through the use of digital elevation models (DEMs). These datasets consist of geographically referenced raster images in which each pixel value represents the elevation above sea level of the terrain whose coordinates match the location in the raster matrix (Fig. 4). There are several ways in which DEMs can be created. • The more common ways are the use of spaceborne or orbital radars such as the Shuttle Radar Topographic Mission (SRTM). Orbital radar allows the recreation of world surfaces at a resolution between 10 and 90 m per pixel which can be found for free from different sources in the Internet like the Global Visualization Viewer (GLOVIS) available on the US Geological Survey (USGS) website. One advantage of radar is that it can go through forest canopy cover and easily determine the ground surface morphology below. • Other sources of DEMs can be obtained from LIDAR. This technology uses LASER to create high-density point clouds in which data can be interpreted into a DEM. The resolution of LIDAR varies from a few centimeters to several meters depending on the density and speed of data capture. DEM models obtained from LIDAR are such that they can be used in very fine tasks as architecture or construction to recreate terrain and even buildings. There are several types of LIDAR sensors used in topography such as ground LIDAR for limited and detailed terrain analysis and airborne LIDAR. If visibility allows it, LIDAR data can be directly applied to road planning. Typical LIDAR data is more expensive than radar data since at the current state of technology, it can only be obtained from local airborne sensors. Orbital LIDAR is probably going to be available in the near future with less expensive and more extensive coverage.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Using any GIS software, a DEM can easily be converted into a contour map (Fig. 4). These maps will have enough precision to give the engineer good ideas of the lay of the land and make preliminary road and extraction routes. However, detailed arrangement of roads and trails needs to be verified on the ground to account for terrain details that cannot be detected in the DEMs such as rocks, swamps, key wildlife habitat, etc. The advantage of DEMs in road planning is that it makes high-accuracy topographic data readily available for the initial planning of the road network. These models save the time of drawing a detailed topographic layout of the land before the planning starts. However, in the field, the fine details of road construction and location can only be determined by on-site decisions by forestry professionals. Special Inventory Maps A sketch map of the whole harvest is necessary. Often large-scale maps are not available for native forest. Information for a sketch map can be made from information gathered at the time of the inventory when inventory lines were cut across the forest. The whole section of forest to be inventoried can be divided into rectangular compartments with the principal lines running north and south and the secondary ones from east to west. The compartments have a rectangular shape and an area which varies according to the distances between the lines: it may be 1,000  250 m (=25 ha) or 500  200 (10 ha). This system of lines makes up a topographical grid on which you can immediately pick out the topographic features and the position of harvestable trees. The usual scale is 1:5,000–1:20,000. A preliminary examination of the inventory map makes it possible to pick out the best zones in the forest in which a road of predetermined specifications can later be constructed. Marked on this sketch may be: – The areas to be harvested and therefore requiring roads – Positive control points, such as a narrow part of a stream for a crossing or a saddle to cross a ridge – Negative control points (places to avoid): marshy land or land underwater in the rainy season which would need an expensive embankment and which might often be unstable – Areas where food crops have been grown in the past and without commercial trees, but where the absence of stumps would make crossing easier Usually the inventory map is only concerned with the area covered by the property lines, license, or concession. There may be little information about the areas outside the boundaries of the property over which the main harvesting road has to cross until it meets either the public highway or a water way. Aerial observation or aerial photographs can be useful in providing this information. In many cases, in tropical forest management, the individual trees that will be harvested have been inventoried and located using a GPS. This information can be set up in GIS database and can be used to generate tree and volume concentration maps which can aid the planners in making the decisions of where to lay the road network (Fig. 5). Land-Cover Maps and Other Useful Digital Data Satellite imagery has now become an everyday tool for any type of forest activity. Medium resolution sensors such as Landsat, SPOT, and ASTER are easily available and can be used for large-scale forest mapping. Higher-resolution images such as RapidEye, worldview, and orthophotos can be used for detailed information regarding forest cover, density, and forest type (Fig. 6).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Trees(volume m3) 1-6 Volume (m 3/ha) 0-2 2-4 4-6 Existing roads streams Contours (25m)

0

0.5 Kilometers

1

Fig. 5 GPS points of individual trees to be harvested in a potential natural forest management area in Cinquera, El Salvador. The volume data for each of the trees can be converted into a volume density map which shows the higher concentrations of volume per hectare in the area. Volume density maps can be used to choose the ideal spots for landings and later on the roads that connect them to the main access roads (Created by Castaneda 2014)

Early secondary growth No Forest Mature evergreen forest Secondary evergreen forest Secondary deciduous forest Existing roads Streams Contours (25m) Trees

0

0.5 Kilometers

1

Fig. 6 Land-cover and forest type map for a potential forest management area in Cinquera, El Salvador (Created by Castaneda 2014)

Another option for mapping out volume is LIDAR biomass models. These have been widely used in temperate forests for planning logging operations with great success. However, in tropical forestry, this type of data should be used with caution in planning forest roads in the tropics. In the conditions of high species diversity found in tropical forests, these models can predict biomass but do not account for the differences in value and quality of wood found in the tropics and are likely to produce errors with regard to the commercial volume of the harvest. On the other hand, low diversity plantations may be suitable for this method. Land-cover maps are useful in planning the harvest and will also give some information regarding the least-cost path for making roads. Ideally roads should be built where the land cover offers least resistance to the construction and where less environmental damage is caused. For example, the cost of a forest road may decrease significantly while going through an open area rather than through a thick secondary forest. Similarly protected or endangered habitats such as wetlands or watering holes within the forest can be avoided by using a land-cover map to locate them.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014 Early secondary growth No Forest Mature evergreen forest Secondary evergreen forest Secondary deciduous forest Existing roads Streams Contours (25m)

Fig. 7 A three-dimensional representation of a potential forest management area in El Salvador. This representation is useful in getting the lay of the terrain, and when viewed in a screen, they can be rotated for a superior three-dimensional perception (Created by Castaneda 2014)

Preliminary Alignment Route Location The first stage is to become thoroughly familiar with the terrain. The surface relief of the ground must be studied and understood. It is convenient to mark the position of characteristic lines: that is, the lines of ridges and of valleys. The watersheds or ridge lines are the upper intersection of two adjacent slopes. Valley bottoms or lines where water running off the surface join, and which are often followed by streams or watercourses, are the lower intersection of two adjacent slopes. Lines of the same nature divide and change direction rather like a roof. The convergence of water toward the lowest points causes the valleys to flow into each other and thus form a network. Between two valleys, there is a ridge line; these lines form a system enclosing the network of valleys. If the details of the valley lines and the ridge lines are marked in systematically, a picture of the ground emerges (GIS analysis can be used to visualize this same data in a three-dimensional model that enhances the engineer’s ability to visualize the terrain he or she will be working with (Fig. 7). It may not be known at the time of the inventory how much delay there will be in planning the haul roads, but it often happens that, as work cannot be carried out under the best conditions, the inventory operations immediately precede the planning of the alignment. In this case, these two operations can be given to the same person. When marking in topographical data, the head of the survey party gives special attention to any information which could be useful for planning the road. He notes rocky places, swamps, and very steep places unsuitable for an inexpensive alignment. He will be especially careful to make the easy places, such as the lower saddles on ridges and river banks, suitable for bridge sites. This information will facilitate planning by indicating the parts of a preliminary alignment needing further study and will reduce the time taken subsequently in detailed reconnaissances. All this field information should be referenced using a GPS receiver ideally accompanied by georeferenced photographs and notes that allow the planners to easily locate these features in a map and make decisions based on the description provided by the field team. Using DEMs, GPS, and Other Digital Mapping Data for Exploring the Terrain Workstation Versus Cloud Visualizations Software such as ArcScene and Google Maps Engine allows the planning team to visualize the terrain prior to and after the field reconnaissance. There are two main ways of approaching digital geographic data in order to create 3D visualizations of the terrain: workstation-based GIS and online GIS resources.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Creating 3D visualizations using workstation GIS software is usually more versatile than software currently available for online cloud processing (Fig. 7). It allows for the GIS analyst to manipulate the information more freely and conduct quick analyses such as automated least-cost path functions. However, this type of analysis may take longer and require an experienced GIS analyst to conduct and manipulate the software. The creation of 3D maps using online GIS resources is designed for use by nonspecialists, and anyone can easily learn to use them. Although currently they are not as versatile in the construction of maps, analytic capacity, and use of layers, they can provide an accessible and quick solution for visualizing the terrain before beginning the road planning on the ground. Another advantage of cloud visualizations is that all the processing and data storage are done online in remote servers, meaning that the road planner can use simple computers or even mobile devices to create these visualizations provided there is an available Internet connection. Among the most widely used systems are ESRI Online and Google Earth. In the near future, it is expected that online GIS systems will catch up with workstation-based GIS in terms of analytic capabilities. Preliminary Logging Plan In the second stage, a preliminary logging plan is prepared for the area. In flat terrain, optimal road spacing provides guidelines for the roading pattern of secondary roads. In mountainous terrain, an iterative process identifying landings which are then connected by spur or secondary roads is usually used. The secondary roads are then connected by a mainline road. The routes of the secondary roads are dictated by the logging plan. It cannot be overemphasized that the roads and the yarding are interdependent and must be integrated. The logging plan must be feasible for economical road construction and log truck operation. The roads must serve the landings and economical yarding distances. Compromise is often necessary to arrive at the minimum total combined cost of yarding, trucking, and roads with regard to protection and silvicultural considerations. If a main forest road is to be built primarily for hauling logs, the first consideration in selecting the route of the main road is to serve the secondary branch and spur roads. The main road route should reach suitable junction points where there is room for the branch roads to turn off from the main road. Such junction points include flats, benches, and saddles where there is space of the double width required for grade separation without excessive excavation. If the branch road gradient is steeper than that of the main road, adequate length is required for an easy vertical curve. The junction should be staked and constructed to the point where the branch road subgrade clears the main road at the time the main roads is built. The route which will give the minimum combined hauling distance over secondary and main road from the center of the timber volume will generally be the most economical route. The topography often will determine the selection of the route for the main road. Since the main road usually follows up the main drainage paralleling a sizeable river or stream, the route possibilities which may be encountered with their relative advantages and disadvantages follow: – Wilde valley bottom. This condition affords the advantages of a downhill gradient, good alignment, and relatively low earthwork. Good landings are available for settings to be logged along the route. Disadvantages are flood hazard and the cost of bridges to maintain good alignment and to avoid rock cuts if the stream meanders. Protection of recreational resources, such as camping sites and fishing streams, requires special consideration. Stream channel change is objectionable to fisheries agencies. – Narrow valley bottoms. This condition offers a downhill gradient and advantages over a hillside route of less excavation and better alignment since the mount of a side stream usually can be Page 13 of 50

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

crossed on tangents with fills. Fewer but larger culverts may be needed. Disadvantages are flood hazards, bridges when it is necessary to cross the stream to avoid rock cuts or sharp curves, and the difficulty of avoiding interference with the stream channel. – Hillside route. Locating a main road on hillside well away from the stream will eliminate flood hazards and stream damage. Bridges are usually eliminated since side streams can be crossed with fills and culverts. Steeper and more variable gradients are often required. Alignment on the hillside route is poorer since the route following the grade contours around ridges and draws. This also makes the road longer. Excavation is heavier as the side hill is steeper than the valley bottom. Takeoffs for branch or spur roads are more difficult. Higher cut banks expose more soil to erosion. – Ridge crest. A ridge crest route offers the advantages of good alignment, light excavation, good drainage, and few culverts. If the ridge profile is uneven, more adverse pitches are encountered, although the possibility of making momentum grades is good. The principal disadvantage is that a main road above the bulk of the timber necessitates adverse grade spurs. A hillside segment of road is required to reach the ridge, and total length of haul may be longer. Positive and Negative Control Points In the third stage, a preliminary alignment is made, step by step. In practice, it is a matter of fixing points and in planning a preliminary section between two successive points. The positive control points are advantageous parts of the terrain to locate the road, such as: – – – – – – –

Stream crossing suitable for bridges and culverts Gentle slopes in steep terrain Saddles or passes on ridges Benches in slopes suitable for curves and road junctions Suitable sites for landings Suitable deposits of road-building materials Suitable log landings Negative control points are the places to be avoided, such as:

– Terrain with low bearing capacity – Steep and/or unstable slopes; landslide-prone areas – Cliffs (with heavy blasting requirements) Determine the terminal control points: (a) where to begin from an existing road or location survey and (b) where to end the present project. If the road may be extended in the future, the upper terminal should be at a point suitable for continuing the road. This may necessitate projecting the road beyond the present project, to insure that it is not “dead end.” The lower terminal is usually the more flexible and subject to change when intermediate control points are found and the grade contour projected. Look for major control points between the terminals. These are usually saddles or passes, benches for spur road junctions, and suitable crossings of large streams, where bridges or large plate culverts are required. If a logging plan is involved, landings along the road route may be control points. If projecting a main road from which stub spurs to landings will take off, suitable junction points from the spurs are controls. Work from the top down, as the valleys and control points tend to constrict at the higher elevations and to widen out at the lower elevations. Look for minor control points along the probable route between major control points. These include points at which obstacles can be passed, such as above or below cliffs, rock outcrop or slides, Page 14 of 50

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014 Stream crossings Potential landing sites River protection areas High slope protection area Existing roads Streams Contours (25m)

0

0.5

1

Kilometers

Fig. 8 Positive and negative control points for a potential forest management area in Cinquera, El Salvador. In this example, negative control points were identified as slopes over 60 % which count as conservation areas and a 50 m buffer of restricted use around the streams. Positive control points include natural stream crossings and areas suitable for building landings (Created by Castaneda 2014)

and either side of the swamps. Look for evidence of soft or poorly drained ground, and the best places to cross or avoid them, and for the best crossings of side streams. All control points should be georeferenced in the field or noted in digital maps in case these will be used for automating possible road selection routes. Where the route will follow a grade along a main stream, study both sides of the valley to determine whether to project alternate routes paralleling the stream on each side of the valley or, in the case of a meandering stream or a valley with cliffs or steep side slopes alternating from one side to the other, to project a route which would cross the stream at intervals. It may be necessary to project alternate routes and compare costs to determine the preferable route. Other factors being equal, a route which gets the most sun is preferred. A road along the slope which gets the most sun will dry out faster after a rain. Consequently, it will be subject to less damage from traffic and result in lower maintenance cost. After selecting the control points, the next step is to connect the positive control points by feasible road corridors. Control points may also be mapped and analyzed using GIS. While certain points (such as river crossings, rocks, and obstacles) and some key wildlife habitats (such as endangered species nesting sites) can only be georeferenced with a GPS on the field, points such as buffer areas for rivers and springs and cliffs with high risk of landslides can easily be identified for large areas using GIS tools (Fig. 8). Connecting Control Points on Flat Ground On flat ground, the major difficulties come from obstacles, not considerations of gradient and earthwork. It is better to shift the alignment immediately outside the area of obstacles to avoid a succession of deviations. Usually an arc M-P-N (Fig. 9) is not much longer than the direct route represented by the chord M-T-N. Often it is better to avoid, at one stroke, a group of obstacles, for example, rocks or a number of large stumps, rather than to go around each one. Thus, the line M-R-N is preferable to the line M-p-g-c-N. Connecting Control Points on Uneven Ground On uneven ground, where there are marked ridges or valleys, the choice of line must be tentative. If the control points are all obvious, then the solution follows naturally, but this is rare. In practice, the

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 9 Avoiding obstacles on flat terrain. A curve of large radius is preferable to two smaller radius curves

determination of the alignment is always a compromise between the length to be constructed, the maximum gradient, and a limited amount of earthwork. In uneven or mountainous terrain, a topographic map is essential. The biggest problem is to avoid exceeding the maximum gradient allowed for the road. Technique for Plotting Grade Control Preliminary road corridors can be checked by the method of divider setting on a topographic map, whereby a grade line for the road with the required gradient is plotted on the contour map (Fig. 10). A cross section between two contour lines is illustrated below. The divider setting in meters is ds, the gradient in percent is g, and the vertical interval of contours in meters is v. The divider setting in conformance with the proportion is ds ¼

100  v : g

The divider setting has to be adjusted to the scale of the map. It can be done according to the following example: Grade g = 10 % Contour interval v = 20 m Map scale M = 1:10,000 By putting these values in the formula, the divider setting is derived: ds ¼

100  v 100  20 ¼ ¼ 0:02: gM 10  10, 000

Thus, the divider setting in this case is 0.02 m = 20 mm. The drawing of a grade line on a contour map with a divider is illustrated in Fig. 10a-2. If the trial grade lines do not hit the terminal contour, the divider end is set to mark off a second TRIAL line. A grade line with a constant grade can be easily and quickly drawn by means of this simple method.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 10 Making a grade projection. (a) 1 Determining the divider setting. 2 Projecting the route at a constant grade. (b) Carrying the grade line forward over uneven terrain

Practical Considerations in Grade Projection Reduce the grade when going around switchbacks, across draws, and any area which will require a sharp curve. The actual curve length will be much shorter than the tangents lengths you are projecting. In projecting a grade line on a map for the maximum permissible adverse gradient, keep 1 % or 2 % under the maximum to allow for slackening of grade on curves. The maximum permissible adverse grade of a truck going around a curve is lower than on a tangent. Among practical points to remember, the following are suggested: flatten the grade at intervals on a long-sustained favorable grade to allow release and cooling of the brakes. Avoid frequent changes of grade on adverse grades which necessitate changing gears with consequent shock to the truck power train. When changing to a steeper grade, reduce the lesser grade 1 % or 2 % for 30 or 40 m to facilitate gear shifting. The connection of control points can also be automated using a least-cost path analysis in GIS. This procedure involves the manipulation of DEMs, land cover, and control points to create a cost surface. Cost surfaces are raster datasets in which each pixel represents a specific area of the terrain and holds information on the cost of building a road under the existing conditions. This value should ideally be a monetary value for the construction of the road according to field data. However, if local costs are not known, it can also be a relative index based on the engineer’s experience. Creating a least-cost path analysis using hypothetical cost indices:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Table 3 Sample relative costs for creating cost surface maps for a potential forest management site in Cinquera, El Salvador. This table illustrates the types of values that can be used for creating cost surfaces when monetary costs are not available or when certain control points such as key biodiversity areas which are hard to quantify in economic terms are present. These values are based on expert criteria, and changing them can affect the way the model will calculate the optimal road layout Category Protected areas Land cover

Percent slope

Category River crossings

Negative control points Control points Slope protected areas River buffers Forest Shrubland Water No forest 0–3 % 0–5 % 5–12 % 12–20 % 20–30 % 30+ Positive control points Crossing point Noncrossing point

Relative cost value 1,000 100 20 10 500 1 1 3 20 600 800 1,000 0 1,000

1. The first step in creating a cost surface is to give each pixel of the input raster a value. For example, take the slope variable. Ideally roads should be built along the most level terrain; however, sometimes this is not possible due to the presence of obstacles such as swamps and the need to link to certain positive control points such as river crossings. For this purpose, we assign a value to each slope category that we deem proportional to the cost of building the road through this kind of terrain (Table 3). Land cover also works in similar ways. For example, the monetary and ecological cost of building a road through a thick forest is relatively higher than building it through an abandoned pasture; hence, a lower relative cost value is assigned to pixels free of forest cover (Table 3). Control points are accounted for by assigning them minimum or maximum values relative to the rest of the pixels. This assignment will make them either more attractive or less attractive to use by the least-cost path algorithm than others. For example, in this case, the cost value of river crossings, a positive control point, was 0, or no cost, while the other points in the rivers were assigned a value of 100. The algorithmic interpretation of this is that a path going through a river crossing is much more desirable than forcing a path across a point where a bridge is hard to build. In the end, the cost surface will reflect the relative cost of building a road through any pixel in the map (Fig. 11); in this case, the ideal value should be the monetary cost of building 10 m of road (pixel resolution is 10 m) through each type of terrain. This map does not have a direction yet but will serve as a tool to choose the least-cost path. 2. Once the cost surface has been built, the next step is to run a least-cost distance function from the first control point to the closest existing secondary road – represented by the background color in Fig. 12. This function uses the relative cost of building through each pixel and finds the least expensive path toward a destination, in this case the existing secondary road.

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Cost of construction

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014 High

Low Stream crossings Trees Existing roads Streams Contours (25m)

0

1

0.5 Kilometers

Cost of construction

Fig. 11 Friction surface for relative cost of road building in a potential forest management area in Cinquera, El Salvador. In this map, the costs are represented by relative values according to field experience. Ideally each pixel in the raster can be assigned a monetary cost so the final map can indicate the extraction cost of each tree. Note that positive and negative control points may often remain as relative values given that attributes such as protection of biodiversity-rich areas may not be easy to quantify in monetary terms High

Low Potential landing sites Stream crossings Trees Existing roads Streams Contours (25m)

0

0.5

1

Kilometers

Fig. 12 Preliminary road paths estimated with the least-cost path tool for a potential forest management site in Cinquera, El Salvador. The background colors indicate the distance from the main road to each landing

3. The next step would be to run the least-cost function from the landings. The use of this relative cost surface will ensure that the positive and negative control points are respected with regards to the relative cost assigned to them (Fig. 12). The result is a preliminary layout of existing roads that connect the main road to the landings while respecting the control points. 4. The final step is to create another cost distance raster using the same cost surface, but this time instead of using original secondary road layer as a destination, using a layer consisting of the merged secondary and extraction roads, calculated during the previous steps, is used. The result will be the least-cost path from anywhere in the field to a secondary or extraction road. Since the extraction roads end in landings, the logs extracted directly to a road would be skidded to the nearest landing along the existing road to avoid unnecessary impact on the soil and vegetation.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Forest Non-forest Stream crossings Potential landing sites Trees Existing roads Streams Contours (25m) Extraction roads Skid trails

0

0.5

1

Kilometers

Fig. 13 Final preliminary road plan for a potential forest management project in Cinquera, El Salvador. This map shows a potential network of secondary roads, extraction roads, and skid trails for the sample forest

5. Once this new cost distance raster has been created, running a least-cost path function with the individual tree layer as a destination will result in the preliminary skidding trail for each tree (Fig. 13).

Note that this methodology allows for certain exceptions. For example, the relative cost of building in river protection areas in this example is relatively less than building on slopes. The interpretation of this is that special permits may be obtained for building in these areas when nearby slopes do not allow any other option. This is why the algorithm used in this example generally avoids river protection areas but sometimes selects routes that may cross into them when the relative cost is lower. The road engineer should make sure that these routes are absolutely necessary and make any changes in the field layout to correct these control point violations if possible. If necessary the relative cost assigned to these areas can be increased to reduce the effect on the automated road layouts. The overall advantage of using GIS for these calculations is the short amount of time needed to complete this analysis (Table 4). An automated model can be constructed to automate this process which will permit running the process repeatedly for different forests and extensive areas in a very short period relative to hand calculations. In most cases, the only activity that is affected by the total area of the forest is the selection of landing sites which could be aided through GIS but should always be verified by the planners based on field data. The rest of the activities should not have significant run times. It is important to remember all computer-calculated paths should always be checked by a person on the field before actual road building begins in order to ensure that the calculated paths make sense and that there are no obstacles that were omitted by the computer algorithm.

Special Reconnaissance on the Ground Each suspicious area and each control point should be subject of a detailed reconnaissance. The best time to do this is during the rainy season. It is then that characteristics of the soil, the limits of marshy places, and the width and level of water courses can best be observed.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Table 4 Summary of steps to take in digital planning of roads using GIS tools. This example is based on a 10,000 ha forest area assuming inventory and field data for control points has already been taken

Activity Collection of DEMs, inventory data, and other auxiliary GIS data

Time requirement (hours) 4

Description Convert existing data from forest inventories to create harvest tree maps and download if necessary DEMs and other data. Create a geodatabase where all these information will be stored Creation of contour lines, hill shade, and slope Use of GIS functions for generating these inputs 0.5 model based on the DEM Create three-dimensional model for visualization Use 3D modeling tools such as ArcScene or Google 3 (optional) Maps Engine to create visualization models Creation of a volume density map Use the inventory data associated to 0.25 GPS-referenced trees in a point density analysis using volume as a density variable Selection of adequate landing sites The planner should take into consideration the slope 2 of the terrain as well as the larger concentrations of extractable volume in order to choose the closest landing points Determining control points Create layers containing raster representations of 1.5 control points and their relative cost value for road construction Assign relative costs weights to each control point If real monetary costs exist, these should be used in 2 this step along with other nonmonetary cost considerations such as ecological prohibitions and damage. If there are no real costs, these should be assigned based on the planner’s experience. This step is crucial to the development of the preliminary layout, and time should be taken to ensure these costs reflect reality Creation of cost surface raster Use slope, land cover, and control point data to 2 create a cost surface for road construction Creation of least-cost distance layer from existing Apply the least-cost distance function using the cost 0.1 roads to landings surface generated in the previous step Creation of a least-cost path from existing roads to Use the least-cost distance layer generated in the 0.1 landings to create preliminary extraction road previous step to run a least-cost path function layout Creation of least-cost distance layer extraction Use the cost surface to create a new cost distance 0.1 roads and landings toward harvest trees layer this time from the harvest trees to the nearest landing or extraction road Creation of a least-cost path from landings and Use the cost distance layer from individual trees to 0.1 extraction roads to harvest trees to create the landings and extraction roads to run a least-cost preliminary skid trail layout path function Format and print maps for analysis Create, format, and print maps for planning in the 5 field Total time estimated for creating a preliminary 20.4 roads map

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

The following equipment is necessary: a map of a district with the provisional alignments, a compass, a clinometer, 20 m measuring tape, barometer, and flagging tapes. The few stakes which will be needed should be easily found in the forest. Essential Points to Remember When considering a crossing over a watercourse, a check must be made that there is not another place nearby which had been overlooked when the map was studied and which would be more suitable. To determine the highest flood level of the water, look for masses of debris brought down by the floods and also traces of slime left on the stems of plants on the slopes. If it is likely that the route will cross the line of a ridge or a watershed between two valleys, the line of the main ridge and the lines of the secondary ridges or spurs should be walked over systematically. It is often essential to work up the valleys with the reconnaissance equipment to discover the highest part suitable for a crossing. The relative heights of high and low points are read on the barometer. The nature of the terrain should be looked at from the objective of carrying out earthwork. Among things to look for are: – – – – –

Limits of seasonal swamps on which embankments may sink Loose ground which can cause a fall of rock or local landslides when opened up Rocky areas which would need explosives Springs which could indicate a clay outcrop to avoid Sand, fluvial deposits, or lateritic outcrops which might be potential construction materials

Alignment on a Given Gradient Do not try to a plan a profile with a uniform gradient without the aid of a topographic instrument. Anyone who has tried to walk over a slope following a horizontal line or a line with a low gradient from 3 % to 5 % has soon realized that there is always a tendency to climb toward the top of the slope describing a line where the gradient easily rises to 20 % and more. This gradient nearly always exceeds the maximum acceptable on a forest road. Instead, use a clinometer to control grade. For direction, a compass is used and a 20 m tape for measuring distance. In native forest, the survey party often consists of an assistant forester, a foreman, and four laborers, two carrying the chain and two to clear a path. It is often convenient to start work from the highest point on the road to be made, whether it is on saddle or some point on a ridge. As mentioned before, the lowest points are often not absolutely fixed, and in a forest, it is easier to see more of the terrain looking toward the bottom of a slope. The head of the party, carrying the clinometer, begins by measuring the height of his eye above the ground when he is using the instrument to measure a gradient. He then marks the same height on a staff or he may note on the man carrying the staff the point of his hat or of his face which corresponds to the same height of the clinometer. This avoids using a staff which is not always easy to hold upright. The line of sight between the clinometer at eye-height and the marked staff is then parallel to the line which joins the two stations. As soon as the limits of his line on a given gradient are laid out, it is a good idea to mark each station by a stake or a small pole with flagging so that the line will not be lost.

Selection of the Final Alignment The comprehensive map, completed from sketches and information of all kinds gathered from the ground, is now used as a basis for deciding on the final alignment. When making the choice of the

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

final alignment, the party chief should bear in mind the following general observations which are dictated by experience. – On fairly even ground, it is always better to build the road on a ridge or near it. By keeping to the shoulders, earthwork is minimized, drainage is made easier, the need for culverts is reduced, and embankments are avoided. – On uneven ground, the main road will pass from one valley to another. Each secondary road will serve a compartment corresponding to the whole of a secondary valley. This avoids crossing the intermediate ridges, which is always expensive. – On a hillside, especially in regions of steep topography, the least steep slopes must be looked for. The top of the steepest part of the slopes is usually a line where the gradient changes. This line borders the plateau, and an effort should be made to build the road along it. Near the base, especially in valleys with a flat bottom, the road can be made immediately below or close to the foot of the slope. – In a valley alignment, on the other hand, it is better to keep as low as possible, but above the flood plain. In a wide flat valley, instead of crossing numerous water courses near their confluences and where they are widest, it is better to economize with culverts or small bridges. If, however, the road has to go through a narrow valley with steep sides, fewer deep depressions should be crossed and the cut will be less deep. – On the side of a hill, when a constant gradient has to be kept, a balanced section where the material removed from the cut just equals that needed for the fill minimizes the earthwork. However, if the hill is steep, a full bench construction may be necessary and the excess excavated material should be placed where it will not create landslides. – A deep cut has several disadvantages. First, it is expensive to construct. Second, it may require special construction to divert water from the top of the cut and face of the fill. Third, the bottom of the cut is shut in, less sun reaches it, and it is slower to dry. Fourth, it may be expensive to maintain. Fifth, it can create landslides which could endanger the road and the surrounding area. The solution may be to increase the alignment and reduce the depth of the cut. – To facilitate the making of an embankment, especially for the approach to a bridge, it is most economical to choose a place where extra earth is easily available on the approach to the embankment. – All other things equal, it is better to plan a low embankment on marshy ground and as shallow a cutting as possible on rocky ground.

Staking Out the Alignment on the Ground Staking out consists of marking on the ground the exact position of the road to be built. Several methods are used. If terrain is irregular or difficult, the centerline and limits of excavation should be marked on the ground. Sometimes only the gradeline is marked if the terrain is not irregular or difficult. The gradeline is the point on the original ground line where the excavated material just equals the fill material. This gradeline will be used as a guide by the construction equipment operator. Instead of following carefully surveyed curves, the operator constructs “free bends” which are close to the shape of the terrain. Staking only the gradeline may be satisfactory when curves are not tight and where the gradeline is not crossing valleys or ridges. Simple methods for identifying the centerline and limits of excavation are described below.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Laying Out a Straight Alignment Straight alignments can be laid out by eye with the help of posts put in three at the time. There is little point in using a transit or any other instrument. Care must taken to see that the general alignment keeps as closely as possible to the gradient allowed. Experience has shown that the actual layout has a tendency to be slightly shorter than that staked out. Therefore, it is often good to remain at least 1 % less than the ruling gradient. In order to maintain the gradient in uneven terrain, the grade line can be carried forward in a series of incremental measurements at eye-height as shown in Fig. 10b. Laying Out a Curve To lay out a curve exactly, several methods can be followed, but they have the disadvantages of requiring the use of special tables and having to either be able to stand at the point where the tangents intersect or to walk over the chord AB joining the two transition points A and B. These different points are not always easily accessible before earthwork has begun. Two alternative methods are shown here: (a) by chord offset and (b) by deflection angles. Chord-Offset Method This method requires only a survey tape (or chain) of 10 or 20 m and a graduated staff of 2 m. First set a post of stake at the chosen point, for example, the entry point of a curve (point A, Fig. 14a). Then choose the distance which separates two successive posts. It is obvious that the posts must be nearer together on curves of small radius than on curves of large radius. In practice, a distance of between 10 and 20 m is chosen between posts for a main road. Suppose the distance is 10 m. Select on the straight alignment BA a point C between A and the point of intersection S (which is inaccessible) so that AC = 10 m. Put a post at D along the graduated staff placed perpendicular to AC. The point D will be on the curve; its position is determined by the lengths of AC and CD which are chosen in advance in relation to the radius (Table 5). To obtain a new point on the curve, it is sufficient to lay down a line DE where DE = CD, to put a provisional stake at E, then to extend AE to F so that EF = AE = AC. The point F is the second point of the curve. A further point H is found on the curve by putting provisionally a post at G so that FG = DE = CD and then putting a stake at H making GH = DG = AC. By repeating this operation until the other straight alignment C’A’B’ is reached, a curve is described which is an arc of a circle of the required radius. At the first attempt, it is unlikely that the point of contact A’ will be exactly on the alignment C’B’. All that is needed is to begin again using a slightly different length on the graduated staff. With a little experience, the curve required can be found at the second attempt. Table 5 shows what lengths to choose on the tape (or chain) and the graduated staff in relation to the radius of the curve which is required. Tables 5 and 6 present measurements for laying out a curve. Deflection Angle Method This method involves the use of a hand compass and a tape. First, the deflection angle based upon the desired radius of curve and a suitable length of chord is selected (Table 6). Then, points on the curve are sequentially identified by turning an angle from the tangent and measuring off the chord distance. The angle turned on the first and last sighting are equal to one-half the deflection angle. All the others are equal to the deflection angle. If the point of tangent intersection is not accessible, then several trials will be needed from different starting points on the tangent (Fig. 14b).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

a

B

A

C D E F G

H

E' D' C' A'

B'

b1

d

d

d d

d/2 P.O.C.

P.T.

P.C.

d/2

TA

D AR T RW EN FO NG TA

BA C NG K EN T

CHORD

INACCESSIBLE

b2

TRIAL#1 TRIAL#3

FO TA RW NG AR EN D T

TA

D AR T RW EN NG

FO

TRIAL#2

Fig. 14 (a) Laying out a curve using chord offset method. (b) Laying out a curve using deflection angle method if beginning and end of curve points are (1) known (2) not known

Staking for Construction The final location line on level ground is marked by centerline stakes (central pegs) 1.8 m high. They are inserted along the centerline of the road at intervals of 15–20 m. The edges of the road (e.g., 2.4 m wide) can be measured with a long stick (1.2 m) on both sides from the center line. The edge lines of the road are marked with side pegs, also called multipurpose pegs, by inserting 1 m stakes firmly there. Their position from the beginning of the road is marked by numbers written in kilometers and meters, e.g., 1 + 300, as shown in Fig. 15. On uneven terrain, reference stakes, called excavation and survey pegs, are used to indicate the desired level and vertical alignment of the road and thereby the excavations and fills needed. They are inserted 0.5 m outside the area of excavation or fill. Cut-and-fill stakes (multipurpose pegs) are inserted on the exact lines where the excavation or fill begins (Fig. 15).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Table 5 The chord offset method as a function of curve radius and chord lengths Radius of the curve meters 30

40

50

75

100

125

150

175

200

Length of the ½ chord read on the tape AC = AE meters 5 7 10 5 7 10 5 7 10 7 10 15 7 10 15 7 10 15 10 15 20 10 15 25 10 15 20

Length of the offset read on the staff CD = DE meters 0.42 0.83 1.72 0.31 0.61 1.27 0.25 0.49 1.01 0.33 0.66 1.52 0.23 0.51 1.11 0.19 0.40 0.90 0.33 0.75 1.34 0.29 0.65 1.15 0.25 0.57 1.00

Measurements to indicate surface level are written on the excavation and survey pegs. The future level of excavation is provided by a “” mark and the depth of excavation marked in meters (for instance, “1.3”), measured from the top of the peg. The future level of the fill is provided by a “+” mark and the height of the fill marked in meters (for instance, “+0.9”).

Road-Building Materials General Road Structure On a public road built to carry heavy traffic, the road is built up of several different layers, each of which has a definite purpose. From the top to the bottom, these layers consist of the surface layer, the road base, and the subbase (Fig. 16).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Table 6 Deflection angles and chord lengths Radius (m) 14 16 18 20 25 30 35 40 45 50 55 60 65 70 80 90 100 125 150 175 200

10 m chords ½ d (deg) 21 18 16 14 12 10 8 7 6 6 5 5 4 4 4 3 3 2 2 2 1

d (deg) 42 36 32 29 23 19 16 14 13 11 10 10 9 8 7 6 6 5 4 3 3

15 m chords ½ d (deg) – – – 22 17 14 12 11 10 9 8 7 7 6 5 5 4 3 3 2 2

d (deg) – – – 44 35 29 25 22 19 17 16 14 13 12 11 10 9 7 6 5 4

20 m chords ½ d (deg) – – – – 24 19 17 14 13 12 10 10 9 8 7 6 6 5 4 3 3

d (deg) – – – 47 39 33 29 26 23 21 19 18 16 14 13 11 9 8 7 6

Surface Layer The surface takes the vertical forces caused by the load and the horizontal forces caused by braking. It must resist shearing and have great cohesion. As a rule, it is made with a bituminous binder to which the wheels adhere well. Base Layer The road base, 10–20 cm in thickness, must above all resist vertical forces; it must be compact and well bound. Subbase The subbase, which is thicker than the road base and which has to resist moderate vertical forces, is generally made from a cohesionless material. It is also possible to place a lower layer between the subbase and the natural earth to stop water rising by capillarity from a water table and to drain away water infiltrating from above. In practice, this succession on three layers of material chosen to resist different forces is not found in forest roads which have been made of compacted soils. Two different layers can barely be distinguished: the natural earth and an improved layer (Fig. 16b). Natural Earth Once the organic material has been taken off and the surface raised by pushing in material from the sides, the natural soil is often used for making the subbase and is thus a continuation of the natural

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 15 Staking for construction. (a) Staking for level terrain. (b) Staking for uneven terrain (Karlsson and de Veen 1981)

earth. Most soils which can be readily compacted and which are not very sensitive to water are suitable for the subbase. The soils are easier to compact when composed of particles of all sizes. In this case, the distribution of particles of different sizes makes it possible by compaction to have greater density and fewer voids. The fewer the small particles, especially clay, that the soil contains, the less sensitive it is to water. Thus, the following soils are particularly suitable (Table 7): – Coarse-grained soils composed of a mixture of coarse and fine gravels with little or no fines – Gravel with fines which are more or less silty or clayey – Sandy soils with little or no fines Fine sands, slightly silty, are satisfactory. The principal quality essential for this standard of road is low sensitivity to water. Good drainage by ditches and evaporation must be ensured.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 16 Road cross sections. (a) Main public roads. (b) Forest roads

The Improved Layer Above the compacted natural soil, there is an improved layer, which corresponds to the road base on main roads. The material to be used should be carefully chosen so that it can resist the local forces which can be developed under traffic. Particles of more than 3–4 cm must be avoided. This facilitates spreading and leveling and prevents the surface from being torn up by the traffic. As in the case of the subbase, a good particle size distribution makes it possible to stabilize this surface by compaction. The material should be sufficiently hard not to be crushed by the traffic. The thickness of the improved layer varies from about 10 to 20 cm before consolidation. It is composed of a mixture of natural gravel comprising pebbles, gravel, sand, and a few fines. In the tropics, this layer is often composed of unsorted laterite consisting of coarse particles and some fine material. The laterite is easily compacted by rubber tires or simply by the traffic flow. Moreover, it is often the only hard material available in tropical regions.

Locating Road-Building Materials Gravel Hard rock is rare in many areas of the tropics, and if it exists, a bulldozer may be needed to dig for it. Aerial photographs may be useful to find gravel. Look for abnormal landforms which may be underlain by weather-resistant rock such as cliff-like, domed, or knob-like topographic features. Look for areas of shallow soils. Signs include dry areas where the vegetation vigor and form are different from the surrounding forest. Study the topographic and vegetative characteristics where rock has been found in the area or adjacent land holdings. If you find rock, probe around it with a bulldozer to determine whether sufficient rock is present to warrant pit development. Expose the rock source by removing the overburden soil, stumps, and other materials, so it will not interfere with rock pit operations. Stream gravel deposits are suitable for roads if precautions are observed. Stream rocks are often like marbles, making it difficult to build a hard, firm surface.

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Characteristics Grain size, mm Max. Min. Shape Cohesion Plasticity Permeability Consolidation Volume change Effect in soil mixture

60 2 Various None None High Little None Contributes to stability and strength

Gravel

Table 7 Soil characteristics Sand Coarse Medium 2.0 0.6 0.6 0.2 Angular “Apparent” when damp None High to medium Slight Slight Contributes to strength and stability Fine 0.2 0.06 0.06 0.002 Angular Very slight Slight to medium Medium to low Slight Medium Contributes to instability especially when vibrated or wet

Silt

0.001 0.0005 Plates, sometimes rods Considerable High Low High Considerable Contributes to strength by cohesion, but to plastic movement under pressure

Clay

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Two approaches are common in using stream gravel (1). It is best to crush the rock. This produces sharp edges and flat sides. A strong, binding road can be developed (2). Success can be achieved by using a mixture of all particle sizes. The mixture must have particles ranging from sands to small rocks so that small particles can fill the voids between the rocks. This second method will be the most economical. Do not remove gravel from or adjacent to streams – use only old floodplain deposits unless you have a permit from the appropriate regulatory agency. Laterite Often, lateritic materials derived from granular laterites are used for the improved layer. The materials which make up the improved layer are taken from natural deposits that are always heterogeneous. Very often beds, which appear suitable, are not thick, and the clay content increases in the lower levels until these become no longer suitable. Supervision is important to prevent operators from unknowingly introducing unsuitable material into the surfacing material. Lateritic deposits can sometimes be found on ridge breaks. They can often be ripped by a tractor with ripper and later crushed by a grid roller.

Improving Local Materials

All natural soil in situ, as well as loose soil, contains many empty spaces which are filled with air; these spaces lead to shrinkage under the influence of pressure. To be able to use any soil as the base of a road, it must be stabilized. That is to say, it must be improved so that it can carry traffic even under unfavorable conditions of wetting or drying. This improvement can be carried out by several methods: (a) by compaction, (b) by altering the particle size distribution, or (c) by changing the properties of the matrix. In practice, it is compaction which is most general on forest roads. Compaction consists of reducing the apparent volume of the soil that is reducing the empty spaces and increasing the density of the soil. It aims at arranging the particles in such a way as to give the greatest density so as to reduce the possibility of absorption. Compaction can be carried out either by sheep’s foot rollers, pneumatic tired rollers, or vibratory rollers depending on the compaction material. A fair degree of compaction is achieved by the passage of construction equipment if the layers are small. It is useful to haul a substantial volume of timber over a new road in the dry season to compact a lateritic improved layer before the wet season. The water content of the soil to be compacted has an important influence on the compaction results. A small quantity of water acts as a lubricant and helps in arranging the particles in relation to each other and the expulsion of the air from the voids. With every soil, there is an optimum moisture content at which compaction is easiest. In the field, the water content of soil is likely to vary considerably, and it is necessary to aim at a water content near to the optimum. Laboratory tests can be used to determine the optimal moisture content. Several simple field tests can also be used to measure the moisture content. If other methods are not available, the following empirical test can be applied. The optimum moisture content is reached if, when a handful of soil is squeezed firmly, the imprint of the fingers can be seen, but water does not ooze out through the fingers. The ball of earth should become smooth when it is rolled once or twice in the hand. According to its conditions, the soil has either to be scarified to aerate it and facilitate evaporation or to be watered to increase the water content.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Forest Road Construction Clearing and Grubbing Clearing Width Evaporation from the surface of the road depends directly on the amount of exposure to the air. In the forest, the sun’s rays are screened by large trees bordering the road. Their long shadows prevent the road from drying, particularly in the early morning. If these trees are felled, the period of exposure to the sun is increased and the aeration of the surface is improved. The larger the clearing in the forest, the better the air circulation. Avoid having trees with crowns standing over a road. This causes shade on the road, and drops of water continue to drip onto the surface long after each fall of rain. It is difficult to specify the minimum width for clearing to open up the road and to give adequate light. Some road builders are of the opinion that the clearing on each side should be at least equal to the roadway. At the time of construction, they plan an opening in the stand three times the width of the road including ditches. Another rule sometimes used is that after 8:30 or 9:00 a.m. there should be no shade on the road between the side ditches. When building a road, it is best to clear only as much roadway as can be completed before the rainy season. This prevents the site from becoming too wet to build the road properly, avoids unnecessary erosion, and reduces delays. Clearing Methods There are two methods: – To cut down all the large and small trees to a height of 1–2 m above the ground and then remove the stumps with a bulldozer – To start in the first place with a bulldozer which clears a way for itself through the vegetation The crew of the tractor generally consists of three men: the operator and two helpers. The helpers cut down the creepers obstructing the operator’s machine, pull off branches which get caught in the radiator or around the tracks, and more particularly cut back the roots protruding from the earth and slip the winch cable over the stumps. Operator Protection and Machine Guarding Cab guards are essential to do this work safely. In addition, daily production has been estimated to increase 20 % when cab guards are used. Cabs designed specifically for clearing are available from equipment manufacturers. The radiator, engine, and underside of the tractor must be well protected. Perforated hoods, screens, and crankcase guards as well as hydraulic cylinder guards are generally recommended. Generally speaking, lower cost clearing can be done with larger tractors (>225 kW) if the amount of clearing involved is sufficient to merit the initial investment in the bigger machine. Because of the need for constant direction change in most clearing work, a power shift transmission should be standard equipment. The direct drive transmission tractor is recommended when the tractor is used principally in constant drawbar work such as chaining or pulling a disk harrow. In most applications, a winch should also be considered on one of every three tractors in a fleet. Use of Explosives A large stump, from a tree 0.8–1.5 m in diameter which has been felled, is nearly always a problem. It can take 1 or 2 h of exacting work by a bulldozer to get it out. Therefore, if possible, it is better to choose an alignment which avoids such an obstacle. When this cannot be

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 17 Earthwork by tractor. (a) On level ground. (b) On steep terrain (Courtesy of FAO (1964), Garland (1983))

done, the best method is to use a few kilograms of a high explosive in order to lay bare the root from the surrounding soil and eventually to split the root into two or more parts.

Earthwork Earthwork must begin by taking off the humus or top layer of the soil, which contains organic matter. In practice, this is completed in the process of clearing. Methods On flat ground, an embankment must be constructed to keep the road structure dry. Work with the bulldozer proceeds from each side if the material is suitable (Fig. 17a). On a hillside, the bulldozer beginning at the top of the section of road should be started as high up as possible to obtain the advantage of working downhill in moving earth from cuts to fills. The bulldozer begins at the top of the cut slope, excavating and side-casting material until it reaches the grade line (Fig. 17b). The location of the cut slope stake, which marks the top of the cut, and the cut slope steepness are critical. If the design calls for a 1:1 cut slope (1 m horizontal for each

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 18 Earthwork by excavator (Sedlak 1982). (1) Organic top soil is removed in front of the machine and spread on the rear back and fill slope. (2) A bench is excavated along the lower fill edge as a basis for the fill. (3) The material is excavated and deposited in the fill; bounders are deposited in the bench as revetment. (4) Subgrade and cut slope are finally shaped

1 m vertical) and the operator constructs a steeper cut slope, for example, 1/2:1, the road will reach the design road width before the desired grade is achieved. This will require further excavation to get down to grade, producing excessive road width and increased construction cost, and the oversteepened cut slope may fail. Backhoe excavators have become popular for road construction in mountainous terrain. They can be used to move and load logs, excavate and deposit soil, shape slopes, dig side drains, load rock and gravel, and position culverts. Since the excavator undercarriage of the backhoe remains still during the excavation work, the machine can be used on fairly adverse gradients. Excavated soil materials and boulders can be precisely deposited into the road fill, minimizing the risks of erosion. Backhoes also are practical in swampy terrain. Medium-sized excavators have an operating weight of about 24 t and engine power of 100 kW. The stages of the backhoe excavator operation, when constructing a forest road on a steep slope, are as follows (Fig. 18): – Organic top soil is removed in front of the machine and distributed on the rear back slope and fill slope for better revegetation. – A trench or bench is dug along the downhill edge as a deposit for the fill. – The material is excavated and deposited in the fill. Single big rocks are deposited in the trench. The machine constructs primitive retaining walls in these ways. – Subgrade and cut slope are finally shaped. If the road is routed through a saddle to reduce the gradient, excavations are made on both sides of the road. First a rectangular U-cut cross section is excavated, and then the side slopes are made. If the excavation is deeper than 1 m, it is done in several steps. Page 34 of 50

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Embankments Embankments typically are used to cross stream drainages, flat areas, and swamps and are used as waste areas for extra excavation in sensitive steep areas. Fills across drainages are especially critical because they may act as dams during severe storms. The bulldozer constructs an embankment in a succession of layers about 20 cm thick. The tractor has to make numerous trips on the embankment, pushing the material in front of it to the end of the embankment. At the end of each trip, the operator raises the blade to make a shoulder across the width of the line of discharge. This edge is pushed back on each trip, thus avoiding the danger of tipping the machine over the face of the embankment while it is being made. Passes over the loose earth cause considerable compaction by the tractor’s weight and its vibrations. Sometimes it may be necessary to haul material further than an economic distance for the tractor. In these cases, a scraper may be necessary. If longer-distance transport is necessary, the tractor may roughly pile materials for a front-end loader to place in dump trucks or a backhoe may excavate and load trucks directly. The following guidelines can be used to keep earthmoving machines in their most productive and economical zones. Use track-type tractors for distances up to 120 m, towed scrapers up to 350–400 m, self-propelled scrapers up to 900–1,000 m, and dump trucks at longer distances. Methods of Compaction The work of compaction must be done concurrently with the earthwork in the construction of embankments and in road building, even in building roads with simple stabilized foundation, such as earth roads. Earth is put on in thin layers along the length of the embankment. The bulldozer or grader keeps these thin layers to a thickness of about 20 cm; these layers can undergo a regular mechanical compaction, which is obtained by the circulation of the bulldozer and, when necessary, by a few passes with a roller. If possible, the compacted subgrade should be used for some log haul before placement of surfacing, for example, to remove right-of-way logs. Normal use with logging trucks will compact the surface if the trucks do not repeat each trip in the same tracks. Soft spots and oversights during fill construction will become evident with use and can then be fixed.

Surfacing A distinction has already been made between the natural soil and the surface layer. The surface layer is very often made up of unsorted gravel extracted from selected natural deposits and transported direct to the compacted and leveled natural soil. The surfacing operation can be done in several ways. One method is for the dump trucks to drop their loads in small heaps at regular intervals along the shoulders of the road. This gravelly material is often unsorted laterite, rich in gravel of less than 4 cm in diameter. The grader can spread material which has been supplied either in heaps or in line along the road. It is best to leave the site at the end of the day with and even top surface, to avoid damage due to erosion and to soaking soil which is in the process of being handled and compacted. An alternative to dumping the surfacing material in heaps along the road is to begin the surfacing at the point nearest the pit. Repeated trips of the dump trucks will compact the surfacing. A grader or tractor spreads each load, extending the surfaced road. Each subsequent load is dumped on the newly spread material. By dumping each load on the previously spread rock, a continuous layer will develop – not a patchy surface. Larger rocks are maneuvered to the subgrade as both truck and tractor operate on the rock. Smaller rocks fill voids between the larger rocks.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Drainage Water is the principal destructive agent of the road, particularly in the tropics where runoff may be very heavy (i.e., up to ten times greater than amounts common in many temperate areas). When constructing the road, crown must be built into the road of about 1 cm/m to eliminate standing water which causes the road to break up under heavy loads. Ditches are used to collect water falling on the road and to carry it toward the streams or rivers. There are several kinds of ditches, each one having a well-defined role. These are: – – – – –

Side ditches Drainage outlets Catchwater or intercepting ditches Culverts under the roadway Dips or rolling grades

Side Ditches Side ditches collect the water which falls on the road. The camber of the road is designed for runoff of water toward the side ditches. The water in the side ditches must not remain in the ditches or it will penetrate into the subgrade and reduce its strength. To be effective, the tops of the ditches must be below the level of the shoulders. If roads do not have a sufficient grade, the ditches will not drain well and will collect deposits. In practice, the minimum slope is from 0.5 % to 1 %. If roads have too steep a grade, the ditches may erode. The maximum slope is determined by the erodibility of the ground. It can be less than 4 % in some soil types. In tropical climates, rainfall is often intense, so that the ditches should have a discharge or a cross section which will allow a considerable flash flow. In dense forest areas, there is often more than 100 mm of rainfall in a day, and every few years there could be storms as high as 100 mm in an hour. In practice a more or less uniform cross section is kept, but the outlets are increased in frequency so that the water running in the side ditches can be readily discharged toward the outside of the road. When sufficient outlets are not provided, there is the risk of the side ditches being rapidly eroded. Ditches can be dug by a grader or a backhoe or by hand. It is important, regardless of the method, that these ditches are dug as soon as possible and at latest immediately after the earthwork is completed. Drainage Outlets The function of drainage outlets is to carry water in the side ditches toward the natural drainage channels. Although spacing guides exist, there is one universal rule. The more of these, the better, particularly if the road gradient is steep. Inspections should be made during the first storms to check if additional outlets are needed. To avoid the silting-up of an outlet, it should have a steeper slope than the adjoining side ditch and a slope which increases from the ditch down the hillside or toward the drainage channel. Side ditches should not be drained directly onto fill slopes. Armoring of the outlet areas with rocks, wood, or other available materials may be needed to avoid erosion. The construction of the outlets is carried out at the same time as the ditches. In fairly even ground, when an artificial outlet ditch has to be opened between the road and the neighboring drainage channel, it is better to use the tractor carrying out the principal earthwork of the work when it is working at the level of these outlets.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Catchwater Ditches It is often useful to make a catchwater or intercepting ditch above a cut to stop the water before it reaches the face of the cut slope and to lead it to a drainage channel, preventing it from reaching the road. A catchwater ditch is made in the same way as the side ditch. Its size depends on the steepness of the slope situated above it. It should not be constructed too close to the stop of the cut slope to prevent possible seepage which could be dangerous to the stability of the slope it is protecting. The minimum distance must be at least 4–5 m. Culverts In sloping ground, a culvert is often required to carry water across the road in order to drain a side ditch. When there is no culvert, the water must pass over the road during storms. The road then acts as a spillway, sometimes leading to a rut in the road. In addition, the water remaining in the side ditch at the end of the storm seeps into the soil and reduces strength of the roadway. When a road must remain serviceable for more than a dry season, a culvert should be installed at each low point along the road. Intermediate culverts should be placed according to local experience. In areas of heavy rainfall, culverts may need to be fairly large and numerous. In mountainous areas, care should be taken to not concentrate the water at the top of slumps or fills where landslides could be created. Proper ditch inlet conditions are provided by angling the culvert across the road in the direction of ditch water flow. Ditch dams can be used to block the ditch and channel water through the culvert (Fig. 19a). Culverts should not empty water directly upon a fill slope as excessive erosion can occur. Down spouts, full round or half round culverts, and energy dissipaters can be used to protect the slope below the road (Fig. 19b). Culverts can be built of different materials of varying durability according to the length of time it is expected that the road will be used and the materials available. They can be made of hollow trees, rejected planks from a neighboring saw mill, salvaged metal pipes, or pipes made from cement, steel, or plastic. Dips or Rolling Grades Sometimes it is impractical to use cross-drain culverts. Careful construction of rolling dips, outsloping, and armoring of selected portions of dips and fills can be used for drainage while also minimizing erosion. Drainage dips work well for taking surface runoff off of outsloped roads without a ditch. Dips should be designed with a sufficient curve length and depth to permit vehicle passage.

Crossing Swamps and Wetspots Buried Corduroy One method of building temporary roads across soft swamps is the use of corduroy construction as the foundation. Noncommercial trees or logs are laid down as a foundation to suspend the roadbed. They may be placed crosswise or lengthwise to provide a bridging effect. Usually the brush and limbs from the trees are placed beneath the corduroy as a mat. Sometimes whole trees with the tops are used as corduroy.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 19 (a) Proper culvert design. (b) Culvert outlet design. 1 Improper outlet. 2 Proper outlet with downspout and energy dissipater

Surface Corduroy For light, temporary passage across swamps, a surface corduroy can be used. The surface consists of crosspoles placed over longitudinal poles. They are fastened to each other by guard rails on both sides (Fig. 20).

Plank Roads Another version of corduroy construction is the plank road. The plank road is made of short pieces that can be moved after temporary use. Planks are fastened end to end over underlying crosspoles.

Geotextiles Synthetic nonwoven fabrics have been used successfully to provide subgrade restraint over areas of low bearing pressure. The fabric is placed over the native material and the embankment material is built upon it. Occasionally, fabric has been placed over buried corduroy to cross wet holes. The relatively high cost of geotextiles (1–2 US$/m2) has limited their introduction into forest roads in the tropics.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 20 Examples of Corduroy and plank roads

Stream Crossings Low Water Crossings When streams are shallow and currents are slow, the streams can be crossed by means of low water crossings also known as drifts or fords. Drifts are low stone/concrete structures on the river bed (Fig. 21). They are constructed a little above the hard river bed and below the road level. Fords allow vehicles to pass through the water over their firm surface. They are cheap and solid solutions to be used in normally dry rivers which are periodically flooded. Smaller drifts are called splashes. When the water flow in the river is slow and the river bed is firm enough to maintain a trafficable base under the water, the drift can be built of stones and gravel. Both upstream and downstream sides of the drift (or splash) are strengthened by stone aprons to prevent erosion. The river banks usually have to be excavated a little to allow smooth driving to and from the drift.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 21 Examples of drifts (fords)

A stone-surfaced drift may be a suitable structure on a shallow sandy river where the fall is gentle. The river bed can be strengthened by gabions, which are wire baskets filled with rocks or stones and bound together. These baskets are placed side by side on a trench dug along the downstream edge of the crossing. The top of the gabions must be completely level with the river bed (Fig. 21). The trench for the gabions should be dug sufficiently deep. The crossfall of the river bed should not exceed 3 %. The stone layer of the drift should be at least 30 cm thick. In the middle of the stream, the top of the drift should be level with the stream bed. A stone “apron” is needed at the downstream side of the drift, just adjacent to the gabions. A non-surfaced drift can be used for low traffic. It consists of a porous dam which retains gravel with the help of rock-filled gabions. The size of these gabions is 1  1  2 m. The trench for them along the downstream side of the crossing must be dug 1.2 m wide. A stone apron is placed on the downstream side of the gabions.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 22 Log stringer bridge

When used more regularly, the surface of the drift can be made of concrete (Fig. 21). A higherelevated concrete drift should be built when the water flow in the river is strong. The “waterfall” on the downriver side of the drift locally increases the velocity of the water. The river bed on the downstream side has to be protected against erosion by a stone apron. The apron must be of considerable strength and extend 3–4 m from the lower edge of the drift. Even with the concrete drift, the middle of the drift is lower than the sides of the river banks. In this way, the water flows over the drift. Culvert drifts (submersible bridges and causeways) may be needed in small rivers having strong currents. The construction of the culvert drift is higher than that of the usual concrete drift because it has to incorporate the culverts. Normally the water runs through the culverts. During floods, the water also runs over the concrete structure. In this way, large volumes of water can be managed.

Bridges A bridge may be needed to lead the road over a ravine or stream where large volumes of water run temporarily and where drifts cannot be used. The bridges must be elevated sufficiently high above maximum flood level and be sufficiently strong to carry the expected traffic. For these reasons, the construction costs of a bridge are rather high. In view of these high costs, calculations are always needed to decide whether the road could be alternatively located to avoid bridge building. When there is no better alternative to a bridge, the (technically and economically) most suitable construction must be determined. In areas without danger of termites, wooden bridges may be safe for 10 years if built correctly and may stay in service even longer when inspected and repaired regularly. Wooden bridges are most suitable for narrow streams with steep and rocky banks. Frequently, bridges are constructed of steel, prefabricated wooden, or concrete units or glued and laminated (glulam) units. Specialized engineering skills are required to insure sufficient load-bearing capacity. The safety factor for wooden bridges is calculated according to the strength of timber and local conditions. Special attention and precautions are needed to build safe bridges for loaded timber trucks with a total weight of 10–20 t and in some regions up to 50 t or more. Small bridges can be built by experienced workers if workers are given design graphs or design tables showing correct structures for bridges of different spans. Basic components of wooden bridges are shown in Fig. 22. A pile of abutment is shown of the left bank and crib abutment on the right one. In order to prevent debris clinging to the piers, a V-shaped deflection device should be built upstream of the piers, but is not shown in the illustration. A simple timber-stringer bridge can be constructed of two sill logs (head logs) anchored on each bank of the stream and two or more stringers lying on the sill logs (Fig. 23).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 23 Log stringer bridge on simple log sills (Kantola and Harstella 1988)

Abutments If the ground of the banks is too soft to support the bridge on a single sill log, the load-bearing area on the bank must be increased (Fig. 24). Mud sills under the sill logs should have a diameter of more than 25 cm and a length of more than 1.5 m. The mud sills should be made of debarked, seasoned wood. To ensure long working life, the sapwood from their upper and underside should be trimmed away. The sill logs should rest evenly on the mud sills. Instead of mud sills, concrete pads can be used. At both ends of the stringers, a girder log or girder stones are needed to hold the stringers firmly in place. Foundation logs can be placed under the mud sills to make an even firmer foundation. They should be longer and much thicker than the sill logs. If there is a risk of undermining by erosion, the foundation logs should be lashed together with steel wire. To improve stability, notches should be made on top of the sill logs, mud sills, and foundation logs where they contact overlying logs. A multiple-sill log abutment is needed when a single sill log is not high enough for the bridge level. To create more height, three or more logs are lashed together with wire rope on each end and at the middle (Fig. 24). The top log acts as the sill log. To meet the stringers at an exact height, the top log may be flattened accordingly. If the multiple-sill abutment does not provide sufficient height, different kinds of log cribs can be built. A simple log crib is built from face logs placed parallel to the stream bed and tieback logs (wing logs) positioned perpendicular to them. The illustration shows an open-end log crib made of face logs, wing logs, and tieback logs. Wing logs are visible from the outside, follow the gradient of the side slopes, and contain the fill inside of the cribbing. Tieback logs anchor the middle section of the crib and are held in place by friction (Fig. 25). Stringers The size of stringers should be determined from structural timber handbooks. The diameter of the stringers depends upon the unsupported length of the span. As an illustration, timber bridges for heavy loads constructed with a single span of 9–12 m and round-wood stringers might require a mid-diameter of around 75 cm. If the clear span is 15–20 m, mid-diameter of 90–100 cm is required (Kantola and Harstella 1988). Stringers should be debarked, mortised, and anchored by wooden poles in the ground. They should extend at least 0.5 m beyond the sill logs on the banks. When small bridges are built for temporary use and have a long span, the stringers may need additional support. One possibility is to provide intermediate support by substructures. In times of flood, these substructures may trap debris from the water and thus destroy the bridge. Other possibilities include use of a temporary support which is later removed or to design the bridge with larger stringers. Piers between the abutments are

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 24 Alternative sill constructions. (a) Mud sill. (b) Mud sill with foundation logs. (c) Multiple log sill (Kantola and Harstella 1988)

needed when the length of a bridge is too long or too expensive for a single span. They may be pile piers, post-bent piers, log crib piers, or concrete piers. Decking The decking of a stringer bridge rests on the stringers, provides the running surface for vehicles, and distributes the load over the stringers. The decking may be made of debarked logs 10–20 cm or thicker, which are flat on top (also a little flat on the bottom where they rest on the stringers). The deck logs may be placed perpendicularly, transversely, or diagonally in relation to the stringers. When they are laid 1–2 cm apart, soil and dirt are allowed to drop between the logs,

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 25 Log crib abutment

greatly improving the life of the bridge. Planks can be laid over the decking to serve as tracks. When the deck logs are tightly joined, gravel is sometimes spread over them. To offer safe passage over the bridge, guard rail logs (curbs) are fastened on the sided of the deck. When secured to the stringers, they reinforce the load-carrying structure.

Forest Road Maintenance The key factor to road performance is maintenance of the drainage system. This consists of maintaining and restoring the road crown and surface, ditch, and culvert cleaning (Fig. 26). Other road maintenance activities include destroying brush on the right-of-way to improve sight distance, applying dust abatement and resurfacing. Lack of road maintenance increases truck maintenance costs, reduces truck speed, reduces safety, and, in the extreme, renders the road unusable.

Ditch and Culvert Maintenance The most important type of maintenance for culverts is prompt removal of any material that restricts water flow. Remove woody debris, leaves, mud, and gravel from within the culvert and from the inlet Page 44 of 50

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Fig. 26 Examples of some important differences between well-maintained and poorly maintained roads

and outlet. Large debris is especially important to remove because it can greatly reduce water flow by itself. Reduced water flow will trap additional material. Hand cleaning of culverts is best because it reduces the possibility of structural damage. At a minimum, the culverts should be inspected just before each rainy season. Inspection and cleaning during wet weather can be effective in preventing more serious problems. Marked culvert locations can substantially improve the efficiency of inspection activities as well as help to reduce damage from heavy equipment. Certain preventive measures can be used to reduce culvert problems and the need for cleaning and other maintenance. For example, drainages and ditches that supply water to culverts should be cleaned of floatable debris for no less than 10 m above the inlet and preferably 30–60 m above it. Another approach is to install some type of rack or grate at the inlet to catch material before it becomes wedged within the culvert. The rack will require regular cleaning, but this work is easier than cleaning the culvert itself. In addition to regular cleaning, the area near each end of the culvert itself must be maintained. Scouring of soil at the culvert inlet or outlet can become increasingly worse. In steep terrain, slumps and slides sometimes occur on cut-and-fill slopes, blocking ditches and other drainages. Clean these promptly, especially during wet weather. Transport the slide material to a location where it will not create additional erosion problems.

Washboarding Washboarding or the creation of parallel ridges more or less at right angles to the road axis is a phenomenon well known in tropical forests whether they have laterite or gravel surfaces. The height of the corrugations increases with the number of vehicle passages and the corrugations harden. Experience shows that the best solution is to suppress the corrugations before they become too troublesome. To do this, maintenance consists of lightly reshaping the surface to restore the camber of the road. Either a road grader or the use of a drag is effective. The drag is an economical device, often locally shop made, which is pulled behind an agricultural tractor. Drags have been constructed from salvaged rail and weighted with concrete or from grader blades attached to wooden beams and weighted with ballast.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_162-1 # Springer-Verlag Berlin Heidelberg 2014

Ruts and Gullies On a single lane road, the wheels of vehicles often use the same track. This repeated passage compacts the track more than the adjacent running surface and provides a path for water to follow which becomes a channel running along the axis of the road. Road maintenance for this problem again consists of restoring the camber to the road. Shallow rutting which does not penetrate through the improved surface layer is considered normal deterioration. It is easily observed prior to blading and can be corrected by routine blading and reshaping. Significant damage affects both the improved surface layer and the subgrade. It is usually detected during the first cutting pass of blade reshaping. Rutted surface roads requiring more than two cutting passes of a grader at the same location probably will require a bulldozer or loaders and trucks to repair.

Mudholes Mudholes occur primarily as the result of poor drainage. Untreated mudholes can destroy the roadway. The holes should be drained and allowed to dry and filled with material of comparable composition and hardness to surface layers of the roadway around it in order to reestablish as uniform a surface as possible. Unsuitable material should be removed from the mudhole before filling. Mudholes should not be filled when wet nor should stones or hard pieces of laterite be thrown in the hole. If this is done, the water which stays in the hole continues to weaken the surrounding road, and any hard rocks are just pushed into the softer surrounding material. Sometimes a trench must be cut from the soft spot and backfilled with coarse gravel to allow the collected water to drain in order to stabilize the wet spot.

Dust Abatement Dust can be a major problem on main roads during dry seasons. Normally chemical dust abatement is too expensive, but some consideration should be given to watering key roads, providing dust masks for workers and maintaining air filters for equipment.

Control of Truck Transport A lot of damage to compacted earth roadways in the tropics can be avoided if truck transport is halted during and shortly after heavy rains. Permitting the road surface to drain and to be exposed to the sun for even 1 h can substantially reduce road damage. Even in the tropics, there are normally a sufficient number of dry days, or dry parts of days, such that forest transport can maintain a fairly regular production.

Supervision and Control of Maintenance Maintenance work should always be carried out by workers permanently engaged in this occupation. Continuous maintenance by a small crew to clean culvert entrances, unplug ditches, repair mudholes, and remove objects from the roadway is always more economical than intermittent work carried out by a larger crew. Each crew should be assigned a specified road. Frequent inspections and rapid corrective action may be needed during wet weather to avoid more serious problems. Typical hand tools include a wheel barrow, shovel, pick, axe, and machete. Maintenance work requiring mechanized equipment is given to the team responsible for the whole road system.

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Road Equipment and Machinery Considerations in Selection The essential machines and equipment for construction and maintenance work on forest roads are generally powerful, expensive, and usually operated under very difficult conditions. Equipment selection should consider: – – – – – –

Maintenance requirements Ease of dismantling Operation by semiskilled personnel Strength of wearing parts Availability of parts Availability of technical support

Since tropical forest operations are often isolated, it is better to standardize on equipment makes and models to the extent possible to minimize spare parts, maintenance tools, and skill requirements of maintenance personnel. Eventually, usable equipment parts can also be salvaged from retired machines. A major concern can be parts availability, particularly for imported parts. This aspect should be investigated carefully prior to machine selection. A good idea is to visit neighboring operations to see what has worked and what has not.

Types of Equipment The minimum pieces of equipment required for road construction and maintenance are (a) 165–250 HP bulldozer; (b) a road grader, although for a small operation, a towed grader is adequate; (c) 40–60 HP four-wheel drive agricultural tractor with scoop bucket for towing a rubber-tired roller, grader, or drag; (d) a mobile workshop; and (e) two dump trucks. Costly machines such as self-propelling graders, scrapers, tracked or rubber-tired front-end loaders, and hydraulic excavators are suitable for larger operations which require the work of several bulldozers. Characteristics of road construction equipment are shown in Table 8 with the exception of graders and compactors.

Environmental Protection A number of relatively inexpensive actions, if done in a consistent and disciplined manner, will protect the quality of the tropical forest environment. Twenty-two actions connected with road construction and maintenance are listed below. Earthwork – Earthwork should take place during relatively dry weather. – Where side-casting soil with tractors and shovels will cause situation of water courses, haul away excavated material for disposal at a safe location. – Stabilize cuts and fills with retaining walls or some other suitable method, where there is danger of slippage into water courses. – Avoid steep grades through soils that erode easily. – Build proper ditches and culverts. – Provide suitable drainage while road is under construction and allow road to stabilize before permitting heavy traffic. Page 47 of 50

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Table 8 Characteristics of road construction equipment Criteria Excavation mode (level of control of excavated materials)

Bulldozer Digs and pushes, adequate control (depends on blade type)

Operating distance for materials movement Suitability for fill construction Clearing and grubbing (capacity to handle logs and debris) Ability to install drainage features Operating cost per hour

120 m, pushing downhill

Front-end loader Minor digging of soft material, lifts and carries, good control 100 m on good traction surfaces

Hydraulic backhoe Digs, swings, and deposits; excellent control; can avoid mixing materials

20 m (limited to swing distance)

Dump trucks or scrapers Scrapers can load themselves: “top-down” subgrade excavation; used for long-distance material movement; excellent control 1 km, scrapers; 3 km, trucks must be loaded

Farm tractors Minor digging and carrying; good control because it handles small quantities 35 m (approximately)

Adequate

Good

Limited to smaller fills

Good for larger fills

Not suitable

Good

Adequate

Excellent

Not suitable

Handles small material only

Adequate

Digging Excellent materials to soft materials

Not suitable

Adequate for small tasks only

Relatively low

Scraper very high, loader and trucks very high

Low

Limited to moving material long distances, can haul rock, riprap, etc.

Very dependent on site conditions and operator skills

Moderate, depends on machine size Widely available, Special limitations or can match size to job, can do all advantages required with good operator

Moderate to high, but productivity excellent Good for roads on Cannot dig hard material, steep hillsides, can do all required may be except spread rock traction for rock surfacing limited

– Deposit cut material in stable locations above high water levels and avoid depositing any materials or debris in streams. – Keep machine activity in streambeds to an absolute minimum. Choose temporary stream crossings where they create a minimum of soil disturbance. Cross only at right angles. – Where practical, seed cut banks and fill slopes with grass or alternate cover to reduce erosion and improve appearance. – Construct ditches on all roads to handle maximum flows expected. – Avoid blasting rock into watercourses. – If available, use rock in selected locations (ditches, culvert outlets, and fords) to protect soil against erosion. Bridges and Culverts – Construct bridges and culverts to handle the maximum water flows expected, with special attention to areas of heavy rainfall. – Bridges and culverts should allow fish free passage.

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– Orient bridges and culverts with the natural stream channels, with a minimum of disturbance of stream banks and bottoms. Arch culverts may be necessary to accomplish this goal. – Incorporate in culvert design an entrance pool and discharge exit that eliminates bank erosion. – Stabilize bridge and culvert backfills to prevent erosion. – During bridge construction, ensure that oils, chemicals, excess concrete, or other waste materials do not enter the stream or river. – Allow treated material (piling) to dry prior to use in bridge construction. – Burn or remove debris accumulated at a bridge construction site. Road Maintenance – Grade main and spur roads to remove berms and crown roads to prevent puddling. Where applicable, use berms to prevent erosion of fill areas. – Clean out roads and ditches at landings or logging sites immediately after logging. Give special attention to damaged culverts and culvert openings. – Identify bridges, culverts, and ditches that are potential problem areas, maintain them regularly, and check frequently during periods of heavy rainfall. – Deposit material removed from ditches during maintenance in a safe location away from streams.

References Allan A, Edmonds G (1977) Manual on the planning of labour-intensive road construction. ILO, Geneva Antola A (1979) Techniques in forest road construction. Research notes, 39. Department of Logging and Utilization of Forest Products, University of Helsinki, Helsinki (in Finnish) Byrne J, Nelson R, Googins P (1960) Logging road handbook: the effect of road design on hauling costs, vol 183, USDA forest service agriculture handbook. USDA Forest Service, Washington, DC de Veen JJ (1980) The rural access roads programme. ILO, Geneva (3rd impr 1985) FAO (1964) Road construction in the tropics. Unasylva 17(2–3):47 pp FAO (1977) Planning forest roads and harvesting systems. FAO forestry paper, 2. FAO, Rome FAO (1979) Mountain forest roads and harvesting. FAO forestry paper, 14. FAO, Rome Garland J (1983) Road construction on forest properties. Oregon State University extension circular, 1135. Oregon State University, Corvallis, 12 pp Heinrich R (1975) Problems of forest road construction in tropical high forests. Technical report of FAO/Austria training course on forest roads and harvesting in mountainous forests. FAO, Rome Hindson J (1983) Earth roads. Intermediate Technology Publications, London ILO (International Labor Office) (1981) Guide to tools and equipment for labor-based road construction. ILO, Geneva Kantola M, Harstella P (1988) Handbook on appropriate technology for forestry operations in developing countries. Part 2. Wood transport and road construction. Forestry training programme publication no. 19. National Board of Vocational Education of the Government of Finland, Helsinki, 190 pp Karlsson LS, de Veen JJ (1981) Guide to the training of supervisors for labor-based road construction and maintenance. ILO, Geneva

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Megahan WF (1976) Tables of geometry for low-standard roads for watershed management considerations, slope staking and end areas. USDA Forest Service general technical report INT, 32. USDA Forest Service, Ogden Nagy MM, Trebett JT, Wellburn GV (1980) Log bridge construction handbook. Forest Engineering Research Institute of Canada (FERIC), Vancouver-Pointe Blaire Sedlak O (1982) Types of roads and road network under difficult mountainous conditions and its relation to operation of cable systems. ECE/FAO/ILO Joint Committee on Forest Working Techniques and Training of Forest Workers/IUFRO, Division III. Norwegian Forest Research Institute, Oslo Sedlak O (1985) Forest road planning location and construction techniques in steep terrain. FAO forestry paper, 14, Rev 1. FAO, Rome Sedlak O (1986) General principles of forest road net; general introduction to forest road construction methods; costs and production in forest road construction; maintenance of forest road. FAO/Finland training course on appropriate wood harvesting operations. FAO, Mutare. FAO: AWHO/86/LP/12-15 Sessions J (1986) Cost control in logging and road construction. FAO, Rome. FAO.FO: AWHO/86/ LP/5 Sessions J (2007) Forest road operations in the tropics. Tropical forestry series 4, Springer, 170 pp

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Wildlife Management in the Tropics - An Overview Johannes Bauer* Australian Carbon Co-operative Ltd., Bathurst, Australia

Abstract This chapter gives an overview of wildlife management (WM) as it is currently conducted in different tropical regions of the world. These are divided into four WM realms as defined by natural and political geography. It examines, with the benefits of hindsight, what Dasman, one of the seminal American writers on WM, stipulated for the tropics in the early 1960s and how his model of western intervention has been applied around the tropical world as it changed from colonies to independent states. It exposes how western myths have, often negatively, affected that management and how collapses of many traditional and indigenous wildlife management systems, the proliferation of firearms, conflicts, wildlife trade but also the spread of the environmental and protected area movements and tourism have further affected that world. It concludes that wildlife continues to play a crucially important role, in particular for poor and disadvantaged people, for many of which it has however become inaccessible through legislation and global society trends. It also shows, however, that models have started to emerge, often not from the west and community based, which hold promises for the future. What should a forester working in the tropics know about wildlife management? In this chapter for the 2nd edition of the Tropical Forestry Handbook I have chosen the wide view because I believe that our increased specialization and expertise has come at a cost. The understanding of why these things are being done, who does them, what they will do, and, most importantly, what we will achieve by that is what really matters, and that understanding is not so readily available. In order to provide that I have divided this chapter into five sections. In the first one I will show the differences we deal with when we talk about various regions of the vast tropical belt as it stretches around our globe. In this section I have tried to dwell on the specific, aware of the many similarities those regions share. In the second section I have given an overview of the crisis resulting from the growing impacts modern society has on the wildlife in the tropics. In the third section I will present some of the responses to this wildlife crisis by a growing number of parties and stakeholders. This section describes a growing arsenal of tools to better manage wildlife. It shows that global and national communities have developed not only science but, more importantly, frameworks, conventions, programs, networks, and databases, for an informed and unified response. In the fourth section I will identify the programs and approaches where we have made real progress but also will be critical where I think the international responses can – need to – be improved. In that section I will also examine Dasmann’s (1964) premise with the benefits of 50 years of hindsight. In the last chapter I will “reimagine” wildlife management for the tropical world where the new meets the not-so-conventional and where I suggest we have to change our approach. If I have managed to make the reader realize that wildlife management in the tropics is not so much about the application of western science but about the development of sustained visions and activities by a growing number of empowered and collaborating actors, I have succeeded.

*Email: [email protected] Page 1 of 24

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Keywords African wildlife; Asian wildlife; Oceanic tropical islands; Wildlife and biodiversity management (W&BD Management); Global change and W&BD Management in Africa; Global change and W&BD Management in Asia; Global change and W&BD Management neotropics; Global change and W&BD Management oceanic tropical islands; Non timber forest product; Wuyishan Biosphere Reserve

Introduction In trying to define the relationship between wildlife and people, Dasmann (1964) distinguishes between its commercial, recreational, aesthetic, ethical, and scientific values and introduces the concept of wildlife as a natural resource. This natural good can be, like soils, “mined” and destroyed but also cared for and permanently maintained. He suggests that “the world can now be divided into two areas: the first: where the greatest damage to land and natural resources has been done in the past and where conservation movements are now firmly established”. He puts ‘Anglo-America, Western Europe, the Soviet Union, Japan, Australia, New Zealand’, and “a few other areas” into this category. The other regions, he goes on, are where: “the levels of public education are so low, poverty. . . so widespread, or the pressure of population . . . so great, that destruction of natural resources is still going on at a rapid rate”. He concludes that “conservation practices, although known to some, are not generally applied” and “Many of the countries that are in this category cannot do much about conservation problems themselves, but must rely on outside assistance from the more fortunately situated lands”. What are these lands? He suggests that “Much of Africa, Asia, Latin America is in this area”, where “rapid population growth” (South America), “governmental indifference” (SE Asia), “political turmoil” (Africa), and “widespread destruction of natural areas and native wildlife” (Oceania) are widespread. In short, he means the tropics! In contrast to this rather somber assessment of the tropical world, Dasmann suggests that the status of wildlife conservation in Europe, Australia, and New Zealand is satisfactory. The situation in North America, his homeland, he calls ‘generally satisfactory’ however affected by “rapid population growth” also. If we read this assessment of wildlife management in the tropics now, some 50 years later, we are embarrassingly aware how easy it is, then and now to adopt such a patronizing, colonial view of wildlife and conservation for the “Third World” where in Dasmann’s eyes a combination of high population growth, governmental indifference, and generally a lack of “enlightened attitudes by government” destroyed wildlife and natural ecosystems at an alarming rate. We also realize, however, how that view of the world has been implemented across the tropics as the “outside assistance” from “more fortunately situated lands” Dasmann suggested. And now we must ask ourselves the question whether that “approach,” or should we say “western intervention,” had been the one which was successful, and both morally defensible and required and, if not, how to correct that. In this book chapter I will assess the outcomes of the “wildlife intervention” by the western world in the tropics and attempt to chart a future of wildlife management, which learns from the many often disastrous mistakes made but also gives credit to the ones which worked. I will also, reflective of Dasmann’s premise, “that the tropics must rely on outside assistance from the more fortunately situated lands,” try to find answers as to whether wildlife and poverty in the tropics need that unqualified assistance he suggested, or whether there are answers emerging from within and not based on western assistance. And last but not least I will also look at the role of science in that, asking some uncomfortable questions.

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Table 1 The four types of management aims in Wildlife management WC WH WPC WR

Wildlife Conservation Wildlife Harvest Wildlife Pest Control Wildlife Rehabilitation

We want to retain wildlife in currently healthy wildlife populations We want to harvest a wildlife surplus we would like to sustain +/ We want to reduce wildlife which by high abundance threatens our other aims, this might include the extermination of invasive/alien species We want to increase the low numbers of wildlife (+), most dramatically we want to reintroduce wildlife, which has either disappeared locally (translocations), or gone extinct (Captive Breeding Programs (CBP)

Definitions and Terminology Over the years a great many terms and definitions in ecology and wildlife management, often expressed as acronyms, have been established, and those have been further confused by “new” terms such as “Non(Wood) Timber Forest Products” (NWFP/NTFP) and biodiversity. I have added to that confusion by introducing a number of terms which generally appear in the text as acronyms. Although I do share an aversion to those, as many of my readers do suspect, they do save space; they also might focus our minds.

From Hunting to “Game Management” to “Wildlife Ecology” and “Wildlife Management” The science of game management as used by the American Aldo Leopold in 1933 has been the American equivalent of humanity’s oldest land use and what was, for example, in Germany, “The Science of Hunting” (Jagdwissenschaft), synonymous with land use terms such as agriculture or forestry and/or fishing. In much of the conservation discourse, hunting and to a lesser extent fishing have been replaced by the term “Wildlife Management,” which is more general, some think more “scientific,” and less conflict laden nowadays. I have based the logic of this book chapter on the term WM as the overarching land use activity, which needs to be based on sound science (through research), the development of sensible and harmonized (internationally, between states, between land uses) policies, and national and international legislation. These guide WM systems as implementation tools of the above. Most importantly in the tropics and when applied to wildlife-dependent indigenous people, the overarching framework needs to be developed around what is (or has been) already in place as traditional/indigenous systems. These it needs to protect and harmonize with new forms of wildlife use and land management (e.g., tourism, protected areas, etc.).

The Four Elements of Wildlife Management (WM) It was Caughley (1977) who suggested that in WM we have three major processes we want to manage. We want to maintain populations as they are, we want to increase them because they are too small, or we want to reduce them because they are overabundant. I have added to this additional processes as follows (Table 1):

Wildlife and/vs Biodiversity We suggest that the current fad of biodiversity inventories will pass rather soon as a central focus of conservation. Ricklefs and Renner (1994)

Ricklefs and Renner (1994) were only partially right in their prediction, so it seems. Twenty years later, the “fad” might have somewhat faded but it still around wherever one looks – it has become mainstream. While my own assessment of the contents of biodiversity studies (Bauer, unpublished) as opposed to

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wildlife studies would suggest that it is often little more than a revamp of old themes under new terminology, there is also more to it. Obviously they have underestimated the political tenacity of the term and the domination of biodiversity research through politically and economically motivated research grants (in Australia the great majority one might get). They also have, perhaps, underestimated the need for a generalized inventory and planning tool. What were their reservations? I suggest it is instructive to discuss this briefly. They challenged the term on two grounds: first, the intrinsic value of species lists (the major target of many “biodiversity inventories”) for conservation (which they find questionable), secondly, the philosophical change of such an approach to systematics, denigrating a great scientific discipline and its repositories, museums, to service providers for political ends. They are not convinced that biodiversity inventories (ultimately species lists and often very incomplete) have intrinsic conservation value, they doubt if they influence decision-making, they fear they compromise scientific rigor and integrity (obviously lots of lay people doing them), and they are alarmed that it might sap scarce funds from serious systematic work. These are the scientific and ethical arguments, and they are very valid ones. Twenty years later, however, it seems obvious that the term and species inventories have somewhat developed a life of their own, and if one is just, the term has become a powerful driver for the collection, analysis, synthesis, and extrapolation of that large variety of life we find in biological diversity. It seems also noteworthy that science and in particular computing power and GIS have developed quite astonishing new contents around it. I also cannot help but notice, however, that the way biodiversity is applied reflects very much what Ricklefs and Renner (1994) feared and that the term has all but economized the rigor of the discipline of biology and wildlife ecology. As for practicalities, “biodiversity” remains an “unfocused conservation driver” and needs substance to be applied meaningfully. It has also, as Ricklefs and Renner (1994) feared, continued to be compromised by its suitability for the superficial, the political, and the economical. Instead of becoming a serious tool to promote systematics, the science of diversity, biodiversity has all too often become the rallying cry of a very superficial and economic worldview. In this chapter I introduce the term ‘Wildlife & Biodiversity Management’ (W&BDM) in order to reground and rejoin what has become another of our scientific distractions which confuse our minds and our purpose.

Wildlife as a Nontimber Forest Product This is another term for wildlife again and obviously targeting the wildlife in forests (other than wood or timber). If we read the papers about that and in particular the FAO expert meeting discussion (FAO 1995) we can easily see that this has, unlike wildlife and biodiversity, not a biological but a socioeconomic focus and that it is an attempt of international development that tries to describe wildlife in analogy to “agriculture” as a collection of crops and products. While this is entirely legitimate and even has practical value for community planning, if one considers all the ‘biological and ideological ramifications’ which come from the terms wildlife and biodiversity, I have happily replaced this term (as I have done with biodiversity) with wildlife.

Wildlife and Global Change Change is present wherever we look and is accelerating whatever we seem to do, yet the detection of change might not be as straightforward as it would seem, and our ability to detect change seems to be also dependent on the scale we look at. Large-scale changes (biodiversity, for example) seem to be easier to detect than small-scale changes (a species of wildlife, for example) yet more difficult to interpret and are best with great uncertainty. Small-scale changes seem to be everywhere, however most of the time impossible to interpret simply because they mostly reflect dynamics of ecosystems, communities, and populations at local and temporally possibly irrelevant (for management) scales. Page 4 of 24

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Only few meaningful data sets to do so are available. One example to detect change of an entire unit of biodiversity over a significant time frame and at a continental scale has been the comparison of bird data collected by hundreds of thousands of amateur ornithologists around Australia between 1977–1981 and 1998–2000. The preliminary analysis of these data as reported in Australia’s ‘State of the Environment (SoE) of 2001’ suggested, for example, that a total of 65 species had contracted in range to 13 species showing a substantial and systematic decline over this time frame. Interpretation of changes is, however, a difficult task. When five specialists were asked to interpret these changes, there was consensus that four of five species, the brush turkey, the Australian bustard, the wedge-tailed eagle, and the fuscous honeyeater, had genuinely contracted in their range, all of them mostly through loss of habitat, one through habitat loss and loss of its major prey, the exotic rabbit. About the rest – hundreds of species – nobody was so very sure. And this was an analysis based on a data set size and time frame a biologist generally could only dream about.

The Use of Wildlife: The Awkward Space of Firearms

The use of wildlife is generally known not as “wildlife management” but as hunting, gathering, and fishing. These three often gender- and age-specific activities in wildlife-dependent societies are based on a wide range of cultural specializations, techniques, and knowledge. They involve tools which range from the cultural and traditional to the highly technological and often lethal (firearms). (Ab)use of such modern weapons, and requisition of those, have adversely affected attitudes and legislation toward hunting. There is also the interface with wildlife, arms, and drugs trade, often connected, which has affected the legitimate users of arms for hunting. Generally, the dialectic and often bitter discourse around that has compromised support for hunting as a traditional and legitimate land use by western aid including charities.

Worldwide Perspective For the purpose of this book chapter I have distinguished between four different wildlife management zones around the tropics (Fig. 1). Three of them are based on biogeography (Neotropical, Asian, and African realms) with one special group “Oceanic Islands” defined by the isolated and generally greatly modified (Tropical Islands and Tropical Australia) nature of island environments. Wildlife management in these four regions is carried out within the political environments of 53 different nations which might (or might not) be signatories to international conventions and are under growing pressures from growing

Fig. 1 A suggested classification of Tropical Wildlife Management Zones based on biogeography (Neotropics, Tropical Africa, Tropical Mainland Asia (3) and major Oceanic Islands (island groups) around the tropical oceans (Map adapted from State of the Tropics n.d.) Page 5 of 24

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populations and associated resource use (see http://stateofthetropics.org/). Current systems to manage wildlife depend on the countries’ native traditional/indigenous systems and communities, colonial history, and the role of the political system states. For each country agricultural, forestry, water development, protected area, and tourism policies are, generally, of higher importance than wildlife or indigenous legislation. There is also, in each of these places, a multitude of donors and charities carrying out projects and supporting government and communities, each with their political agenda and ideologies. Political history has a major bearing on the current situation. The African region had a long and chequered colonial history. The Neotropics are where, with the exception of some small northern colonies, the Spanish and Portuguese became masters for centuries, while the Asian Region was predominantly English (India) with some Spanish (Philippines) and Dutch (Indonesia) elements. Significantly, either powerful or remote countries resisted colonization (China, Thailand, Japan, Bhutan, Nepal). This different history, and colonial masters who viewed wildlife differently, has also shaped the fate of modern wildlife populations. The modern plight of the tiger in India has to be understood in the context of an imposed British bounty system which decimated populations beyond recovery. So have the Anglo-Saxon experiments with acclimatization of exotic species for hunting and pest control and the commercial exploitation, often ending in the destruction of native wildlife resources. After colonial states gained independence, wildlife, often at greatly lowered densities and affected by land use changes under colonial rule, rarely had a chance to recover. New pressures and political instability, along with disempowerment of indigenous people and loss of traditional land rights of minorities and rural communities, ensured that most of the wildlife did not recover. Significantly, this post-WWII phase was also characterized by increasing exploration for oil and minerals, megahydrodevelopment, industrial agriculture with its proliferation of chemicals, GM crops, and logging, all of them leading not only to vast environmental destruction but also to the loss of land rights and growing impacts and pressures on communities and remaining wildlife. This phase was also characterized by a growing and global wildlife trade for the emerging western pet market, medicinal research, poorly regulated (international) hunting, a dramatic growth of demands on wildlife for the emerging Asian economies, and the development of tropical mass tourism, much of it targeting with its development beautiful and natural regions. International fishing fleets, transport, and hundreds of millions of tourists started to invade marine and terrestrial tropical environments, all with their own specific impacts and multiplying the dispersal of alien species. Not surprisingly, this time was also defined by many thousands of species threatened with extinction. While the growing responses (as described in chapter 3 ▶ The Development of Wildlife Governance, Science and Management Capacity in the Tropics) from the 1960s onward sought to stop this trend in wildlife decline, the growth of human populations, poverty, and environmental degradation mostly offset these programs. And that was before the growing impacts of a changing climate became clear and science showed many frightening future scenarios, additional and exacerbating to all the old ailments. In this chapter I will briefly describe the current status of wildlife and of wildlife utilization/management in these different regions. Not more than a glimpse, I have tried to emphasize the differences as they unfold around the tropical world.

African Wildlife: Between Myth, Colonial Legacy, and Modernity The survival of our wildlife is a matter of grave concern to all of us in Africa. These wild creatures amid the wild places they inhabit are not only important as a source of wonder and inspiration but are an integral part of our natural resources and of our future livelihood and well-being. From the Arusha Declaration on Wildlife Protection, Julius Nyerere, 1961

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Africa, a vast continent, the cradle of humankind, and to many still a near-mythical place where lions and elephants roam in endless numbers, has over the past century been greatly transformed. Now, with the colonial masters all but gone, the modern African states (re)established, often at great costs to humans and wildlife, a mixed picture emerges. There are places such as South Africa, which is overcoming apartheid to become a modern state and thrive economically. There are countries such as some Central African nations which had and continue to have wars killing millions of people. There are also countries such as Namibia or Botswana, where postcolonial legacy, social progress, and the conservation of their environments including wildlife have progressed into modern states. And there are places such as the Gambia where forest cover has increased almost 10 % over the past 15 years. The African Tropics are characterized by a vast continental mass which had its uniquely rich fauna of large mammals (megafauna) often in great abundance. As a continent African ungulates were greatly affected by the introduction of the rinderpest (Italian cattle in Ethiopia), which reached the Cape Horn within few years at the beginning of the nineteenth century devastating wildlife to such an extent that many lions turned to maneaters for lack of food (see Sinclair 1977). Before African wildlife could recover, colonial powers decimated the ungulate fauna until the conservation movement was born with the Serengeti, and country after country started to set aside vast land areas for wildlife conservation – often with great costs to human communities. Densely forested regions in Central Africa were for many years and up until the 1970s relatively unaffected by major development, but they have also been opened up and changes accelerate as Africa joins the rest of the world in its legitimate search for a better life. The magnificent African wildlife continues to survive in this modern world, and sometimes against many odds, as it stumbles from one crisis to the next. Species such as the black and white rhinoceros, once numbering in their millions, then almost extinct, recovering again in the 1990s, are now greatly endangered again. This recent demise is a result of the high demand for rhino horn (US $90,000 kg) in Asian countries where the middle class has become wealthy. There are countries such as Tanzania which have dedicated almost half of their land (44 %) to wildlife conservation – and created a tourism industry around that (No 1 Destination in the NYT Tourism Hotspot Ranking of last year). This industry employs 27,000 people, attracts almost a million tourists per year, and generates 25 % of its foreign exchange, mostly around its wildlife migrations in the Serengeti and Ngoro Ngoro Crater at Mt. Kilimanjaro. Other countries such as Rwanda lead the tourism world around endangered species, here the mountain gorilla, with significant benefits for gorillas but also for the poor rural people. Perhaps even more significantly, these real societal benefits have played a critical role for the mountain gorilla to survive war and genocide and resume its role as major tourism attraction. Parts of the abstracts of two papers in 1995 and 2010 show how the fates of mountain gorillas and poor people have become entwined. They also show their survival in times of great adversity. Box 1: Gorilla Tourism in Rwanda: A Remarkable and Lasting Success Story Until April 1994 gorilla tourism was the basis of the Rwandan tourism industry part of which was returned to finance gorilla conservation programmes (Shackley 1995). This study showed that the gorillas had survived the war unexpectedly well and increased political stability has permitted research and protection teams to return. The paper discusses competing gorilla tourism in Uganda and the uncertain future of this industry. 15 years later: Spencely et al. (2010) study shows that Tourism is still the leading export sector in Rwanda and continues to grow. It also shows that it provides income and opportunities for the poor.

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The emerging modern African wildlife world remains, however, full of conflict. There are places such as South Africa where a powerful western tourism prevents the reduction of the elephant population in Kruger NP against the wishes of the local communities and the park administration, which is to retain the park’s diversity and plant productivity as a basis for many herbivores. In the same country there are also farmers who have replaced their marginal income from livestock by thriving “wildstock” farms, where they breed, sell, and trade endangered wildlife for profits. And, of course, there is the vast Congo region, where the “bushmeat trade” thrives and where diseases such as HIVemerged from primates. Ownership of and benefits from wildlife in Africa have been greatly confused during colonial times, and Tanzania may be used as a rather representative African example on how colonial legacy, the western conservation movement, and the new-found value for wildlife through tourism have created an uneasy and always contested relationship between the power of the state, International Conservation NGOs, the tourism industry, and local communities. Communities are now, after empowerment for some years, in retreat from the power of the state as it seeks its rent from wildlife and often conspires with foreign industries against local communities. Box 2: “The Government’s Animals”. Tanzania: Between National Park Legacy and Contested Community Rights The use of wildlife in Africa, traditional and modern (tourism including big game hunting) is a fine balance between the power of the state, the leaders and actors it encourages and the communities of people, who had to live under the “yoke” of conservation. I have chosen excerpts from Minwary (2009) who showed the fickle nature of this “participation” and benefit sharing, as communities try to survive, the state seeks its “resource rent” and the industry joins hands with the state and leaders. This reality is almost an allegory of sorts as it describes the nature of what happens in many other parts of Africa and indeed the world where communities want to regain rights over wildlife management but find, that they have only limited power to do so. And then of course there was the lure of hunting in Africa, stronger than anywhere else and inextricably linked with colonialism. All through Anglo-Saxon colonial literature, from Rider Haggard to modern books, the particular fascination of Africa for the colonial hunter reverberated over centuries. Trophy hunting of the big five (lion, elephant, rhino, buffalo, leopard) was a pursuit of the very rich during the nineteenth and most of the twentieth centuries. In the 1970s and 1980s the general decline of game (more often than not through political instability than trophy hunting) and the establishment of many national parks and antihunting sentiments from the west strongly affected big game hunting. Over the last decade, however, trophy hunting has again expanded, and a serious attempt has been made to include it as a facet of nature conservation (Bauer and Herr 2004; Baker 1997; Baskin 1994; IIED 1994; Lewis and Alpert 1997; Meier 1989). However, while Lewis and Alpert (1997) demonstrate the substantial benefits hunting can bring (e.g., to the Zambian economy), Baker (1997), in an analysis of hunting in the southern parts of Africa, concluded that a lack of appropriate monitoring and exceeding hunting quotas made sustainability doubtful. Additionally, corruption prevents communities from truly benefiting from (hunting) tourism in Tanzania and Botswana. This has currently been reiterated in Tanzania, where community participation despite much rhetoric and hype remains elusive (Minwary 2009). In contrast Namibia stands as an example where hunting is carried out based on private landownership, a system also adopted in Southern Africa, where farm-based wildlife breeding, trade, and tourism (including hunting) have developed. Numerous game farms now rely on their hunting income in a significant way. This harvest encompasses approximately 22 species of wild ungulates and provides a very substantial contribution to farm income,

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with trophy hunting being a superior land use on marginal land (Meier 1989). This and many other studies also show that this “new” land use, if well regulated, can have significant conservation benefits. Box 3: Wildlife Ranching and Hunting in Southern Africa In 1989, Meier, analysed the profitability of three landuse schemes in Namibia, conventional livestock pastoralism, (1), game farming (2) and trophy hunting (3). He concluded, that anything to do with game was more profitable for the farmers, if it involved marginal grazing land. He further found that trophy hunting was the most favourable economic option on such land and that income derived from it, even compared favourably with livestock on good land. Since this and similar other studies were carried out, farmers and the farmer markets in Namibia and South Africa have reacted and there has been a market adjustment towards it which is so far unique in the world. Farmers have started to rear, trade and sell wildlife instead of cattle and sheep and much of it is done in auctions, where they buy species that have disappeared on their large farms to restock (as fishermen do in many rivers and lakes). These species then propagate and can be either resold during the next auction or sold to a hunting tourist, mostly from Europe, but increasingly so from the US, who wants to: (i) (ii) (iii) (iv) (v)

Have that unique hunting experience for that species Complement his/her collection of hunting trophies Mount it over his/her fire place Complement his/her farm stay holiday in the Savanna with something exciting Have a trophy of that animal that is larger than Geoff’s at home

Over the years this industry has matured and in 2004 according to Damm (2002) 17,569 heads of game were auctioned. While this is a rather impressive number, in particular as it involved many rare and endangered species (e.g., 21 elephants, 39 Lions, 4 scimitar-horned oryx, 1 Black Rhino, 137 White Rhino) it has dropped from 21,101 heads in previously (16.7 %), a fall which Damm attributes to that fact, that the “market” has run its way and “most land, which could be converted back from agricultural to wildlife habitat, has experienced this transformation already” (Damm 2006). Past farmers who wanted to restock their farms have turned into producers, wildlife markets are starting to become saturated and stagnate. Damm (2002) predicts that with “tighter new legislation” with regards to breeding, trade and landownership tax being currently considered this negative trend will continue. This is of course how markets work. The saturation will not work the same for all species and that is evident with some dropping dramatically (e.g., the single black rhino auctioned in 2005 fetched just under 100,000 Rand, down from half million Rand in 2001 and 2002), while for others such as springbuck, kudu, eland and impala prices were “astonishingly” (Damm also, according to the mentality of markets, there have been some farmers who were “inventive”. Exploring new market opportunities e.g., for Bengal Tiger and Water Buffalo, while giving the new income source for farmers a bad name in conservation, something it cannot afford. Hence the need for regulation, but one which is quite achievable.

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Controversy also rules in Africa as to what to do about the illegal trade in ivory and rhino horn, a trade that has re-emerged as Asia grew rich and that needs to be fought with great determination, as a recent high-level meeting between heads of state in London decided, in the meantime with the aid of military drone technology. There is, however, also a valid argument to be made that rhino conservation would greatly benefit from making this wildlife product rather a legitimate farmer venture than driving it into illegality by becoming “owned” by western conservation elites and charities. Box 4: “Rhinos Belong to the Future. . . Five Rhino Species Forever” The current re-emergence of rhino and elephant poaching, after many past, seemingly successful campaigns over more than 30 years, have, once again, demonstrated the precarious existence of the tropical mega fauna (Save the Rhino 2015). This resurgence is closely linked to the emergence of the Asian markets which, continue to cherish (rhino horn, ivory, tiger bones) what the western markets have, either never valued or successfully abolished. The current massive poaching resurge has led to so far unheard of international condemnation, most recently during a conference in London where leaders of 52 countries pledged to dramatically step up efforts and political commitment. Ultimately it will be decided whether Asian leaders in particular China and Vietnam are taking their international commitments more seriously. That the Chinese Public in China is ready is evidenced by the shark fin trade where, almost overnight, a consumer campaign (targeting a highly environmentally conscious Chinese public), endorsed by the government, and drastically reduced it. (See also: http:// savetherhinotrust.org). But then again there is another way of viewing this and it can be found on http://www.rhino-economics.com/. It looks at the trade less emotional and while the author calls it an “economic” argument one might also call it “evidence-based”. Significantly it reduces if not eliminates a conflict, creates opportunities and income for local communities and saves/grows rhino populations. Saving Rhinos: Success versus Failure In the year 1800 about one million rhinos lived on earth. Today less than 28,000 survive in the wild, due to the combined effects of habitat loss and uncontrolled hunting. Throughout history, humans have hunted rhinos for their meat and other body parts, which are used for ornaments and traditional medicines. Despite this bleak situation, there has been at least one notable success story. The southern white rhino was close to extinct by 1900, but today it is the most abundant species. In 1900 there were less than 50 in the world-today there are more than 20,000! Why has the southern white rhino fared better than the other species and what can we learn from this? Economics provides the answer! White rhino conservation efforts were driven by South Africa, which has developed a vibrant market economy for wildlife within the last 50 years. This economy rests on three pillars: • Recognizing and actively developing legal markets for things that people value about rhinos, such as tourist viewing and trophy hunting • Allowing private landowners to legally own rhinos, thereby giving them strong direct incentives to manage them responsibly • Enabling all landowners (private, communal or public) to retain the money they earn from selling live rhinos and rhino products, thus making rhinos a lucrative long-term investment In the last two decades, the market values of live white rhinos have soared–from around $1,000 a rhino in the early 1980s to more than $30,000 in recent years. These rising values created strong incentives to protect and breed more rhinos. The market approach has also been applied to South Africa’s black rhino population and in neighbouring Namibia. Today South Africa and Namibia (continued) Page 10 of 24

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protect 75 % of the world’s wild black rhino population of about 5,000 animals. In 1970 there were an estimated 65,000 black rhinos in Africa, mostly in other African countries, but almost all lost their lives to poachers. Rhino populations in other countries are protected by laws against poaching and illegal trade, but there are limited incentives to enforce these properly. Government ownership and trade restrictions simply do not create strong enough incentives to invest in rhino protection and breeding, especially not to the people that matter: the people on the ground, who ultimately decide the rhinos’ fate. We need to learn from the southern African experience! Unfortunately the southern African success remains under threat because of the world’s refusal to recognize a legitimate demand for rhino horn. For more than 35 years, the world has attempted to end the rhino horn trade by banning it–and has failed. Rhino horn demand and illegal trade persists, and the ban appears to have simply driven black market prices to extraordinary levels, with disastrous results. The rhino horn trade ban no longer makes either economic or conservation sense. The natural mortality rate of rhinos in Africa alone yields as much horn as has been poached to supply the market in recent years. Furthermore, rhino horn is a renewable resource that can be easily harvested without killing rhinos. And African conservation agencies and landowners already hold several years’ supply of rhino horn (at the current rate of black market supply). These stockpiles are worth millions of dollars, money that could be usefully spent on rhino conservation, but the ban will not allow them to be sold to raise this money. The rhino horn trade ban is quite possibly the greatest remaining threat to the rhino! Public ignorance and misunderstanding allow this policy to persist. It is time to dispel some myths and think more creatively about the most sensible way to ensure the future of all rhinos.

The Asian Wildlife Dilemma: Between Economic Boom and Rural Poverty Tropical and subtropical Asia, from the Himalayan peaks through the monsoon belts of India and Burma, the rainforests of SE Asia through the vast coastal and island worlds of the countless archipelagos to the great tropical island landmasses of Borneo and New Guinea, each with high mountain ranges, even glaciers, are centers of natural and cultural diversity and history which are unique in the world. They are areas where four biogeographic regions meet, where the collision of India with its Gondwana heritage – the vast continent of Asia – not only created the world’s highest and most extensive mountain range but changed the world’s climate. In this region human migrations, agriculture, and great civilizations have longer and more intensively interacted with a rich tropical world than anywhere else. This deep connection has led to the domestication of the largest terrestrial creature existing on Earth, the Asian elephant, and has brought forth rainforest cultures, which had a uniquely rich way of life around thousands of species of wildlife and going back many thousands of years. Perhaps most significantly, this rich use of wildlife as food and medicine, common to many “primitive” societies, was maintained and greatly developed in the great civilizations, in particular in China and India. Although much has changed and disappeared over time, one of the enduring legacies of this interconnectedness of humans and wildlife in Asia is its use for human needs and cultural enjoyment, for example, in a food culture and cuisine which, in the case of China and India alone, encompasses thousands of species of wild plants and animals or in the traditional medicine chests (Chinese traditional medicine, Ayurvedic medicine in India, PNG’s indigenous medicine, etc.) where wildlife continues to bring benefits to hundreds of millions of people and remains a great symbol of status (elephant, tiger, rhino). Asian wildlife is caught between this history, the economic boom, and still widespread poverty. Treading its thin line between tradition and the West, this tension defines the Asian wildlife dilemma.

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While having the power and wealth to continue its use, Asia now has to learn restraint if it does not want to lose it all and it has risen to the challenge. Asia as a whole has made great strides as it implements protected areas, as this suits the powerful role of its governments. It has, however, been less successful to change the habits of its people or their continuing dependence on its wildlife. While its governments struggle to accept this responsibility, and opportunity, its wildlife continues to disappear, and its cultural diversity, including its cuisine, will be greatly diminished. “The west” has not recognized this “Asian dilemma” as it condemns and tries to control a trade around wildlife, which is so deeply entwined with the peoples’ cultures. It still fails to see that conservation and regulation have mostly led to the emergence of a vast illegal market, while the sustainable use was either made impossible or prevented to improve. With this view the challenge in Asia is not so much any longer to establish more protected areas. The real task of wildlife conservation in Asia is to make societies understand the need to manage wildlife sustainably for its many uses and benefits it can bring. Last but not least, it is the human population which has to have a bearing in our approaches to conservation. Asia contains more than half of the world’s population, and excluding them from protected areas will be no long-term solution. There are many examples of this Asian wildlife dilemma. There is, for example, the modern wild swallow nest trade. Emanating from China and carried out for many centuries it has all but destroyed a great resource for the communities at the South Andaman Coast of Thailand. These people remain excluded to harvest them as they had done for centuries (because national parks are there now), while the “Swallow Mafia,” with unhindered access, has now almost destroyed the resource. Throughout India, Bhutan, and Nepal tourism industries thrive on wildlife and specifically around the tiger without accepting responsibility (Furze et al. 1996; O’Riordan 2002; Eglert 2002). There is a legacy of inappropriate western and hegemonic wildlife legislation in Bhutan and China as it prevents its farmers to kill wild boar, an overabundant agricultural pest (Boyd et al. 2003; Bauer 2002), accompanied by a sad loss of traditional ecological knowledge in the Wuyi mountains of China as conservation goes too far. A similar trend is evident (loss of coral reefs, fish, primates, swallows, and indigenous people) in Thailand’s south while the government ignores the long-term needs and responsibilities of its greatest industry: tourism. Box 5: Ecosystem and Wildlife Change in Protected Landscapes in Wuyishan Biosphere Reserve, China This case study shows, that many protected areas with human communities and activities around and within it continue to change (Bauer et al. 2002; Boyd et al. 2002, 2003). Wuyishan Nature (Biosphere) Reserve in Fujian Province China may serve as an example how, under enlightened community forestry development by the Chinese government, along with far reaching protection of wildlife, one of the uniquely rich natural heritage areas in wildlife has been able to recover from destruction of forest and wildlife until the 1980s. It also has provided however an example which shows how various trends, erosion of TEK, Bamboo community forestry and tourism have introduced a new dynamic setting whose outcomes are difficult to predict and need to be monitored and managed. A main change is the economic and cultural disengagement of the community from wildlife through changes in reliance on and loss of cultural knowledge about wildlife (Fig. 2). – Many people had direct knowledge of species (had seen or seen signs of), and therefore information about species should be considered to have a high level of validity. – There does appear to be an overall decrease in the time spent in the forest by local people. This can be related to a decrease in hunting following protection of the species and also changing lifestyles away from direct reliance on the natural environment for subsistence. (continued)

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– The majority of the study target species are considered to be common or very common, although 54 % of species may be decreasing in abundance. Overall, at least eight species may be considered to be threatened: Crab-eating Mongoose, Fox, Large Indian Civet, Dhole, River Otter, Leopard Cat, Leopard and Tiger. These results suggest that negative pressures are ongoing in the reserve. – The results for changing abundance and abundance of species are not conclusive, but may suggest that species that are more often found in disturbed areas (according to interview statements) are more likely to be increasing in abundance or, to a lesser extent, stable and are more likely to be common than rare or locally extinct. Many local people were collecting wild plants in 1998 for food, medicine and sale. This indicates the continuing contribution of the natural environment to the well-being of the Wuyishan Biosphere Reserve community. While the data do not suggest negative impacts on plant species, those which are targeted for collection should be monitored for abundance and condition. – Most of the people interviewed indicated that they bought meat. This is most likely a change from earlier subsistence hunting following species protection. However, collection of small fauna for food and sale was common in 1998. – The available evidence collected during this study suggests that Bamboo monocultures lead to lower levels of species diversity and favour species such as Wild Boar which become agricultural pests. – The collection and sale of small fauna suggest that significant pressure is being placed on frog, snake, fish and possibly rodent populations. While collection for subsistence has probably occurred at sustainable levels in the past, the increasing tourism market presents a threat to species survival. This study concluded that the economy of WBR is at an early stage of change, and that the present adult generations retain knowledge of species, with young generations retaining less knowledge. The results also suggest that unless more monitoring effort and better understanding of human-wildlife interactions are sought by the WNR administration it will not be possible to maintain the present level of mammal diversity and abundance and that increasing population shifts will result as a consequence of economic activities (bamboo community forestry, tourism), pollution and a presently unknown level of wildlife harvest. Education Programs in schools would appear to be of great importance to maintain the knowledge and interest of local people in wildlife. These changes in wildlife habitat and erosion of traditional ecological knowledge (TEK) in Wuyishan Biosphere Reserve as bamboo monocultures develop might quite likely be reversed as the predominantly (and very fast-growing) Chinese tourism industry with its demand for wildlife experiences (and wildlife food also) grows and it is difficult to predict what the eventual outcome for this landscape is. Nor do gradual and unobserved shifts in “protected” landscapes only occur in human cultural environments and as a result of agricultural, forestry, tourism, or hunting/fishing activities. They are also happening at large landscape scales in the wake of megahydrodevelopment as it changes the face of many terrestrial habitats.

Nepal’s and India’s Tourism Industry in a Vanishing Landscape, the Terai Species also, like river systems, are caught between different uses and aspirations. The last 3,000 or so remaining wild tigers in the world are living a precarious existence between priced Chinese medicine tiger bone item and equally cherished live target for wildlife tourists (Fig. 3).

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Fig. 2 The forest world of Wuyishan Biosphere Reserve (WBR) in Fujian Province, China: Conversion of natural forest into bamboo plantation (1), Traditional House style (2), Local man describing how he saw the last South China Tiger in the 1960s (3), Stump-tailed macaque, a regionally restricted primate species with one of its last strongholds in WBR

The Tiger: A Species of Contradictory Values and Approaches There is probably no more suitable species than the tiger to describe Asians Conservation Dilemma (Global Tiger Initiative Secretariat 2012; Tepper 2013; Mills and Jackson 1994). Revered by the west, priced in China’s tiger bone market, major tourism drawing card in India’s and Nepal’s National Parks yet deadly neighbour for rural people the tiger has not fared very well over the past 30 years although what must be hundreds of millions of dollar were spent on its conservation. While its wild populations have kept declining despite of all these efforts, its captive population in China alone has not done so badly. As Tepper (2013) reports. A new report by the U.K.-based Environmental Investigation Agency (EIA) suggests that China is knowingly violating its own ban on the trade of tiger bones, as stipulated in a 1993 State Council measure. . . the report, “Hidden in Plain Sight: China’s Clandestine Tiger Trade,” alleges that the government is allowing the use of captive-bred tiger bones for tonic wines thought to have medicinal properties. The EIA believes that several tiger farms in China are using what they claim is a secret government notification issued in 2005 as proof their tiger wine operations are legal. . . The head of group’s tiger campaign, Debbie Banks, expressed outrage on the EIA’s website: “The stark contradiction between China’s international posture supporting efforts to save the wild tiger and its inward-facing domestic policies which stimulate demand and ultimately drive the poaching of wild tigers represents one of the biggest cons ever perpetrated in the history of tiger conservation.”. This report also suggests that “Experts estimate the numbers of tigers in the wild to be between 3,200 and 3,500, although it’s believed that the captive tiger population in China may be as high as 5,000 animals among up to 200 farms and zoos, according to EIA. These farms are often touted as tourist (continued) Page 14 of 24

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attractions and sell tiger wine on the premises, which underlines the out-in-the-open nature of these operations”. This newspaper report not only shows the ‘two faced approach’ of China to tiger trade bones. It also shows the discrepancy between China and the urban “west”, China’s pragmatism towards most things, including tigers and its almost casual own approach as it legalises tiger bone trade, something many advocates in Africa also suggest would reduce the trade in Rhino horn. It remains to be seen which way will be more successful. The old one certainly did not work. While it is to be hoped a last ditch effort, the Global Tiger Initiative (GTI) will halt the clicking extinction clock for wild tiger, China’s captive breeding program can be viewed as the most organised effort, an insurance of sorts, to at least preserve the species,-if in captivity.

Fig. 3 There are few if any other landscapes in the world which combine magnificent scenery with magnificent wildlife and culture to such an extent as the northern parts of the Indian subcontinent bordering the Himalaya’s (Bhutan, India, Nepal). The megafauna of this region (One-horned rhino, tiger, Asian elephant, Gangetic dolphin, gharial, gaur etc.) is now more or less confined to increasingly isolated protected areas. Small wildlife populations, after having been greatly affected and degraded by mega-hydro-development (Kosi Tappu, Sukhlaphanta, Bardia, Chitwan) now have to cope with growing tourism numbers, an increasing part coming from Asia, in particular India. Both short and long-term impacts are difficult to evaluate. On the positive side many communities around the parks, which in parts depend on their resources (fish in boundary rivers, thatch grass, firewood) adding to the pressure, now derive significant income from tourism (Bauer and Maskey 1990; Bauer et al. 1995, 1997, 1999)

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Wildlife in the Neotropics: Between Overhunting, Habitat Destruction, and Enlightened New Policies Latin America, South America, or the Neotropics encompasses a vast new world with unique wildlife, which has, after many continuing struggles, at times between indigenous empires against the Spanish or Portuguese invaders, and between US-type capitalism and Soviet communism, emerged as something of a truly New World. Although old regimes linger and indigenous people remain disadvantaged, there is progress in social conditions and in environmental management which is uniquely Latin American in its boldness and innovation. This is no more evident than in Brazil, a G20 nation now which has started to tackle its Amazon frontier with its vast environmental challenges with a sense of purpose, technological innovation, and the support of a passionate, growing number of environmental/social leaders, not a few of them indigenous people. While this development is possible through a growing educated middle class it is also based on a wealth of natural resources. For this reason the pressures to convert vast areas of rainforest into “more accessible” wealth (logging, cattle farming, soya beans, etc.) continue unabated, and successes remain frail. The 70 % reduction of clearing rates in the Amazon since 2004, the outcome of government efforts, and REDD expectations can easily turn to dust as the greed for land and minerals around the world grows unabated. As in Africa, wildlife’s greatest protection so far was the vastness of the land, the impenetrability of its forests and wetlands, and the lack of access through roads. This is, however, rapidly changing as roads and airstrips open up the endless wetlands of the Pantanal and Amazon and as growing numbers of settlers, fortune hunters, cattle ranchers, and mineral prospectors, often in the wake of logging and mineral extraction, invade the rainforest and the equally vast tropical dryland forests (Cerrado, Caatinga). This situation is replicated in places such as Peru, Columbia, Ecuador, Venezuela, Chile, or Bolivia. A somewhat dated review of its use (Robinson and Redford 1991) showed that wildlife in South America, although greatly depleted in the past and still harvested mostly without much regulation, remains an important resource. This review distinguished five types of uses people derive from wildlife: subsistence hunting (1), market hunting and collecting (2), wildlife farming and ranching (3), sport hunting (4), and commercial uses which included trade and tourism (5). Wildlife used is many species of mammals, birds, reptiles, amphibians, fish, and thousands of species of plants. Despite the large-scale tropical deforestation in this region, there is a great dependency on wildlife products, particularly among indigenous people and peasants (Bodmer 1995; Bodmer et al. 1997; Robinson and Redford 1991; Vickers 1991). At the same time there are many possibilities to develop this industry for value adding consumptive and nonconsumptive tourism (Dallmeier 1991; Groom et al. 1991; Purdy and Tomlinson 1991). Many of those, however, remain unrealized. Considers the implementation of more regulation and sustainable hunting in South America generally possible, however, only if the most common forms of market or commercial hunting can be eliminated. This is a problem in his eyes not so much of morality but of sustainability, closely linked to a regard of wildlife as “public property” or “commons” to be exploited for individual financial gain and as market demands increase and new technologies become available (e.g., also Hardin 1968). Latin American people who hunt for wildlife (primates, game birds, tapirs, spectacled caiman, green iguana, capybara, deer sp., guanaco, vicunja, waterbirds, etc.) have generally few other alternatives (Ojeda and Mares 1982). Generally speaking wildlife and nature-based tourism as well as wildlife trade have continued to grow while subsistence uses and markets were closely linked to the development of legislation, the trends of populations, and the fates of the communities, often indigenous, themselves. There are also uses, such as Capybara hunting, which have made it to the urban centers, with its own set of problems – and opportunities.

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The Capybara as a Modern and Competitive Resource? Capybara, a much priced meat for Venezuela’s indigenous people, also made its way, for keeps so it seems, into the cuisine of the Spanish invaders. Catholic missionary monks soon realised that the Capybary not only were tasty, but allowed them to retain their meat diet on Friday (which back home in Europe was provided by the Beaver which they classified along with fish), it was also much bigger than beaver, reaching weights of up to 66 kg meat and valuable leather led to over-harvest and a greatly diminished resource. Venezuela responded in 1953 when it made Capybara subject to legal regulation which was little effective until 1968, when a 5-year national moratorium was declared, the species studied and a management plan developed. Once populations had recovered, 35–40% of the censused animals could be harvested every year on licensed farms with populations exceeding 400 animals. Research had showed that in Venezuela on irrigated savannah optimal density (1.5–3 animals/ha) yielding some 27 kg meat/ha/annum. The yield of unmanaged wild population compared with around 8 kg/ha. Most importantly, further studies have also shown that capybaras do not, as previously thought, compete with domestic stock, but graze on short vegetation providing additional economic benefits to farmers. As it seems this trend in Venezuela has not continued. Will Grant, from BBC news (12.4.2009, http://news.bbc.co.uk/2/hi/americas/7987587.stm) in an article titled “Venezuela’s Giant Rodent Cuisine” reported that while the capybaras’ attraction as Christian “lent food” remains very alive (“many Venezuelans regard the semi-aquatic creature as more fish than meat – a useful description during Lent when it is eaten as a replacement for red meat in this largely Roman Catholic country”), legislation has started to lag behind, The high demand in the run-up to Easter, combined with widespread poaching and illegal hunting, means the “chiguire”, as it is called in Venezuela, is now under threat in some parts of the country. This trend, according to Deborah Bigio of FUDENA, an environmental NGO cited in that article, shows little sign of slowing down in the wake of tighter hunting legislation (special hunting permit in the month before Easter) as it remains poorly enforced in a poorly educated community of hunters. Capybara are listed by IUCN at lower risk (management dependant) yet seems to continue to decline due to lack of existing legislation or enforcement. Nature- and wildlife-based tourism is proving a double-edged entry point into a more modern way of life, as desired by many people. Countries like Costa Rica have managed to develop this income source for rural communities through the proliferation of a national and international NGO (INGO) culture. As we can see this commercial and market-driven approach closely combined with tourism may hold some promise. Free Market Wildlife Conservation in Costa Rica? Costa Rica may serve as an example where conditions have been created by the government that have encouraged foreign “conservation investment” by a wide range of INGO’s, supported by education and research programs from universities around the world and in particular from the US. In this policy environment, conservation has become an experimental ground for the worlds INGO’s to try out new concepts and ideas at a safe place where they could be reasonably sure that a government and society would support it. Although the eventual outcome of that “foreign intervention” in matters W&BDM remains unclear (many land right issues remain or have been exacerbated), it emerges that such project activity, is generally supported by growing tourist numbers and that much of that tourism growth is based on small and community ecotourism enterprises. One (continued) Page 17 of 24

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might conclude that this diverse environment of free foreign access, mutual competition (raising standards building knowledge, capacity and networks) between a competing but also collaborating INGO community can do much to facilitate between government and tourism and communities. It has also already proven that it provides substantial income alternatives and complementary landuse options including REDD+ etc. for the disadvantaged rural and indigenous communities.

Oceanic Tropical Islands: Extinction Traps and Wildlife Sanctuaries Islands are unique places in the world where mostly birds became often large and helpless because of size. Humans arriving thought they had entered paradise, for a while at least. After the dodos, moas, Hawaiian geese, giant lemurs, and so on were driven to extinction, most tropical islands around the world were changed forever and in historic times. They offered a compressed and much clearer, more recent history of the relationship of humans with large mammals than on the continental world. This was before the European colonizers and their animal companions (goats, sheep, deer, rats, mustelids, foxes, cats) arrived. Then it was the turn of what had survived, smaller, less valuable, but still abundant like the Caribbean seal, which finally, and after the last sighting in 1952, was officially’ declared extinct in 2008. When everybody woke up, it seemed too late. Unique tropical island worlds, if diminished already by earlier invaders, had been changed to places where the native and endemic was restricted to some hilltops like in Hawaii or small offshore islands (like in new Zealand), while the remainder was covered with human crops, their foreign animals, and plants, which thrived in their new world, often replacing endemic species. Looking at the history of bird extinctions over the past 500 years one can easily see that the recent extinction wave started on small and larger islands in the 1600s. Continents only joined in after the 1800s. When comparing timing and geography of extinction events with the colonial expansion of Europe a pattern emerges, which suggests that many extinctions were related in space and time to the European fleets colonizing the world, taking over continents, and introducing European land use and which, more often than not, were little suited to the local conditions (DiCastri 1989; Flannery 1994, 2001; Diamond 1999; Fernandez-Armesto 2000). Between 1630 and 1999 around 117 species of birds went extinct in the world (based on assessments by Birdlife International and recorded by WCMC) during two major extinction phases, the first between 1600 and 1700 centered on the Caribbean, the second, more pronounced, longer, and more consistent, between 1700 and 1950 centered in the vast Pacific region. Both waves coincided with the history of European expansion, and both focused on tropical islands, where almost all extinctions took place. A modern third phase, despite our modern vigilance, continues. One of the best-studied examples is the brown tree snake from Queensland, Australia, which, after having been introduced to Guam after WWII, almost eradicated the endemic bird fauna, some ten species, within 20 years (Meffe and Carrol 1994). Yet, despite many similar stories, mostly unrecorded, there is another side to islands. Some 5,000 km to the south, bird species extinct on the mainland in NZ managed to retain a last precarious hold and more importantly develop viable, if density-dependent, populations. These were assisted by wildlife management programs, which were daring and innovative yet proved successful. Similar things happen on Mauritius (pink pigeon, kestrel, parrot) and Galapagos, where collaborating national and international organizations have managed to arrest and even turn the extinction tide. The Island continent of Australia with its tropical upper third, its highly endemic island fauna, and its history of the introduction of large alien tropical mammal species (banteng, water buffalo, rusa deer, sambar deer, wild boar) but also amphibians (cane toad) may serve as continental case study on fauna

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change. They demonstrate how even a large island continent seems destined to become a new and composite ecosystem (native and alien) where the endemic and the native can only survive if supported by modern, well-funded, and, above everything else, consistent efforts in wildlife management. Australian SoE reports (1996–2011), e.g., give for the first time a relatively comprehensive threat assessment of Australian fauna and flora (State of the Environment 2011). If we eliminate trend estimates for flora and invertebrates (as currently too patchy and unreliable) it is clear that there is a reduction trend among vertebrates which does not simply reflect taxonomic and knowledge uncertainty. It seems that during this brief reporting period native amphibians and reptiles have joined birds and mammals in their extinction trends. The Great Unknown: Continental Trends of Australia’s Bird Fauna Australia is an object lesson of the poor predictability of the combined, long-term changes of highly endemic fauna as is generally found on islands. Currently, due to the large numbers of bird observers contributing to distribution lists and participating at large scale surveys and monitoring systems our understanding of trends in bird populations is by far the most advanced one. In Australia a forecast based on large datasets is worrying as a whole (Garnett and Crowley 2000). According to the 2000 Action Plan for Australian birds, there are 25 bird taxa (reporting to the subspecies level) extinct, 32 critically endangered, 41 endangered, 82 vulnerable and 81 near threatened. The remaining 1,114 taxa are considered of least concern, including 28 introduced taxa and 95 vagrants. If this assessment is being compared with 1992, the time of the last comprehensive bird count, a downward trend is evident which is only partly offset by successes in the rehabilitation of species. During the time frame of the count seven taxa could be downgraded as a result of effective conservation management (2 from CE-EN, 4 from EN-VU and 1 from EN-NT). Conservation efforts at present are therefore not able to keep up with current downward trends. So far this trend has been most pronounced in the south west and south east where a combination of sheep grazing and grain growing has devastated entire landscapes and greatly impoverished regional mammal and reptile faunas (Goldney and Bauer 1998; Bauer and Goldney 2000). The Australian tropics are now the new Australian development frontier where the re-development of pastoralism, large scale mining and new tropical crops (with their water demands) combine with the impacts of long established (Water buffalo, Dromedaries, Feral horses and donkeys) and new arrivals (Cane toads in NT) species of exotic origin. This will be further exacerbated by the rising of sea levels which will change the very nature of many coastal wetland systems.

Conclusions When we talk about wildlife in the tropics Dasmann’s premise lurks in the back of our minds. Terms such as “the developing world,” disadvantage, and poverty come to mind. There remains a general “feeling,” akin to Dasmann (1964), that communities of animals are perhaps more important but also less “managed,” if managed at all, and certainly less “scientifically.” There is also the growing number of wildlife populations in the tropics which the western mind does not want to “manage” but confine to the national parks it has created there, accessible to the “tourist’s gaze” but not so much for the local to hunt, let alone eat. And there is that “megafauna,” mostly gone from our temperate and developed world as “highly inconvenient” for our agriculture and forestry but one we want to keep in the tropics, if only for the gaze of a discerning tourism industry.

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This chapter, drawn with a coarse brush, has shown that across the tropical world wildlife and its use have undergone dramatic changes. It continues to play a crucially important role, in particular for poor and disadvantaged people, for many of which, however, it has become inaccessible. Things are changing though. There are now examples in Africa where a colonial and postcolonial legacy of western-style livestock husbandry and wildlife protection has given way to one where indigenous communities have recovered what used to be their old wildlife heritage while having gained the confidence to embark in new or banished ones such as wildlife tourism and trophy hunting and fishing. Tanzania shows, however, that this is a fickle path as the state wants its share. But there also are places like Sarawak, where a strong indigenous element (the Dajak people) was able to retain the use of wildlife as an important element in modern life and diet, despite the impacts of ongoing adverse logging. And there are places such as India, Nepal, Bhutan, Thailand, Vietnam, or many parts of China where the use of wildlife, including tiger bones, is all but illegal yet continues unabated and with perhaps different models where the influence of western attitudes and approaches from the 1960s lingers and remains in direct and often devastating contrast to rural realities where sustainable use by communities is made impossible because the illegal one thrives. This is also the reason why capybara ranching in Venezuela has not happened as what seemed to be a likely future scenario some 15 years ago. If we would try to summarize the negative and positive trends in wildlife populations and their use in the tropics we might identify the following general trends:

Status of Wildlife (a) Loss of tropical vegetation, in particular rainforest, continues unabated (despite half a century of efforts), and logging has depleted or destroyed tropical forests and their wildlife in many regions. While efforts also as part of REDD have increased, in particular in rainforest regions, they have yet to make a real impact. (b) Many tropical wetland systems have been affected/changed by megahydrodevelopment for energy, irrigation, urban infrastructure, and transport, greatly affecting their population of animals and plants with larger species (river dolphins, large fish, crocodilians) often particularly affected. This process (e.g., Pantanal in South America) continues to accelerate, and there are vast areas of coastal wetlands which will be increasingly affected (and changed) by rising sea levels. (c) There has been an emergence of new threats (soybeans, oil palm) which are closely linked to unabated growth of populations and consumerism. There is only little and very limited understanding on how land grabs and industrial agriculture (chemicals, GM, low labor demand) will further drive this change. (d) Megafauna around the world has reached a critical point where a combination of illegal trade (because of their often high value), loss of habitat, and conflict with rural communities have continued the dramatic losses in the past. Many populations have become too small and too isolated to be sustainable and will require more efforts and new approaches to be maintained. This even applies to Africa’s two species of elephant which have lost more than half of their population numbers over the past 20 years. (e) A similar situation has emerged for the world’s >300 species of primates of which around two-thirds are now endangered, often in small isolated populations. They continue to be under immense pressure from hunting and habitat loss. Although many international efforts are underway, generally this situation continues to worsen, in particular in SE Asia, where many primate populations have become unviable. This situation is even more pronounced for remaining megafauna (e.g., wild cattle) and starts to affect a growing number of species of wildlife.

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(f) There has been an acceleration of the rate of spread of alien organisms with few successes to contain them in tropical countries, although the losses in agriculture (see Africa report) are undeniable. Although there have been many efforts to better understand and monitor the global megatrend of alienation of fauna and flora, action on ground is very limited, inconsistent, and largely ineffective even in places such as Australia.

The Status of Wildlife Harvest and Hunting/Fishing There has been a collapse of many traditional hunting/fishing systems partly because of loss of prey, of breakdown of rural traditions, or of legislation, in particular the establishment of protected areas without benefits for the local societies. This process has coincided and often been responsible for the growth of illegal trade and practices, which finds it easier to operate in this new legislative environment, leading to the loss of community practices and control. These practices are greatly facilitated with modern technology. The trade in wildlife emanating from urban centers of affluence has dramatically increased over the past 20 years and across the tropics. Many of the traders operate now globally, and the trade is closely linked with drugs, arms, and often conflict. Despite increasing efforts by the international community but also national governments, this trend continues. The corporatization of valuable hunting/fishing/wildlife resources has proceeded in many regions and often with support by the state. This might be the depredations of the European fishing fleet along Africa’s fish-rich east coast, foreign fishing vessels along the coasts of SE Asia, foreign logging companies (which apart from forest destruction greatly facilitate the exploitation of wildlife), or in a wider sense the globalization of all forms of (generally poorly regulated) wildlife-related tourism including hunting and fishing tourism. Tourism targeting nature and wildlife has emerged as a great player, seemingly justifying countries’ investments in wildlife and protected areas. As the tourism industry as a whole remains excluded (partly by choice, also by regulation) in matters of wildlife management nor shows generally any great commitment and interest to participate, its potential as a major positive force for wildlife and biodiversity remains mostly unrealized.

References Baker JE (1997) Trophy hunting as a sustainable use of wildlife resources in southern and eastern Africa. J Sustain Tour 4:306–321 Baskin Y (1994) Wildlife conservation – there’s a new wildlife policy in Kenya – use it or lose it. Science 265:733–734 Bauer JJ (2002) Development of a National Strategy for the Management of the Wild Boar-Farmer Conflict in Bhutan. Report, Ministry of Agriculture, Thimphu, Bhutan Bauer JJ, Goldney D (2000) Extinction processes in a transitional agricultural landscape. In: Hobbs RJ, Yates CJ (eds) Temperate eucalypt woodlands in Australia, biology, conservation, management and restoration. Surrey Beatty and Sons, Chipping Norton NSW, Australia Bauer J, Herr J (2004) Hunting and fishing tourism. In: Higginbottom K (ed) Wildlife tourism. Common Ground Publishing, Altona, Victoria, Australia Bauer JJ, Maskey TM and Rast G (1990) The impact of Karnali hydrodevelopment on the conservation potential of Royal Bardia Wildlife Reserve (RBWR) and other affected areas. Project document, WWF- International, Gland Switzerland, and WWF- Inst. for Floodplains ecology, Rastatt

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Bauer JJ, Maskey T, Rast G (1995) River systems, hydrodevelopment and the species crisis in the Terai. In: Bhandari T, Shresta TB, McEachern J (eds) Safeguarding Wetlands in Nepal. IUCN-The World Conservation Union. Heritage and Biodiversity Conservation Programme, Gland Bauer JJ, Maskey T, Rast G (1997) The environmental costs of river regulation in Nepal – present evidence and scenarios for the future. In: Proceedings of the international conference on Wetlands & Development, Selangor, 8–14 Oct 1995 Bauer JJ, Maskey T, Rast G, DeLacy T, Glazebrook H, Furze B (1999) The impact of mega hydrodevelopment on biodiversity conservation and community development in Nepal’s Terai- a Riverbasin perspective a case study from Nepal’s River Basins, UNEP/AWB. Johnstone Centre of Ecosystem Management, Kuala Lumpur/Nairobi/Kenya/Charles Sturt University/Albury. 85 pp Bauer JJ, Gadd L, Haohan W (2002) An analysis of the Wuyishan biosphere mammal fauna through a grad-sec-sampling technique. Cooperative Research Centre for Sustainable Tourism in collaboration with Chinese National Committee on MAN and BIOSPHERE, Bureau of Forestry, Environmental Protection Administration and Chinese Academy of Sciences, Charles Sturt University, Albury, Australia Bodmer RE (1995) Managing Amazonian wildlife: biological correlates of game choice by detribalized hunters. Ecol Appl 5:872–877. doi:10.2307/2269338 Bodmer RE, Eisenberg JF, Redford KH (1997) Hunting and the likelihood of extinction of Amazonian mammals. Conserv Biol 11(2):460–466 Boyd M, Bauer JJ, Ren Z, Haohan W, Gadd L, DeLacy T (2002) Traditional ecological knowledge (TEK) of wildlife: implications for conservation and development in Wuyishan nature reserve. Fujian Province the international program of the CRC for Sustainable Tourism, Griffith University, Green Globe Asia Pacific – Goldcoast, Australia Boyd M, Ren Z, DeLacy T, Bauer JJ (2003) An analysis of traditional knowledge on wildlife in Wuyishan Biosphere Reserve, Fujian Province, China, STCRC monograph series. STCRC, Griffith University, Goldcoast, Australia Caughley G (1977) Analysis of vertebrate populations. Wiley, London Dallmeier F (1991) Whistling-ducks as a manageable and sustainable resource in Venezuela: balancing economic costs and benefits. In: Robinson JG, Redford KH (eds) Neotropical wildlife use and conservation. University of Chicago Press, Chicago Damm GR (2002) The conservation game. Saving Africa’s biodiversity. Safari Club International African Chapter, Rivonia Damm GR (2006) Development of game prices in South Africa. Afr Indaba e-Newsl 4(3):22 Dasmann RF (1964) Wildlife biology. Wiley, New York Diamond (1999) Guns, Germs and Steel, the Fate of Human Societies.W.W.Norton & Company, Inc. New York DiCastri (1989) History of biological invasions with special emphasis on the old world. In: Biological Invasions: A Global Perspective by JA Drake et al.(eds.) Wiley, New York Eglert I (2002) Brazil: selling biodiversity with local livelihoods. In: O’Riordan T, Stoll-Kleemann S (eds) Biodiversity, sustainability and human communities. Cambridge University Press, Cambridge UK FAO (1995) International expert consultation on non-wood forest products. Yogyakarta, 17–27 Jan 1995 Fernandez-Armesto (2000) Civilizations. Pan Macmillan. London,Basingstoke and Oxford UK Tim Flannery (1994) The Future Eaters: an ecological History of the australasian lands and people G Braziller, New York Tim Flannery (2002) The Eternal Frontier: an ecological history of North America and its peoples,Grove Press, New York

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Furze B, De Lacy T, Birckhead J (1996) Culture, conservation and biodiversity: the social dimensions of linking local level development and conservation through protected areas. Wiley, New York Garnett ST, Crowley GM (2000) The action plan for Australian Birds 2000. Environment Australia and Birds Australia, Canberra. http://www.environment.gov.au/biodiversity/threatened/publications/ action/birds2000/index.html. Accessed 11 June 2015 Global Tiger Initiative Secretariat (2012) Global Tiger Recovery Program Implementation Report 2012, Washington Goldney D, Bauer JJ (1998) Conservation in an agricultural landscape- fact or fiction. In: Pratley J, Candrel G (eds) Agriculture and the environmental imperative. CSIRO Publishers, Melbourne Groom MJ, Podolsky RD, Munn CA (1991) Tourism as a sustained use of wildlife: a case study of Madre de Dios, Southern Peru. In: Robinson JG, Redford KH (eds) Neotropical wildlife use and conservation. University of Chicago Press, Chicago Hardin G (1968) The tragedy of the commons. Science 162:1243–1248 IIED (1994) Whose eden? An overview of community approaches to wildlife management. International Institute for Environment and Development, London UK Lewis DM, Alpert P (1997) Trophy hunting and wildlife conservation in Zambia. Conserv Biol. doi:10.1046/j.1523-1739.1997.94389.x Meffe GK, Carrol CR (1994) Principles of conservation biology. Sinauer Associates, Michigan University Meier G (1989) Organisation und Wirtschaftlichkeit verschiedener Verfahren der Wildtier-nutzung im s€udlichen Afrika. PhD thesis, Institut f€ ur Landwirtschaftliche Betriebslehre der UniversitätHohenheim, Neuhofen Mills J, Jackson P (1994). In: Species in Danger Julie Gray (ed) Killed for a cure- a review of the worldwide trade in tigerbone. Species in danger series. TRAFFIC international Cambridge UK Minwary MY (2009) Politics of participatory wildlife management in Enduimet WMA, Tanzania. MSc thesis in development studies, Noragric, Norwegian University of Life Sciences (UMB) O’Riordan T (2002) Protecting beyond the protected. In: O’Riordan T, Stoll-Kleemann S (eds) Biodiversity, sustainability and human communities. Cambridge University Press, Cambridge Ojeda RA, Mares MA (1982) Conservation of South American mammals: Argentina as a paradigm. In: Mares MA, Genoways HH (eds) Mammalian biology in South America, vol 6, Special publication. Pymatuning Laboratory of Ecology, Linesville Purdy PC, Tomlinson RE (1991) The eastern white-winged dove: factors influencing use and continuity of the resource. In: Robinson JG, Redford KH (eds) Neotropical wildlife use and conservation. University of Chicago Press, Chicago Ricklefs ER, Renner SS (1994) Species richness within families of flowering plants. Evolution 48:1619–1636 Robinson JG, Redford KH (eds) (1991) Neotropical wildlife use and conservation. University of Chicago Press, Chicago Save the Rhino (2015) The rhino poaching crisis: a market analysis. http://savetherhinotrust.org/ programmes/84-the-rhino-poaching-crisis-a-market-analysis. Accessed 11 June 2015 Shackley M (1995) The future of Gorilla tourism in Rwanda. J Sustain Tour 3(2):1 Sinclair ARE (1977) The African buffalo. University of Chicago Press, Chicago Spencely A, Habyalimana S, Tusabe R (2010) Benefits to the poor from gorilla tourism in Rwanda. Dev South Afr. doi:10.1080/0376835X.2010.522828

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State of the Environment (2011) Committee. Australia state of the environment 2011. Independent report to the Australian Government Minister for Sustainability, Environment, Water, Population and Communities. DSEWPaC, Canberra State of the Tropics (n.d.) Primary forests. http://stateofthetropics.org/wp-content/uploads/Primary-For ests_English2.pdf. Accessed 11 June 2015 Tepper R (2013) Tiger bone wine trade reveals China’s two-faced approach to conservancy (NSFW). http:// www.huffingtonpost.com/2013/02/28/tiger-bone-wine-china_n_2782772.html. Accessed 11 June 2015 Vickers W (1991) Ten years in an Amazon Indian territory. In: Robinson JG, Redford KH (eds) Neotropical wildlife use and conservation. University of Chicago Press, Chicago

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How Environmental and Societal Changes Affect Wildlife in the Tropics Johannes Bauer* Australian Carbon Co-operative, Ltd., Bathurst, Australia

Keywords Affluence and wildlife conservation; Climate change and wildlife & biodiversity conservation; Impacts of Deforestation and forest degradation; Impacts of Human population growth on wildlife; Human-wildlife conflict 9; Degradation of freshwater systems; Invasive species; Environmental Impacts of Neonicotinoids; Mining and Oil exploration Impacts; Wildlife and biodiversity impacts of Pastoralism; Pillage of agriculture 3; Poverty and wildlife; Wildlife and Biodiversity Impacts of the Tourism industry; Impacts of Urbanisation on wildlife; Impacts of Warfare on wildlife; Wildlife trade

Introduction The tropics are affected by a growing range of developments, which replicate what has been happening in developed nations over centuries within decades, even years at times, and at much larger scales. There are also newly emerging threats such as GM, mining and explorations at gigantic scales, megahydrodevelopment, and a host of new chemicals, some of them, like neonicotinoids, with systemic, long-term, and unknown impacts. An unprecedented assault takes place on ecosystems and their species through intensifying land uses to feed a growing human population, which consumes more and more per capita. “Super crops” such as oil palm and soy bean, increasingly genetically modified, to provide fuel, food, and fiber, replace natural forests and ecosystems at great and growing scales resulting in shrinking wildlife habitats and populations. And now, the threat of a changing climate has been added to all that.

Population Growth Over the past 21 years (since TFH 1st ed.) the human population has grown by more than 1000 million people; since Dasmann (1964) it has more than doubled. Most of this growth happened in the lesser developed world, much of that in the tropics. As land use intensity (including the use of wildlife) and land use change proceeds (deforestation, draining of wetlands, agricultural expansion, and urbanization) it becomes clear that this human population growth has been one of the major direct and indirect factors for a decrease in wildlife abundance and distribution. Nor have the hopes of population stabilization been realized. Newly revised estimates of human population growth suggest much higher than expected stabilization rates, and across-the-board declining efforts in population control suggest that high human population growth in the tropics will increase to add to the pressures on wildlife and biodiversity.

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Border Non-forest Cloud/water Intact forest (not roaded) Degraded forest (roaded once) Severely degraded forest (roaded 2-7 times) Plantation/regrowth Mangrove Indonesia

0 40 80

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A recent study estimated that by 2009 only 57% of Sarawak was covered in forest and that, conservatively, at least two-thirds of this was degraded or severely degraded by logging. An analysis by Global Witness based on satellite imagery from 2013 (Bryan et al. 2013) suggests that today only 5% of Sarawak is covered by intact forest. (The heavy grey line was added to show Sarawak’s border). Sarawak’s Wildlifedependent forest communities (Caldecott 1988; Horowitz 1998) are greatly affected as wildlife in logged forest has declined significantly).

Fig. 1 Extreme differences in forest degradation in Borneo (Bryan et al. 2013)

Poverty and Affluence Along with population growth adverse demographic shifts show no abatement or are increasing. There are two major social trends in the growth of the human population in the tropics, which affect wildlife greatly: – The growth of poverty which is in our modern world now most pronounced in poorly developed regions (such as the tropics) which also happen to be wildlife rich – The growth in affluence which feeds in the west the tourism industry and the pet market, in the east the markets for Traditional Asian Medicine and food. Both have become major factors for the survival of many species. Each of them have had its own specific impacts, many of which are deeply engrained within traditions and culture (for example the Asian Traditional Food and Medicine systems). A large part of TCM dating back more than 5000 years, is based on plant and animal products. The use of wildlife for these medicines has long been recognised to provide a large drain on often already declining populations of wildlife (e.g., Mainka et al. 1995). They have historically affected the abundance of populations of tigers, bears, rhino’s and swiftlets and countless other species. They also have, since the Asian economic boom, greatly expanded. Both have added additional pressure to many already declining populations of wildlife.

The Impacts of Deforestation and Forest Degradation With tropical forests containing a large part of the world’s biodiversity and wildlife forest loss has great impacts on wildlife populations. Sarawak is an example how rare intact forest has become in many places throughout Asia (Fig. 1). This forest loss, mostly recorded where logging destroys valuable lowland/high rainfall forest, needs to be expanded. Much deforestation occurs in the tropical dry and mountain forest, often gradually and through the intermediate stages of degradation and it has received much less attention from the public, science and policy makers. “Scrub” here in Australia, “Jungle” in India, South American Cerrado or Caatinga, the many and vast areas of woodlands (e.g., Miombo woodlands) in Africa have long been affected by pastoralism, subsistence agriculture, charcoal production etc. with equally devastating effect including widespread desertification.

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Pastoralism and Tropical Desertification With the “saturation” of many grassy landscapes (steppes, savannah, woodlands) with domestic ungulates, much of the current growth of the world’s livestock in particular cattle now happens at the expense of tropical rainforests. This has happened most dramatically in the Amazon where vast forest landscapes have been converted into cattle pasture along with soya fields, corn fields or even Eucalypt plantations. Of all these new landuses on formerly rainforest land, cattle has taken the largest toll with an Amazonian cattle population which had grown from 5 million to 70–80 million heads by 2003 (Veiga et al. 2003) At that time 15 % of the Amazon forest had been replaced by agricultural land and around 80 % of the deforested areas is now covered by pastures (approximately 900,000 km2). This loss of natural land in Brazil is not restricted to the Amazon but progresses in its Caatinga and Cerrado regions where destruction of forest and woodland ecosystems happens at higher levels now as in the Amazon, albeit poorly reported. There are also growing concerns that changes in the Amazon reduce rainfall in these drier regions (“rivers in the sky”) with devastating impacts not only on southern Brazil’s domestic water supply, but wildlife. This process is not restricted to the Amazon. It is also happening in many other parts of the tropics and subtropics where pastoralism has led to clearing and subsequent landscape degradation and wildlife loss, which is similar to parts of Africa’s Sahel zone (Goldney and Bauer 1998; Bauer and Goldney 2000). Studies by Goldney et al. (1995), Bauer et al. 2002a, b; and Date et al. (2000) showed that during that change in Australia’s oldest pastoral landscape, one third of the mammal fauna has been lost during the first 50 years with another third being now on the verge of regional extinction. Similar direct and indirect extinction processes through pastoralism have been reported from many other regions around the world including Inner Mongolia (Thwaites et al. 1996, 2000) and happen in the Cerrado-Caatinga regions of Brazil, Mexican drylands, India, Africa and Madagascar.

Wildlife and the Pillage of Agriculture Mazoyer and Roudart’s (2006) “History of World Agriculture” starts off with the emergence of agriculture from the long human past of hunting and gathering and how it has developed its techniques in different regions of the world. These conditions have now led to what they perceive as the “pillage of agriculture in developing nations,” caused by a wide range of social conditions, international trade practices (neoliberal free trade), aid strategies, accepted development models, even research strategies, which have favoured the have’s and all but destroyed the have-nots (they estimate two billion farmers). Recently a new dimension to that has been added as an increasing number of companies and nations even are buying up land in the tropics, from Ethiopia to Madagascar or Brazil and Northern Australia buy land at large scales. Such “land grabs” for land conversion into high tech (mechanical, chemical, GM) agriculture are an expanding practice. It will lead to further landuse conversion and reduce the suitability of traditionally diverse agricultural land for wildlife.

Inland Water Development, Degradation and Wildlife Inland (mostly freshwater) water systems, although comprising less than 1 % of the world’s water resources, contain a disproportionately high fraction of the world’s wildlife and play a crucial role for the health of terrestrial (and many marine) ecosystems and human society (agriculture, inland traffic, hydropower, fish resources etc. etc.). Pressures acting on them are many, the main ones being hydrodevelopment, extraction, land reclamation (drainage), overfishing and overhunting (waterfowl), pollution Page 3 of 15

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...”However, the current planning for hydropower lacks adequate regional and basin-scale assessment of potential ecological impacts. This lack of strategic planning is particularly problematic given the intimate link between the Andes and Amazonian flood plain, together one of the most species rich zones on Earth. We examined the potential ecological impacts, in terms of river connectivity and forest loss, of the planned proliferation of hydroelectric dams across all Andean tributaries of the Amazon River… The ecological impact analysis classified 71 (47%) of the planned dams as high impact, 51 (34%) as moderate impact, and 29 (19%) as low impact. Considering the individual factors, 82% of new dams would represent a high or moderate fragmentation event, while 60% would cause the first major break in connectivity between protected Andean headwaters and the lowland Amazon. Deforestation would be a major issue for many dams, with 36% requiring new roads and 79% needing new transmission line routes. Eleven dams would directly impact a protected area (Finer and Jenkins 2012)

Fig. 2 Proliferation of hydroelectric dams in the Andean Amazon and implications for Andes-Amazon connectivity (Finer and Jenkins (2012))

and invasion by exotic species (e.g., Dugan 1990; Wescoat Jr and White 2003; Bauer 1993; Bauer et. al. 1995). Now there are indications that overall, freshwater species are declining faster than terrestrial or marine species (Groombridge and Jenkins 2000). There is also more and more evidence that such systems lose their many environmental functions, leading to a general “drying up” of entire landscapes, often as part of desertification (Bauer and Goldney 2000). Now, some 80 % of the world’s rivers are dammed, many lakes are drained or greatly polluted, in others dams have been “installed,” interrupting diverse and highly productive river ecologies. There has been the evolution of vast irrigation landscapes, canals have connected formerly separated systems and a great number of introductions of exotic organisms have occurred. River flows have been profoundly altered, and the demands of ever bigger cities have removed more and more water, while natural replenishment, and water quality generally declined. There are also now aquifers, huge sub-terrestrial water reservoirs which have been all but drained for agriculture and which cannot refill any longer because we remove water before it can recharge them. And above all, more and more of the water has become saline, because of irrigation and the pumping of water. The impacts of such “management schemes” have been many, poorly understood or not recognised or recorded and were profound beyond measure. Nor are there any intentions to learn from past mistakes. If we look at Finer and Jenkins (2012) study in one of the richest wildlife hotspots and ecologically fragile regions of the world, the western Amazon region, it is clear that many developments have hardly started (Fig. 2).

The Spread of Alien Plants and Animals Invasions of tropical ecosystems by alien and “invasive” plants and animals have been widespread and poorly recorded, let alone contained. The promotion of acclimatisation of exotic organisms by western governments and science, the removal of trade barriers, the spread of crop species in forestry (Eucalypt sp.), agriculture (oil palm, soy etc.), and fisheries (Tilapia) each with their associated species (weeds, parasites etc.) in the tropics, has more than offset the improved controls in and through the west. There is a huge and growing body of literature on the evidence and impacts of alien fauna or flora in North America, Australia,

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New Zealand and South Africa, all former British colonies. Much less is known (and done about) in countries such as China for example where organisms are classified according to utility, not provenance. Nor have the west and science developed lasting solutions. While databases and information systems on alien and invasive organisms grow, attempts to contain them, in the few places where this is done (for example cane toad in tropical Australia) remain underfunded, inconsistent and largely ineffective. Although there are noteworthy exceptions in this general trend they are too far and between to interrupt what has become an exponential process. In the great majority of systems, unlike Kruger National Park, where park administration tries to unsuccessfully manage the invasion of the parks environment with countless plants (as they are dispersed by tourists) invasion continues unabated. This is not to say they have no impacts. Obiri (2008) analysing invasive plant species in Kenya and Tanzania demonstrated their impacts on livelihood systems. There is much less known how they affect ecology and wildlife. Invasive plant species are hazards that have shown negative environmental and socio-economic impacts in East African drylands. They have degraded the environment and led to serious impacts on human wellbeing such as reduced availability of goods and services for local communities, increased spread of diseases and reduced economic opportunities. This, in turn, has led to loss of livelihoods, and reduced food security. Among the most serious of cases is the Mesquite tree that has devastated social livelihoods of many dryland communities in Kenya and even led to constitutional court cases between local communities and the Kenyan government. In both Kenya and Tanzania key legislations (such as the EMCA, the Forest and Plant Protection Acts) and institutions such as NEMA and the MENR monitor and control invasive species, however their outcomes have not been successful. The invasive plants related disasters have risen as communities have progressively moved into the drylands and remained ill-prepared to cope with the hazards. For instance, in the Baringo area the population was 210,000 when the mesquite was introduced around 1986 but by 2006 it had risen to 540 000, meaning that more people were exposed to hazards and thus disasters were likely to occur

Urbanisation and the Growth of the Urban Sprawl Population projections suggest that by 2030 the urban population will have increased to almost 5 billion and that urban land cover will increase by 1.2 million square kilometers, nearly tripling the global urban land area circa 2000 (Seto et al. 2012). As many of the worlds cities are located on highly productive and diverse landscapes, Seto et al. (2012) suggest that under current trends a considerable loss of habitats in key biodiversity hotspots [will occur] with the highest rates of forecasted urban growth to take place in tropical regions that were relatively undisturbed by urban development in 2000: the Eastern Afromontane, the Guinean Forests of West Africa, the Western Ghats of India and Sri Lanka. They further estimate that “within the pan-tropics, loss in vegetation biomass from areas with high probability of urban expansion is estimated to be 1.38 PgC (0.05 PgC year 1), equal to 5 % of emissions from tropical deforestation and land-use change.” They conclude that only far-reaching policy changes to affect future growth trajectories could minimize global biodiversity and vegetation carbon losses’ by urbanisation. Studies like Aronson et al. (2014) suggest that the loss of plant and bird diversity during urban expansion amounts to some 90 %.

Mining and Oil Exploration As most of my colleagues I have had some experience with the impacts of mining on wildlife and biodiversity and the ways industry, policy makers and regulators, as well as scientists have tried to mitigate its impacts. Depending on the type of operation impacts can be localised and widespread, shortterm and long-term, devastating or seemingly minor, hard to detect and highly controversial. I am talking here about Australia which prides itself on a highly regulated mining environment and where EIA has

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A 2008 study published in Environmental Research Letters found that 41 percent of the Peruvian Amazon was covered by 52 active oil and gas concessions, nearly six times as much land as was covered in 2003 Oil and gas blocks in the western Amazon (Butler 2012)

Yellow indicates blocks already leased out to companies. Hashed yellow indicates proposed blocks or blocks still in the negotiation phase. Protected areas shown are those considered strictly protected by the IUCN (categories I to III). Oil and Gas pipelines

Fig. 3 Oil and gas projects in the Western Amazon: threats to wilderness, biodiversity, and indigenous peoples (Finer et al. 2008)

become the employment of an increasing number of wildlife biologists also. Few of these impact assessments will save the habitat of an endangered species, in particular now with the possibility of “biodiversity offsets” where an endangered species occurrence on doomed “overburden” (the miners expression for forest ecosystems) as a mine development hindrance, can be simply swapped with another one where the species occurs and the mine assumes some’ responsibility with the magic wave of the legal wand. In most regions even such deeply flawed impact procedures are either not there or applied as for example described by Butler (on his website www.mongabay.com) or most recently in an article in Le Monde Diplomatique “Dirty water, dirtier practices” (LMD 2014) where HC Ospina describes how one of the world’s oil giants, destroys wildlife and communities across huge land areas in Ecuador with breathtaking indifference.

Oil Exploration and Rainforests With some of the world’s most promising reserves, exploration of oil in rainforests has become a major reality in many parts of South America and now Africa. Much of that exploration happens “under the radar” and it requires “watchdog organisations” to inform the world with what casual devastation forest communities and wildlife are treated. “The extraction of oil is now responsible for the deforestation, degradation, and environmental devastation of lands and communities across the globe. The oil extraction process results in the release of toxic drilling by-products into local rivers, while broken pipelines and leakage result in persistent oil spillage. In addition, the construction of roads for accessing remote oil sites opens remote lands to colonists and land developers. Some of the world’s most promising oil and gas deposits lie deep in tropical rainforests, especially in the Western Amazon. With oil at historically high prices, the incentive to develop oil resources has never been greater” (Butler 2012, Fig. 3).

Caught in Between: Wildlife Between Political Instability and Warfare Wildlife can be negatively and positively affected by political borders and instability including warfare. At its most cynical, mine fields and danger zones, create no-man’s land where wildlife may thrive and the most impressive modern example is Chernobyl where the fascination of the return of wildlife in this no-man’s land has become subject to a global following. At its worst however, wildlife can be devastated by warfare. As happened in the US, and perpetrated again in Vietnam by this nation, it can be targeted to destroy a food resource for the enemy (Plains Buffalo in the US) or the means of transport (US targeting wild elephants in Vietnam). One can also destroy its habitat with herbicides (US employing Agent Orange

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in Vietnam), or draining it of water (Sadam Hussein draining the wetlands of Iraq to destroy Marsh Arab culture). In Africa the proliferation of automatic firearms, wars and political upheaval has affected and often devastated wildlife alongside humanity.

Environmental Chemicals and Wildlife: The Big Unknown? Ever since Rachel Carson’s inseminal book “Silent Spring” (1962) alerted her US country people to the rather horrific “side effects” of chemicals, the world has not stood still but added thousands of new ones with unknown effects to the worlds environments. While there are improved assessment procedures in place in some countries (not in the tropics generally), every textbook will tell us that these remain grossly simplistic and incapable of monitoring long-term effects within complex food chains and ecosystems. One of the new types of chemicals used, neonicotinoids are reviewed by “beyond pesticides” a North American watchdog organisation, as follows:

Neonicotinoids as an Emerging Threat to Beneficial Insects Neonicotinoids are a relatively new class of insecticides that share a common mode of action that affect the central nervous system of insects, resulting in paralysis and death (Beyond Pesticides nd). They include imidacloprid, acetamiprid, clothianidin, dinotefuran, nithiazine, thiacloprid and thiamethoxam. According to the EPA, uncertainties have been identified since their initial registration regarding the potential environmental fate and effects of neonicotinoid pesticides, particularly as they relate to pollinators. Studies conducted in the late 1990s suggest that neonicotinic residues can accumulate in pollen and nectar of treated plants and represent a potential risk to pollinators. There is major concern that neonicotinoid pesticides may play a role in recent pollinator declines. Neonicotinods can also be persistent in the environment, and when used as seed treatments, translocate to residues in pollen and nectar of treated plants. The potential for these residues to affect bees and other pollinators remain uncertain. Despite these uncertainties, neonicotinoids are beginning to dominate the market place, putting pollinators at risk. As neonicotinoids have been linked to the collapse of honey bee colonies with lethal and sub-lethal effects threatening their crucially important role in agriculture, the European Union decided to ban their use in agriculture for two years. Late 2013 however, agrichemical giants Syngenta and Bayer announced that they would be suing the E.U. over its decision. There are similar concerns with others such as 2, 4-D Corn or soybean, where an Agent Orange related chemical is incorporated into a GM corn variant. There are also lessons from the lack of action for highly dangerous chemicals such as DDT, a pesticide used widely in the 1970s and 1980s (agricultural use was banned in most developed countries between 1968 and 1989) and the content of much of Rachel Carson’s book. It is still used in Disease Vector control to which it had been restricted by the Stockholm Convention of 2004. Ratified by more than 170 countries and endorsed by most environmental groups, this Convention recognises that total elimination in many malaria-prone countries is currently unfeasible because there are few affordable or effective alternatives. Public health use is exempt from the ban pending acceptable alternatives. Agricultural use of DDT continues in India, North Korea and possibly other countries. If one keeps in mind that DDT is not only toxic to a wide range of organisms but also leads to “Eggshell thinning” and magnified effects through bioaccumulation along the food chain towards apex predators (and is aware that many of these effects will be undiscovered in the tropics where few enforceable regulations exist), one can easily see the risks. There are two critical problems with current registration procedures and impact assessment methods for pesticides: the increasing reliance on industry-funded science and their dominance in even the review process of peer-reviewed studies and the inadequacy of current risk assessment procedures in particular to Page 7 of 15

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account for sub-lethal and accumulative effects of pesticides. Sub-lethal effects are rarely picked up in such studies although their ability to accumulate is deeply disturbing.

Changes and Trends in Human Wildlife Interactions There have been profound changes in how tropical societies interact with wildlife, what species and how many of those they can harvest and how those customs and landuse systems can survive in the modern world (Caldecott 1988; Robinson and Redford 1991; Horowitz 1998; Bauer 1993; Bauer and English 2011a, b). For once, many wildlife rich regions have become, legally at least, off limits to local communities (protected areas). At the same time the wildlife of these regions became the target of non –consumptive use, a term applied to remind us that wildlife watching from a tourist who pays for that privilege is akin to use and carries a cost also which can be to the wildlife (impacts of tourism) and to local communities. These might have to deal with large populations of protected species outside of protected areas, including wildlife which emerges to feed on their fields, or as might be the case with tigers or crocodiles, kill humans. They might also have to deal with hordes of tourists as they descend from cruise ships using their land and scarce infrastructure. Wildlife trade is another impost on populations. There is the endless chain of middlemen as they collect and ship a vast range of wildlife and wildlife products to the cities around the world. I have chosen these three major uses of wildlife, by no means new, but massively expanded during globalisation, which have affected the relationship of modern society with wildlife.

Consumptive and Non-consumptive Wildlife Tourism The tourism industry, much of it around wildlife and nature has been subject to increased scrutiny from wildlife researchers as to its costs and benefits (e.g., Higginbottom 2004; Green and Jones 2005; Bauer and Giles 2001; Bauer and Herr 2004). The general message which emerges from these studies is the surprising importance of wildlife tourism and the benefit it might create for local and national economies. Figures for Australian whale watching tourism, well in excess of the A$ 200 million -then calculated values of enigmatic species as tourism drawing card (with the Koala estimated to be “worth” as a drawing card for the national economy of more than A$ one Billion), or the individual lion worth in excess of US $ 50,000 to the economy of an African lion country. These figures are impressive by any standard, yet all the more so as the proceeds can go (not always do) to local communities. There are also impacts associated with the “harmless” watching from elephant back for example as the case study from Royal Chitwan National Park, Nepal shows. In this example wildlife in habitats saturated with tourists, has to live in shrinking escape zones (because of ubiquitous tourism movement), loses its “natural behaviour,” becomes “habituated” in the “best case” scenario, extinct if it cannot handle that (Fig. 4).

Wildlife Trade and Wildlife Crime As a third major change in Human-Wildlife Interactions in the tropics has been the opening up of the global wildlife trade, legal and illegal, for pets, for medicine or as food item. With international transport and travel, international free trade agreements and internet as an oblique and save advertising and marketing tool, this multi-billion $ trade is taking a toll on wildlife which generally only declines after the supply lines dry up. In 2005, the Dalai Lama called on his Tibetan community to stop the trade with wildlife, which had emerged as a new threat to tigers, fuelled by an increasingly affluent Tibetan minority in Tibet. Before that, it had been the trade in tiger bones which went also from India over Nepal to China and before even that it had been tiger skins from Asia to the west mostly. The trade with wildlife and wildlife products, so it seems, not only has grown over time and with increasing globalisation. It has also been able to reinvent itself with diminishing wildlife resources, changing markets, fashions and ideas, Page 8 of 15

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Escape Zone Model

100 90 Percentage area left

80

Small flush distance

70 60 50 40

Large flush distance

−

30 20 10 0 0

20

40 60 80 100 120 140 160 180 200 Number of tracks

Fig. 4 The impacts of wildlife tourism in Royal Chitwan National Park, Nepal. This modelling of escape zones (the areas animals are being displaced by prolonged and intensive tourism disturbance) as is the case in many wildlife viewing locations around the world, affects different species differently. The ones which are intolerant of humans (such as tiger here, blue line) experience further shrinkage of already reduced habitat. Species which can be more easily habituated (like one-horned rhino, red line) will be better able to co-exist with tourism (Curry et al. 2001; Cosgriff 1997)

always able to find a new market, outlet or a new product. Over the past decades there have been at least three major events, which have influenced the global market. – The emergence of Asia and particular China as new centres of affluence where a great appetite for wildlife either as food or as medicine has now been joined by the means to purchase it and an opening up of many poorly regulated regions to supply wildlife. – An increased understanding of the market, the establishment of a range of globally operating systems for both, monitoring it (TRAFFIC) and regulating it (CITES) – An increasing commitment, including from countries such as China to do something about it Trade with wildlife in a wider sense goes even further – there is another trade which has been hardly recognized yet remains the basis of the world’s gigantic pharmaceutic industry. The industry still depends to a large extent in its medicines on natural compounds, mostly from rainforests. This trade, the biological information of complex organic molecules, often already selected through indigenous medicines, has added a new dimension to the value of the wildlife and its habitats. It promises huge gains, yet also requires huge investments. It is based on the biological information contained in species, which has

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become increasingly accessible with advances in molecular screening and replication technology. There is only a need to collect and trade limited quantities, essentially only one specimen is required.

Human-Wildlife Conflict An ancient interaction, the conflict between humans and wildlife, has received increasing modern attention over the past decade at least (e.g., Decker et al. 2002; Madden 2004). This is no doubt partly due to the fact that western, and increasingly non-western society, has become less tolerant to the needs of wildlife, in particular if that involves large, inconvenient and especially dangerous species. Another part of that attention however may be found in the increased separation between what human territories are and what should be wildlife’s place that we have determined it to be: our protected area system. As these “western” distinctions rarely hold in the real world we perceive increasing conflict in that fine balance. We also have, through modern conservation legislation, sometimes tended to support the rights of wildlife, neglecting that of local communities. This is the situation one may encounter if one is called into the house of a poor farmer family which grieves over the loss of their little daughter from a tiger or leopard last night (Maskey et al. 2001). Or the few hundred families who lose a family member to a crocodile in Africa every year. Or less threatening but just as real, as one encounters it from farmers in Asia, as they lament the loss of a crop to rhino, elephant, monkeys, deer, wild boar and so on (Boyd et al. 2002). There are long-term and invisible repercussions in this conflict. In Central Asia it leads to the prosecution of the few remaining snow leopards. With elephants in Sumatra or India it can become an unsurmountable problem for local communities. In brief: it is a situation which damages both, wildlife and communities.

Climate Change in the Tropics as It Affects Wildlife As described by Kaeslin et al. (2012) the major effects of climate change to wildlife include: – Ecosystem changes: These include geographical and altitudinal shifts, changes in seasonality and rates of disturbance, changes in species composition and a rapid increase in invasive species. – Species interactions: Impacts on wildlife species include changes in species distribution, abundance and interactions, for example through shifting phenology and mistiming. – Human–wildlife conflicts: These are likely to increase as humans and wild species compete for the same dwindling resources. – Wildland fires: Increased drought, the drying out of previously wet forests as well as human interference and pressure are leading to more frequent and disastrous fires in ecosystems that are poorly adapted to such events. – Health and diseases: Wildlife, humans and livestock will be affected by the emergence and increased spread of pathogens, geographically and across species boundaries, due to climate, landscape and ecosystem changes. Most climate related changes in our wildlife populations simply happen with incremental gradual shifts, difficult to detect yet able to change the distribution of species, the composition of communities and the structure of ecosystems reported over a generation. What magnitude of changes can we expect? Current modelling predicts that even minimal global warming of one degree might already have significant effects. Kaeslin et al. (2012) conclude that “for scenarios of maximum expected climate change, 33 % (with dispersal) and 58 % (without dispersal) of species are expected to become extinct. For mid-range climate change scenarios, 19 % or 45 % (with or without dispersal) of species are expected to become extinct, and for minimum expected climate change Page 10 of 15

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11 % or 34 % of species (again, with or without dispersal) are projected to become extinct.” Kaeslin et al. 2012: “According to the Intergovernmental Panel on Climate Change (IPCC) (Parry 2007), roughly 20–30 % of vascular plants and higher animals on the globe are estimated to be at an increasingly high risk of extinction as temperatures increase by 2–3  C above pre-industrial levels. The estimates for tropical forests exceed these global averages. It is very likely that even modest losses in biodiversity would cause consequential changes in ecosystem services (Parry 2007; Seppälä et al. 2009).” Warming in the tropics will decrease the habitat of many endemic species of wildlife, which live in the cooler upland and montane rainforests, reducing their available habitat (threatened by many other factors) to isolated pockets of rainforest. For the Australian Wet Tropics in Queensland, a comparatively very small and therefore well researched rainforest area, it is predicted that seven frog species, five mammal species, three bird species and three skink species would lose over half of their present habitat with only a 1  C temperature increase. This would however only be the tip of an iceberg. As well as habitat changes, increased temperatures will physiologically affect some animals. Raised cloud levels are likely to change water cycles and affect some plants, frogs and skinks. Seasonal changes may change plant reproduction and fire regimes. Increased sea levels, cyclones and flooding may drastically affect coastal ecosystems through disturbance, altered water and fire regimes and an increase in vulnerability to exotic invasions and pathogens, one of the major threats to natural ecosystems in Australia. Most importantly ecosystems that are already fragmented, degraded and isolated (the increasing reality in many tropical regions) will be most affected. Across the pan-tropical world this threat is possibly most pronounced for coral reef systems where predicted increases in water temperatures from 2  C to 6  C will have severe implications for the health of coral reefs, fisheries and entire coastal ecosystems and communities (see also WTMA 2008).

Future Projections for Mexican Faunas Under Global Climate Change Scenarios Global climates are changing rapidly, with unexpected consequences. Because elements of biodiversity respond intimately to climate as an important driving force of distributional limitation (Townsend et al. 2002). distributional shifts and biodiversity losses are expected. Nevertheless, in spite of modelling efforts focused on single species or entire ecosystems, a few preliminary surveys of fauna-wide effects and evidence of climate change-mediated shifts in several species, the likely effects of climate change on species’ distributions remain little known, and fauna-wide or community-level effects are almost completely unexplored. Using a genetic algorithm and museum specimen occurrence data, we Townsend et al. (2002) developed ecological niche models for 1870 species occurring in Mexico and projected them onto two climate surfaces modelled for 2055. Although extinctions and drastic range reductions were predicted to be relatively few, species turnover in some local communities were predicted to be high (>40 % of species), suggesting that severe ecological perturbations may result. African Lions Decimated by Climate-Influenced Pathogens Panthera leo (African lions) are now legally protected throughout their range, having been subjected to uncontrolled hunting in the past (Kaeslin et al. 2012). Their ecology is well studied and it is known that some populations thrive in certain protected areas of Africa. Lion numbers are, however, reported to be in decline in many areas, primarily due to the expansion of agriculture, ensuing control of problem animals, and, in some areas, poorly regulated sport hunting. Climate change brings new threats and exacerbates existing ones. In 1994, an epidemic of canine distemper virus (CDV) decimated the lion population in the Serengeti, causing the death of one-third of the resident population. This unusual die-off was followed by another event in 2001 in the nearby Ngorongoro Crater, the United Republic of Tanzania. A retrospective study was undertaken to understand these exceptional events, as CDV is an endemic disease in resident lion populations, but rarely causes mortality. In 1994 and 2001, analyses of blood samples of Serengeti lions detected unusually high levels of the tick-borne blood parasite Babesia leo. This parasite, among others, is usually detected at Page 11 of 15

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low levels in lion samples and ordinarily does not affect the health of the animal. The prevalence of this parasite was found to be at a very high level in prides suffering the highest mortality, while it was moderate in prides suffering no increase in mortality. This suggests that a co-infection with Babesia and the resulting lower immune status most likely was contributing to deaths caused by other pathogens among lion populations (Munson et al. 2008). Both of these CDV mortality events were linked to environmental conditions in 1994 and 2001, which were particularly dry and favored the propagation of ticks in the Serengeti ecosystem. Tick (Ixodida spp.) levels on herbivores in the Serengeti were unusually high during these years, as extended droughts had weakened the animals. Lions feeding on this easily captured prey were very prone to high levels of infection by Babesia, due to the unusually large concentration of ticks present on the herbivores. Infection with Babesia triggered an immunosuppression, making lions more susceptible to the normally nonfatal CDV. Droughts and the resulting ecological conditions that led to these outbreaks are becoming more common in the Serengeti ecosystem. Munson et al. (2008) conclude that if extreme weather events become more frequent owing to climate change, mortality events caused by disruption of the ecological balance between hosts and pathogens are likely to become more common and to have devastating impacts on lion populations (Munson et al. 2008).

Conclusions We have seen in this chapter that wildlife in a rapidly changing world has declined, in so many regions, for so many reasons and to such an extent, that it has ceased to be a resource in particular for the poor and disadvantaged, often indigenous people. This negative trend for wildlife dependant forest people is further exacerbated by the development of a vast protected area system around the world and international and national legislation which make wildlife harvest and trade illegal. While there are examples how indigenous people have been granted special rights to continue their harvest (for example the harvest of marine turtles and dugong in tropical Australia) this general trend continues and despite of legislation and indigenous empowerment at the international stage. This chapter could only give a cursory glance of some of the major threats drawing the links to particular groups of wildlife. I refer the reader to the vast body of literature about the topics covered in this chapter, accessible to any internet search engine, but more specifically organisations (and websites) dedicated to them (see directory). On the other hand we can also see that many of these impacts continue, in fact accelerate, because of a rapidly growing tropical population, yet also a combination of ignorance, sheer carelessness and lack of commitment, mostly by industries in the various landuses, but also by the majority of politicians. Some things are changing however and there is increasing momentum to “clean up our act,” also when it comes to wildlife. In the next chapter I will describe the rather mindboggling number of initiatives, organisations, international conventions and activities to address the many impacts I have described.

References Aronson MFJ, La Sorte FA, Nilon CH, Katti M, Goddard MA, Lepzcyk CA, Warren PS et al (2014) A global analysis of the impacts of urbanization on bird and plant diversity reveals key anthropogenic drivers. Proceedings B http://dx.doi.org/10.1098/rspb.2013.3330. Accessed 11 June 2015 Bauer JJ (1993) Chapter 17: Wildlife Conservation and management. In: Pancel L (eds) Tropical forestry handbook, Springer, Heidelberg, New York, vol 2, 1st edn. pp 1059–1139 Bauer (2002)

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Bauer JJ, English T (2011a) Conservation through hunting – an environmental paradigm change in NSW, vol 1, Framing the game. Game Council NSW, NSW Government, Sydney Bauer JJ, English T (2011b) Conservation through hunting – an environmental paradigm change in NSW, vol 2, Raising the game. Game Council NSW, NSW Government, Sydney Bauer JJ, Giles J (2001) Recreational hunting: an international perspective. Wildlife Tourism research report series no. 13. Sustainable Tourism Cooperative Research Centre, Gold Coast Bauer JJ, Goldney D (2000) Extinction processes in a transitional agricultural landscape. In: Hobbs RJ, Yates CJ (eds) Temperate Eucalypt woodlands in Australia. Biology, conservation, management and restoration. Surrey Beatty and Sons Sydney Bauer J, Herr J (2004) Hunting and fishing tourism. In: Higginbottom K (ed) Wildlife tourism: impacts, management and planning. Common Ground, UK, Altona Bauer JJ, Bryant A, Goldney D, Schrader N, Costello D (2002a) Sustainable management and biodiversity conservation of semi-arid mixed Cypress-Eucalypt forests of NSW, Australia. NSW State Forests and Johnstone Centre, Charles Sturt University Bathurst, NSW Bauer JJ, Bryant A, Goldney D, Schrader N, Costello D (2002b) The vertebrate fauna of the Cypress (Callitris glaucophylla) forests of NSW Wales – impacts of forestry activities. NSW State Forests and Johnstone Centre, Charles Sturt University Bathurst, NSW Bauer JJ, Maskey T, Rast G (1995) River systems, hydrodevelopment and the species crisis in the Terai. In: Bhandari B, Shresta TB, McEachern J (eds) Safeguarding wetlands in Nepal. IUCN-The World Conservation Union, Heritage and Biodiversity Conservation Programme, Gland, pp 137–145 Beyond Pesticides (nd) Chemicals. http://www.beyondpesticides.org/pollinators/chemicals.php. Accessed 11 June 2015 Boyd M, Bauer JJ, Ren Z, Haohan W, Gadd L, DeLacy T (2002) Traditional ecological knowledge (TEK) of wildlife: implications for conservation and development in Wuyishan Nature Reserve. Fujian Province The International Program of the CRC for Sustainable Tourism, Griffith University, Green Globe Asia Pacific, Info Sheet 5 Bryan JE, Shearman PL, Asner GP, Knapp DE, Aoro G, Lokes B (2013) Extreme differences in forest degradation in Borneo: comparing practices in Sarawak, Sabah, and Brunei. PLoS ONE 8(7), e69679. doi:10.1371/journal.pone.0069679 Butler R (2012) Oil extraction: the impact oil production in the rainforest. Mongabay. http://rainforests. mongabay.com/0806.htm. Accessed 11 June 2015 Caldecott J (1988) Hunting and wildlife management in Sarawak. IUCN, Gland/Cambridge, England Cosgriff K (1997) Wildlife Tourism in Royal Chitwan National Park, Nepal. Charles Sturt University, Charles Sturt University Albury, NSW Curry B, Moore W, Bauer J, Cosgriff K, Lipscombe N (2001) Modelling impacts of wildlife tourism on animal communities: a case study from Royal Chitwan National Park Nepal. J Sustain Tourism 9(6):514–529 Dasmann RF (1964) Wildlife biology. Wiley, New York Date L, Goldney D, Bauer JJ, Paull D, Bryant A (2000) The ecologically sustainable management of Callitris/Eucalyptus forests on the western slopes of NSW. In: Craig J, Saunders D (eds) Conservation in production landscapes. Surrey Beatty and Sons, Sydney Decker DJ, Lauber TB, Siemer WF (2002) Human-wildlife conflict management: a practitioner’s guide. NWDMC, Cornell University, Ithaca Dugan PJ (ed) (1990) Wetland conservation: a review of current issues and required action. IUCN, Montreux Finer M, Jenkins CN (2012) Proliferation of hydroelectric dams in the Andean Amazon and implications for Andes-Amazon connectivity. PLoS ONE 7(4), e35126. doi:10.1371/journal.pone.0035126 Page 13 of 15

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Finer M, Jenkins CN, Pimm SL, Keane B et al (2008) Oil and gas projects in the Western Amazon: threats to wilderness, biodiversity, and indigenous peoples. PLoS ONE 3(8), e2932. doi:10.1371/journal. pone.0002932 Goldney D, Bauer JJ (1998) Conservation in an agricultural landscape – fact or fiction. In: Pratley J, Candrel G (eds) Agriculture and the environmental imperative. CSIRO Publishers, Melbourne Goldney D, Bauer J, Bryant H, Hodgkins D, Watson G (1995) Winning battles but losing the war: the education marketing imperative. In: Saunders DA, Craig J, Mattiske L, Saunders DA, Craig J, Mattiske L (eds) Nature conservation 4: the role of networks. Surrey Beatty & Sons, Chipping Norton, pp 547–588 Green C, Jones I (2005) Serious leisure, social identity and sport tourism. Sport Soc: Cult Commerce Media Politics 8(2):164–181 Groombridge B, Jenkins M (2000) Global biodiversity. Earth’s living resources in the 21st century. World Conservation Monitoring Centre, Cambridge, UK Higginbottom K (2004) Wildlife tourism: an introduction. In: Higginbottom H (ed) Wildlife tourism: impacts, management and planning. Common Ground Publishing, Altona, pp 1–14 Horowitz LS (1998) Integrating indigenous resource management with wildlife conservation: a case study of Batang Ai National Park, Sarawak, Malaysia. Hum Ecol 26(3):371–403 Kaeslin E, Redmond I, Dudley N (2012) Wildlife in a changing climate. FAO forestry paper 167, Rome LMD (2014) Dirty water, dirtier practices. Le Monde Diplomatique Madden F (2004) Creating coexistence between humans and wildlife: global perspectives on local efforts to address human–wildlife conflict. Hum Dimens Wildlife 9:247–257 Mainka SA, Mills DVM, Mills JA (1995) Wildlife and traditional Chinese medicine – supply and demand for wildlife species. J Zoo Wildlife Med 26(2):193–200 Maskey TM, Bauer J, Cosgriff K (2001) Village children, leopards and conservation. Patterns of loss of human live through leopards (Panthera pardus) in Nepal (Report). Department of National Parks and Wildlife Conservation/Sustainable Tourism CRC, Griffith University, Kathmandu/Goldcoast Mazoyer M, Roudart L (2006) A history of world agriculture – from the neolithic age to the current crisis. Monthly Review Press, New York, Translated from the French by Membrez JH Munson L, Terio KA, Kock R, Milengeya T, Roelke ME, Dubovi E, Summers B et al (2008) Climate extremes promote fatal co-infections during canine distemper epidemics in African lions. PLOS one. doi:10.1371/journal.pone.0002545 Obiri JF (2008) Invasive plant species and their disaster-effects in dry tropical forests and rangelands of Kenya and Tanzania. Masinde Muliro University of Science & Technology, Centre of Disaster Management & Humanitarian Assistance. http://acds.co.za/uploads/jamba/vol3no2/obiri_3_2.pdf. Accessed 11 June 2015 Parry ML et al (2007) Technical summary. In: Parry ML, Canziani OF, Palutikof JP, van der Linden PJ, Hanson CE (eds) Climate change 2007: impacts, adaptation and vulnerability. Contribution of Working Group II to the fourth assessment report of the Intergovernmental Panel on Climate Change. Cambridge University Press, Cambridge, UK, pp 23–78 Robinson JG, Redford KH (1991) Neotropical wildlife use and conservation. University of Chicago Press, Chicago Seppälä R, Buck A, Katila P (eds) (2009) Adaptation of forests and people to climate change. A global assessment report, vol 22. IUFRO world series. IUFRO, Helsinki Seto KC, G€ uneralp B, Hutyra LR (2012) Global forecasts of urban expansion to 2030 and direct impacts on biodiversity and carbon pools. www.pnas.org/cgi/doi/10.1073/pnas.1211658109 Thwaites R, DeLacy T, Furze B, Bauer J (1996) Xilingol Biosphere Reserve: planning issues. The Johnstone Centre, Albury Page 14 of 15

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Thwaites R, Bauer JJ, DeLacy T (2000) Towards a sustainable production environment. In: Craig J, Saunders D (eds) Conservation in production landscapes. Surrey Beatty and Sons, Sydney Townsend PA, Ortega-Huerta MA, Bartley J, Sánchez-Cordero V, Soberón J, Buddemeier RH, Stockwell DRB (2002) Future projections for Mexican faunas under global climate change scenarios. Nature 416:626–629 Veiga JB, Tourrand JF, Poccard-Chapuis R, Piketty MG (2003) Cattle ranching in the Amazon rainforest. http://www.fao.org/docrep/ARTICLE/WFC/XII/0568-B1.HTM. Accessed 11 June 2015 Wescoat JL Jr, White GF (2003) Water for life: water management and environmental policy. Cambridge University Press, Cambridge WTMA (2008) Climate change in the wet tropics – impacts and responses. http://www.wettropics.gov.au/ site/user-assets/docs/ClimateChangeBook2008.pdf. Accessed 11 June 2015

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The Development of Wildlife Governance, Science and Management Capacity in the Tropics Johannes Bauer* Australian Carbon Co-operative, Ltd., Bathurst, Australia

Abstract In 1964, Dasmann suggested that “outside assistance from the more fortunately situated lands” should be forthcoming to better protect and manage wildlife in the tropics. Since then, just this has happened and there are now far-reaching international conventions which seek to categorize and track the state of the world’s wildlife and biodiversity, regulate and monitor its trade and, above all, protect it. These and many other relevant conventions are now complemented by national and regional regulations, along with countless networks, global warning systems and information platforms. This chapter describes the growing scale of this global venture around wildlife and biodiversity, alongside the shift towards a view which recognises the human rights and needs of hundreds of millions of forest-dependant people. It also shows that wildlife conservation is no longer owned by the West and that many tropical nations have taken leadership within their own borders. A diverse, at times clashing, often collaborative environment around wildlife and biodiversity management has developed, where the role of the nationstate is in general decline, where there are a multitude of international agreements and where industry vies with civil society for implementation (and control). This chapter concludes that while much of the above action is laudable, it does not appear to have been enough to halt the decline of wildlife and natural ecosystems around the tropical world. Hope though now lies with a potential game changer in the action around climate change and the creation of forest carbon markets. Whether this will be enough however is open to debate.

Keywords Bhutan’s protected area network 7; Birdlife International (BI); Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES); Ducks Unlimited; Elephant Trade Information System (ETIS); Federation of Associations for Hunting and Conservation of the European Union; Hunter and fisher organizations; International scientific platforms & information networks; International thematic environmental monitoring programs; Kruger National Park; Ramsar Convention; Self-regulation in environmental management; United Nations Permanent Forum for Indigenous Issues (UBPFII); Web Wildlife & Biodiversity networks; Wildlife charities; World Wildlife Day; Yanomani people; Zoonotic disease management

Introduction Since Dasmann (1964) suggested that “outside assistance from the more fortunately situated lands” should be forthcoming to better protect and manage wildlife in the tropics a great deal of just that has

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happened. There have been far-reaching international conventions which seek to categorize and track the state of the world’s wildlife, regulate and monitor its trade (the Convention on International Trade in Endangered Species of Wild Fauna and Flora, CITES), and, above all, protect it. There are comprehensive agreements for the protection of wetlands important for bird migrations (Ramsar Convention) and a convention on the protection of migratory species themselves (Convention on Migratory Species). Protected Area Commissions drive the development of an expanding global protected area network, and specialists around the world collaborate within a growing number of specialist groups in IUCN’s Species Survival Commission (which researches, coordinates, and initiates action and obtains funding for a wide range of wildlife problems/topics). There is the Red List on Endangered Species, continuously updated by that organization along with many other global indicators collected by the World Conservation Monitoring Centre (WCMC), now part of UNEP. Several global programs try to promote understanding and action on the ubiquitous spread of invasive species, and there are “Elephant Trade Information Systems” which try to keep track of what happens to African elephants (there are also others on rhinos, for example). And perhaps most importantly, there have been the Convention on Biological Diversity (CBD), the Rio Declaration, and the UN Framework Convention for Climate Change (UNFCCC), which give the overarching frameworks and the planetary strategic aim for wildlife and biodiversity management, sustainable development, and climate change action. These and other relevant conventions are complemented by national and regional regulations along with countless networks, global warning systems, and information platforms. As for direct action, each tropical country has at last national offices, often with support from multilateral and bilateral development aid, for environmental and wildlife conservation (protected area administration, policies and legislation on protection and use of wildlife). There are hundreds if not thousands of national and international environmental and wildlife charities, some of which (WWF, NC, CI, F&FI, WCS) have become multibillion-dollar wildlife empires, with offices in most countries, operating thousands of projects and in some places all but replacing government departments. There are also species such as tiger and giant panda for which entire protected area networks have been established and hundreds of millions of dollars spent. Many of these terrestrial efforts now have expanded to freshwater and marine environments. Zoos, little more than animal menageries then, now form a global network to retain “ex situ” wildlife diversity when “in situ” has started to fail or has failed. Both approaches are supported, indeed driven now, by inclusion of articles in the Convention on Biological Diversity (CBD) itself, supported by veterinary sciences which have the many technological/medical advances available. And to demonstrate that technical advance, there are increasingly well-funded initiatives (rewilding and synthetic biology) where scientists and conservationists inspired by Hollywood’s “Jurassic Park” have started to resurrect from scratch what we have lost (e.g., the Spanish Ibex), intending to recreate extinct species and wild and vanished landscapes, for example, in the heart of Europe where abandoned farmland is plenty. And all of that is now, unimaginable for Dasmann, instantly linked with web-based direct and instant conservation action. This action can, within a day or so, exert enough pressure to stop the mass killing of Amur falcons in India (Birdlife International, see case study) or encourage the President of Indonesia into making good his promise of the protection of a critical orangutan habitat in Aceh province. There are entire villages in Indonesia where hundreds of volunteers from around the world rehabilitate and care for orangutan orphans, rescued from logging operations or the pet trade. There are even dedicated rooms in hotels in Panama where frog enthusiasts from around the world try to rescue its collapsing frog populations. All of this is truly a monumental proof of how much we all care about wildlife, how far we are prepared to go, and what we can achieve. This chapter tries to summarize and synoptically view the responses of the international community to a growing list of environmental concerns, many of them with wildlife at their center.

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Changing Aims and Changing Actors In order to better understand these actions we now have to ask ourselves the question of how it all works and fits together. Who manages it? Why does all that action happen? What role do various stakeholders and actors play? And how have those changed over time and with what consequences? I believe these are some of the most important questions for the type of wildlife management which has been unfolding in the tropics through western and multilateral and bilateral aid. These initiatives have evolved into a very diverse, highly connected international form of wildlife management. In this new world there is an uneasy alliance forming between the original players (International Aid), challenged by newly emerging states with their government departments. Further important players are the multinational dimension of wildlife organizations and commercial projects, which have the expertise to act, as long as the money is there. These wildlife management alliances work within the overriding land uses: mining, agriculture, forestry, water, and fisheries, each of them with their own policy and legislative frameworks. These are generally much stronger than wildlife management regulations and often are contradicting its aims. As we will see in this chapter action is not straightforward and has become embroiled in many contradicting aims, often not in the interest of wildlife. I will briefly assess the role of the main actors: – – – – – – – – – – –

The government and government agencies (between the province, state, and nation) Local communities and traditional land users and land use systems Indigenous people Industry and the corporate sector (including mining, logging, fishing, and tourism) Local, national, and international nongovernmental organizations ((I)NGOs) International frameworks, multilateral and bilateral aid and conventions Organized amateur (citizen scientist) groups (birds, reptiles, insects, orchids, etc.) International and corporate environmental industry (EIAs, Climate Change) National and regional wildlife organizations National and international wildlife use organizations (hunters, fishers, tourism) Illegal trade and crime syndicates

Few of these actors now work independently, and this increasing collaboration has become a welcome tendency in many ventures to improve outcomes and avoid repetition and competition.

Governance International Conventions and Commissions International conventions are the frameworks for action, led by the United Nations. I have chosen several International conventions, for example, the Convention on Biological Diversity (CBD), the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), and the Ramsar Convention, which have, as framework for wildlife conservation, become irreplaceable tools in the international effort to better manage the world’s wildlife. They are now supported by most governments and are driving an increasing number of actions to achieve their objectives. Significantly they have also started to connect in order to reduce overlap and increase effectiveness. In the case of CITES this convention has “spawned” a wide range of complementary (and sometimes competing) activities and programs. I invite the reader to have a look at their websites and sample some of their reports. They are impressive examples on just how far we have come in 30 years. Conventions and complementary programs: Page 3 of 20

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– The Convention on International Trade with Endangered Species (CITES) and complementary programs (TRAFFIC, UNODC, CAWT): http://www.cites.org; http://cites-dashboards.unep-wcmc.org; Wildlife and Forest Crime Analytic Toolkit Revised Edition: http://www.unodc.org/documents/Wild life/Toolkit_e.pdf. – TRAFFIC network – www.traffic.org (in English); China – www.wwfchina.org/english; Japan – www. trafficj.org (in Japanese); Taiwan – www.wow.org.tw (in Chinese); Russian Federation – www.wwf.ru/ traffic (in Russian); Indochina – www.wwfindochina.org/traffic.htm (in English); Mexico – http:// www.wwf.org.mx/wwfmex/prog_traffic.php (in Spanish) Another convention, even more far reaching for wildlife, has been the Convention on Biological Diversity, formed 17 years later when it became clear that CITES was not quite adequate to protect the world’s declining wildlife. – The Convention on Biological Diversity as overarching framework for the preservation of wildlife and its habitats (ecosystems): http://www.cbd.int; http://www.cbd.int/convention/text/default.shtml Three further far-reaching international conventions have been established to protect wildlife, ecosystems, and processes they depend on: the Convention on Migratory Species (CMS), the World Commission on Protected Areas, and the Ramsar Convention on Wetlands. It is suggested that the reader looks up the websites on CBD, CMS, etc. if only to catch a glimpse of their impressive (and growing) number of programs and activities. – Convention on Migratory Species (CMS): http://www.cms.int – The Global Protected Areas Program and the World Commission on Protected Areas of IUCN with its associated programs: http://www.iucn.org Significantly, there are two major international initiatives, the Man and the Biosphere Programme (M&BP) and the Ramsar Convention (RC), which have taken, from their inception, a more inclusive approach to conserve nature and ecosystems than national parks and other protected areas. These may include a wide range of human activities, including, in the case of Germany, former nuclear power facilities, or, as is the case with Ramsar wetland sites, fishing and waterfowl hunting. As such they have played an important and different model to protect nature and are in a dialectic, at times competitive, often constructive relationship with IUCN’s protected area model. – UNESCO’s Man and the Biosphere Programme: http://www.unesco.org/new/en/natural-sciences/envi ronment/ecological-sciences/man-and-biosphere-programme/ Yet another protected area initiative is the Ramsar Convention, which, established 43 years ago, is an example how an ecosystem-specific organization can provide a collaborative framework and access point for an international effort which has started to change the negative trend of some of the world’s most important ecosystems and associated wildlife. Its aims are described on its website and its many publications. – The Ramsar Convention on Wetlands: http://www.ramsar.org – The Ramsar Sites Database: http://ramsar.wetlands.org/Database/AbouttheRamsarSitesDatabase/ tabid/812/Default.aspx

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Most importantly, each of these international programs and frameworks is now supported by national departments which in some countries administer a third (and more) of the countries’ land area for conservation, like Bhutan or Tanzania. The commitment of the west has been far exceeded by many poor countries.

International Thematic Monitoring Programs The development of international global networks which can monitor (WCMC), warn, and respond to wildlife needs and threats to it (e.g., IUCN-SSC 130 SSG) has been one of the major achievements in environmental/wildlife governance. With national nodes and in regional networks (e.g., the European Wildlife Disease Network or the Australian Wildlife Health Network) a capacity is emerging, which, so one hopes, will be able to better and faster respond to the outbreak of epidemics or even pandemics. This capacity is on the one hand struggling with newly emerging zoonosis (HIV, SARS, bird flu, etc.) but has also continuously improved technology at its disposal. Any practitioner can instantly access information and report new incidences and threats (see websites below). We can also see that such “citizen scientist” information (e.g., bird watching) is one of our most powerful and reliable tools to detect climate change–related shifts in populations (or show, as below, the importance of protected areas as buffer zones). Over the past 20 years there have been development trends in the world’s tropical regions which worked mostly against but also for the natural environment. While the destruction of tropical environments has continued unabated, accelerating in some regions (e.g., the Congo), declining in others (Amazonia since 2004), some tropical timber-producing nations have destroyed their timber resources and dropped out of the markets, with others entering it (Sarawak). Now, however, we have started to know what we are losing while that happens. While in 1993 IUCN and WWF had only just established a small World Conservation Monitoring Centre (WCMC) whose task was to monitor species status in its RED LIST, this Centre has now become part of UNEP, has multiplied its tasks, is aided by dramatically improved computer technology, and collaborates with dozens of other organizations including UNCBD and UNCSD (RIO+20). From the huge resources available for free we can, at a fingertip, find the answer to many questions as to what ails which species where and what is being done about it. We can also see from these growing lists, however, that things are not going well and that while we know much more about what is happening, our ability for change has not improved at the same rate. And if we are working in that field as I have for decades, we are also only too painfully aware of the shortcomings of such lists and how little they actually often capture what is really going on. Also, the countless projects and associated scientific papers and reports are, while showing the amount of resources spent, not an indication of success. I would venture a guess that most projects fail in their objective to successfully sustain wildlife and its habitats. – UNEP’s World Conservation Monitoring Centre (WCMC): http://www.unep-wcmc.org/ The news we get is mixed and at times difficult to interpret. We know that many forests are being destroyed (and this is being monitored across the world with Brazil with its own National System as the world leader), but we also know that many of those destroyed forests have started to grow back, while others have been all but irreversibly incorporated into the world’s growing agricultural estate (often as oil palm and soya plantations or cattle pastures). – World Database on Protected Areas (WDPA): http://www.unep-wcmc.org/world-database-onprotected-areas – Protected Planet # UNEP-WCMC: http://www.protectedplanet. Page 5 of 20

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International Warning and Alert Systems Disease emergence and spread do not respect geographic boundaries, and this is particularly the case with wildlife, where migrating species can transport pathogens across the globe. Zoonotic disease management therefore requires an integrated approach that involves different sectors: mainly human, livestock, wildlife, and food. Efficient early warning forecasting of zoonotic disease trends through functional surveillance systems is the key to effective containment and control. Another key is the development of global response networks, which can be put in place quickly, also in countries which have no capacity to do so. Early intervention during a disease epidemic often leads to better outcomes with reduced disease burden and associated economic impact. – Global Early Warning System for Major Animal Diseases, including Zoonoses (GLEWS), World Health Organization (WHO): http://www.who.int/zoonoses/outbreaks/glews/en/index.html – Multidisciplinary disease analysis: http://www.glews.net – The European Wildlife Disease Association: http://www.ewda.org/ – Master of Wildlife Health and Population Management: http://sydney.edu.au/courses/Master-ofWildlife-Health-and-Population-Management; http://sydney.edu.au/vetscience/wildlife_masters/ During the dramatic transition toward a human-dominated world, human-environment (wildlife) interactions have drastically changed. While overall, most wildlife has been depleted, often destroyed, there is now a protected area network, which has in some places reached or even exceeded what optimists could have planned or hoped for (Chapter 5). There has also been, aided by countless development projects from United Nations and in particular the Global Environmental Facility (GEF) from World Bank, the development of wildlife and biodiversity policy and legislation in most tropical regions. The same can be said for the wildlife trade. We know that this trade has, along with growing incomes in Asia (the origin but increasingly the destination of that trade), grown dramatically over the past 20 years. We also know, however, that special organizations have been established during that time to monitor that trade (TRAFFIC), cooperating and funded by the United Nations Office on Crime and Drugs (UNOCD), the Convention on International Trade of Endangered Species (CITES), or Interpol. And if we know that elephant populations have dramatically declined over that period (e.g., the African Pygmy Elephant (formerly Loxodonta africana cyclops, now Loxodonta cyclops, a distinct species) has declined by 67 % over the past 10 years). Why do we know that? Because we have especially dedicated programs to monitor it, e.g., the Elephant Trade Information System (ETIS). Such monitoring efforts are not confined to governments and international agencies in our world of instant social media. If we want to see, for example, how the rhinos in South Africa are faring, we can find out that they do very bad indeed from a website and information network established by a group of South African independent journalists (www. oxpecker.org). It is also sadly evident, however, that, while we are perfecting the counting and the monitoring, the “wildlife management” activity by itself was far less successful. Being cynical one might say that while we have become reasonably good in counting and measuring we have mostly failed in action.

International Scientific Platforms and Information Networks Along with scientific progress and the development of information and communication technology there has been a dramatic growth of scientific and information platforms and networks, which provide much needed information instantly. One of those is IUCN’s Species Survival Commission with a still growing number of Species Specialist Groups (130). Other ones focus on human-wildlife conflict, the emergence of zoonoses, particular ecosystems and landuses.

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There has been the emergence of thematic action networks which have become forces that challenge, e.g., wetland development and hydrodevelopment with their huge, indirect, and mostly unaccounted long-term environmental costs (Lamarque et al. 2009). What goes on in the world’s freshwater systems is, for example, monitored by the organizations listed below. These are just some of the bigger and global ones. For saltwater, each major ecosystem has a similar list. The list is large. Websites: FADA WCD AR GWP IRN Rivernet WI DU

Freshwater Animal Diversity Assessment: http://fada.biodiversity.be World Commission on Dams (WCD): www.dams.org American Rivers: www.amrivers.org Global Water Partnership: www.gwpforum.org International Rivers Network: www.irn.org Rivernet: www.rivernet.org Wetlands International Ducks Unlimited

Along with these databases, information networks, and warning systems there has been a wide and sustained effort to increase the knowledge and make that knowledge accessible through the Internet. – International information networks and scientific platforms to track wildlife populations and wildlife themes – IUCNs RED LIST and Species Survival Commission from its website: http://www.iucnredlist.org – Invasive Species Specialist Group: www.issg.org. – The Global Invasive Species Information Network (GISIN): http://www.gisin.org

National Legislation and Governance National policy, legislation, governance, and capacity for implementation are the most important frameworks for wildlife management which, with the exception of large parts of the oceans, happens at national levels. The development of environmental policy and legislation in wildlife conservation, sustainable development, and climate change in tropical countries with greatly differing governance has been one of the greatest achievements of the international community and respective nations over the past 30 years. Many national moves were guided by international conventions and the current State of the Environment reporting (SoE), national reporting to the United Nations Convention on Biological Diversity or national communication on GHG emissions to UNFCCC are examples of national “housekeeping” through compliance to international commitments. Always a work in progress, professionals working in offices and departments within each country are in constant communication with many of the governance and management bodies described in this chapter. Conversely there is an intense and instant level of scrutiny on what happens in nations through such membership bodies and the media. While this type of national regulatory capacity developed, there has however been a level of foreign large-scale natural resource use/exploitation (mining and oil, forests, agricultural land, coastal fisheries) investment, which has increasingly challenged the role and capacities of the nations, at times with disastrous results. In one extreme case, PNG, such massive foreign investment in logging, mining, gas, and oil exploration and marine fisheries has pitted a central government with poor and compromised capacity against its own communities and undermined a socially harmonized development. By no means restricted to PNG but widespread throughout the tropical world the power and function of the state to act as regulatory and harmonizing body for national development has been made beholden to foreign interest. It is often up to bodies such as the UN, World Bank, or other large donor organizations to balance, often unsuccessfully, this destructive power. Page 7 of 20

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Fig. 1 This depiction of Bhutan’s Network of Protected Areas and Biodiversity & Wildlife corridors by the Ministry of Agriculture and Forestry shows well its Buddhist philosophy as it embraces the communities of people, plants and animals it looks after. (Image by courtesy of K. Tshering, MoAaF, Bhutan)

Bhutan’s Protected Area and Wildlife Corridor Network Bhutan has, along with many other tropical countries such as Tanzania, China, or Costa Rica, made a major investment in its National Protected Area system connected by a network of corridors. As this system in other tropical countries has been superimposed on its production landscape it will need to maintain sustainable land use and wildlife while generating income opportunities, mostly from tourism, for its local communities. The map of this protected area network (as in most tropical places) shows that its major content is the integration of wildlife needs with the livelihood needs and aspirations of local communities (Image Tshering 2008, Fig. 1). Most government departments now have sections dedicated to protected area and wildlife management, sometimes as divisions in the Ministries of Forestry. Many of those departments are the national representatives of international agreements and conventions (CBD, CITES, RAMSAR) and work closely with multilateral and bilateral funding bodies which either advise and/or provide capacity and development funding. Many such departments are also in charge of environmental management (including mining, forestry, and development) and work closely with nongovernmental organizations (such as WWF, CI, FFI, and BLI). Wildlife Management in the Global Protected Area Network Much of the world’s management capacity for wildlife focuses on protected areas. Protected by legislation WM in these zones should be straightforward and “unencumbered” by communities, which generally lose their user rights – or so the theory goes. In the real world, however, where many internal and more external influences continue to degrade ecosystems (e.g., hydrodevelopment affecting its aquatic systems) and where populations of animals have become so small often that they require support, wildlife management becomes a critical task. I have chosen Kruger NP as an example how extensive – and expensive – reintroduction programs are part of that wildlife management. My own summary and evaluation of that effort, however, also shows how limited the success of such ventures often is, if one delves deeper, even in world-famous and well-resourced areas such as KNP. Restoring Wildlife Communities: A Kruger Experience Kruger National Park, whose overall very successful management history is recorded in Du Toit et al.’s (2004) milestone book, provides an

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_174-1 # Springer-Verlag Berlin Heidelberg 2015 Number of Reintroductions 6 5 4 3 2 1 0 1961- 1966- 1971- 1976- 1981- 1986- 1991- 199665 70 75 1980 85 90 95 2000 Not Known 24%

Unsuccessful 28%

Successful 16%

Limited Success 32%

Fig. 2 Reintroductions of mammal species in Kruger National Park, SA. There are several lessons to be learnt from this Kruger Experience. For once it shows how ad hoc reintroductions were handled, even within a park which is a world model of scientific management and even up to relatively recently. It also shows how difficult reintroductions are, even within very natural, extensive environments not plagued by exotic predators such as is the case on many islands and in Australia. And lastly it shows, that even very large efforts have been compromised by poor follow-up and monitoring. In the case of KNP this is particularly surprising, as monitoring was one of its great strengths. Considering the huge size of the area (more than 20 000 Sq. km.s) and the complexity of the animal community however suggests that this would have been an almost impossible task (data based on park records as recorded in du Toit et al. 2003)

impressive example of the fate of reintroduction programs, even in seemingly well-managed and resourced environments. Attempts to restore not only locally extinct populations but previously depleted mammal communities in Kruger National Park go back to 1918 (Freitag-Ronaldson and Foxcroft 2003), when the Game Reserves Commission made provision for reintroductions of species which had disappeared before protection measures had proven to be effective. A reintroduction policy vacuum in 1918–1948, which resulted in serious considerations to introduce exotics (thank God never implemented), was followed by a reintroduction surge between 1962 and 1989. During this time 16 species of mammals (not counting a guinea fowl release in 1930 –probably successful) were released during more than 30 release events (not recorded consistently for two species of rhino for which above authors comment on “numerous”). I have attempted to interpret the above author’s slightly ambiguous data (no doubt mostly caused by very poor recording of events) and taken the liberty to call, e.g., attempts which resulted in heavy mortality with four surviving animals “unsuccessful” and also assumed that “unknown” cases suggest that the animals have not done well. It is obvious that most of these efforts took place in the 1970s and involved more than 850 animals, in the case of the reedbuck 340 individuals (Fig. 2). The success of these operations as recorded by Freitag-Ronaldson and Foxcroft (2003) is not encouraging. It seems that only three species, reintroduced either in very large numbers (370 mountain Page 9 of 20

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reedbucks) or during “numerous” (Freitag-Ronaldson and Foxcroft 2003) release events (Black and White Rhino), have successfully established good populations. A fourth species, the Nyala antelope, seems to have done reasonably well (“regularly seen along a road,” whatever that means) while for a fifth species, the sable antelope, the authors only record that “64 were released in 1976” with no other information (thus either to be categorized as unknown or even more likely unsuccessful). The fate of all the other expensive attempts is either unknown or unsuccessful. The reasons for this rather worrying failure to restore original diversity in KNP are several: Oribi and grey reebok have seemingly failed to reestablish because of unsuitable habitat. High tick burden, anthrax, and drought were seen as a cause for failure of the Roan antelope while the limited success of the Eland is being attributed to ticks. The only limited success of Lichtenstein’s hartebeest and the suni seems to be due to poor captive breeding performance. For the great majority of cases the reasons for failure are unknown. There are several lessons to be learnt from the Kruger experience. For once it shows how poorly and ad hoc reintroductions were handled, even within a park which aspires to become a world model and even up to relatively recently. It also shows how difficult reintroductions are, even within very natural, extensive environments not plagued by exotic predators such as is the case in Australia. And lastly it shows that even very large efforts have been compromised by very poor follow-up and monitoring. In the case of KNP this is particularly surprising, as monitoring was one of its great strengths. Considering the huge size of the area (more than 20,000 km2) and the complexity of the animal community, however, suggests that this would have been a very difficult task.

Civil Society The Growing Role of Charities The largest growth sector in wildlife (including animal rights as they apply to nondomesticated species) and environmental action has happened in civil society, driven first from western cities where a large number of formal and informal action networks have culminated in what is most appropriately described as a charity industry based on wildlife. Already substantial in 1993, it is now dominated by a dozen large organizations, mostly US and UK based, with billion-dollar budgets engaging in an increasingly diverse – and ambitious – range of portfolios (In organizations such as WWF wildlife now encompasses nature and environment, biodiversity, climate change, etc.) and increasingly guided (and funded) by international development agendas with their many social goals (Millennium Development Goals, Rio Declaration, Convention on Climate Change). These “general” wildlife charities are complemented by user and advocacy organizations, which have included many of their agendas and increasingly collaborate with charities. 7a Conservation Organizations (i) Wildlife Charities (BLI, FFI, WCS, FZS) (ii) Conservation Charities (WWF, WCS, CI, NC) 7b User and Advocacy Organizations (iii) Hunting Organizations ( FACE, INDABA, DU, SCI) (iv) Animal Rights and Welfare Organizations (v) Zoos and Wildlife Sanctuaries Including Private Industry (WCS,FZS)

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NGOs, many of them international, have started to play an unprecedented role in the management of wildlife around the world. Most of them have developed their own scientific expertise and are very closely aligned with scientists. Many of them, however, are also closely aligned to governments, and sometimes industry, both of them major funding bodies. Others such as Greenpeace maintain their independence by electing to remain membership based and funded. Global scrutiny of their ventures, for example, through journalism or the USA-based Charity Navigator (www.charitynavigator.org) has considerably added to accountability. There are also individual and independent websites and watchdog organizations such as Amazonwatch, Mongabay, or Chris Lang’s REDD-Monitor, which have started to play an important role for transparency, discussion, and especially dissent. I suggest that the reader visit some of the websites of wildlife charities (see directory) in order to gain an appreciation of the scope of their activities and programs. While most of these NGOs as described above have evolved along the lines of natural sciences there are notable exceptions (e.g., WSPA and PETA) where the concerns of a growing number of people with the treatment of livestock and pets have spilled over to wildlife. The western and urbanized agendas of these organizations are often at odds with realities in the (tropical) “wild world” or of natural sciences including wildlife management principles. But then, they also provide important and independent voices which deserve to be heard and are particularly important as a countervoice to a science which has all too often become compromised by neoliberal economics and industry/government interest. – Animal welfare groups: World Society for the Protection of Animals: http://www.wspa-international. org – PETA – People for the Ethical treatment of Animals: http://www.peta.org/about-peta/

The Growth in Wildlife User Organizations Hunting and Fishing in the modern world have two faces. On the one side they are the land use of many rural and indigenous people. On the other they have become recreational activities in western countries which have created multibillion-dollar industries and are, as part of tourism, an important factor also in the ecology/economy of large tropical species (Bauer and Giles 2002; Bauer and Herr 2004). In continental Europe and North America hunters and fishers, pay much money to be able to hunt and fish and have formed powerful organizations, which continue to play a major role in the management of wildlife populations. The largest organization of its kind in the world is the Federation of Associations for Hunting and Conservation of the European Union (www.face.eu), which with its seven million members is providing a unique force in wildlife management, at no cost to government and with great financial benefits. Other organizations such as Ducks Unlimited, founded as a response of hunters and fishers to the destruction of wetland in North America, have become world leaders in waterfowl and wetland management. – Ducks Unlimited as a North American Wetland and Waterbird Force: www.ducks.org Complementing (and at times dwarfing) similar conservation projects and commitments from mainstream conservation efforts and NGOs, DU has become a highly successful and competent body to conserve and restore wetland habitats in North America (Canada, USA, Mexico). As of 2014 it has protected and restored more than 50,000 km2 of wetlands and is influencing (improved management) another ~ 400,000 km2 through its 700,000+ members. Similar efforts are advancing across Europe, including Russia, often supported by old, traditional, and well-organized hunting organizations which have, for many years (e.g., the “office national de la chasse et de la faune sauvage (ONC)” in France, the “Bundesjagdschutzverband (BJV)” in Germany, or the more recent “Game Conservancy (GC)” in the Page 11 of 20

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UK) worked closely with governments (at times implementing its policies and laws) to protect wildlife and its habitats. These organizations have also developed century-old systems of game statistics which are unique in their ecological information content. Controversial for many years, hunter and fisher organizations, in particular the International Council for Game and Wildlife (CIC), have now been successful in defining and bringing across their powerful conservation message. Accepted and cooperating with the world’s major conservation bodies (such as UNEP, IUCN) they have started to form global alliances to diversify conservation approaches which include the legitimate sustainable harvest and use of wildlife. – Collaborative Partnership on Sustainable Wildlife Management: http://www.fao.org/forestry/wildlifepartnership/en/ UN General Assembly Proclaims 3 March as World Wildlife Day 27 December 2013, Geneva, 23 December 2013 – On 20 December 2013, the sixty-eighth session of the United Nations General Assembly decided to proclaim 3 March, the day of the adoption of the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), as World Wildlife Day, to celebrate and raise awareness of the world’s wild fauna and flora. Celebrating World Wildlife Day 3 March 2014 – The Collaborative Partnership on Sustainable Wildlife Management welcomes the United Nations General Assembly decision to proclaim 3 March as World Wildlife Day, as a means of celebrating the importance of the world’s flora and fauna, strengthening efforts to conserve biodiversity, and stepping up the fight against the illegal trade in wildlife. This start of collaboration instead of much conflict in the past is a major improvement of policy conditions for wildlife management/biodiversity conservation and will pave the way for a new era where money is being used for joint action instead of wasted for futile, costly, and socially destructive conflict. It has also cemented the position of other international hunting advocacy groups and organizations (CIC, FACE, Indaba) in a much-needed renegotiation toward wildlife management in the lesser-developed nations in particular the tropics. – African Indaba: http://www.africanindaba.co.za/ – International Council for Game and Wildlife Conservation: www.cic-wildlife.org

The Development of National and Regional Capacity in W&BDM Wildlife and Biodiversity Management and Conservation in the tropics, conceived and still driven by the west through charities and multilateral and bilateral development agendas has developed own regional institutions which, like the Wildlife Institute of India (WII) in Dehra Dun, might have become governmental institutions while the College of African Wildlife Management (CAWM) in Tanzania, established by a US charity, is now funded by multiple donors. I have chosen these two institutions, both with considerable regional outreach as examples, how tropical regions have started their own approaches. – African Wildlife Foundation and Mweka College: http://www.awf.org and http://www.mwekawildlife. org – Wildlife Institute of India in Dehra Dun, Uttar Pradesh: http://www.wii.gov.in In the same country, a civil society and conservation leader in Asia, an Indian organization was formed by Elephant Authority Prof Sukumar to form an umbrella group for the conservation of the approximately Page 12 of 20

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22,000 Asian elephants remaining in increasingly shrunk and fragmented habitat within a growing sea of humanity. The premise of this organization is that the elephant’s needs will cover most of the needs of biodiversity. – Asian Nature Foundation: http://www.asiannature.org – From Amateur Groups to Citizen science networks: http://www.birds.cornell.edu/citscitoolkit/about/ definition Amateur wildlife enthusiasts, now more appropriately termed “citizen scientists,” have and continue to make a major contribution to science and the knowledge and management of wildlife. Much of our knowledge of taxonomy (and evolution) is based on what groups of amateurs collected and organized over the past centuries and that applies to insects as much as to birds, reptiles, fishes, or plants. Organized amateur and advocacy groups (led by birdwatchers, hunters, and fishers) have now become major actors in wildlife conservation with bird watchers, a multimillion-member community around the world and with centers in most nations, having developed organizations such as Birdlife International. One of the outstanding examples in member-driven wildlife management, birdwatchers have become the most sophisticated and universal environmental monitoring system in the world, based on organized, collective, and scientifically planned and analyzed regular global surveys by millions of members at no cost. There remains much development potential in that sector which is even attractive for the younger generation in particular through theme-based volunteerism. There are organizations such as Friends of the Earth International (FoEI) who make extensive use of “conservation volunteers” which assist scientists in their projects around the world, often ending up as scientists themselves. – Birdlife International (BI), “the global partnership for nature and people”: http://www.birdlife.org If one looks at BI’s website and sees the large number of logos, each from a national organization one cannot help but be impressed how ’bird lovers’, a group of people one finds in every country, have managed to become so organized that they are now a powerful organization in the world which plays an important role in bird conservation. Nor is it the only representative speaking up for birds. Wetlands International (grown out of bird organizations) and others make similar contributions.

The Changing Role of Zoos and Wildlife Institutions There is a new understanding and changing function of zoos and wildlife parks as they change from wild animal menagerie to a global network of powerful institutions. They have managed to combine income generation through tourism as one of the entertainment hubs of big cities with nowadays astonishing zoo research/science and even involvement in “in situ projects. This role and extent, e.g., described by Tribe (2001), has however further grown. Some of them like the three New York Zoos and the Frankfurt Zoo have created large wildlife organizations (Wildlife Conservation Society (WCS) and Frankfurt Zoological Society) with numerous projects around the world (Fig. 3). Viewed as a complementary system zoos and protected areas are in a unique situation to collect and funnel large resources from western societies and the urban rich into wildlife and protected areas, all as part of extended wildlife tourism.

Global Media

Much has been written about the responsibility – or lack thereof – of the global media in presenting, and trying to influence, the general public in matters of environment and wildlife. The emergence of wildlife TV shows and programs in the wake of David Attenborough is testament to the huge role media plays in Page 13 of 20

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KEEPING COSTS ATTRACTIVENESS OF VIEWING ENVIRONMENT EASE OF VIEWING IMPACTS OF TOURISTS OPERATIONAL COMPLEXITY VIEWING

TOURIST NUMBERS PROFITS CAPTIVE (Zoo)

SEMI-CAPTIVE Halfway (Exclosure)

WILD Protected Area

Fig. 3 The viewing of wildlife, one of the great contents of many forms of tourism targets animals in various forms of captivity and in the wild. There is a continuum of costs, profits and impacts as these experiences are sought

shaping our responses to wildlife. Although the growing number of wildlife shows has played a major role in garnering the support of the western society in wildlife and environmental action in the tropics, there are now more specialized types of journalism which have opted for direct action. Investigative journalism and action as a transparency mechanism: – Oxpecker – Investigative Journalists against Wildlife Trade: http://oxpeckers.org – Amazonwatch: http://amazonwatch.org/ Nor is investigative journalism confined nowadays to disseminate stories of environmental and wildlife abuse around the world. Rhett Butler, the founder of Mongabay, has developed, with NASA, nothing less than a global deforestation monitoring tool. – Mongabay (http://news.mongabay.com) Deforestation tracking tool – Read more at http://news.mongabay.com/2014/0319-katerva-award.html#bgfS4d7m4382I9Ue.99 Similarly Chris Lang’s REDD Monitor (www.redd-monitor.org) has become the most informed voice in the growing field of forest carbon (trading). Nor are they the only journalists or civil rights activists who have started to play an important role in what happens in wildlife and environmental management around the world. There is a group of less specialized but all the more connected action networks which operate also in matters of wildlife. They are getting big, and they continue to grow.

Global Web Action Networks Perhaps as a culmination of the above, there are now social media activities which have started to target specific problems around the world, sometimes within hours or days and with astonishing success. Avaaz. org, founded by the Canadian Ricken Patel, is currently emerging as the largest of its kind (Avaaz, e.g., has now 32 million members). – AVAAZ The World in Action: http://www.avaaz.org Such information and action networks play a growing role to

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– – – – – –

Identify and share information on wildlife violation Identify and connect partner organizations which can act Address and if necessary exert pressure on governments and stakeholders through “global shaming” Mobilize resources for action Implement and set in place education programs Implement local institutions to own, oversee, and monitor/govern future activities/violations

Such web-based action has been increasingly popular and successful as it is applied by many wildlife charities. A recent post on the trapping of Amur falcons for food in India gives an impressive example how fast and effectively such instantaneous networks can work in the modern world where “big brother watches” and media are on constant alert for such stories. Action for Amur Falcons Brings Hope for an End to Hunting in Nagaland Last year’s news of the massacre of Amur falcons in India shocked the world. BirdLife’s Indian partner BNHS moved immediately to mobilize a response. The trapping was stopped, nets destroyed, and arrests made, although not before terrible damage had been done. This year, the generous response to our international appeal has enabled BNHS, with the support of the BirdLife Partnership, to organize a comprehensive program to keep the falcons safe around the Doyang reservoir, where they roost during their stopover. The program has mainly been implemented by a local NGO, Nagaland Wildlife and Biodiversity Conservation Trust, working with the Nagaland Forest Department. As a result, not a single Amur falcon was trapped during the 2013 autumn migration. Attitudes have changed so much in the space of a single year that the Amur falcons are now treated, in the words of Nagaland’s Chief Minister, as “esteemed guests.” A year ago we brought you the shocking news of a hunting massacre taking place in Nagaland, India, which BNHS (BirdLife in India) had been alerted to by colleagues from the campaigning NGO – Conservation India. Tens of thousands of migrating Amur falcons () were being illegally trapped on the roost at a reservoir at Doyang and then being taken to local markets alive, or killed and smoked, for sale as food. Online news articles and a graphic video of the atrocity were quick to spread via social media. Policing, Local Law Enforcement, and Education were implemented swiftly. As one suspects that this annual Amur falcon migration provided important food for people one might also expect/hope that steps to compensate for that loss of a wildlife species as food source are being taken.

The Changing Role of Science Although in this chapter I treat science as only one (if a crucially important one) of the many stakeholders and drivers in the evolution of W&BDM, it has become the underlying logic and in some ways even framework for most action. Science not only underpins what policy and legislation comes up with. It also buttresses the rationale of international conventions. Much of the “on-ground action” by NGOs and land user groups is nowadays based on science. Most of the larger NGOs have their own science departments. And every minister responsible for a particular portfolio has her/his national scientific advisory body. Perhaps most importantly, however, science and scientists have developed their own large stakes around the environment including wildlife conservation and are supported by their own powerful organizations. National research bodies ranging from universities to research institutes depend on grants from industry and government. Many of them have become part of the industry or developed industries around it. And all of them have shaped science to suit them, described by Davies (2004) with rare and often disturbing insight. There has been a wide range of activities to introduce industry standards which complement and go beyond those set by the International Standardisation Organisation (ISO). Further, with many billion Page 15 of 20

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dollars dedicated to environmental and social development in the tropics a large industry around this has developed. An environmental industry has grown around “Environmental and Social Impact Assessments” in particular in mining and oil exploration/extraction. It is not surprising that the industries themselves have gone into that sector to exert control of the process (they pay for it), recapture money otherwise lost to the process, and demonstrate social and environmental commitment. The problems lie in the many details. In a book called Rethinking Voluntary Approaches in Environmental Policy, Rory Sullivan, the director of the UK-based company of investor responsibility, Insight Investment, in London, had a closer look at voluntary approaches such as Corporate Responsibility and Codes of Conduct as alternatives to traditional approaches of environmental regulation. He did this in order to examine the rather widespread cynicism in the general public toward that “self-regulation” and analyzed three initiatives: Environmental Management Systems (1), the Australian Greenhouse Challenge (2), and the Australian mining industry’s Code for Environmental Management (3). In particular he examined the narrow putative advantages of such self-regulation (reduced cost, increased flexibility) and the wider multiple environmental goals such policy needs to be part of. Sullivan (2005) concludes that neither opponents nor proponents of voluntary approaches to self-regulation of industry are very convincing. He suggests that while the three case studies provided some evidence of effectiveness and benefits, the reported environmental outcomes “lack dependability,” could probably have been achieved from other approaches (e.g., regulation, I imagine), and none have “been designed to gather substantive and credible environmental, economic or other performance data” (Sullivan 2005). The history of the International Timber Trade Organization (ITTO) may also stand as an allegory for the limitations of industry responses. Sullivan’s (2005) analysis suggests that while at least for Environmental Management Systems as specified by ISO 14001 and the Greenhouse Challenge there have been benefits in environmental performance, it was unclear whether these incurred because of code compliance or simply as a response to a better regulatory environment. More specifically for the Australian Mining Industry, it was also clear that, while environmental performance had increased, the level of that improvement remained uncertain and poorly monitored, and grave abuses, especially in mines overseas, occurred whether they adopted any code of conduct or not. Each of the industries connected directly with wildlife and biodiversity conservation: forestry (e.g., Forest Stewardship Council (FSC)), hunting, fishing (various ertification schemes), and adherence to operational improvements, for example, “Turtle Exclusion Devices” (TED) and tourism (Green Globe 21, Green Leaf, etc.) have undertaken attempts for better environmental performance as response to the depletion of its resource, a more regulatory environment, and pressure from consumer groups. Most industries are now at pains to point out their approaches to achieve sustainability, helped by the vague definition of the term.

The Emerging Role of Indigenous People and Their Organizations Ignored in international development agendas, persecuted by loggers, miners, farmers, and governments, and forgotten in modern societies, indigenous people around the world have in few places been able to maintain or reclaim (some) of their rights. While indigenous nations such as PNG are the great exception (communities have “managed” to retain 98 % of their land (e.g., Sakulas et al. 2013) and are led by an indigenous government), Canadian, Brazilian, Australian, or New Zealand First People have been able to reclaim some of their rights and land. Many others, in particular in the tropical regions, have not. Perhaps most importantly, however, many indigenous people have been prevented from development as their own land use, mostly collecting, hunting, and fishing, was not recognized as a “legitimate” land use, often inaccessible because of protection by national or international decree. As much of that land remains in Page 16 of 20

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remote and less accessible regions, many of those indigenous people have either lost the entire or parts of their land use as their land is protected under western and not entirely well-guided protected area legislation. The protected area system in the tropics has often allowed national governments to exert their dominance. There are only few states (e.g., the state of Sarawak in Malaysia) where wildlife use and management has been promoted by the state and in the interest of indigenous people. In other places such as Nepal’s south, indigenous people (there the Tharu people) have lost most of their indigenous hunting and fishing rights while having to compete with many newcomers (e.g., illegal “squatters” from India). The International organization Survival International gives much insight into the extent of such displacement. There are also a growing range of activities under the auspices of UN to support indigenous people and their emerging organizations. Not a turnaround but a crucial benchmark for indigenous people was the establishment of the United Nations Permanent Forum for Indigenous Issues (UBPFII), which has provided momentum for the gathering indigenous voice. – The United Nations Permanent Forum for Indigenous Issues (UNPFII or PFII) There are now independent and instant communication pathways to support indigenous people in their ways of life which support wildlife conservation. – Survival International as indigenous advocacy group: http://www.survivalinternational.org/tribes/ yanomami For example, the Yanomami-Mining, ranching, and health care chaos threaten Yanomami. For thousands of years, the Yanomami have thrived in the rainforests of South America. As indigenous people in the modern world continue to be disowned, displaced, murdered at times, if they stand in the way of development (see www.survivalinternationl.org), they have also, in some places, managed not only to reassert their rights but also gained some significant successes. Australia’s tropical north may well serve as a case study how that may proceed but also what kind of problems indigenous people and their land management (which often is wildlife, NOT agriculture) still face. Far from being a success story, it is a cautionary tale on things which work and on things which do not and above anything else of the remaining tensions between the state and the indigenous peoples (e.g., Bauer et al. 2009). Theirs is the oldest continuous land use history in the world and one which has, not for reasons of “primitiveness” but for very sophisticated ones, “stuck to” the sophisticated management of a very diverse and rich resource, wildlife. NAILSMA in northern Australia is an example how indigenous people are recovering their heritage. – NAILSMA and the Northern Land Council in Australia’s Indigenous Tropics: http://www.nailsma.org.au/

The Growing Role of the Media and Celebrities On 26 March 2014, David Beckham visited the Yanomami tribe in Brazil in the run-up to the 2014 World Cup and met their most prominent spokesperson Davi Kopenawa, known as the “Dalai Lama of the Rainforest” (http://www.survivalinternational.org/news/10099). According to SI’s website, “Beckham and Davi” talked about the problems that the Yanomami face, especially the illegal gold mining on their land. The Yanomani people “liked David’s visit a lot because he was very interested in the problems in the Yanomami reserve. He saw that there are many threats to the environment and to our culture. He showed he was concerned about the Yanomami people.” Millions of Beckham fans followed that visit on his social media sites. There have been many visits like Beckham’s to indigenous people and around endangered Page 17 of 20

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wildlife, as both are popular as “worthy causes” for the world of the superstars and for many other reasons. Some of them have sought (and become) UN ambassadors for a worthy cause; others have even done courses on how to engage with that world. Powerful in attracting mass media attention, distributed around their millions to mostly young followers through Facebook, Twitter, YouTube, and other social media, such brief attentions are now able to sway governments.

Organized Illegal Wildlife Trade and Crime Syndicates Unfortunately there is also action in matters of wildlife which is on “the dark side.” As soon as traditional land and wildlife users are denied access to a valuable wildlife resource either by legislation or wildlife protection activities, the illegal sector may take over and flourish (while legal activities cease and the development of sustainable practices is prevented). By their very nature they have no official websites and operate however extensively on Dark Internet (dark address, deep web, dark net). A “dark force” in wildlife management, they have the capacity to offset a wide range of activities of those who act in the interest of the global community, the environment, and wildlife.

International Responses to Climate Change as a Game Changer Starting long before the Kyoto Protocol (with many scientific studies, technological advances, working groups, and meetings providing increasing knowledge and momentum) growing concern about a changing world climate through human actions, and the impact of that on the environment and human societies (land use, fisheries, settlements, frequency of catastrophic climate events, etc.), has in 2014 become the biggest global environmental concern. Growing understanding on the process and causes of climate change has made climate change the center of environmental attention, negotiation, and action. This is reflected in the contents of international multilateral and bilateral programs, government policy, and civil society. Many environmental contents and programs from most sectors including science itself are currently renegotiated around climate change. Wildlife programs set up with something else in mind are now newly scrutinized in the context of a changing climate. A study by researchers from the UK as reported in the Climate News Network may serve as an example how many past activities, here buffer zones, created for mammals originally, are finding “new uses” for birds in a changing climate. Birds are responding to climate change and land degradation threats by using nature reserves as stepping stones to cross Africa and find new habitats that provide refuge against extinction (Brown 2013). As can be deduced from the researcher’s comments, climate change has not only vindicated past efforts in wildlife conservation but also demonstrates how such studies suddenly gain additional importance to guide future efforts in adapting to or mitigating climate change impacts on natural systems, including our land uses. They also provide now a multiple array of new opportunities (and funding) for wildlife/ biodiversity studies and projects which have been enthusiastically taken up by every old and many new stakeholders. As for the first time in human history these programs and activities have also gained a huge commercial element (with the elevation of CO2 as the global environmental currency) it is justified to say that, with increasing urgency of action to mitigate/adapt to climate change, there will be a massive surge in environmental programs (and funding and action) around wildlife, biodiversity, ecosystem protection, and so on. This process continues to gain momentum and will present the biggest opportunity wildlife

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Fig. 4 A generalized and simplified presentation on the changing role of the various actors involved in wildlife management in tropical, “generally” less developed or developing nations which have adopted the general trends in wildlife management. After a dramatic decline of indigenous traditional users, followed by the state, a diverse management environment has developed where national players increasingly compete with well-established international consortiums and where a general trend in protection has greatly increased the role of illegal users. There is, however, also a re-emergence of community and collaborative models, supported by states and international community, in particular in the less commercial fishing sector

conservation has ever had. Much of that, however, will be driven by new markets with their many problems if applied to the environment.

Conclusions I have attempted in Chapter 3 to give a brief overview of the growing list of activities, which have developed around the world to ensure that wildlife remains for the next generations to enjoy and to value for all kinds of reasons and around different value systems. For each of these international activities there are hundreds of programs and tens of thousands of projects around the tropical world supported by the above (and many other) players. Many of these activities are around its uses; others such as “The Great Ape Project” are about nothing less than human rights for the five species of apes (http://www.utilitari anism.net/singer/by/200605–.htm) with several organizations for each ape (Orangutan Foundation International http://www.orangutan.org/). Many of the projects realize that wildlife in the tropics must be seen in the context of many communities of forest-dependent people, numbering more than one billion. They also give testimony that most of us see wildlife as humanity’s joint heritage to care for but also as an extremely valuable good of the international community. Also, interest is not only confined to the western world. This is not the case any longer, if ever it was, as countries ranging from China and India to PNG, Costa Rica, Tanzania, Bhutan, Thailand, Nepal, or Mauritius have developed commitment and own conservation approaches. These are in terms of resources, ingenuity, and impact often on par or larger than those from the west. In Brazil, it was not the programs from the “west” which reduced deforestation in the Amazon dramatically between 2004 and 2013 but its own state-of-the-art Satellite Monitoring System along with legislation and law enforcement (Fig. 4).

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If we try to see the development of these various sectors over the past 50 years in concert, something like Fig. 3 might emerge: a diverse, at times contradictory, and often collaborative environment, where the role of the state is in general decline, where there is a multitude of international agreements, and where industry vies with civil society for implementation (and control). While none of all this action seems to have been enough to halt the decline of wildlife and natural ecosystems around the tropical world, a potential “game changer” has arrived with the action around climate change and the creation of forest carbon markets. Before I discuss why climate change has become a “game changer” especially in forestry (Chapter 5), I will, however, introduce a “reality check” (chapter 4). For that I will take a step back and will show why all these efforts might not be enough, even be misdirected, in our global quest to save Earth’s wildlife.

References Bauer JJ, Giles J (2002) Recreational hunting – an international perspective, CRC monograph series. Griffith University, Goldcoast, Queensland, Australia Bauer J, Herr A (2004) Hunting and fishing tourism. In: Higginbottom K (eds) Wildlife tourism. Common Ground, UK, pp 57–78 Bauer J, Birckhead J, Priestley M, Greiner R (2009) Scoping a Feral Animal Control Program – NT northern region (pigs) (report). Natural Resource Management Board, Northern Territory, Australia Brown P (2013) The role of bufferzones. Climate News Network. [email protected], London Dasmann RF (1964) Wildlife biology. Wiley, New York Davies G (2004) Economia: New economic systems to empower people and support the living world, ABC Books, Sydney NSW du Toit JT, Rogers KH, Biggs HC (2003) The kruger experience-ecology and management of savanna heterogeneity. Island press,Washington Freitag-Ronaldson S, Foxcroft LC (2003) Anthropogenic influences at the ecosystem level. In: Du Toit JT, Rogers KH, Biggs HC (eds) The Kruger Experience: ecology and management of savanna heterogeneity. Island Press, Washington, pp 391–421 Lamarque FJ, Anderson R, Fergusson M, Lagrange Y, Osei-Owusu L, Bakker (2009) Human-wildlife conflict in Africa – causes, consequences and management strategies. FAO forestry paper 157. Rome Sakulas HW, Bauer J, Birckhead J (2013) Community participation in biodiversity conservation and development projects: a Papua New Guinean perspective. Environ Papua New Guinea 2(1):1–13 Sullivan R (2005) Rethinking voluntary approaches in environmental policy. Edward Elgar, Cheltenham, UK Tribe A (2001) Status assessment of wildlife tourism in Australia series Wildlife tourism research report series; No. 14. CRC for Sustainable Tourism, Griffith University PMB 50, Gold Coast Mail Centre QLD 9726 Tshering K (2008) Walking the middle path: opportunities for biodiversity conservation and cultural preservation through sustainable tourism development in the protected areas of Bhutan. PhD Thesis, University of Sydney

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Modern Adverse Trends Which Affect Wildlife Management Efforts Johannes Bauer* Australian Carbon Co-operative Ltd., Bathurst, Australia

Abstract In this chapter I will reach beyond the conventional in wildlife management and ask some inconvenient questions which have plagued wildlife and biodiversity ecologists for some time now, with unfortunately few answers so far. Many of us, as we struggle with Dasmann's premise, have started to ask these uncomfortable questions about western understanding and scientific concepts as we apply them around the developing and tropical world. We ask questions about the production systems we, and this includes scientists, promote, the governance arrangements we help to put in place, and the stakeholders we support. We know well that we often fail to reach wildlife and wildlife-dependent communities alike. We also know that our favourite systems we like to promote do no work in the real world and that we are losing the middle ground (e.g. wildlife which can be sustainably harvested) of productive and healthy ecosystems. But we also have countries, places and projects where approaches have started again to reflect ethnic and national identities and do things better than western approaches. It will be clear that few of the trends driving the loss of the middle ground I describe in this chapter are reversible in our world. What can happen, however, is that communities and traditional landowners, the real guardians of wildlife, can claw some of the lost middle ground of productive wildlife management back.

Keywords Alternative wildstock-livestock scenarios; Corporate landuse shift (CLUS); Japanese deer hunting culture; Kangaroo harvest; Land and property rights; Land and Wildlife Ownership; The government’s animals; The new western and scientific commons; Poverty, land and wildlife rights; Loss of wildlife harvest traditions; Dasman’s Premise; The Tragedy of the ‘Good People’

Introduction: Allow Me to Shake Your Faith! In this chapter I will reach beyond the conventional in wildlife management and ask some “inconvenient questions” (with few answers so far) which have plagued wildlife and biodiversity ecologists for some time now. Many of us, as we struggle with Dasmann’s premise, have started to ask these uncomfortable questions about western/northern and scientific concepts as we apply them around the developing and tropical world, the production systems we (and this includes science) promote, the governance arrangements we (help) put in place, and the stakeholders we support. We know well that we often fail to reach wildlife and wildlife-dependent communities alike. We might also suspect that we misapply science with its western contexts and jeopardize the growing efforts around the world to find alternative ways. And we also see too many examples where our growing number of responses is too much costly talk and too little action, most of them deeply compromised by what we fail to act upon. And not unimportantly, we well know that the ways we measure our successes (money spent, papers written, projects “finalized”) are a *Email: [email protected] Page 1 of 12

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very poor, often misleading, measure of success. And last but not least, we are surrounded by a growing plethora of “arrangements” where the state fails to regulate where it should (often the corporate sector), yet also prevents markets to develop where it should (the communities) support them. Before I do this, however, it is crucial to frame all that around the “factors” which need to be addressed in the tropics as they develop: poverty, growing inequality, abused women and children, and an increasing industrialization of agriculture, forestry, and fisheries where valuable resources go to the powerful and often corporate, while the dregs are left for communities. Driven by under-regulated multinational corporations from the developed world the latter has started to replace what regulation there was and appropriated what was community land and goods. These industries and organizations have been savvy to access and exploit the increasing amounts of money spent by the international community, also for conservation, which they capture amid gaining environmental credibility – and at great profits. Increasingly we see those players in dominant positions at international forums, where they can manipulate development agendas, including those of United Nations. Nowhere is this more evident than in climate change action, where the promises and examples of huge carbon profits beckon. I have chosen some examples for this chapter where I believe things are going badly wrong, not because we do not spend enough money or because our premises including those from science are so bad. Many things in matters wildlife go badly wrong because there are trends (ecological, social, economical) at play, poorly recognized and acknowledged, which work against our good intentions, trends which operate at such scales, at times outside of what we can target, at others in places we do not want to touch (land ownership), that our efforts need to be reevaluated and redirected.

Poverty, Land, and Wildlife Rights: The Elephant in the Room Poverty has, since the Brundtland report, been recognized as one of the major causes for environmental (and wildlife) destruction in the Third World. Not so surprisingly this “discovery” has experienced some polarization and a great global debate about whether it should be the markets, free ones preferably, to correct that “trend” (the “trickle-down effect”) or whether there is some intervention required where “the west” stretches its helping hand to wildlife and to disadvantaged people, many of those living with no access to clean water, medical care, sufficient food (see Millennium Development Goals of UN http:// www.un.org/millenniumgoals), and are often the hapless victims of political conflict that includes the “landgrabs” of global industries (around mineral, fish, agricultural, soil, and wildlife resources (ivory, pets, rhino horn, shark fins – the list is endless)). In the eyes of two of the world’s leading agronomists (Mazoyer and Roudart 2006) these “trends” are destroying the livelihoods (and rich cultural and often wildlife environments) of two billion farmers. Not a minor matter that, but one which should be cause for alarm. If not all, most wildlife management texts have come from the western world, many of those from the USA, and we have seen how Dasmann’s views have more or less foreshadowed (if they could not fully comprehend the full scale of) the interventions I have described in Chapter 3 from “the more fortunately situated lands.” Conversely, many texts on conservation and sustainability focus on developing nations, the poor countries where inequity and lack of resources prevail, where warfare is ripe, and where the fate of wildlife seems a minor concern – at least to the national leaders. In a book about wildlife management in the often disadvantaged tropics it would therefore seem one has to be very careful to take these differences into account, or in fact, the book has to be written very differently. So what would these differences be? Quite obviously we will have differences which will relate to the culture, to religion, to the general environment (forest, grassland, wetland), to the abundance of particular resources, to the state of the livestock industry, to the range of available options, and to the wealth of the nations. Each of these will Page 2 of 12

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have a fundamental role to play in how national conservation and wildlife attitudes and forms of management (or the lack thereof) are being applied. More importantly, however, than any of that is, I suggest, the question of land rights, forest rights, and wildlife rights. Only if these are solved can we talk about the responsibilities. As we see even World Bank has recognized that crucial question and discussed its implications, yet again in a ritual of sorts, with a policy paper 2014 (see GLF Committee 2014). This “new” focus on land and property rights, if hardly new, is of great significance. Yet how will it be implemented? As land rights are so closely connected to mineral rights, carbon rights nowadays (and perhaps water and species rights), most governments have tried to keep them away from “landowners,” as they seek their “resource rent,” especially if these have “only” indigenous or “traditional” land tenure. Access and rights to forests and what lives in them (wildlife, NTFPs, biodiversity) are the elephant in that “land rights” room, and it will be essential to make sure that land rights are looked at in the context of wildlife (we have seen that people in Tanzania call wildlife the “government’s animals”; one could say the same thing in China, Bhutan, or here in Australia) and protected area legislation accompanied with greatly improved support to improve access and sustainability of these resources, many of which have moved beyond the reach of communities. Once we assume that land and wildlife rights would be given back to communities we would run into problems. We would realize that wildlife has often become inaccessible to communities, including some 350 million indigenous people for whom it is their “land use,” because of what the west has made out of it, often protected areas or a new “scientific (western) common” where access to wildlife resources is determined by some charity in London or a scientific expert group from Genève. Communities which can recapture their traditional/indigenous uses would need to regain ownership of what has become a “western commons.” This trend has been greatly exacerbated by a growing vast tourism industry, often around wildlife, which has been able to capture the proceeds of much western conservation action, while contributing almost nothing. It has also been exacerbated by the progressive depletion of wildlife on nonprotected land, often overcompensating for lost protected wildlife. And if that should not have been enough this protection includes species which are, as is the case of wild boar in Bhutan or China, at “superabundance,” through the depletion of megapredators, (western) animal protection legislation, and agricultural changes (e.g., Bauer et al. 2005; Boyd et al. 2003).

Wildlife in the “Awkward Indigenous Space” Nowhere are such poorly defined or absent land and wildlife rights more important than in the “awkward indigenous space.” Many indigenous people have not developed what the west has called agriculture and forestry within increasingly modified food and fiber systems. They continue to rely on wildlife to meet their daily needs in sophisticated wildlife use systems. While these systems have been considered inferior as they produce less quantity with more effort they have, because of their reliance on diversity, managed to coexist with what the west has called “wild,” “wilderness,” and “wildlife.” More ominously such systems have led to lingering concepts of “TERRA NULLIUS” which have, here in Australia, or in the Amazon, for example, extirpated indigenous land and wildlife rights. The only modern “landuse” – and the west still hesitates to call it that – which the west has been able to develop around wildlife is either recreational fishing and hunting or tourism, mostly once the land has been “put under protection.” Much of the tragedy of the world’s indigenous nations, and the wildlife they depend on, lies in this modern divide where cared for and loved community land has joined the ‘global (scientific, western) commons, that “awkward space” which is at odds with the modern world and with the ways the west has discarded “wildstock” in favor of a selected few (livestock). Much has been written about that (e.g., Birckhead et al. 2000; Sakulas et al. 2013; Bauer and English 2011a, b), and there are even changes. In Canada, New Zealand, and the Australian Page 3 of 12

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TERRESTRIAL ECOSYSTEMS

TRENDS

WILD STOCK

LIVESTOCK

MARINE ECOSYSTEMS

CURRENT TRENDS WILD STOCK

LIVE STOCK

ALTERNATIVE SCENARIO WILD STOCK

LIVE STOCK

1950ies

2000

FAIT ACCOMPLY

Fig. 1 Alternative wildstock-livestock scenarios for terrestrial/freshwater and marine production environments

North (see Northern Land Council and NAILSMA) some displaced indigenous groups have regained their land (or at least some of it) and have started, with support from the (inter)national community and the state, to exercise their land rights and own land use systems which were mostly hunting and fishing. There is a great need that other indigenous people in the tropical world are given these rights also, if only as an act of climate justice while the world implements REDD+.

The “Tragedy of the Commons” Revisited In our relationship to the sea and its many goods, we are currently standing at a crossroad. We can either turn right and go down the path of agricultural production (as we have in our terrestrial environments) and attempt to simplify the sea, replace wild fish life with “domesticated fish,” and try to control the processes around that. We can also turn left and manage marine systems with the better understanding and, more importantly, a more humble attitude toward the complexity of food chains and our (in)ability to manage them “scientifically” (population ecology handles two or three species models well (at least over some years) but fails to predict community ecology). We would do this because the left turn is the sensible way to go if we want to avoid all the terrestrial repercussions of terrestrial agriculture repeated in the sea. One could even argue that while the terrestrial environmental “side effects” we created around agriculture are already taxing us to the limit, the management of marine shifts (which will be the consequence of the right turn) will be well beyond current and future ecological, political, and social management capabilities (even more so with a changing atmospheric and marine climate). Rather than going down the path of aquaculture as response to the depletion of marine environments, as happened in the terrestrial (including freshwater) ones, there is still time to choose the wise path which carefully manages and restores what we still have and, ever so carefully, supplements it, not replaces it, with more sophisticated systems as our understanding grows. Not with some quick fixes we just happen to think of, because we have ruined the other ones. Much of that shift will happen, however, not because of whatever ecological decisions we might make but because of ownership (Fig. 1).

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Ownership as a Neglected Key Factor in Wildlife Management

Ever since Hardy coined the term “Tragedy of the Commons” there has been a clear and logical economic and social rationale why lack of ownership of a resource, in that case FISH, led to poor governance, management, and eventually depletion. This logic can be applied to the forests in Nepal, which, once taken under the control of the government, away from communities, started to disappear (they had turned into commons where nobody had responsibility and could benefit); to fishes in many ocean zones where, due to lack of legislation, everybody (in particular foreign fishing vessels) tried to catch them before the competitor did; but also to the Queen Alexandra Bird Wing (the largest butterfly in the world) in Oro Province of PNG, which, despite being sold for almost US$ 10,000 a pair (illegally?), disappears because local landowners cannot sell it and breed it in captivity. The reason for that is in Annex 2 of CITES and cannot be sold legally while rainforest land falls to the axe or oil palms. The list of such “worthless” wildlife by national or international decree is endless. Because of this lack of ownership, people do not plant trees (why should they if that just costs money while the future resource value goes somewhere else; moreover, if the government does this they might lose their land once forests are established as many landowners feared in Nepal). In each of these three cases even the economic rationale for community ownership is clear, in fact overwhelming. It is also workable (community forestry in Nepal now thrives; many fisheries under community control are, remain, or have become again highly productive and sustainable) and benefits the wider community instead of often a foreign fishing industry or illegal gangs. The Oro birdwing can be very successfully bred in captivity (for sale and reintroduction of wild populations). And perhaps even more importantly, due to this lack of ownership and the capacity to make an income it is the illegal trade (often in the shape of organized crime which thrives with that incentive) which finds such legislation an incentive while for the wider good population base it becomes impossible to develop their own management (which would drive the criminal gangs out especially if supported by police). This “tragedy of the good people” has now become firmly entrenched around a growing number of species as they join CITES Annexes.

The “Government’s Animals” Another form of “tragedy of the commons” occurs when the government seeks to search its resource rent at the expense of communities and landowners. Wildlife in western (and in particular Anglo-Saxon legislation on which much postcolonial legislation of tropical countries in now modeled), whether on private or on public (protected), land often belongs to the State. While the intent of that legal step was often the protection of wildlife that purpose does not work so well any longer. For many communities it has led to a “western or scientific (science often supports that) commons,” where wildlife has become either of no interest to the community (landowner) any longer or, worse, is now only accessible to either illegal markets, to the “nonconsumptive use” of tourism (which rarely pays a resource rent), industrial bioprospectors (which do neither mostly), or industries (often foreign with government support) which were able to develop in that “commons” (common in marine fisheries). An ambiguous role is played by science which mostly works against communities and landowners as only the state and industry can afford it. To me the most telling case of such an unjust and divisive system is the NSW kangaroo harvest where, with the support of government, a corporate kangaroo harvesting industry with only several large companies has been able to appropriate the (state-owned?) kangaroos on private land, with landowners receiving nothing. Much has been written about that deeply flawed and divisive system, few independent (not industry-paid) scientists would defend it, yet it has been able, because of its (paid by the industry?) government and scientific support (policies, legislation), to persist and even grow (e.g., Grigg 1988; Bauer

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and English 2011a, b). Thanks to “its scientists” it is even flouted in international and misguided circles as “best management practice.” In this case “kangaroo rights” have been denied to landowners by the state, yet given to an industry which uses its clout (including its ability to employ scientists (landowners cannot afford them)) to exclude landowners to what grows on their land yet could be a major resource for them (e.g., Grigg 1988; Bauer and English 2011a, b). This remains so, even after serious concerns about the management itself (scientific data collection and analysis, population estimates) have emerged (Mjadwesch 2011). Similar trends are evident in many parts of the tropical world with valuable wildlife resources. Such wildlife, in Tanzania called “the Government’s animals,” might benefit from protection because of tourism and legislation or through scientific harvesting plans (developed by the scientists for the industry). It has, however, lost its value to landowners which can (and will) plan around and against it. In most cases this is more adverse to wildlife than the lack of a scientific study. As we can see in the case study below this is not restricted to developing countries or wildlife harvest but also the case in Australia where communities are excluded from participating in species rehabilitation programs by government agencies. Today, wildlife often remains a responsibility for the state and its agencies (“agency animals”) which have insufficient resources – and intent (many contradictory interests) – to manage it, while others (tourism, for example) pay little or nothing. Landowners, indigenous and farmers alike, but also those who would seek legitimate income, and a vast number of people with goodwill, remain excluded. In this no-win situation the gap between reality and intent grows wider by the day. Wildlife remains without value to most, landowners are deprived of an income source, the state has a responsibility it cannot carry, the public is excluded with all its concerns (and resources) – and wildlife declines. Although one could argue that NGOs have broken that culture of nonparticipation, the reality is that many government arrangements of this type suit them all too well (having gained many similarities with corporate industry) in protecting their own role, incomes, and resources. The Bridled Nailtail Wallaby, Brush-Tailed Bettong, Bilby, and Hairy-Nosed Wombat as Doomed “Agency Animals” Some years ago I was involved in an (unsuccessful) reintroduction of nailtail wallabies (NTW) in NSW, Australia. The bridled nailtail wallaby (left), believed extinct, was rediscovered in 1972 at the town of Dingo on a private property in Queensland. The property owner was bought out by the government (some 12,000 ha), a national park established at the site, and a NTW Recovery Plan written by the country’s experts (Lundie-Jenkins and Lowry 2005). Some 30 years later the population continues to decline, there are few more than the 300 animals left then, while Western Plains Zoo gave up its very easy and successful breeding because lion and Black rhino programs were more popular and lucrative (government support, visitor dollars, prestige). For landowners (supported by WPZ) breeding of the above endangered native species (and others) would have been easy. Landowners could have been guaranteed a market for surplus animals and for a fraction of the costs. Viable populations of many thousands of animals could have been established on many private properties with the (happy) property owners deriving income from their management (and from tourism ventures). Nothing happened. The state insisted that only IT could manage endangered species with everybody being losers (Based on Bauer and Cameron 2001; Bauer et al. 2002; King 2006) (Fig. 2).

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Fig. 2 The captive breeding release of endangered species in Australia (From left to right: bridled nailtail wallaby, brush-tailed bettong, bilby, and hairy-nosed wombat) is now as before something dear to the public. Easily done (from a professional point of view especially if supported by zoo infrastructure and staff) yet generally unsuccessful from saving a species. The exclusion of communities, landowners and the private sector from conservation work is one of the major reasons why this is the case

The Loss of Wildlife Harvest Traditions The decline of traditional and indigenous harvest systems, as has happened around the world in countless examples over the past century, has been, and this is often overlooked, synonymous and often causative to the erosion and loss of traditional and indigenous knowledge systems around wildlife and natural systems in particular. The Anglo-Saxon distinction between protection and production, distributed around the world first through colonialism, later through the environmental movement with its many agencies and projects around a growing number of protected areas, has affected many traditional wildlife harvest management systems in particular in the nondeveloped tropical world. Here, where seemingly no organized groups were around (recreational hunters, for example) to stop that (indigenous people also come to mind) these systems proliferated and progressively displaced indigenous people and their land use. There are countless stories of this disownment around the tropical world. While often unable to protect their target species in these projects, local, traditional, and indigenous harvesting systems, often sustained over centuries previously (and well capable of “modernization”), were destroyed along with the land use, culture, lifestyle, and value systems. Local wildlife knowledge and harvest systems often decline together, to be replaced by a value vacuum around wildlife which is in nobody’s interest. I have given two examples from my own experience. The decline of indigenous/traditional knowledge and harvest systems in Wuyishan Biosphere, Fujian Province, China (see Boyd et al. 2003), and the current deer management dilemma in Japan, also based on the loss of a hunting culture along with modernity. Both show a modern stalemate in wildlife management and utilization which works against local communities and wildlife. The Loss of Japanese Deer Hunting Culture In February 2011 I was invited with a colleague to offer advice in a deer management project between a university and Japanese land use authorities. Over the 10 days we spent in Japan we gained a unique perspective of a deer management problem which seemed as intriguing as it was absurd. It showed a modern Japanese society which had, while continuing to insist on wild harvested whale meat, lost its taste for millions of native deer, Cervus nippon, which lived and multiplied in its forests (which they damaged greatly) and mountains where only few were prepared to hunt it, sell it, and, above all, eat it. To change this problem and perception among the public, the Japanese government was far from idle, and our first “lesson” consisted in the attendance of a deer preparation ritual by one of Japan’s most famous chefs of French cuisine (as applied in Japan, French cuisine enjoys a very high reputation). In order to promote venison consumption, he instructed the Japanese (continued)

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public in a TV show how to butcher the deer and how to cook it, following a French recipe. While my colleague and I were watching in fascination we were served beautifully prepared little parcels of deer sushi, obviously catering for the more traditional-minded of the hundred or so attending journalists. Afterward we went for a tour around Japan, mindfully interrupted at times with a French deer meal, to show us the extent of the problem. What we learnt was that, along with parts of Europe and the USA, deer had in Japan also benefited from modern forestry with its abundance of cover and food, the cessation of agriculture in other parts of the landscape, and a legislative environment which did not seem to encourage hunting. There had also been a very pronounced trend among young Japanese not to join hunting clubs and the declining fraternity of hunters. It also became clear that our Japanese friends were at a loss what to do about it. There did not seem to be an attempt (as we first thought) to farm deer (misguided in any way as it would have been a distraction from the management of the wild population, essential to reduce their impact on forest regrowth and quality); our friends much rather thought that one could catch deer in large numbers, to kill – and bury – them. There was little thought so it seemed to us who would do that (nothing less than a national hunting system) and that it would have to involve firearms and a large number of trained hunters – judging from the size of Japan, half a million at least. While this deer overpopulation seemed to be a grave problem across much of Japan, there were attempts, for example, in Hokkaido, to develop hunting tourism around Japanese deer, as well as some other unique and abundant species such as the Japanese serow, but nothing which was suitable to effectively reduce deer number and revive the use of a healthy, humane, and, for many, delicious supply of prime meat (I would estimate that the national harvest could be in excess of one million animals (40,000 t of prime meat). A final visit to Nara, famous for its huge wooden temple and its resident population of deer (some 7000 + which share roads, parks, and sometimes restaurants with the local populace and the many Japanese tourists who visit for that very reason) seemed only fitting to impress on us the complexity of this modern relationship with deer which has developed in modern Japan. Japan is not alone with that problem. It is shared by an increasing part of the western world and more and more countries in the tropical world also, where western value systems, conservation legislation, and protected area systems have driven hunting – the harvest of wildlife – more or less into the underground as an activity, not a legitimate land use any longer, condemned to be legally treated often as “bushmeat” while western meat, cattle and sheep (for which huge areas of forests are being cleared), are being offered as THE alternative. As we can see from this example this vacuum in wildlife use (including fisheries) through (the prevented) lack of ownership but also an inability to modernize (resources, lack of science, etc.), for example, in agriculture, plays into the hands of a land use shift away from traditional owners toward those who can afford it, and who have the support and power from governments. It is not a minor shift but one which currently transforms the tropical world.

The Corporate Land Use Shift (CLUS) What I have called “The Corporate Land Use Shift (CLUS)” is about the acquisition of increasing tracts of valuable land and crops by increasingly large, technologically highly advanced corporate and multinational entities, including countries now (also see landgrab). This process, as described by Mazoyer and Roudart (2006), is destroying the livelihood of farmers around the world and is leading to the homogenization of agricultural production in terms of wildlife/biodiversity loss, see Figs. 4 and 5.

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Fig. 3 A Japanese lady posing with one of the 7000+ Japanese deer (Cervus Nippon) which roam the streets, parks – and temples- of the historic city of Nara in Japan

Fig. 4 A global process, the acquisition of the valuable assets of communities, often through mining and oil exploitation, landgrabs, and valuable wildlife

After the great diminishment of wildlife and ecosystems a new phase has commenced where much traditional agricultural land is bought by foreigners, multinational firms, but also countries (such as China) which want to secure food production. The direct/indirect/cumulative impacts of this new wave of land use change are mostly unknown, yet the combination of pesticide and GM typical for these systems will Page 9 of 12

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_175-1 # Springer-Verlag Berlin Heidelberg 2015 Natural Ecosystems

The two main steps of wildlife/biodiversity loss during agricultural & forestry development in the tropics

Wildlife/ Biodiversity Hunting/ fishing/ gathering

STEP I Logging/ Clearing Colonial hunting

Traditional Agricultural Landscapes Wildlife/ Biodiversity

STEP II Monocultures/ Pesticides/GM

Before and after Colonialism ( 4 cm) in rotation cycles of 6 years. The standing volume of a hectare therefore is 270 m3, resulting in an annual harvesting area of 28,150 ha or a daily area to be harvested of slightly more than 77 ha.

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Fig. 10 Tools and data information necessary for macroscale planning. Source: Leif Nutto

The harvesting process for such high wood volumes has to be carefully planned. The volumes have to be harvested, transported to the forest road, processed into assortments, and be piled for further transport. In general, pulpmills need a continuous feed with raw material, so that there is a log yard with a wood volume for 10–14 days, summing up to a wood storage of 210,000–294,000 m3 that has to be maintained at this level. If trucks of the type of road train with 50 t (62.5 m3) net load is used, 336 vehicles have to be loaded and unloaded every day. Inventory data have to be collected and updated constantly at stand level and transferred to a central database. The data have to be linked with a geographical information system (GIS) to provide thematic maps with location, age class, volumes, diameters, and tree heights. When areas are selected for harvesting, specific preharvesting inventories are made to provide quantitative and qualitative data about the wood to be harvested. In the macroscale planning, the harvesting projects are specified according to the harvestable volumes. In general, several stands in a given region are selected to aggregate harvesting volumes that allow the effective use of machines (Fig. 10). Definition of the Harvesting System Once the regions and the stands were selected with the help of the data provided by the database and GIS system, the microscale planning at field level can be started. Engineers of different areas take the thematic maps to the forests and start with planning the details. Therefore, thematic maps are generated, and the forest engineers and technicians do the planning in the field. In a first step, the decision about the assortments to be produced has to be taken. In this case study, the idea is to use the full tree, all wood with more than 4 cm of diameter as pulpwood (roundwood of 6 m length), and the crown slash as residues for bioenergy production in the form of chipped material. The next step is to check the terrain for slope, restriction zones, and the road system. Therefore, the maps from the macroscale planning are taken to the field, and information necessary is added by hand, for later transfer in the database of the company (Fig. 11). According to slope and other terrain conditions, the harvesting system is defined. For a full-tree utilization, the highest productivity is reached with a feller buncher that makes bundles of 10–20 trees for later skidding with a clambunk skidder. The feller reaches a machine availability of 80 % and is able to Page 21 of 26

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Fig. 11 Thematic map for microscale planning, containing all details like restricted area, water bodies, forest roads, contour lines, landing zones for wood piles, slope of roads, and terrain. Source: Cenibra

fell 135 m3/h; that means 2 h of work to fell the trees of 1 ha. The operation is planned to be done in three shifts, resulting in a daily volume of cut trees of 3,240 m3. To cut the 21.000 m3 necessary for the daily supply of the pulpmill, in total, 6.5 fellers have to work in the harvesting operation. After felling, the trees are left for drying in the field for 14 days, since the still-green leaves help to dry the wood through the process of evapotranspiration. After the drying period of the full tree in the field, the activity of the skidders is planned. Under the conditions found in this case study, a skidder reaches a good productivity of 50 m3/h. For the 21.000 m3 on a daily base and a three-shift system of 24 h, about 17.5 skidders have to work on the area to deliver the tree bundles to the forest road. At the forest road, the full trees are piled for further processing with a processor head, doing the steps delimbing and bucking. A processor head is able to process the trees with a productivity of 60 m3/h. Working 24 h, about 14.5 machines are necessary to cut the wood to length and to remove the branches. The assortments are prepared ready for loading at the forest road; the remaining crown slash is already pre-concentrated and can be used to directly feed the chippers. Of course the landing zones have to be planned carefully before starting harvesting operations. For the 6.5 fellers, the 17.5 skidders, and the 14.5 processors, the whole maintenance and supply chain has to be calculated: fuel consumption, spare parts, and preventive maintenance, among others. The machines have to be transported to the harvesting area by special trucks at the right time. Being most of the machines oversized, special permits for public road transport are necessary and have to be solicited. For the wood transport of 21.000 m3 a day, road trains with 60 m3 net load are used. The density of the wood is about 800 kg/m3 at the day of transport. In 24 h, 350 fully loaded trucks have to reach the pulpmill and to be unloaded to keep a permanent stock in the log yard. The crown slash is about 5 % of the tree volume, being there 1,200 m3 of crown slash to be chipped per day. Depending on the dimension of the chipper used, the material can be processed in 60–80 chipping hours per day. In the presented case study, close to 40 machines are operated in a three-shift system, resulting in 120 machine operators a day. There are also the maintenance and supply teams, supervisors and monitors, and other staff necessary in the operations. A sophisticated logistics is necessary to cope with the daily

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needs of about 160 persons in the forests. Mobile headquarters, restaurants, water, storages, fuel tanks, and also toilets are necessary, to have acceptable working conditions for the personnel. When the number and specifications of the machines are identified in the harvesting planning, technicians define and mark the danger zones. There might be steeper parts in the terrain where the machines cannot operate, swamps, protection zones, and other areas restricted to operations. The road system has to be completed where areas with no access are identified, closed forest roads might have to be reopened, gravel has to be replaced or completed, and the slopes of the roads have to be checked for the suitability with the selected transport system. All critical zones have to be marked in the field and on the maps to include the new information in the database.

Final Conclusions The case studies are presented from different points of view. The case study for native forests is more focused on a holistic view of a company managing a big area of primary forest managed in a sustainable exploitation system. The case study of a pulpmill also enters a little bit in the field of harvesting systems, machine productivity, and personnel planning. Both case studies are not including all the planning steps because of the complex nature of harvesting processes. The high number of harvesting technologies and systems available; the impact of social, environmental, and technical restrictions; knowledge; training and capacity available at each single project; and at least financial resources make harvesting processes one of the most difficult to handle operations in the wood and forest industry. Hence, it becomes clear that welltrained and experienced personnel is required to plan the harvesting process in tropical forests, no matter if planted or native forests are pretended to be managed. To meet with the requirements of sustainability in forest harvesting operations, to implement reduced impact logging, and to cope with the local legislation, no “standard procedure” for the harvesting process can be applied. An individual evaluation of each single project is necessary to find the best solution.

References Anderson AE, Nelson J (2004) Projecting vector-based road networks with shortest path algorithm. Can J Forest Res 34(7):1444–1457 Bacha CJC, Rodriguez LCE (2005) Economic and social impacts of logging at national forests – a case study at Brazil. In: Proceedings of the 45th Congress of the European Regional Science Association (ERSA2005), Vrije Universiteit Amsterdam, Amsterdam, 23 Aug 2005 Boxman O, de Graaf NR, Hendrison J, Jonkers WBJ et al (1985) Towards sustained timber production from tropical rain forests in Suriname. Neth J Agri Sci 33:125–132 Braz EM, Carnieri C, Arce JE (2005) An optimizing model for organizing harvesting compartments in tropical forest management. Revista Árvore 28:77–83 Bygden G, W€asterlund I, Eliasson L (2004) Rutting and soil disturbance minimized by planning and using bogie tracks. AUSTIMBER 2004 – international conference and exhibition for the forest industries, Albury, 29 Mar – 3 Apr 2004 Chomitz KM, Gray DA (1996) Roads, land use and deforestation: a spatial model applied to Belize. World Bank Econ Rev 10:487–512 Dietz P, Knigge W, Löffler H (1984) Walderschließung. Verlag Paul Parey (VPP), Hamburg DNER (1999) Directrizes básicas para elaboração de estudos e projetos rodoviários. Ministério de Transportes – Dept Nacional de Estradas de Rodagem, Rio de Janeiro du Toit B (2008) Effects of site management on growth, biomass partitioning and light use efficiency in a young stand of Eucalyptus grandis in South Africa. For Ecol Manage 255:2324–2336 Page 23 of 26

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Dykstra DP (2005) Forest harvesting operations in Papua New Guinea – the PNG logging code of practice. FAO, Rome Dykstra DP, Heinrich R (1996) FAO model code of forest harvesting practice. 33 AGRIS: K10U10. FAO, Rome, 176 p Evans J (2001) The forests handbook: an overview of forest science. Blackwell Science, London FAO (1992) Cost control in forest harvesting and road construction, FAO forestry paper 99. FAO, Rome FAO (1995) Reduced impact timber harvesting in tropical natural forest in Indonesia. FAO, Rome FAO (1999) Code of practice for forest harvesting in Asia-Pacific. Asia-Pacific Forestry Commission and FAO, Bangkok FAO (2003) Commercial timber harvesting in the natural forests of Mozambique, Forest harvesting case study 18. FAO, Rome, 59 p Fenner PT (1996) Zur Entwicklung pfleglicher Holzerntesysteme in den Tropen: Auswirkungen der Befahrung auf gelbe Latosole (Xanthic Ferralsol) des Amazonasgebietes. Dissertation, Universit€at Freiburg, pp 1–120 Gebremariam AH, Bekele M, Ridgewell A (2009) Small and medium forest enterprises in Ethiopia. FARM-Africa and International Institute for Environment and Development, London Hakkila P, Malinovski JR, Sirén M (1992) Feasibility of logging mechanization in Brazilian forest plantations. Finnish Forest Research Institute, Research papers 404, Helsinki, 68 p Heinimann HR (1997) A computer model to differentiate skidder and cable-yarder based road network concepts on steep slopes. J For Res 3:1–9 Heralt L (2002) Using the ROADENG system to design an optimum forest road variant aimed at the minimization of negative impacts on the natural environment. J For Sci 48(8):361–365 Higman S, Mayers J, Bass S, Judd N, Nussbaum R (2005) The sustainable forestry handbook – a practical guide for tropical forest managers on implementing new standards. Earthscan, Sterling Higuchi N, Hummel AC, Freitas JV et al (1994) Exploração Florestal nas Várzeas do Estado do Amazonas: Seleção de Árvores, Derrubada e Transporte. FUPEF, Curitiba, pp 168–193 Hillis WE, Brown AG (1984) Eucalypts for wood production. CSIRO-Publishing, Sydney Hofmann R (1988) Bodensch€aden durch Forstmaschineneinsatz – Untersucht am Beispiel lehmigsandiger Böden auf Buntsandstein bei Befahrung im Zustand der Fr€ uhjahrsfeuchte. Forstwissenschaftliche Fakult€at der Universit€at Freiburg, pp 1–141 Holmes TP, Blate GM, Zweede JC et al (2002) Financial and ecological indicators of reduced impact logging performance in the eastern Amazon. For Ecol Manage 163:93–110 Hruza P (2003) Optimization of forest road network under principles of functionally integrated forest management. J For Sci 49(9):439–443 Humphrey C (2004) Felling machines in large regrowth trees. AUSTIMBER 2004 – international conference and exhibition for the forest industries, Albury, 29 Mar – 3 Apr 2004, p 6 Huth A, Drechsler M, Köhler P (2005) Using multicriteria decision analysis and a forest growth model to assess impacts of tree harvesting in Dipterocarp lowland rain forests. For Ecol Manage 207:215–232 Jordan CF (1985) Nutrient cycling in tropical forest ecosystems. John Wiley and Sons, New York Kirby M, Hager W, Wong W (1986) Simultaneous planning of woodland management and transportation alternatives. TIMS Stud Manag Sci 21:371–387 Lamprecht H (1986) Waldbau in den Tropen. Die tropischen Waldökosysteme und ihre Baumarten – Möglichkeiten und Methoden zu ihrer nachhaltigen Nutzung. Verlag Paul Parey, Hamburg/Berlin Leite JGM (2001) Aspectos operacionais na definição do padrão das estradas florestais. Conference at INPACEL international paper, UFPR, Curitiba, 59 p

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Lihai W, Fulong M, Chunshan L, Zhongye G, Jianfeng S (1996) Assessment of animal skidding and ground machine skidding under mountain conditions. J For Res 7(1):63–72 Machado CC (ed) (2014) Colheita Florestal, 3rd edn. UFV, Viçosa, 543 p Machado CC, Lopes ES, Birro MH (2000) Elementos básicos do transporte florestal rodoviário. Editora Universidade Federal de Viçosa, Viçosa Machfudh P, Sist K, Kartawinata E et al (2001) Changing attitude in the forest: a pilot project to implement RIL in Indonesia has created enthusiasm for the practice amongst concessionaires. Tropical Forest Update. ITTO Publication 11(2):10–11 Maderna JGL (2002) A otimização dos custos do transporte rodoviário de madeira roliça oriunda de reflorestamento. PhD-thesis, Federal University of Paraná, 264 p Martini EL, Barbosa LN (1988) Planejamento florestal: A import^ancia e da aplicação da programação linear. In: Encontro brasileiro de economia florestal, 1st proceeding, Curitiba, pp 545–574 McEvoy TJ (2004) Positive impact forestry – a sustainable approach to managing woodlands. Island Press, Washington Mendes JCT (2013) Alternatives of Eucalyptus harvesting systems and their impacts on soil and native vegetation of abandoned stands. PhD thesis, University of Piracicaba-SP Naghdi R, Limaei SM (2009) Optimal forest road density based on skidding and road construction costs in Iranian Caspian forests. Caspian J Env Sci 7(2):79–86 Naghdi R, Limaei SM, Babapou R et al (2012) Designing of forest road network based on technical and economical considerations using GIS & AHP. IJANS 1(2):39–44 Noack D, Scharai-Rad M (1992) Better utilisation of tropical timber resource in order to improve sustainability and reduce negative ecological impacts. Final report of the forest studies vol 1, Part 2 ITTO-project PD 74/90. ITTO, Hamburg, 68 p Nutto L (2007) Die Eukalyptus-Plantagenwirtschaft in Brasilien – nachhaltige Holzproduktion oder ökologisches Desaster? Wald und Holz (CH) 06/2007, 49–53 Oliveira VC (2004) Bestimmung und Optimierung der Leistungsf€ahigkeit des Transportnetzes zur Sicherung der Holzversorgung eines Zellstoffwerkes. University of Freiburg, 186 p Salmeron A (1984) Exploração e abastecimento de madeira na Ripasa S/A celulose e papel. Americana: Ripasa Florestal: 30 Sessions J, Heinrich R (1993) Harvesting. In: Pancel L (ed) Tropical forestry handbook. Springer Verlag, Berlin/New York, pp 1326–1379 Sist P, Nguyen-Thé N (2002) Logging damage and the subsequent dynamics of a dipterocarp forest in East Kalimantan (1990–1996). For Ecol Manage 165:85–103 Sist P, Fimbel R, Sheil D et al (2003) Towards sustainable management of mixed dipterocarp forests of Southeast Asia: moving beyond minimum diameter cutting limits. Environ Conserv 30:364–374 Supryatno N, Becker G (1998) Implementation of improved harvesting methods towards productivity and sustainability of dipterocarp forests under selective cutting system. For Bull 34:46–58 Uasuf A (2010) Economic and environmental assessment of an international wood pellets supply chain: a case study of wood pellets export from northeast Argentina to Europe. University of Freiburg, 138 p van Bodegom AJ, van den Berg J, van der Meer P (2008) Forest plantations for sustainable production in the tropics: key issues for decision-makers. Wageningen University & Research Centre/Wageningen International, Wageningen Yokota T (2004a) A decision making model for the selection of ITS applications. Intelligent transport system, technical note for developing countries, N 2, Word Bank Yokota T (2004b) A series of innovative approaches to assist a country in developing it’s ITS plan and conducting the deployment, operation, and maintenance of the ITS applications. Intelligent transport system, technical note for developing countries, N 3, Word Bank Page 25 of 26

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Yokota T (2004c) An introduction to ITS and guidance on its application. Intelligent transport system, technical note for developing countries, N 1, Word Bank Yokota T (2004d) Application of ITS in developing countries and countries worldwide. Intelligent transport system, technical note for developing countries, N 1, Word Bank Yokota T, Weiland RJ (2004a) ITS standards. Intelligent transport system, Technical note for developing countries, N 4, Word Bank Yokota T, Weiland RJ (2004b) ITS system architectures. Intelligent transport system, technical note for developing countries, N 5, Word Bank Young RA, Giese RL (2003) Introduction to forest ecosystem management. John Wiley & Sons, New York

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Machinery and Equipment in Harvesting Gustavo Pereira Castro*, Jorge Roberto Malinovski, Leif Nutto and Ricardo Anselmo Malinovski Curitiba, Brazil

Abstract Forest harvesting is one of the most important and cost-intensive operations in forest management. The different process steps of harvesting operations are felling, delimbing, debarking, bucking, off-road transport of the wood, and loading. Specifically in tropical countries, the resources, equipment, and machines that can be used are manifold and can be composed in complex systems. The climate conditions, soil properties, and human resources have to be considered in the choice of the equipment or machine used in each single process step of harvesting operations. Many tropical countries are even today facing a lack of financial resources for using their forests in a competitive and sustainable way. Harvesting in native tropical forests faces the following problems: trees of big dimension, low volume per ha, diversified assortments in species, length and diameter, sensitive soils where no mechanical or chemical corrections are possible, many environmental restrictions, and difficult access. The financial situation, technical know-how, and machine availability have impact on the volume and assortments that can be produced in harvesting operations. Logging companies with better financial background are able to mechanize many harvesting processes and increase productivity and working safety this way. They are able to create a net of forest roads to facilitate forest operations and to use adequate machines and equipment that allow also to extract big and heavy logs of high value. Smallholders or communities on the other hand are still relying on simple tools and equipment, animal-assisted skidding, and manual or motor-manual work in wood harvesting operations. In general they face strict limitations concerning the size of the trees that can be felled and the logs that can be skidded. In tropical forest plantations, the conditions found are quite different. In general only one or two species are planted, the stands are homogeneous in height and diameter, dimensions of the trees are smaller, the forest is planned and provides good access, and high volumes per hectare are harvested in clear-cut systems. All these utilization conditions are favorable to a higher degree of mechanization, since the economic returns are higher and faster in short rotation plantations. Smaller properties as well as industrial plantation owner work with adapted agricultural tractors or specific forestry machines, which allow high productivity with acceptable environmental impact. The present chapter gives an overview on the existing methods, equipment, and machines that are available for harvesting operations in tropical countries. It focuses on the description of the use and suitability of the equipment for the different process steps of harvesting operations. The permanent technical innovation in the sector makes it difficult to present always the technical specification of the newest existing machines on the markets. Detailed information about chainsaws, harvester, forwarder, skidder, feller buncher, loader, and additional tools available for harvesting operations should always be evaluated in the respective country for the specific working conditions.

Keywords Forest Machinery; Harvesting Equipment; Wood Harvesting; Logging; Felling; Wood Hauling; Loading; Mechanized harvesting; Wood Processing *Email: [email protected] Page 1 of 41

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Introduction Wood harvesting consists of a complex chain of processes linked to each other. Depending on the forest type and structure, wood utilization, legal and environmental restrictions, availability of technical equipment, and financial resources, the combination of machinery and equipment may vary significantly (Machado 2014). In tropical regions, the forests may be used by single persons, local communities, or medium- or big-sized enterprises, each group with specific needs and interests in the raw material provided by the ecosystem. It must be distinguished between native and planted forests, both requiring different approaches in wood harvesting, planning, and execution (Rummer 2011). The harvesting equipment needed for feeding a small-scale charcoal production of a local community living in a native forest may be different from a pulp and paper company managing 100,000 ha of eucalypt plantation. The present chapter is focused on the presentation of the existing equipment and machinery, from well-proved manual equipment until the most modern machinery used in fully mechanized systems. Which machine or equipment combination is the most appropriated is depending on the above-cited criteria (Salmeron 1980). Forest harvesting refers to cutting and delivering trees in the form of merchantable assortments (Rigolo and Baptista 2011). The whole process covers several steps which can be performed in a variety of ways combining different methodologies. A rough classification of harvesting operations can be done as follows: • • • •

Manual and animal assisted Motor manual Partially mechanized Fully mechanized Within the classification described above, harvesting has to be separated into the following steps:

• • • • • •

Felling Delimbing Debarking Bucking Hauling Piling and loading

Besides the main operations felling and hauling, delimbing and bucking are of a major importance. Delimbing is the process of cutting the branches from the trees. In many wood utilization, the so-called crown slash remains in the forest and provides valuable organic matter in a decomposition process. Especially in tropical forests with poor soils, nutrient cycling plays an important role in the sustainability of soil fertility. Delimbing also facilitates the bucking of the stems into commercial length. In general assortments are formed that are directly linked to the further use of the wood. The cut-to-length process is important for all kind of transport processes, being off and on the road. It significantly influences productivity of the whole harvesting process and the subsequent utilizations of the wood. Finally, some wood utilization requires the removal of the bark (debarking), already in the forest or at the mill yard. Where the bark is removed is not only a technical question but also an environmental one. Like the crown slash, bark plays an important role at nutrient cycling of the ecosystems. On the other hand, the removal of bark in many cases is difficult and time consuming and therefore expensive, if it is done in a nonindustrial process. Bark often is used as a source for bioenergy in wood industry or for gardening Page 2 of 41

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purposes, so that a central debarking makes sense. Finally, hauling has to be mentioned as the process step of harvesting, which is most influenced by the infrastructural framework of a harvesting operation (Hubbard et al. 1998). Forest roads, waterways, slope of the terrain, assortments, and vegetation have influences on the overall costs for this operation (Böhm 2008). Mainly the average hauling distance determines productivity and final costs of the overall harvesting operation. Therefore special attention has to be paid to this process. All processes described above can be done in a manual, semi-mechanized, or mechanized way during the harvesting operations, requiring special equipment, according to the necessities of the user (Baumann 2008).

Felling, Delimbing, Debarking, and Bucking The first step of the harvesting operation consists in the felling of the trees and the preparing of the assortments that have to be transported to the forest road. For some wood utilization, it is useful and economic to do all the processing in the forest; in other cases, it might be recommendable to concentrate the manipulation of the wood in central log yards. However, the tools used in such operations may vary from completely manual work up to fully mechanized systems (Machado 2014). The most advanced technologies already work with robotics (Billingsley et al. 2007).

Manual Equipment for Felling, Delimbing, Debarking, and Bucking Originally most of the steps of tree harvesting were done manually. Axes, one- or two-man-operated handsaws, machete, or other instruments with cutting knives were used for felling, delimbing, bucking, or debarking. Today hand tools are only used in some minor cases for cutting smaller trees for personal use or by indigenous communities. As soon as commercial aspects become of interest, hand tools do not show a competitive productivity to provide merchantable assortments for the markets. For manual felling in a tropical forest managed by smaller communities, mainly for personal needs, the use of hand tools is still common. For felling smaller trees, mainly machete or axes are used. Axes are also applied for felling bigger trees. In general a simple scaffold of wood is built to avoid the large buttresses found in larger tropical trees (Machado 2014). Then five to six persons climb up and start the felling of the tree with axes, often taking several days for that process. For bigger trees, also saws are used, mainly two-man saws that allow cutting of bigger trees in a more economic way (Fig. 1). Manual delimbing or cutting off the branches is done with axes too. In most cases only the straight stem is used, leaving all the crown slash in the forest. For these operations the same cutting knives (axes,

Fig. 1 Manual felling operation with a two-man saw in Africa. Source: Leif Nutto

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machete, slasher) are used. In Europe and North America, special shaped axes and slasher for delimbing were developed in the past centuries, but with the upcoming of chainsaws, the construction and commercialization of the tools were stopped. Today the main difference found in axes is if the blade is for cutting or splitting of the wood. Manual debarking in the forest today is done for several reasons, as there are: • No use of the bark in the processing mill, like it is often the case in pulp and paper industry (except for bioenergy) • Importance of nutrient cycling (especially phosphor) at specific sites • Reduction of transport weight of the wood • Phytosanitary reasons (mainly fighting of bark beetle) In most wood utilizations, the removal of bark can be done more economically in an industrial process with drum, chain, or knife debarkers. In former times, innumerous different shaped hand tools were developed for manual debarking, which rarely are applied in tropical forests. In general, it is extremely difficult to remove the thick and short-fibered bark of tropical broad-leaved trees coming from these ecosystems (Fig. 2). Furthermore debarking is not necessary for the main utilizations of the wood coming from native forests. In saw and veneer mills, the separation of the bark from the wood can be done in a more economical way, and the energetic use of wood as firewood or for charcoal production does not require debarking. Wood from industrial plantations on the other hand today is debarked with processing heads of machines or with industrial debarkers at the mill. Manual debarking therefore is of minor importance. As already mentioned above, the main objective of a harvesting operation is to provide merchantable assortments to the wood industry. Manual bucking or cut to length plays an important role in the harvesting process. Crosscuts can be done with axes, machetes, slasher, or saws. Today it is only applied

Fig. 2 Manual debarking with ax and different-shaped hand tools for manual debarking. Source: Leif Nutto Page 4 of 41

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Fig. 3 Piling manually bucked assortments in a pine plantation. Source: Tigercat

Fig. 4 Motor-manual felling with chainsaw in the Amazon region. Source: Grammel. Source: Grammel

in tropical countries for local communities and smallholders to supply themselves with fuelwood for charcoal production or firewood. In general wood of smaller diameter like crown slash or smaller trees is used for this purpose. In former times, also bigger trees were crosscut with axes or saws, being the ax the more robust tool and easier to sharp, a big advantage for dealing with the extremely hard wood, often rich in silica and therefore of high abrasion for the tools. The assortments bucked manually today are about the length of 1–2 m (Fig. 3).

Equipment for Motor-Manual Felling, Delimbing, Debarking, and Bucking

Already before 1900, the first motor saw was used in European forestry, and since then, motor-manual felling has replaced manual tools. Disregarding some minor wood utilization of individual households or smaller indigenous communities, chainsaws today are found in any country of the world and are the minimum standard required for productive felling operations. In tropical countries, specifically in native forests, it became an indispensable tool for people living in forest regions. Chainsaws in the society today are associated with deforestation of tropical forests. As any tool invented by humans, not the tool itself but the irresponsible use is the reason for massive forest destruction. Motor saws improved productivity of felling operations in an exponential way (Fig. 4). Motor-manual delimbing is the process of cutting branches of felled trees. While in deciduous trees and large conifers, this term is used, for smaller logs with a straight stem (often plantation-grown trees), also the term “snedding” is used. Motor-manual delimbing may be considered as the standard procedure for removing branches from all bigger trees felled in harvesting operations. Another type of motor-manual

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Fig. 5 Manual and motor-manual delimbing and bucking in a eucalypt plantation. Source: Jorge Malinovski

Fig. 6 Motor-manual debarking of logs with a tool mounted on a chainsaw. Source: Jorge Malinovski

delimbing is the use of a chainsaw with extension. This type of motor-manual tool allows a highly ergonomic work with smaller trees felled, performing the operation in upright position and far away from the cutting part of the tool. It is used for cutting branches after motor-manual felling in forest plantations with steep terrain, where no mechanized operations are possible (Fig. 5). As already stated, this procedure should be performed in a mechanized or industrial way wherever possible, because of its time-consuming and low productive nature. For motor-manual debarking exist some tools, mainly as additional head for chainsaws, that may assist debarking where necessary. They are practically cutter heads or rotating knives moved by the motor saw engine. The costs are between 500 and 700 US$ per unit; the productivity depends on tree species, diameter, and bark type (Fig. 6). Motor-manual bucking is the cut-to-length process in a harvesting operation. To make a crosscut in trees of big dimensions, like they occur in tropical rainforests, should not be underestimated. There is a high risk that the chainsaw gets stuck during the operation if the stem is not laying perfectly plain on the underground or if it is under any kind of tension. Since heavy large trees can hardly be moved manually, it is important to train the chainsaw operators to perform the cut in the best way possible. After measuring the distance from the last crosscut precisely to provide the correct length of the stem for further processing, the stem should be carefully checked for any tension caused by uneven underground. It is recommendable to cut the crown first, before doing the further crosscuts. In general the crown lifts the stem from the ground or causes other tensions in it. If necessary, the use of wedges is recommendable, which allows performing the final cut from underneath the stem or above, depending

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on the type of tension detected. The time needed for the delimbing, cutting off the crown, or bucking should be taken into account for the calculation of the daily productivity of the chainsaw operator.

Machines for Felling, Delimbing, and Debarking In homogeneous and even aged forests with trees of smaller diameter and terrain where wheel- or trackbased machines can operate, mechanized felling may be the best choice in terms of costs and productivity. Mechanized felling means the use of machines with special “felling heads” that allow the cutting of trees (Sant’anna 2008). The felling heads can be equipped with scissors, chainsaws, or saw disks. There can be observed a strong trend toward mechanized felling all over the world (Malinovski et al. 2006). Firstly, the productivity is much higher, and secondly, safety aspects become more and more important. The main factors influencing the decision of using a mechanized system are: • • • • •

Tree diameter Stand density, structure, and homogeneity Slope of the terrain Availability of skilled machine operators Availability of appropriate felling systems

For improving efficiency of mechanized felling, the felling layout has to be planned carefully. Trees have to be felled in a direction that facilitates subsequent activities such as delimbing, debarking, crosscutting, or hauling operations (Forest and Rangelands 2011e). Typical tools for tree felling are the heads. The heads can be mounted on several track- or wheel-based machines with general utilization or designed for specific forestry activities (Freitas 2005) (Fig. 7). Mechanized felling has several advantages compared to motor-manual tree cutting (Alves and Ferreira 1998). The most important and worth to mention are: • • • • •

High productivity Higher safety and comfort standards for the operator Higher performance of subsequent activities, since a pre-concentration of the wood is possible Less losses of wood, since the felling cut can be made close to the soil level Possible to work at night (24 h) with spotlight equipment and without climate influence (air conditioned) • More constant productivity, less turnover

Head with hydraulic chainsaw

Head with hydraulic shears

Head with disc

Fig. 7 Heads for fully mechanized felling operations. Source: Huldins / Tigercat Page 7 of 41

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On the other hand, there must also be mentioned the disadvantages: • Limited maximum diameter of the trees to be felled: main reason for restriction in use in tropical native forests • High investment costs • Demand for highly qualified maintenance and spare part logistics • Soil damages, like compaction and erosion • Limited use in mountainous and rocky terrain • Less demand for unskilled labor force, causing social impact • Difficulties in finding skilled machine operators The productivity of these machines under the above-described conditions, mainly found in forest plantations, is much higher than of a chainsaw operator (Nordfjel et al. 2010). Another important issue to consider is the reduced risk of injury for operators and the low ergonomic impact compared to a chainsaw operator. Harvester Harvester consists of a basic machine, a crane, and a processing head. The use of these machines in general is multifunctional and allows to perform several processing steps with one machine only. The first step is to grab the tree subject to felling (Bramucci and Seixas 2002). The cranes have a reaching distance between 7 and 12 m, depending on the size of the basic machine. Once grabbed the tree at its base with the processing head, the cutting process is activated. With the help of the head and the crane, the felling can be directed to any direction. After cutting some, heads also are able to debark, delimb, and crosscut the tree in the stem length of the assortments to be produced (Amablin 1991) (Fig. 8). Even if the main objective of the harvester initially was felling the trees, today it is often used to process a full tree at the forest road or at landing zones. In such cases, the objective is only delimbing and bucking and in some cases also debarking, for producing different merchantable assortments of wood and biomass. In this case the machine unit works as a “processor” (Bramucci 2001). The processing heads today are completely computerized and software driven. The operator only determines the operations to be performed, and the head operates automatically after the program is activated. The head consists of grabbing arms to hold the tree during the cutting process and to direct it to fall to the wanted side. The cut can be done by a saw, a cutting knife, or a disk, being the first option in the form of a hydraulic chainsaw, the most commonly applied option (Fig. 9).

Processor head

hydraulic crane

basic machine

Fig. 8 Basic machine with tracks equipped with a harvester head for multiple processing. Source: Tigercat Page 8 of 41

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Fig. 9 Wheel harvester (top) and track harvester (bottom). Source: Gustavo Castro

The next processing step consists of delimbing and, if the head is equipped with such a unit, also of debarking (McEwan 2007). The feed rollers transport the stem through the processing head where special knives cut off the branches (and also take off the bark, if such a unit is integrated). During the feeding, a small unit is taking the distance the stem passed through the head and gives the signal to the cutting unit where to perform the crosscuts. Over the position of the grabbing arms, the head also is able to measure the stem diameter. The software can be adjusted in a way that crosscuts are made after length and/or minimum diameters required for the assortments. Today harvesters became extremely fast in processing trees with high precision and pre-concentrate the assortments for further forwarding or skidding. The productivity of course depends on single tree volume, species, assortment, terrain and upon the performance of the operator (Linhares et al. 2012; Purf€urst 2009). Another important factor for the productivity of the machine is the form of the silvicultural operation. In clear-cuts, the machines show a significantly higher productivity than in thinnings. The machine fells the trees, prepares the assortments by bucking, pre-concentrates the stems for forwarding, and gathers the crown slash in the line of movement. This way, the forwarding is more efficient, and soil compaction is reduced by the crown material in the lines where the machines move (Fig. 10). Besides the single tree processing heads, there are also multi-tree-processing heads available. Depending on the quality of the wood, such heads might be of much higher productivity than the single ones. The difference is in the grabbing unit, where the arms of the machines are able to handle more than one stem at a time, improving productivity of the machine between 20 and 35 % (Fig. 11). The machine cuts the trees, prepare the assortments by bucking, pre-concentrates the stems for forwarding and gather

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Fig. 10 Three-wheeler as basic machine for felling operations. Source: Leif Nutto

Fig. 11 Big-sized multiprocessing harvester heads (left) and a small-sized head for multiprocessing (right). Source: John Deere

the crown slash in the line of movement. This way the forwarding is more efficient and soil compaction is reduced by the crown material in the lines where the machines move. Beside the single tree processing heads there are also multi-tree-processing heads available. Depending on the quality of the wood, such heads might be of much higher productivity than the single ones. The difference is in the grabbing unit, where the arms of the machines are able to handle more than one stem at a time, improving productivity of the machine between 20 and 35 %. The main reasons for developing tree harvesting machines were: • Reduced labor force necessary • Improved working conditions and ergonomy (safety and comfort) • Reduced production costs Some of the advantages are: • • • •

Better use of the material wood by improving recovery rate Less soil compaction than with conventional (agricultural) machines Less problems in felling and bucking trees Improved quality and homogeneity of the assortments

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Some disadvantages are: • High initial investment necessary • Well-trained machine operators necessary • Higher harvesting costs than cutting trees with a feller buncher system Feller Buncher One of the first felling machines used in practice was the feller buncher, a tool which could cut and pre-concentrate trees (Forest and Rangelands 2011c). Mainly applied in North America, the machine is gaining importance in forest plantations with the objective of full-tree utilization, specifically for energy wood production. Today the heads of the tools are designed for accumulated felling and equipped with shears or disks for cutting the tree in the form of directional felling. The heads with disks can be divided in tools with intermittent or continuous rotation. Besides track-based machines, also wheel-based options are available at the market. For smaller-sized trees in thinning operations, even a three-wheeler version is available, showing extreme good handling on small spots (Fig. 12). A feller buncher is a self-propelled machine with a cutting head that is capable of holding more than one tree at a time. The cutting head is used strictly for cutting, holding, and placing the stems on the ground, but does not have processing capabilities. The existing mechanical configurations are either wheel- or track-propelled feller bunchers. Tracked machines are slower than wheeled machines, but often have the advantage of being more stable on steep slopes. Tracked feller bunchers are also capable of operating on wet and loose soils where rubber-tired machines would be prevented from operating. The basic machines may have self-leveling cabs that extend the slope on which they can operate.

Fig. 12 Track-based (top) and a wheel-based feller buncher (bottom). Source: Gustavo Castro

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felling head

hydraulic crane

basic machine

Fig. 13 Basic machine with tracks and a feller buncher head. Source: Tigercat

Fig. 14 A feller buncher grabbing a tree (top) and felling and bundling it (bottom). Source: Gustavo Castro

The feller buncher moves toward the tree to be felled, grabs it, cuts it, and holds it in the head while moving to the next tree. Thus, it can cut as many trees as the head and the basic machine can hold in a safe way. Afterward, the bundle of felled trees is positioned in a way that the skidder can easily take it up (Figs. 13 and 14).

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Fig. 15 A stroke delimber for cutting off branches in a planted forest. Source: Gustavo Castro

The productivity of a feller buncher depends on several factors like terrain, spacing between the trees, size of the individual trees, species, and basic machine. A good average value found in practice is about 300 trees per day. Stroke Delimber A stroke delimber is a machine used for removing branches from the stem of felled trees by using a system of knives. Since the system lifts the whole tree during the process, the basic machine has to be heavy to guarantee stability while delimbing the stem. In general track-based machines are used to carry the telescopic tunnel where the knives are fixed. To forward the stem through the delimbing unit, two systems exist: in the first, two iron wheels move the tree; in the second, the knives themselves do this work. At the end of the telescopic system, a saw is installed for a transversal cut of the top of the trees (Fig. 15). In general the basic machine for carrying the telescope is a medium- to big-sized excavator reaching total weights of more than 26 t. The machine is used for medium- to big-sized trees, but it is more and more replaced by the more flexible and economic harvester heads. Processor and Harvester Head The subsequent processing steps following tree felling were already described in the manual and motormanual systems. The trend toward mechanization of forest work led to the development of several machine-assisted solutions for these forest operations. Most of the solutions are combined ones, processing the wood in several steps in one operation. One of the combined solutions already mentioned is the harvester or processor head. Delimbing, debarking, and bucking can be combined in technical operations in an efficient and economical way by such solutions. To combine this operation in the stand with a harvester head offers the big advantage that the residual biomass keeps well distributed over the harvested area for nutrient cycling from organic matter. The same biomass can be used as a “compacting buffer” to the soil for the machines moving over it. The debarking and delimbing process occurs while the stem is moved by rolls or wheels through the processing head, where knives cut off the branches and the bark. Bucking is done by the felling unit, which might be saws, disks, or felling knives. In such cut-to-length systems, the assortments are provided in a homogeneous and high quality to be forwarded and transported to the wood industry (Fig. 16). A processor head in general is applied in full-tree logging systems. The trees with crowns are skidded to the forest road or a landing place where the assortments are processed at central places. That system is of high productivity because of the work division of highly specialized units. The whole trees are pre-concentrated beside the forest roads in long piles. The processor head, in general mounted on a mobile basic machine, produces the assortments and leaves it classified and piled beside the forest road. Page 13 of 41

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Fig. 16 A processor head processing (debarking, delimbing, and bucking) trees at the road side. Source: Gustavo Castro

Fig. 17 A grapple saw mounted on a track-based machine. Source: Gustavo Castro

This method also allows utilization of the crown slash as biomass. In a highly pre-concentrated form, it can easily be processed by a chipper. The system is highly productive in forest plantations where the full tree is intended to be utilized. The problem is the intense driving of heavy machines all over the area, the extreme extraction of biomass, and the soil exposed to rain and wind after the harvesting operation. Grapple Saw Mechanized bucking today is mainly done in plantation forests with the help of harvester or processor heads in combined processes in forest harvesting operations. One option frequently found in planted forests is

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cranes for loading and unloading combined with a cutting unit, in most of the cases a hydraulic chainsaw. The felled trees are let in longer units, facilitating the forwarding or skidding process. The assortments brought to the landing zones or forest roads are piled by a grabber mounted on a mobile or fix basic machine, cutting the longer stems to smaller assortments during the piling process. This is a cheap and efficient way for preparing assortments for transport or assortments where short length is wanted (Fig. 17). In native tropical forests, no mechanized bucking options are applied. The big trees in general are sectioned with the help of a chainsaw in the forest and transported this way to the wood industry.

Wood Extraction After felling of the trees and further processing in the wanted assortments, the wood has to be extracted from the forest stands to the forest roads for further transport (Cermak and Lloyd 1962). There are many possibilities to do so. Equipment and machines used, depending on the resources available, may also vary from very simple manual operations up to sophisticated and expensive machines of high productivity (Seixas 2008).

Manual Extraction Skidding, forwarding, or cable yarding is the next step after felling. After a period of wood drying on site for reducing water content, the way of how to get the wood to the next transport means has to be decided. Depending on the further direction of transport, the felling may already occur in the direction of the

Fig. 18 Manual log extraction and piling on short distances in tropical forest plantations (eucalypt plantation (top) and teak plantation (bottom)). Soure: Leif Nutto

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Fig. 19 Ethiopian woman carrying crown slash to local markets over distances of more than 10 km. Source: Jorge Malinovski

extraction. Manual extraction of wood in tropical forests is still frequently applied, but only for assortments of smaller dimensions coming from thin trees, like fuelwood or, in exceptional cases, also for pulpwood. In smaller properties, in steep terrain or where mechanization is not possible, it is a still applied activity. In a larger scale, manual harvesting operation is a not viable option, since the physical workload is extremely high and the weight of the wood exceeds the load recommendable for permanent human labor (Fig. 18). Manual hauling in harvesting operations is reduced to a minimum today. Because of the extremely high physical stress, that process even in poor countries is done with the help of animals. In tropical countries, the workload is even higher because of the hot and humid climate, leading to physical exhaustion of the people working in the forest, especially under bad nutrition conditions (Fig. 19). Even so, in Africa, Asia, or Latin America, the transport of firewood or for simple construction purposes (fences, shelters, houses) is done by carrying the wood on the shoulders or on the head, often over astonishing large distances. For operation in small forest plantations, also small sulkies or wheelbarrows are used. But according to modern labor safety regulations and healthcare rules, such operations in the future will be more and more restricted to private use of wood in smaller amounts.

Wood Extraction by Gravity: Roundwood Chutes and Rolling Stems of harvested wood can be transported downhill by using gravity force and simple hand tools. For this purpose the inclination of the terrain has to be at least 40 %, which can be classified as steep slopes. In a few cases, the stems or even full trees simply slide downhill, but in general, a controlled sliding is preferred. For that purpose, special U-shaped chutes made out of metal or plastic are used (Fig. 20). In former times the chutes were built of wood itself, a very time-consuming and therefore expensive activity. The length of a single chute is about 3 m if made of metal and about 5 m if lighter plastic is used. The single chutes are mounted together to a total length of up to 200 m, where the logs are pulled to the transport mean from 12 to 14 m distance at each side. To reduce friction, sometimes, the chutes are treated with oil; in tropical countries, also used machine oils were applied, having an extremely bad impact on the environment and health of workers. The operational productivity of a team of three forest workers is between 25 and 40 stacked cubic meters per day, depending on assortments and terrain conditions. The problem of using chutes is the installation and dismounting of the system, as well as the transport of the material, where about 10–20 % of the whole working hours are spent. Wood extraction by chutes has been one of the most applied systems in several countries over decades, especially in mountainous regions

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Fig. 20 Wood extraction with chutes. Short log extraction in a pine plantation (left) and schematic drawing (right). Source: Jorge Malinovski

Fig. 21 Manual wood extraction on steep slopes by using gravity in a eucalypt plantation in Brazil in the year 1975. Source: Fernando Seixas

where road construction was too expensive, while labor costs were high and people worked with short log length. The even more simple system is the use of gravity only by giving the wood an initial impact. The system is often applied in forest plantations where short logs of 2.20 m length and diameters between 5 and 20 cm are thrown downhill at slopes of more than 40 %, while the wood is collected and piled at the forest road. The maximum skidding distance is between 50 and 70 m reaching a productivity of 10 to 12 stacked cubic meters per worker and day (Seixas 1987). The very simple system in general is a cheap method, but ergonomy and working conditions for the forest workers often exceed acceptable limits, especially in tropical countries with high temperatures. Therefore the systems are more and more replaced by mechanization (Fig. 21).

Manual Wood Extraction with Bogies, Trolleys, or Sulkies To reduce the friction between the soil and the logs during skidding, wheel-assisted tools have been used for many decades. First constructions with wooden or iron wheels were used to pull logs or wood outside the stands. No matter if pulled by hand, animals, or tractors, the productivity increased with the use of pneumatic wheels, specifically for logs of bigger dimensions. In some countries such systems were even Page 17 of 41

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Fig. 22 Four-wheeler in Finland. Source: Jorge Malinovski

used until the late 1980s. Today the main application of such transport systems is in smaller-scale forestry in the tropics, mainly in animal-assisted systems. In the 1980s, a bogie was developed in Finland which was improved in several ways. The bogie was equipped with four wheels which improved the handling with uneven terrain and obstacles, by keeping the system more equilibrated than the two-wheel constructions. The pulling force to apply reduced even the vehicle being heavier than a simple bogie, while it still was possible to turn the vehicle around its own axis. The weight of these wheel-based vehicles varies between 15 and 50 kg, where the loading capacity ranges from 125 kg for a manual two-wheel sulky up to 250 kg for a bogie with four wheels. Logs with a length of 7 m and a volume of 0.4 m3 can be skidded with such systems. For bigger logs, other wheel-based constructions are available, but they have to be pulled by several men, animals, or machines (Fig. 22). The weight of the equipment influences significantly the productivity. Ole-Meiludie and Omnes (1979) found the productivity between a 25 kg sulky and a 50 kg one resulted in a single man system in a loss of 30 % for skidding logs between 3 and 5.7 m length in slightly undulated terrain. For applying such manual systems, the correct working technique is important for saving energy. The contact points where the chains or ropes are fixed on the log have to be selected carefully according to the terrain. In plain terrain, the log has to be fixed at the center of gravity. In slightly undulated terrain with inclinations up to 30 %, the log has to be put on the point of support corresponding to one third of its length. In steep slopes with 50 or more percent of inclination, the weight of the log has to be used for breaking the system for downhill transport. For heavy logs it might be recommendable to use two vehicles to transport the log without direct soil contact. The planning of skidding by bogies or sulkies is very important. A team of at least four, better six, men should handle the bogies, sulkies, or trolleys because of the high workload. The felling of the trees should be conducted already in skidding direction, where the skidding trails have to be prepared in a way suitable for using the wheel-based systems and be kept clean of crown slash and other residues of the harvesting operations.

Animal-Assisted Extraction Where available, animals are used for off-road, track, or road transport to avoid pure manual operations. In many tropical countries, animal skidding continues to be an attractive economical choice; even so, the common trend is to replace the animals by machines with higher productivity and less restrictions concerning weather conditions and terrain. Another advantage of animals is the possibility to restrict skidding to narrow skidding paths and to reduce soil damages.

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Fig. 23 Wood extraction with mules in a tropical forest plantation. Source: Jorge Malinovski

Depending on the continent or country, a variety of animals showed up to be useful for skidding and wood transport in harvesting operations. Skidding with animals in general is limited to smaller logs of native forests or material coming from forest plantations. Careful planning of the harvesting operation considering the animal capacity and the maintenance is necessary, if this way of skidding is intended to be applied. In tropical countries a couple of additional considerations have to be taken into account to avoid any discomfort or health implication to the animal. The hot and humid weather conditions restrict the use of animals in skidding operations to a few species used as domestic animals in the tropics. The animal should be strong, tolerant to the climate, and suitable for the work, and correct nutrition should be possible. Most of the horse races are not suitable for skidding under tropical conditions, resting mules, donkeys, oxen, some buffalo races, or Indian elephants as draft animals. Animals have to be fed at least three times at an 8 h working day; due to heavy duty, they need additional concentrated feeding stuff. They also need frequent veterinary attention. For harvesting, planning an additional reserve of 20 % has to be held for replacing exhausted or sick animals. Wood Extraction with Mules or Horses Horses have been used as draft animal over centuries in temperate zones all over the world. Due to fast mechanization in industrialized and also developing countries, they lost in significance since the 1940s. The weight of a horse is between 400 and 700 kg, depending on the race. The drag force reaches between 0.6 and 0.9 kN which is equivalent to 15 % of its weight, while, for instance, oxen only reach 10 %. For a short period, a horse can even exceed the abovementioned drag force (Fig. 23). Horses are intelligent, sweet tempered, and easy to be trimmed. They work faster than many other animals and reach a daily working level of up to 7 h. As already mentioned, the use of horses for skidding operations in the tropics is not very common, since these animals show low tolerance to disease under tropical climate. In steep terrain they easily get nervous and out of kilter as compared to mules or oxen. Therefore the preference in tropical countries is given to the much more rugged mules. The mules have higher needs regarding food and caretaking in tropical regions. At the same time, the productivity is rather low compared to oxen. While a mule in general works alone, oxen can be used in pairs, increasing productivity per trip and also the weight that can be skidded. Wood Extraction with Oxen In Asian countries, oxen are the most common draft animals used. They have a gentle character, can be fed with grass of lower quality, and are able to work over longer periods, even in a rather slow mode. They have to be trimmed for skidding operations when they reach an age of 2 or 3 years. Experiences from Costa Rica show that it takes 12–14 months to trim oxen for skidding when the animal is 2 years old. In Malawi the animals can be used for skidding operations until they reach an age of 8 years. While a cow Page 19 of 41

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Fig. 24 Wood extraction with oxen in a degraded secondary tropical forest. Source: Leif Nutto

reaches a drag force of 0.5–0.6 kN, an ox can get to a value of 0.6–0.8, corresponding to 10 % of his body weight. The daily working period may not exceed 5–6 h. In the tropics, the oxen in general are smaller than in temperate climate zones and can skid less weight. The average productivity of a pair of oxen reaches 2–2.5 m3 a day, skidding at the maximum a stem of 0.6 m3 over a distance of 400 m (Fig. 24). Wood Extraction with Elephants The elephants, or better the Indian elephants, are used as draft animal in some countries of Southeast Asia, like India, Burma, Sri Lanka, Thailand, or Laos. The weight of an adult Asian elephant is of 3–4 t. The animals in general are fed with grass, leaves, bamboo, wild banana, or young twigs of trees. They need about 250 l of water and 250 kg of food per day. Due to this fact, elephants can only be used in regions with humid climate, where enough water and food are available. Starting from age 3, elephants are started to be trimmed, which in average takes 5 years. Only then he can be used for light work at the beginning until with advanced age, size, and abilities, he can be used for skidding operations. The animal reaches maximum work productivity at the age of 30–50 and should retire at the age of 60. The working speed of an elephant is about 4 km/h; if the animal should work at different places, transport by truck is recommended. For skidding operation, an animal should have a rest every 500 m. For average skidding distances of 1,000 m, an elephant may reach a productivity of 450–600 m3 per year in flat terrain (Fig. 25).

Motor-Manual Extraction The off-road transport of the wood can be classified after the way how the material is transported. In a skidding operation, the wood is draft by a machine or an animal. The wood can be fixed by a cable, by a chain, or with a grabber. The use of a winch also makes part of the skidding process. Forwarding is Page 20 of 41

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Fig. 25 Wood extraction with elephants in planted forests in India. Source: Dennis Dykstra

a process where the wood is carried with the help of a supporter, trailer, or a machine without touching the ground. A third possibility is the use of a cable or skyline system. In a skyline system, the wood is transported fully suspended, while in a cable system, the wood partially touches the ground. Which system to use depends widely on the resources available by the forest owner or forest manager. Smallholders, farmers, or communities might have no financial resources or technical know-how available to work with a high level of mechanization, where logging companies operating on large scale have a high degree on mechanization. Tractors with Self-Loading Trailer Tractors with self-loading trailers came from adaption of agricultural equipment to forestry needs. In smaller-scale forest management, the acquisition of expensive forest equipment is not always a viable option. The adaption of machines produced in large scale and therefore cheaper offers a compromise between costs and benefits. Tractors with self-loading trailers offer an economic solution in smaller, mainly man-made forests. It may be operated in planted forests or in forwarding smaller-dimensioned wood in terrain with a slope up to 10 % (Fig. 26). The minimum power to operate the system is a tractor with at least 80 HP. The bigger models are able to forward logs of smaller diameter between 1.0 and 7.0 m and load up to 15 t. The crane is mounted on the trailer or on the tractor. An average load volume is about 13.5 stacked m3 per trip with maximum forwarding distances of 300 m. Under good conditions, the productivity may reach 20 stacked m3/h. Mini-Skidder Mini-skidders are agricultural tractors adapted to work in forests. In general only the bigger back wheels are with traction, and a hydraulic grapple is mounted for skidding the logs or trees. This type of tractor in general is multifunctional and can be adapted for several works in agriculture, cattle breeding, and forestry. The forest work is restricted to smaller-sized trees, reduced harvesting volume, and not too steep terrain. Soil compaction is higher because the machine is not adapted to reduce negative impact of driving in forest stands. Under favorable conditions, these machines are three times more productive than tractors equipped with a winch (Machado 1984) (Fig. 27).

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Fig. 26 Self-loading trailer with tractor in a forest plantation. Source: Gustavo Castro

Fig. 27 Mini-Skidder, an adapted agricultural tractor in a forest plantation. Source: Gustavo Castro

Winch Systems Winches are used when wood has to be extracted and the soils are too sensitive to drive over or when the machines have no access to the stands because of slope or dense vegetation that cannot be removed. The winch can be mounted on several types of basic machines, from agricultural tractors up to specific machines designed for forest work. For the skidding operation, the tractor is positioned with the rear part in the direction of the logs to haul, and the cable of the winch is pulled to the felled tree or the log and engaged in it. In plantations smaller machines can be used, but for big-sized logs of tropical native forests, heavy machines are necessary. In general also a rear shield is necessary that can support the machine to stand still while the heavy weight is winched to the tractor (Fig. 28). Agricultural tractors should at least have 100 hp to cope with the duty of skidding the trees with the help of a winch. The drum with the cable can be designed for different duties. In plantation cable length can reach 200 m, but the diameter of the same is only 1.2 cm. In native forests the cable has to have at least 1.8 cm of diameter to guarantee secure skidding of big logs. Such cables are very heavy and difficult to pull out, especially in flat terrain where the advantage of gravity cannot be used for pulling out. Some tractors can move the drum or have a hydraulic aid to pull out the cable and reduce in this way the physical workload of the forest workers. In this case, skidding distances are limited to 50 m because of the high weight of the cable. The forest road should at least have a width of 4 m for efficient work with the winchequipped skidder.

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Fig. 28 Skidding with tractor-based winch. Source: TMO

In forest plantations where the assortment consists of short stems of 2.2 m of small diameter, a team consists of one machine operator and four helpers. In general a winch system is only applied in very steep terrain with over 60 % of slope.

Specific Forest Machinery and Equipment for Wood Extraction Fully mechanized forest harvesting operations are becoming more and more interesting in tropical forests. The machines used for wood extraction today are specially developed for this purpose, meeting the ergonomic, safety, and environmental requirements of sustainable forest management. Tropical forest plantations often are very homogeneous and managed in clear-cut systems, where fully mechanized systems are highly competitive (Forest and Rangelands 2011d). Here a variety of machines with specific design for forest operations have been developed in the last decades. It has to be mentioned that these machines often were developed in Europe or North America, where working conditions are different. Machines used in tropical regions have to be “tropicalized” with adapted refrigeration systems, larger air filters, and air condition for the operator cabin. Skidder A skidder is a special designed forest tractor for the draft of wood partially touching the ground. There exist several models starting with 4  4, 6  6, and 8  8. Skidders were developed in the late 1960s as a strong and agile machine able to operate with low costs. The rugged machine with simple maintenance is able to handle nearly all sizes of trees or stems, even very strong ones, making it the most preferred option in tropical forests. Skidders exist as several models, wheel or track based. The decision on which model to choose depends on the skidding conditions found in the target area. Track-based machines have the big advantage of causing less soil damages, but at the same time, they are very slow. The maximum skidding speed is between 3 and 5 km/h, which result in low productivity if skidding distances are long. Wheel-based machines on the other hand are much faster and show higher productivity rates, but often cannot be used for skidding operations during rainy season or on sensitive soils. The skidder has a grabber mounted at the back part of the machine. This grabber is able to take up a single stem or a bundle of stems or full trees and skids them to the forest road or landing zone. Some models are equipped with a clam bunk, enabling the operator to collect several stems or bundles in one trip. Most of the skidders are also equipped with a front shield to open skidding trails and to pile logs at landing zones. Skidders equipped with a winch are able to pull stems over distances of 50–60 m, reducing the impact on the forest soils by concentrating skidding activities to a specifically designed net of skidding tracks. Such skidders beside the winch have a back shield which is fixing the machine during the pulling process with the Page 23 of 41

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winch. In many cases they have no grabber, because the stems are fixed with and skidded with the cable of the winch. At the market, skidders from 10 to 38 t are available, equipped with engines of 96–300 kW. The productivity of the machine depends mainly on the skidding distance and the performance of the operator, besides the factors already mentioned in the introduction of this chapter (Figs. 29, 30, and 31).

Fig. 29 Grapple skidder with four wheels (4  4, top) and six wheels (6  6 bottom). Source: Gustavo Castro

Fig. 30 Eight-wheel skidder with assisting tracks (top) and a track skidder (bottom). Source: Tanguay / Caterpillar

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Fig. 31 Skidders equipped with a winch in forest plantation (top) and in a native forest (bottom). Source: Tigercat / Leif Nutto

Wheel-based skidders may operate in terrains of 30–40 % of slope, the latter only true for 6  6 or 8  8 machines. Skidding distances of up to 400 m are viable. The track-based machines may operate at slopes up to 50 %, with maximum skidding distances between 120 and 180 m. Skidders were developed for long log or full-tree harvesting systems, being not competitive in short log systems. As already mentioned, skidding whole trees on sandy soils in a clear-cut system leaves the soil completely uncovered with all protective organic material removed. In times of heavy rainfalls, the risk of erosion is not acceptable from an environmental point of view. Clambunk Skidder A clambunk skidder is a machine that is able to skid bundles of stems or whole trees from the place of felling to the forest road or a central processing zone. The loading is done with a grapple mounted at the skidder. The trees or stems are put in a bank which can be closed with a claw. Depending on the size of the machine, volumes between 2 and 3.5 m3 can be skidded at once. Like the normal grapple or winch skidders, part of the wood is also dragged on the ground (Fig. 32). Some of the clambunk skidders have the same basic machine as a forwarder and can be converted to it; others are specifically designed for this purpose. The machines have an excellent handling and can be used also in steep terrain of up to 25 . Forwarder Forwarder are self-loading forest tractors, generally designed for transport of short logs in forests. The loading weights vary between 5 and 22 t and the power of the engine from 95 to 205 kW, depending on the model. The productivity largely depends on the pre-concentration of the wood and the hauling distance (Malinovski 2007). The machine is highly flexible to cope with difficult terrain found in off-road transport. Depending on soil type and humidity, wheel-based machines are able to handle slopes up to Page 25 of 41

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Fig. 32 A clambunk skidder in a forest plantation. Source: Gustavo Castro

Fig. 33 Forwarder of different sizes with six wheels (top) and eight wheels (bottom). Source: Gustavo Castro

30 %. In more sensitive soils and steep slopes, the use of flexible tracks put over the wheels is useful. Forwarders today are also used with assisting winches anchored on the uphill side, allowing to work in terrain up to 80 % (Fig. 33). A forwarder consists of a load carrier in the back, a crane, and a basic machine. The crane sometimes is equipped with a telescopic arm, increasing the activity radius when the machine is loading. The maximum lift may reach 1.8 t, depending on the model of the overall configuration of the system. After filling the load carrier, the forwarder moves to the forest road or a landing place, where the wood is piled for road

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Fig. 34 Wheel-based forest tractor equipped with a crane for felling, delimbing, bucking, and loading as well as with a load carrier for off-road transport (combination of harvester and forwarder, harwarder). Source: Komatsu Forest

transport. In hot systems the forwarder may unload directly upon a truck. Many studies about the risk of soil compaction have been conducted in the past (Schardt et al. 2007; Seixas et al. 2003). Harwarder In harvesting operations, the activity of loading and unloading takes 50–75 % of time consumption. To reduce this time, integrated systems were developed in the last years. A harwarder is a combination of harvester and forwarder and able to cut, delimb, debark, and section the trees before loading and forwarding it. This way, all the process steps of a harvesting operation are done by only one machine (Fig. 34). The main advantage of the system is that the processed wood is directly “stored” in the load carrier, avoiding a separate working step with another machine. On the other hand, the compromise between a pure felling and processing machine and forwarder reduces the productivity a little bit. In clear-cut systems in tropical forest plantations, combined machines showed to be less productive. When used in thinning or selective logging systems, in many cases, they have advantages in flexibility and productivity of the operations. Realizing all processing steps with only one machine can also reduce soil compaction by less frequent driving in the stand. Shovel Logger A shovel logger consists of a basic machine that can be specifically developed for forest operation or a simple excavator with an adaption to move wood (Fisher 1999). They are powerful machines that can lift or drag high weights with a grapple mounted at a crane. The equipment is used for full-tree or whole-tree harvesting operations. Its function in a harvesting system is to skid, pre-concentrate, or lift trees for any kind of further transport, skidding, or forwarding operation. It can be considered to be a multifunctional machine that also is able to open skid trails after clear-cut and thinning operations or for simple constructions in swampy terrain. In some cases, they are also used for loading trucks (Fig. 35). Some shovel loggers are designed for operating in steep terrain and are able to level the operator cabin according to the relief of the harvesting area. In sensitive or swampy soils, it is recommendable to use a basic machine with enlarged tracks to improve the distribution of the load on the soil.

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Fig. 35 A shovel logger working in a conifer planted forest. Source: Gustavo Castro

Helicopter Logging Helicopters rarely are used for logging operations in the tropics. In tropical forest plantations, groundbased systems are much more competitive, and in native tropical forests, the access through the canopy in selective logging systems is seldom given. Besides, the logs of native trees are big sized and heavy and would need large helicopters to lift them (Akay and Acar 2008). The overall system is extremely expensive, often exceeding by far the value of the wood. On the other hand, the system can be used at any slope (0–100 %) or terrain conditions, including sensitive soils, reducing in this way environmental impact (Castro 2011b). The harvesting with helicopter assistance can be conducted in several ways: (a) Standing stem harvesting: This process consists in a selective logging system where species, diameter, height, volume, and weight are known and the trees are felled, lifted by the helicopter, and transported to a landing zone. The system is of very low impact because felling in general is done motor-manually and no ground-based machinery is used. (b) Buncher harvesting: This process is pre-concentrating the wood before transporting it with the helicopter. The trees are felled, processed, and concentrated to bundles or small piles. This can happen motor-manually or, if the terrain allows it, also by machines. The helicopter lifts and transports the wood to a landing zone (Fig. 36).

The main characteristics of helicopter logging are the vertical transport of the wood, fast cycles, low environmental impact, and to be able to fly with wind up to 90 km/h. The disadvantages are the high fuel consumption of the helicopter, the operator and machine costs per working hour, the limitation in weight of the trees or stems that can be transported, the need of highly trained and specialized personnel, and the dependency on only one machine (helicopter). In some cases the stems have to be cut in shorter length so that the helicopter can lift them, reducing in this way the value of the stem.

Cable Yarder Cable yarding or skyline systems are applied when the terrain is too steep for wheel- or track-based machines in skidding or forwarding operations or where the soil is of low carrying capacity (Forest and Rangelands 2011a). While cable logging works with ground pulling or high lead, skyline systems allow a fully suspended wood transport. There are innumerous ways to classify skyline systems. Only to mention some of them, they may be distinguished after:

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Fig. 36 Logging operations assisted by helicopters. Source: Erickson Air Crane

Fig. 37 Mobile cable yarders with different technical specifications. Source: Jorge Malinovski

• • • •

Mobility – stationary, semi-stationary, or mobile Anchoring – fixed or possible lowering Number of ropes (cables) – one-, two-, or three-rope cable ways Yarding distance – short (>300 m), middle (300–800 m), or long (800–1,600 m) (Figs. 37 and 38)

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Fig. 38 Cable yarders in steep terrain of tropical pine plantations. Source: Leif Nutto

Cable yarding systems in general are more expensive, are of lower productivity, and require highly trained operation teams. In tropical regions they are mainly used in forest plantations in very steep terrain (slope > 30 %). Since they also need access roads to work properly, besides the economic viability, there are mainly environmental restrictions to consider in the decision. Plantations are often managed in clearcut systems leaving the soil exposed after harvesting operations. In steep terrain there is a high risk of erosion and loss of soil fertility, those losing the claim of sustainability in the forest management (Thees et al. 2011). In forest plantations the conditions found for economic cable logging systems are promising: • High wood volume to haul because of clear-cut systems • Homogeneous forests with smaller log diameters • Good infrastructure (forest road system) The average productivity of a short distance system is about 4 m3/h, 8 m3/h of a medium distance system and 12 m3/h in systems with more than 800 m of hauling distance. In clear-cuts of tropical plantation, the productivity might reach up to 20 m3/h. In native forest such systems are very limited by missing infrastructure, low harvesting volume per hectare, and the weight of the logs of big dimension. A kind of skyline system is balloon logging, where the anchor points to lift up the cables is done by a balloon, carrying the weight of the ropes and the hauled

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trees. The system was tried to be applied in tropical rainforests, but there were many limiting factors. The forests in general are managed as permanent forests with target diameter harvesting systems. The structure of the forest after harvesting is still very dense, impeding the transport of the suspended logs of large dimension. High costs and low productivity paired with the need of highly skilled operating teams make the cable yarding system a rarely chosen option in native tropical forests.

Machinery for Chipping, Grinding, and Bundling Chipper A chipper is designed to cut the wood or a whole tree or a stem in small chips (Forest and Rangelands 2011b). They are not exclusively for chipping wood, but also other materials of similar consistency. Since the production of biomass for energetic purpose became more interesting, chippers are also used to process crown slash, bark, and other plant materials. The more dirt is attached to the biomass, the more difficult is the use of a chipper because of defects or high maintenance costs. The size of the chips depends on the configuration of the chipper and the material (Cremer 2008). Since the 1980s, chippers have been integrated in harvesting systems. With the right system, high-quality chips can already be produced on the forest side. Some chipping modules are already able to delimb, debark, and chip the wood in one machine. Chippers used in forestry systems in general are mobile modules, with powerful engines of 240–900 kW and a weight between 2.4 and 55 t. The chipper can be mounted on the chassis of a trailer, a self-driving track-based system, a truck, or any other kind of mobile unit, depending on the size and weight of the machine. It may be combined with a grapple and a crane as a self-feeding machine or be used with an external loading system (Fig. 39). The chips are directly ejected in a container or truck for further transport. The configuration of the system determines the quality of the chips, from “dirty” chips for rug energy generation up to clean and high-quality chips for pulp production (Fig. 40). Grinder Grinders are more robust machines able to process material that would damage the knives of the chippers. A grinder is fragmenting the material by rugged tools; in the case of wood, it is generally used to clean forest areas for cultivating the land, to reduce the size of wooden residuals after forest operations, or to produce combustion material. They may reach a weight of 50 t and can be mounted as a mobile unit like chippers. The engines have a power of up to 1,200 hp (Fig. 41). Slash Bundler In the 1990s, machines have been developed to bundle crown slash and other harvesting residues for further transport and utilization, specifically for energy production (Leinonen 2004). The bundling unit in general is mounted on the basic machine of a forwarder, collecting the harvesting residues and compacting them to bundles driving through the stands where the harvesting operation has taken place. If the crown slash is pre-concentrated at the forest road (full-tree harvesting and processor head at forest road), the bundler can also be mounted on a truck. The bundles in general have a length of 3 m and a diameter adapted to the operational necessities, reaching up to 80 cm. A slash bundler may produce up to 20 bundles per hour (Leinonen 2004). If produced in the forest site, the bundles are collected in a further process by a forwarder (Machado 2008) (Fig. 42).

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Fig. 39 A combined machine for feeding, delimbing, debarking, and chipping. Source: Gustavo Castro

Fig. 40 Mobile drum chipper in a forest plantation. Source: Gustavo Castro

Fig. 41 Self-driving grinder (remote control) for stumpage removing in forest plantations. Source: Gustavo Castro

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Fig. 42 Slash bundler for compacting crown slash for transport. Source: John Deere Forestry

Loading Equipment and Machinery After the hauling process, the wood in general is pre-concentrated at the forest road or at specific landing zones for loading and transportation to the end consumer (Seixas and Camilo 2008). There are many ways to load the wood for further transport, depending on the size of the logs and the assortments and the technical options available. In many tropical countries, labor force is still cheap and unskilled workers are available. Work safety and health protection in many cases are still regulated in an insufficient way, allowing and considering legal aspects and outermost hard work under dangerous conditions, which is already forbidden in other parts of the world. Today it should be a voluntary commitment of forest managers, forest owners, and companies to put health and safety of the workers in the first place. Outermost hard work or putting the life and health of a person in risk today is not acceptable (Silva et al. 2008). Loading today in general is done in a mechanized way. If wood volumes are small or specific loading machines are not available at all, a variety of options exist where the wood can be placed on transport means in a safe way. Loading can be done as: • Manual or animal-assisted loading, with or without ramps • Semi-mechanized loading • Machine loading – Mobile machines (wheels, tracks) – Fixed machines

Manual and Semi-Mechanized Loading Manual loading operation should only be planned if the assortments produced during the harvesting operations are short and of small diameter. In many pulpwood or fuelwood plantations, the logs are Page 33 of 41

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Fig. 43 Extremely dangerous manual loading of eucalypt logs under wet and slippery conditions in Ethiopia. Source: Leif Nutto

between 10 and 20 with a length of 1 or 2 m, allowing a manual loading of trucks and trailers. Even so, such operations are of very low productivity, requiring low wages to be competitive with mechanized loading systems. Loading of bigger logs should be planned with the help of machines or, if not available, at least using animals or gravity systems. Manual loading like it is shown in Fig. 43 is extremely dangerous and should not be planned or conducted under any circumstances. Even so, it still is practiced in a large number of countries, specifically in the tropics. It puts the health and life of the forest workers in risk. Manual or animal-assisted loading of bigger logs should always be done from the opposite side of the truck pulling the logs with ropes. Under no circumstances any person should be on a lower position than the log to be loaded. If there is no possibility to lift the wood with the help of a machine, a ramp has to be built to load the logs. In general two or three smaller trees are felled and positioned at the truck to be loaded that they form a ramp (Fig. 44). A rope or cable should be fixed at least at two points of the log, and the load has to be pulled from the opposite side of the truck. The pulling can be done manually or by animals, a winch, or a tractor. No person should stay in the danger zone during this process. Another option is to use a tractor with a front-end loader pushing the log on the ramp upward (Fig. 45). If there is no machine available to lift the load, this option is of higher productivity than to use cables or ropes.

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Fig. 44 Loading of a truck pulling the logs over a ramp to the truck (left) and using a winch propelled by the own truck (right). Source: The authors

Fig. 45 Loading with a ramp and a tractor. Source: The authors

Fig. 46 Ramp on the upper side of a batter that might be constructed in mountainous terrain. Source: The authors

In mountainous regions, there is always the option to build ramps using gravity. On the uphill side, a ramp is built or the batter of a forest road is used (Fig. 46). The logs are piled on the upper side and then rolled on the truck. This is a cheap and frequently applied option where no adequate machine for loading is available. In case of short logs of small diameter as it is a common assortment in tropical forest plantations managed for fuelwood, pulpwood, and particle or fiber board production, manual loading of the logs for transport on trucks or carriages is quite common.

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Fig. 47 Multifunctional knuckle boom loader mounted on a trailer. Source: John Deere Forestry

Fig. 48 A log loader mounted on a track-based excavator machine. Source: Gustavo Castro

Mechanized Loading Mechanized loading is the predominant form of wood loading today. The health risk and critical ergonomics of lifting heavy weights over longer periods led to the use of specific machines for wood loading in harvesting operations. Log loaders are wheel- or track-based machines equipped with cranes and grapple to lift the logs on further transport means. At the beginning, machines from other sectors like construction or logistics were used, but today, more and more specifically designed machines for wood loading and unloading are developed. The cabins of the operators can be lifted to have a better view and to get a better performance and more safety during the loading process. Overload sensors warn the operator if the wood lifted is too heavy and puts in risk the stability of the machine. There exist a variety of log loader models on the market today. One of them is the knuckle boom loader which is mounted on a truck or trailer chassis. In some cases, they are equipped with a processor head and can do delimbing, debarking, and bucking before loading the logs (Fig. 47). Track-based machines with long cranes and a grapple are also commonly used for wood loading. The high weight of the basic machine allows a wide range to get the wood and load it on trucks or trains (Fig. 48). Front wheel loaders are machines used in civil constructions and are adapted to transport and load logs. They are frequently used for loading and unloading heavy logs harvested in native tropical forests. They are often found in log yards to feed sawmills with logs. Since the front loader is fixed, the machine cannot

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Fig. 49 Wheel front-end loader in the landing zone of a tropical rainforest (top) and at the log yard of a sawmill (bottom). Source: Leif Nutto

stay on the same place while loading. A permanent driving between the piled wood and the truck is necessary, reducing the performance of the machine as compared to the ones with a lever (Fig. 49).

Final Comments As it could be shown, a nearly infinite number of wood harvesting machinery and equipment exist today. The trend is clearly going toward higher degree of mechanization, because of the high risks in forest work, heavy workload, working safety, and also productivity. This is also true for tropical forests, no matter if planted or native, because of increasing awareness of sustainable and social correct acting in all forest operations, required by the global markets. Even so manual and animal-assisted harvesting operations will still remain an important option for a long time in tropical forest, simply because of missing alternatives from an economic point of view. Especially for communities and small farmers, it is very difficult to make investments in technical equipment and the necessary maintenance for successful operation. The existing equipment and machinery are constantly improved and adapted for tropical conditions. Especially for machines, the climate conditions like heat and dust may lead to severe damages and adjustments are necessary. When selecting appropriated harvesting equipment, these considerations are important.

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Every harvesting equipment or machine has its advantages and disadvantages. For making a decision on which to use, all limiting factors have to be carefully evaluated. The harvesting operation itself consists in a combination of different equipment for felling and processing the wood, off-road transport, and loading. Manual, motor-manual, animal-assisted, and mechanized operations may be mixed individually and adapted to local restrictions to obtain the most efficient and technically viable system.

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Forests and Rangelands (2011c) Forest operations equipment catalog – Feller Buncher. Available at http:// www.forestsandrangelands.gov/catalog/equipment/fellerbuncher.shtml. Accessed 23 Sept 2011 Forests and Rangelands (2011d) Forest operations equipment catalog – forwarders. Available at http:// www.forestsandrangelands.gov/catalog/equipment/forwarders.shtml. Accessed 8 Oct 2011 Forests and Rangelands (2011e) Forest operations equipment catalog – harvester. Available at http:// www.forestsandrangelands.gov/catalog/equipment/harvester.shtml. Accessed at 24 Sept 2011 Freitas KE (2005) Análise técnica e econômica da colheita florestal mecanizada. Thesis, Federal University de Viçosa-MG Hubbard W, Latt C, Long A (1998) Forest terminology for multiple use management. The dictionary of forestry. Helms JA (ed) The Society of American Foresters, Bethesda Leinonen A (2004) Harvesting technology of forest residues for fuel in the USA and Finland. VTT Tiedotteita, Espoo, Research notes 2229, p 132 Linhares M, Sette Júnior CR, Campos F, Yamaji FM (2012) Eficiência e desempenho operacional de máquinas Harvester e Forwarder na colheita florestal. Pesq Agropec Trop 42(2):212–219 Machado CC (1984) Exploração florestal. Viçosa, MG: Impr. Univ., v.3. 60 p Machado CC (2014) Colheita Florestal, 3rd edn. Federal University of Viçosa, Viçosa-MG Malinovski RA (2007) Otimização da dist^ancia de extração de madeira com Forwarder. PhD thesis, State University of São Paulo, Botucatu Malinovski RA, Malinovski RA, Malinovski JR, Yamaji FM (2006) Análise das variáveis de influência na produtividade das máquinas de colheita de madeira em função das características físicas do terreno, do povoamento e do planejamento operacional florestal. Florestal, Curitiba, PR, 36(2):169–182 McEwan A (2007) Mechanised Eucalyptus debarking – commercial options for the forest. Nelson Mandela Metropolitan University, Port Elizabeth, South Africa, 36 p Moreira FMT (1998) Mecanização das atividades de colheita florestal. Thesis, Federal University of Viçosa-MG Nordfjell T, Bjorheden R, Thor M, Thor M, Wasterlund I (2010) Changes in technical performance, mechanical availability and prices of machines used in forest operations in Sweden from 1985 to 2010. Scand J For Res 25:382–389 Ole-Meiludis REL, Ommes H (1979) The use of sulkies in thinning softwood plantations. Record No. 9. Division of Forestry University of Dar es Salaam, Morogoro Oliveira D, Lopes ES, Fiedler NC (2009) Avaliação técnica e econômica do Forwarder na extração de toras de pinus. Sci For Piracicaba 37(84):525–534 Olund D (2001) The future of cable logging, the international mountain logging and 11th Pacific Northwest Skyline symposium, pp 263–267 Purf€ urst T (2009) Der Einfluss des Menschen auf die Leistung von Harvestersystemen. PhD thesis, Technical University Dresden Rigolo A, Baptista MD (2011) Colheita florestal. Available at http://www.amatabrasil.com.br/pt/ operacoes/plantacoes_exoticas/PO_PLT_18_Colheita_Florestal_091016.pdf. Accessed 5 Nov 2011 Rummer B (2011) TIMBR-3: forest operations technology. Available at http://www.srs.fs.usda.gov/ sustain/report/pdf/chapter_15e.pdf. Accessed 21 Oct 2011 Salmeron AA (1980) Mecanização da exploração florestal. IPEF, Piracicaba, Circular Técnico 88, 10 p Sant’anna CM (2008) Corte. In: Machado CC Colheita Florestal. Chapter 3. UFV, Viçosa, pp 66–96 Schardt M, Kremer J, Borchert H, Matthies D (2007) Wurzelschutz beim Einsatz von Forwardern. Forst & Technik 2:6–11 Seixas F (1987) Exploração e transporte de Eucalyptus spp. Piracicaba. SP: IPEF, 40 p Seixas F (2008) Extração. In: Machado CC, Colheita Florestal, Chapter 4. UFV, Viçosa, pp 97–145 Seixas F, Camilo DR (2008) Colheita e transporte florestal. ESALQ/USP, Piracicaba, 243 p Page 39 of 41

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Seixas F, Koury CGG, Rodrigues FA (2003) Determinação da área impactada pelo tráfego de Forwarder com uso de GPS. Sci For 63:178–187 Silva EN, Miranda SM, Cordeiro SA (2008) Carregamento e Descarregamento. In: Machado CC, Colheita Florestal, Chapter 5. UFV, Viçosa, pp 146–160 Thees O, Frutig F, Fenner P (2011) Colheita de madeira em terrenos acidentados – Recentes desenvolvimentos técnicos e seu uso na Suíça. In: Annals XVI Seminário de Atualização sobre Sistema de Colheita de Madeira e Transporte Florestal, Campinas, pp 125–146.

Websites for Machinery and Equipment Used in Tropical Forests and Plantations http://midiflex.se http://newholland.com.br http://www.atechsi.com.br http://www.biojack.fi http://www.brackeforest.com http://www.cat.com.br http://www.cbi-inc.com http://www.colheitademadeira.com.br http://www.deere.com http://www.deniscimaf.com http://www.eco-log.se http://www.el-forest.se http://www.fecon.com http://www.fezer.com.br http://www.forestsandrangelands.gov http://www.gilbert-tech.com http://www.gremo.com http://www.hultdins.com http://www.hypro.se http://www.jdesouza.com.br http://www.kesla.fi http://www.kollerna.com http://www.komatsuforest.ca http://www.komatsuforest.com http://www.komatsuforest.com.br http://www.komptechusa.com http://www.ktiforest.com/treeking.html http://www.logmax.com http://www.macedo.ind.br http://www.madillequipment.com http://www.mecanil.fi http://www.menzimuck.com.br http://www.morbark.com http://www.naarva.fi http://www.nisulaforest.com http://www.penzsaur.com.br http://www.petersoncorp.com http://www.ponsse.com Page 40 of 41

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_183-1 # Springer-Verlag Berlin Heidelberg 2015

http://www.precisionhusky.com http://www.prenticeforestry.com http://www.prosilva.fi http://www.randon-veiculos.com.br http://www.risleyequipment.com http://www.roderbrasil.com.br http://www.roster.ind.br http://www.rottne.com http://www.sampo-rosenlew.fi http://www.satco.co.nz http://www.silvatec.com http://www.spmaskiner.com http://www.tanguay.cc http://www.tigercat.com http://www.timbear.se http://www.timberpro.com http://www.tmo.com.br http://www.vermeer.com http://www.vicort.com http://www.volvoce.com http://www.welte.de http://www.woodtechms.com

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_184-1 # Springer-Verlag Berlin Heidelberg 2015

Harvesting Systems Gustavo Pereira Castroa, Leif Nuttoa, Jorge Roberto Malinovskia* and Ricardo Anselmo Malinovskib a Malinovski Florestal, Curitiba, Brazil b Universidade Federal do Paraná, Curitiba, Brazil

Abstract Forest harvesting refers to cutting and delivering trees in a productive, save, economic, and ecological process. It includes the conversion of trees into merchantable raw material according to specific industrial or individual requirements and needs. The combination of different technologies, machines, and labor force of the single processing steps of a harvesting operation to a harmonic and efficient production chain is the big challenge of a productive harvesting system. Wood harvesting has become an important science and operational factor all over the world in the last decades. In the framework of sustainable forest management, it is one of the key issues where the human impact on using natural resources like forest ecosystems can be reduced. Specifically in tropical countries, the forest ecosystems are very sensitive to any kind of human intervention. In native tropical forest as well as in tropical and subtropical forest plantations, the principles of reduced impact logging (RIL) are regarded as the most critical factor for economic, ecologic, and social sustainability (FAO 2004). Most of the negative image of tropical forest management comes from inappropriate harvesting methods with catastrophic environmental impact. Conventional logging systems (CL) did not take into consideration any sustainability matter, since the objective was always to make fast money and move on to the next exploitation site. In a long-term careful planning, harvesting operations can reduce costs, avoid environmental degradation, improve the utilization of the natural resources, and prevent the injury to personnel. Selecting the most appropriated harvesting system for a given silvicultural management system, terrain and climate condition, available infrastructure and transport system, technological and social restrictions, and finally available financial resources is a key decision in every wood-producing forest enterprise. The harvesting system contributes in a high proportion to the profitability of the wood production and therefore the costs of the raw material provided to the wood industry. For selecting the most adequate harvesting system, not only the investment costs for machines, training of personnel or staff, as well as maintenance costs should be considered. The important question for harvesting is how much does the cubic meter of wood loaded on the truck in the forest cost. In a broader sense, the total costs of the raw material put in the log yard of the respective wood industry crucial to take the decision of the best harvesting and transport system. The performance and productivity of the system as well as long-term factors like environmental degradation of forest production sites determine if the harvesting operations are conducted with an appropriate system or not. The number of wood-harvesting machines and technologies available at a global level is extremely high, multiplying by the options of putting the single processing steps lead to numberless combinations. The article pretends to classify harvesting systems from different points of view and to present some of the most frequently applied harvesting systems in the tropics on a global level. Since the innovation in harvesting technologies and equipment is very high, new systems and combination of single processing steps are found in harvesting practice every year.

*Email: [email protected] Page 1 of 34

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Keywords Harvesting Systems; Logging; Full-tree; Cut-to-length; Tree-length; Chipping; Wood Harvesting

Introduction Forests occupy huge areas on our planet, where the most sensitive forest ecosystems are located in the tropical and subtropical regions. The global trend toward using more natural resources produced in a sustainable way leads to a higher demand for renewable raw material such as wood. High volumes are harvested day by day and the challenge is to provide the assortments for different utilizations in an economic feasible, social just, and environmental sound way. The variety of characteristics found especially in tropical forest ecosystems, no matter if they are planted, native, or already exploited, requires also a set of different strategies of how to get the wood from the forest to the wood industry and the end consumers. Wood harvesting therefore has become an essential part of the forest-wood chain, also because of the environmental, social, and economic impact of these activities on forest utilization in general. No matter if the harvesting is done manually, semi-, or fully mechanized, it always consists of a combination of operational steps in the framework of forest management, with the aim of processing the wood of trees and hauling it to landing zones, where it can be piled for future loading and transport to wood industry (Greudlich 1996). Harvesting operations consist of a variety of activities, such as felling, delimbing, debarking, sectioning, hauling or skidding, piling, and loading. In some cases the wood is already chipped or grinded in the forest, a process where also an adapted harvesting system has to be applied. For each activity are existing innumerous technologies and solutions, from purely manual activities up to fully mechanized options. To find the best combination of the existing solutions or technologies for each single step in the harvesting chain, in other words, to find the best harvesting system, is the big challenge of harvesting planning. In the past decades, forest harvesting has undergone huge changes, specifically in the tropical regions of the world. Pure economically driven systems have been replaced by ones that also give attention to environmental and social sustainability. The increased awareness of environmental problems induced by this type of land use, movements toward nature preservation, and protection lead to the establishment of reduced impact logging (RIL) principles, aiming to avoid permanent environmental damage induced by harvesting operations (Hawthorne et al. 2011). On the other hand, also changes in the “human factor” of harvesting activities are worth to be noted. Being forest work in general, a labor intensive form of land use, nearly all working activities have to be linked with outermost hard physical stress and extremely dangerous work. The problems are even worse under tropical climate, where high temperature and air humidity can aggravate the working conditions for humans. Nutrition and health status, health care, and existing infrastructure also play an important role in performing socially acceptable and humane working conditions. Another aspect commonly noted is the overall lack of qualified labor in the remote areas where forest management is practiced. These facts lead to a trend toward mechanization of harvesting systems, as well in native as also in planted tropical forests. The planted forests, or forest plantations, have become more important in tropical countries in the recent years. The low productivity in commercial timber, the high ecological sensitivity, legal restrictions, and social problems found frequently in tropical native forest management lead to a trend of establishing intensively managed planted forests to meet the increasing global wood demand, while reducing activities in native forests. In Brazil, for instance, a tropical country with an important forest and wood industry, close to 70 % of all wood consumed is produced in only 1.7 % of the total forest area, being these intensively managed plantations. Of course this trend shows also an Page 2 of 34

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impact on harvesting operations standards and the importance of systems used to bring the wood from the forest to the industry. In this regard, harvesting operations have undergone changes in productivity, quality of assortments, humanization of forest work, and environmental impact and costs. Since the financial contribution of harvesting at the overall forest operation costs is relatively high, the planning and selection of an adequate harvesting system is one of the most important decisions that have to be taken when managing forests. The innumerous options and technical solutions available today make decision taking to a difficult task for highly qualified personnel (Machado and Lopes 2008). Even so, in the last decades some standard harvesting systems have been developed that fit best with the idea of sustainability and also offer an acceptable cost-benefit solution for forest managers. Individual adoptions of the basic systems considering technical, local, legal, social, and environmental restrictions of some regions in the world are performed frequently.

Selection Criteria for the Harvesting System A harvesting system consists of an interaction of several elements and activities starting from the felling up to providing the assortment for loading at the forest road. The system itself is integrated in the forestwood chain of the forest industry and determined by the needs of the specific processing or converting industrial unit. A harvesting system is defined by integrated activities, which allow a continuous flow of wood from the standing tree to a landing zone where processed wood is piled, leading to an optimized use of the techniques, technologies, and equipment applied. The main activities found in harvesting systems are as follows: • • • •

Felling (cutting of the tree) Processing (debarking, delimbing, sectioning, or chipping) Wood extraction (skidding, forwarding, cable systems) Loading

The activities may present variation in their sequence according to the harvesting system chosen. There has to be a considered degree of mechanization, availability, and qualification of labor and the equipment used. The only exception is the felling process, which always is on first place. These factors may have influence and may be considered when planning a harvesting operation and take the decision about what harvesting system to use.

Considerations for Planning and Selecting Harvesting Systems Decisions concerning the system to be used for harvesting operations have to be based on careful planning and cost calculation, including operational costs, productivity, utilization of the wood and, other factors of influence or restrictions (FAO 2007). Possible factors of influence are presented and discussed in the following subchapters. Environmental Considerations The environmental factors are a combination of several issues to consider before selecting an appropriated harvesting system. They may lead to high additional costs and have to be seen from a long-term point of view. Areas, relief, topography, soil type, special habitats, waterbodies, and climate may be important elements when choosing a harvesting system. Page 3 of 34

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Harvesting operations in general show not only a “visual” impact on the environment but also may lead to severe damages of the ecosystem. The operations affect water, fauna, flora, soils, and other resources according to the utilization standards defined in the forest management plans. Mainly the felling and transport of wood in the stands (off-road) as on the forest and public roads are of direct impact on environment and have to be carefully planned. The principles of reduced impact logging (RIL) were developed exactly for this purpose and adapted for tropical conditions (Lagan et al. 2007). In most countries, these principles today can be found in local legislation and also implemented in modern certification processes. The operational restrictions linked to the RIL make harvesting expensive and have to be considered carefully in the planning process to meet with the economic sustainability of the forest management activities. Soil erosion, soil compaction, sedimentation in rivers and lakes, water temperature, and chemical pollution are only part of the manifold negative impacts that may be linked to harvest operations and which can be avoided by careful harvesting planning. Soil Erosion Before and during harvesting operations, the soil of the area is partially exposed by road construction, landing zones, skidding trails, and the removal of trees. The impact of tropical rainfall and wind on exposed soil can lead to severe erosion problems, where part of the soil is displaced according to the external forces and gravity acting on the particles. The negative impact can be reduced by careful planning of the harvesting operations and technologies used. A crucial point is construction of access roads and landing zones. Location, size, surface sealing, inclination, and water draining may be considered to reduce erosion. The selection of harvesting systems, wheel-or track-based machines, location of the skidding trails, and skidding performance of operations have to be checked for reducing negative impact. Depending on the climate, considering the season may also be an important restriction, as it is already stated in forest legislation and certification rules of many tropical countries. At least also the post-harvest activities have to be planned. Replanting of sensitive zones and closing of roads with water bars are only a few options that are available to reduce erosion. Protection of Waterbodies Closely linked to the erosion problems of harvesting operations are the negative environmental impacts of forest management on waterbodies. Streams, rivers, and lakes are often a source of drinking water, are used for transport or irrigation, and may serve as a source for industrial cooling processes. Beside this, they are essential for nature conservation, especially to wildlife. One of the main concerns of harvesting planning therefore should be waterbody protection to avoid negative impact on environment and high costs for erosion recovery. In local and regional legislation and many certification rules, the issue is taken into account with rigorous restriction for forest management nearby rivers, lakes, and water reservoirs. The most important issues for defining the restrictions are as follows: • • • •

Soil type and slope of the terrain (erosion risk) Local communities living at and from the waterbodies Climate, specifically intensity and yearly distribution of rainfall Specific use of the waterbody, like function as water reservoir, fluvial transport, or irrigation in agriculture

These factors decide the protection intensity and size of the buffer zones around waterbodies that have to be respected as well as if they are excluded from any kind of forest management or road construction.

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Bridges, landing zones, haven, or access roads to rivers need special permissions and have to be built according to rules of lowest impact after newest technical rules. Keeping a minimum distance from the waterbodies in general already solve a lot of the problems related to erosion and sedimentation. Additional measures that may be taken are careful selection of road location, no skidding trails close to rivers, as well as uphill felling and skidding. Again the season of the year where harvesting operations take place have to be carefully planned, avoiding months of high precipitation. Respecting the buffer zones also solve the risk of water pollution by chemicals like machine and hydraulic oils, cooling liquid, or fuel. Soil Compaction Depending on the felling and skidding operations planned for a specific harvesting project, soil compaction may occur in a more or less intensive way. Wheel- and track-based machines may cause compaction of the soil structure, leading to less porosity and reducing water and gas exchange of the soil with the environment. Higher water runoff, reduced tree growth because of disturbed root development, and difficulties in natural regeneration may be a consequence. The negative impact may be reduced if the harvesting system is planned according to the climatic and edaphic conditions. Track crawlers show less compaction than wheel-based machines, dry soils compact less than humid ones, and also there is the option use cable winches to push the logs or trees out of the stand. Also the layout of skidding trails considering sensitive zones already in the operational planning may reduce negative impact of harvesting operations. Wood Utilization The waste of natural resources is commonly agreed as not acceptable in any kind of production process. Harvesting residues have to be regarded as very critical in relation to this aspect, because from the total harvested volume a high proportion of biomass remains in the forest. In tropical forests the volume of a single felled tree in general is very high. Crown slash, high stumps, forgotten logs, and unwanted felling increase the volume of not used biomass, showing a very low recovery between felled biomass and commercial volume. Harvesting planning can reduce the volume of wasted wood and increase the economic return in a significant way. In conventional logging systems, staff responsible for felling operation are not trained to reduce negative environmental impact or wood waste. High stumps, damages, and losses during felling by poor felling techniques are prevalent. Lianas linking tree crowns and leading to unwanted by-fellings today are cut during the preharvest inventory and do reduce unwanted by-felling substantially. The felled trees often are not found or forgotten due to poor coordination between the felling and skidding teams. Many hollow trees, already rotten inside, are equally felled, without any merchantable wood, but having high ecologic value. New inventory methods and modern equipment like GPS and Geographical Information Systems allow a much more efficient planning of all processes linked with harvesting, which allow to improve the utilization of the wood harvested (Hawthorne et al. 2011). Legal and Administrative Aspects Legislation of a country, region, or even municipality may have direct influence on the selection of the harvesting system. The labor legislation of a country can determine the use of certain protection equipment, training standards of forest workers or machine operators, and even the use of technologies in the forest. In Brazil, for instance, the trend is going more and more in direction of fully mechanized systems because of concerns about health, safety, and ergonomic aspects of the labor union representing the forest workers (Gerasimov and Sokolov 2014). The powerful institutions in close link with the government are drivers toward a change in the labor conditions for forest workers, resulting in a higher degree of mechanization. The increasing labor costs, specifically in tropical countries, are also drivers Page 5 of 34

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toward mechanization of forest operations. Anyhow, investment costs for machines are high and have to be planned at least for the life cycle of the machines to be used in harvesting operations. Environmental laws restricting the utilization of native and planted tropical forests are also quite common nowadays in many tropical countries. To protect the environment and meet with the demand of society to the forest, the legal restrictions increase the costs too, also because of increasing fees and taxes on the production of wood in all type of forests. Administrative aspects are also important to be considered in the selection of adequate harvesting systems. Wood harvesting requires short- and middleterm planning on an operational level, with planning, execution, and supervising staff. The personnel have to be trained and instructed to cope with their tasks and duties in an efficient and productive way. The planning of labor force is a middle-term commitment, specifically for machine operators that reach their full capacity only after 3–6 months of training and operating practice, which should be considered when purchasing additional machines for harvesting operations. Economic Aspects For the selection of the harvesting system, the investment costs and the related productivity are determining the economic success of the harvesting operations (Seixas and Camilo 2008). Staff necessary and productivity of processing steps have to be oriented on the wood demand of the wood industry. The volume to be delivered on a daily basis has to be calculated, harvested, and transported in a continuous way, and the system has to be designed for that purpose, including the operational efficiency of the different processing steps. The investment costs, depreciation, fuel consumption, operators, and maintenance costs have to be included in the overall calculations and put versus the productivity of the system, getting this way the cost per unit of wood produced (Junior and Seixas 2006). Operational Aspects The operational aspects are based on the single processing steps that have to be performed to deliver a given assortment for further processing in the wood industry. Costs for fuel, training level of staff, operational efficiency, and others are short-term factors influencing the decision. Of more medium-term influence for decision taking is the float of machines, logistics, forest road system, wood utilization, and assortments. In addition, the forest type to be harvested is also playing an important role in decision taking. Tree species, heterogeneity of structure, quality of the trees, individual tree volume, potential assortments, and other factors are making part of the selection process of the best harvesting system (FAO 2001a). For the single processing steps, the following parameters have to be taken into account: Felling: • • • • • • • • •

Topography Speed and direction of the wind Sequence of the areas selected for felling Felling direction Wood volume of the individual trees as well as for total harvesting Pre-concentration of the wood in the stand (piles, single stems, bundles) Soil capacity against compaction or deformation Security distance to machines and persons Optimized pre-concentration of felled trees or processed wood for further transport

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_184-1 # Springer-Verlag Berlin Heidelberg 2015

Wood extraction: • • • • • •

Direction of extraction Capacity of machines or systems for skidding, forwarding, or hauling Topography Availability of volumes per harvesting unit/area Soil bearing load capacity Distance of hauling Processing:

• • • • •

Topography Pre-concentration of trees or wood in the stand or at forest road and/or landing zones Availability and concentration of crown slash Soil bearing load capacity Characteristics of the location selected for processing; pre-concentration, available space, distance to loading place • Distance to other machines or persons working in the system

Impact of Silvicultural Management on Harvesting Systems Forest management implies an active intervention in a forest, to conduct wood production in a direction where qualitative or quantitative objectives differ from the natural development of the trees. It might be of interest to modify species composition, wood quality, diameter and number of the trees, or rotation cycles, among others. The definition of the management activities have direct impact on the intermediate and final harvesting operations conducted to reach the production goals (FAO 2001b). Each system has some advantages and disadvantages; others are even forbidden or restricted by law. This is the case for the management of forests in many tropical countries. Especially, the native forests underlie severe restriction concerning the management and harvesting operations applied. Some of them are restricted by local legislation, others by voluntary participation in certification processes. The decision, which components to use in a harvesting system, depends on many factors. One possibility to classify the systems is after the silvicultural management is applied that also determines the intermediate and final harvesting method (Bantel 2010). The most practiced examples are: • Clear-cut – Leaving crown slash and other residues on the site – With utilization of residues • Selective logging • Thinning – Systematic – Selective • Patch and strip harvesting • Seed tree and shelterwood systems While in plantations the clear-cut systems are predominant, in planted forests managed for sawlogs also intermediate harvestings by thinnings, the reduced impact logging systems in native forests are based on selective logging (Hartsough 1997). The main objective in such systems is to maintain a permanent forest cover, reducing negative environmental impact. Shelterwood systems and patch and strip management are Page 7 of 34

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found in tropical forests enriched by humans, which are more intensively managed than the systems merely based upon exploitation of primary forests. Clear-Cut Systems Clear-cutting, as the name already indicates, removes all standing trees in a given area. In some forest ecosystems, forest managers claim to “simulate” the natural regeneration process of such forests, much like a wildfire, hurricanes, or other natural disturbance would do. This is rarely the case in native tropical forests, specifically in the humid tropics. Therefore the application of clear-cut in tropical regions should be limited to intensively managed planted forests or where a change in land use is pretended. The species used in forest plantations managed in clear-cut systems should support full sunlight to grow, like it is the character of many pioneer species like pines, poplars, or even eucalypts. Clear-cuts are an efficient way to convert unproductive stands to productive forests because they allow forest managers to control the tree species that grow on the site through natural or artificial regeneration. Clear-cutting removes all canopy cover and may cause environmental problems for a given period of time. Directly after harvesting, the soil is unprotected and exposed to wind and water erosion. The changes in habitat for wildlife and other organisms are extreme; in some cases it may lead to extinction of species. On the other hand, combined with corridors of native forests, plantations managed in clear-cut regime may offer an edge effect of both habitats, where generally the number and frequency of insects and bird species are much higher than in pure native forest habitats. In mechanized systems, very common in forest plantations, also heavy machines operate all over the area and may cause soil compaction. The high extraction of biomass makes it necessary to replace nutrients by artificial fertilizers and to prepare the soils for the next rotations with planted trees with ripping and plowing. Clear-cuts in forest plantations from a harvesting point of view allow a high degree of mechanization and extremely high productive operations, able to deliver high volumes of homogeneous assortments (Fig. 1). Thinning Operations Thinnings are intermediate interventions during a rotation cycle in planted or permanent forests, to influence tree growth and quality by regulation of inner-tree competition. Thinning means a partial harvesting operation with the objective to promote growth of the remaining trees. That makes harvesting complicated, because the objective is not to damage the remaining stands by felling, processing, or wood extracting operations. According to the production goal, two types of thinning, selective and systematic, are applied. Systematic thinning is used in very homogeneous forest just to reduce competition by eliminating a given number of trees. It is possible to cut complete lines of trees or a fixed number of trees in a line. Systematic thinning is easier to plan and execute. Operators of chainsaws or machines do not have to be trained in case of cutting complete tree lines, and the operation can easily be mechanized. The productivity in felling and processing operations is not as high as in clear-cut system, because the quality of the remaining trees requires careful working. Directional felling is important for not to damage tree crowns of future crop trees, and the processing should also be performed without damaging the bark or root collars of the remaining stand (Schardt et al. 2007). Wood extraction operations also should be executed with care to avoid damages and value reduction of the remaining trees. The operations are even more difficult in selective thinning. In this case, trees of outstanding growth and quality are marked to be future crop trees, and direct competitors are removed. The irregular distribution of the future crop trees reduces the speed of the felling and processing. Also the pre-concentration of the felled and processed wood in general is lower and more distributed in the

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Fig. 1 Clear-cut harvesting system in a planted pine forest (left) and eucalypt plantation (right) (Source: Gustavo Castro and Leif Nutto)

Fig. 2 Systematic thinning in a pine plantation taking of complete lines of trees (left, Gustavo Castro) and a mechanized selective thinning in a eucalypt plantation (right, Leif Nutto)

stand, reducing productivity of the wood extraction. Machine operators and forest workers have to be trained carefully for such operations (Fig. 2). The operation of intermediate harvesting systems is more complex and requires detailed planning of all operational steps. Mechanization has to be evaluated carefully because the gain in productivity as compared to manual and motor-manual operations is not as high as in clear-cut systems (Salmeron 1980). Using machines, the risk of causing damages on the remaining stand is higher, also considering soil compaction and root contusion. The length of the produced assortments is influencing on productivity of the wood extraction system to be used and also on the potential of damages during the manipulation and loading process. The longer the assortments produced, the higher the risk of damages. Extraction of full trees is rather difficult and rarely applied in such systems. A general trend in forest plantations is toward mechanization, because of high risk of accidents and concerns about ergonomic aspects against manual and motor-manual forest work. For mechanization, spacing and alignment of the planted trees is of decisive importance if a new system can be applied or not. In native tropical forests, thinning operations are rarely performed, and if it is the case, mainly motormanual systems are applied. Single-Tree Selection Single tree selection or target diameter harvesting is one of the most applied silvicultural systems in sustainably managed native tropical forests. The idea is to use the commercial volume of wood that grows in periods of 20–30 years. Since this volume in general is rather low with a value between 1 and 2 m3/ha/ year, the volumes harvested vary between 25 and 40 m3/ha in one rotation cycle. This volume is concentrated in a few trees of big dimension and of good quality. Usually trees of predefined species that reach a given target diameter are felled. The trees are selected and marked in preharvest inventories, in

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general with diameters above 60 or 70 cm. In many cases, even bigger diameters of more than 1 m are harvested. The options that can be used for the felling process therefore are very limited, being there no other possibility than the use of chainsaws. Machines that would be able to handle the felling of trees with such diameters are rare and would be very heavy, causing damages on the sensitive soils of tropical forests and the remaining stand. Since in single-tree selection systems, it is pretended to use natural regeneration; such damages would put in risk the production goals. The productivity in chainsaw felling in tropical forests is difficult to estimate. Usually, the large volume of the individual trees increases productivity of the felling operations; on the other hand, the necessity of directional felling and the cutting of buttress is very time-consuming. The other processing steps are also performed by the chainsaw operator. For wood extraction, heavy machines have to be used, because of the high weight of the big dimensioned tropical trees (Seixas 2008). In native tropical forests utilized by communities, the target diameter of the trees to be felled in general is adapted to the technologies available to the people. If chainsaws are used, the felled trees are often cut to lumber with the saws, but the productivity and recovery rate are extremely low. Shelterwood, Seed Trees, Group Selection, and Other Systems There exist a variety of other silvicultural management systems in tropical countries, which influence directly on the harvesting systems that might be applied. In shelterwood systems, some bigger trees are left distributed all over the area to “protect” the natural regeneration or even the enrichment plantings under the canopy of older trees. The trees are removed when the regeneration has been successfully established. The first harvesting operation is the felling of most of the dominant trees to promote regeneration. In a second step, the shelter trees are removed after a certain period. Both operations are highly delicate because soil disturbance and damages on regeneration should be avoided. The felling, processing, and skidding of the shelter trees are even more complicated to keep the regeneration intact. The forest workers have to be highly experienced and well trained for getting the system working. The seed tree system is comparable to the shelterwood, only showing a variation on the number of mature trees left on the area in order to provide seeds for establishment of the regeneration. In this system the function of the remaining trees is different, and in general it work with less trees in the dominant layer. The problems concerning harvesting operations are more or less the same. In the group selection system, a number of neighbor trees are selected for felling, creating with this way gaps of different sizes. Depending on the number of trees felled per group, the gaps perform isolated spots without trees in an intact forest, where regeneration can be established. Harvesting operations are easier to plan and conduct under such conditions, but productivity is low while costs for access and transport in general are very high. Enrichment plantings can be done as widespread planting of single trees or in stripes or corridors in the native forests. The latter offer more options to plan the harvesting system because also mechanized options are available. In general, the planning of harvesting, technological options, and the respective productivities and costs are highly influenced by the silvicultural management system applied, which generates a series of limiting factors for the harvesting operation, the productivity that can be reached in the single operational steps and the related costs for a cubic meter of wood delivered in the wood industry.

Harvesting Systems The restrictions and other factors that may be considered when planning a harvesting operation and the system to use are very complex, as well as the technologies and resources available. Therefore it is often difficult to decide which system fits best under given circumstances. In the following, some often used Page 10 of 34

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combinations are presented. The examples are focused on schemes of forest plantation harvesting, but may equally be applied in the respective native forests.

Options of Combination in Harvesting Processes to a Harvesting System

As already mentioned, the main objective of selecting a harvesting system is to find an acceptable balance between environmental, economic, and technical issues. The environmental concerns mainly are focused on soil degradation like compaction, impacts on water quality, disturbance, or rutting. Also the soil nutrient source is an important matter. In ecosystems depending on organic material, the tree limbs, foliage, and crown slash are crucial. The long-term site productivity has priority, to meet the environmental as well as the economic targets of the wood production. The organic matter left behind after a harvesting operation under some climate conditions may cause a high fire risk, so that it is recommendable to reduce amount of biomass left behind. Technical restrictions are given by the economic targets of the wood production. Damage to residual trees in thinning and partial cut may put in risk the value of the future crop trees depending on the silvicultural strategy. Stand characteristics and terrain conditions cause restrictions to the technologies that may or may not be used. Skidding distances, landing size and spacing, road systems, and transport means are also factors that have to be considered. At least the equipment availability, logging expertise, and technological assistance in the region where the harvesting operation takes place are of importance. Considering all restrictions, the selection of the most productive and long-term sustainable system has to be performed to meet the economic objectives of the forest management and wood production. A more or less international classification system established in recent years is based on the length of the wood harvested and processed in the forest. The form of the wood or the length used for wood extraction to the landing zones as well as degree of mechanization in the used system has become part of this classification. The existing systems today can all more or less be integrated in one of the following systems: • • • • •

Cut-to-length Tree-length Full-tree; Whole-tree Chipping

Some enterprises base their classification system upon technical criteria, but the most used systems on a global level are the full-tree or cut-to-length, no matter if the harvesting takes place in planted or native forests. With the diverse technical options, human resources, and machines available, the combination of these factors allow a variety of possible harvesting systems. The most common systems applied in native and planted forests today are: • • • • • • • • •

Chainsaw + skidder + loader Chainsaw + mini-skidder + loader Chainsaw + winch (skidder) + loader Chainsaw + self-loader Chainsaw + cable system + processor + loader Harvester + forwarder Harvester + skidder + slasher or processor head Slingshot + forwarder Feller buncher + harvester + forwarder Page 11 of 34

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• • • • • • • • • • •

Feller buncher + slingshot + forwarder Feller buncher + skidder + processor + loader Feller buncher + skidder + stroke delimber + slasher Feller buncher + shovel logger + skidder + processor head + loader Feller buncher + skidder + knuckleboom loader Feller buncher + skidder + chipper Feller buncher + clambunk + processor head or slasher Feller buncher + skidder + flail delimber + chipper Feller buncher + skidder + flail delimber + slasher Feller buncher + skidder + slasher or processor head Combo machines (harvester and forwarder in one machine)

As it can be seen from the list above, pure manual or animal-assisted operation has become rare. Also the use of agricultural machines for forest harvesting operations has been reduced in the last decades. These practices are mainly performed by small landowners or communities that produce wood for their own needs. If the destiny of the wood or its products is outside the country, laws or market exigencies do not longer support such systems that rarely can be classified as low-impact logging or sustainable in terms of international standards. According to Seixas and Camilo (2008), two main aspects have to be considered when selecting the most appropriate harvesting system: (a) The individual solution for a processing step in a harvesting operation is not always the best option for the overall harvesting system. Due to the existing interaction between the single processes in a harvesting system, the gain in productivity of one process step may cause problems in the subsequent one, leading to a disturbance or even an overall fail of the whole production chain. The applied techniques, machines, or human resources in a system have to harmonize with each other to be efficient. (b) The system has to be evaluated after its total costs. Not the costs of a single process step of a harvesting system crucial, but the costs of the wood provided loaded on the transport mean. A higher investment in a machine might be justified by the reduced total costs per cubic meter of produced wood. The trends today in the tropics are clearly toward wood production in planted forests, since the productivity and sustainability in native tropical forests have to be considered as problematic and expensive. Native forests do not offer the quantity and quality of wood that is necessary for the wood industry to make long-term planning and investments in production. Brazil may serve as an example, where more than 70 % of the wood consumed by the industry is produced in planted forests, participating with less than 2 % to the total forest area of the country. This shows the importance of tropical forest plantations at a worldwide level, while sustainable native forest management is losing in importance. Harvesting systems can consist of several combinations of the different processes shown in the former chapters. Manual, motor-manual, and mechanized working steps may be joined together to perform a productive and economic solution for the given restrictions in the target area (Simões 2008). In planted forests, the trend is toward fully mechanized solutions. This is not only because of the productivity of mechanized systems, but also because of stricter working law and working safety. Manual and motormanual work in forests is extremely hard, often leading to physical exhaustion, increasing the probability of accidents during work. Under tropical conditions, the problem becomes even worse, since the heat and air humidity cause additional physical stress. The restriction coming from the human labor force, Page 12 of 34

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increasing wages worldwide, and the low productivity lead to a shift toward full mechanization of all working processes. A few, highly trained, and skilled operators produce in a safe way with high productivity the raw material needed for wood industry. The example shown in the next chapter is therefore based on mechanized harvesting processes. That does not mean that under other circumstances, like farm forestry or for small communities, the combination of motor-manual options with animal skidding is not the most economic or only viable solution.

Classification of the Harvesting System After the Time of Wood Extraction The time the wood is remaining in the forest after felling and in some cases also processing, in some cases is used to classify the harvesting system. There might be several reasons to leave the felled trees or the processed wood for some period in the forest before processing or hauling. One of the most important arguments for waiting some time before skidding, forwarding, or hauling the wood is the water content of the felled trees, resulting in additional weight in the off-road and road transport. A “green” tree often contains a high water content of 100 % of the dry weight, losing a high percentage of this water in the first few days. The tree crowns of felled trees also continue with evapotranspiration, sinking this way the water content of the wood. In other cases, it is simply favorable to separate the felling and processing of the trees from the wood extraction process. This may have safety, operational, or organizational reasons and has to be considered in the harvesting planning. Hot System The term “hot system” is well known from industrial or logistic processes. All partial activities in the harvesting operation are realized in a short period of time with only small delay between the different process steps, keeping the moisture content of the wood. For some industrial processes, this may be important. For production of thermomechanical pulp, for instance, the higher the water content of the wood, the better works the industrial processing of the wood and the higher is the TMP quality and recovery rate. Other important argument is the fast attack of fungi of some tree species, which influence negatively wood utilization, requiring the use of a hot system to reduce losses in quality. For a hot system working smoothly, some measures have to be taken: • Careful planning of the harvesting activities, including maintenance and other periods, machines are out of order. • Flexible contracts with third parties, if involved. • Work the maximum as possible with own labor. • Requires a high degree of mechanization. • Excellent road system with permanent utilization (even in rainy season). Cool System A cool system separates the different process steps of a harvesting operation in time-independent activities. There is no sequence of one or more processes, i.e., there is a time gap between the single working steps of processing and extracting the wood. The difference to the hot system can be seen in the wood piles, felled single trees, or tree bundles in the forest stand. The system is mainly defined by the utilization of the wood, where a reduced moisture content is not influencing negatively in the further processing of the wood. This is the case for chemical pulp, charcoal, reconstituted wood, chemical pulp, or wood for energy. The great advantage of the reduced weight of the dry wood is to increase productivity in hauling and transport operations.

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The Main Mechanized Wood Harvesting Systems Since mechanization is getting more and more important, a schematic presentation of the most commonly used systems may be useful for orientation and decision taking. There are also presented machines frequently used for the different process steps of the different harvesting operations. Technological innovation is high in the sector, and permanent development and improvement may occur, leading to changes in systems and/or combinations of manual, motor-manual, and mechanized harvesting operations (Nordfjell et al. 2010). Cut-To-Length The cut-to length system is characterized by processing the felled tree at the spot where it was growing: felling, delimbing, debarking (where necessary), and sectioning into predetermined length (Bertin 2010). All the activities are performed in the stand. The stems cut the trees’ stems in sections of 1–7 m. The final length of the sections depends on the industrial utilization of the wood, the capacity of the applied technologies or machines, and the dimension of the wood extraction system. Manual, animal-assisted, or mechanized systems are able to forward, skid, or haul predefined weights or volumes. Finally the capacity of the transport means, especially length and size of trucks, trains, boats, ships, or if applied size and type of rafts, may perform a limiting factor. A schematic presentation of the system is shown in Fig. 3. According to Malinovski and Malinovski (1998), the system based on short logs is widely applied because it allows a lower degree of mechanization and more manual, motor-manual, or animal-assisted operation steps. In thinning or selective logging systems, damages on the remaining forest may be lower if the wood to be extracted is shorter. Also the environmental impact may be reduced, especially regarding soil compaction (Malinovski and Malinovski 1998). For Nurminen et al. (2006), the cut-to-length system is environmentally correct, flexible, and safe and allows a uniform high-quality product compared to other systems. After Blinn et al. (2000, apud Leinonen, 2004), the advantages are: • Adequate for natural regeneration systems. • Can be used in an efficient way in small forests because the whole system works based on simple working steps that either can be manual, motor-manual, semi-, or fully mechanized. • Requires less piling space on forest roadside. • Can be used with several silvicultural systems, also in permanent forests, because trees and stems are processed in the forest, reducing this way damages on the remaining stand. • Crown slash and residual biomass remains well distributed in the forests. This is positive for nutrient cycling and reduces soil compactions if machines are used. • No systematic access (skidding trails) have to be created because the corridors for wood extraction can be kept small and narrow. • If a mechanized system is used, the machines move on a carpet of crown slash produced by the processing unit and reduce soil compaction. This makes the system available for use on sensitive soils (Fig. 4). The mostly used machines in this system are harvester, forwarder, self-loading tractors, and skidders equipped with winches (piggyback). It is the most common harvesting system in Scandinavian countries, in any kind of forest plantations, and the main system on a global level. The system is also called shortwood or log-length, but the main term used at an international level is cut-to-length. Full-Tree This system is based on the harvesting of the full tree, consisting of stem and crown, but without the roots and a tree stump that are left behind in the stand. Further processing in this system is done at the forest Page 14 of 34

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Fig. 3 Scheme of a fully mechanized cut-to-length system in a forest plantation (Source: Gustavo Castro)

roads, intermediate log yards, or landing zones. The first step of the harvesting operation is cutting the tree and felling it. The tree as felled is taken with the crown for further processing to a predefined zone. As a full green tree in general is heavy, at least the skidding operation is mainly based on machines and only rarely be applied in animal-assisted systems. As compared to a cut-to-length system, the processing (delimbing, debarking, and sectioning) is separated from the felling process. In a mechanized system, it requires an additional machine, making planning and harvesting organization more complex, besides requiring a higher initial investment. The system is often applied with bigger-sized trees, requiring specifically designed heavy machinery to perform the harvesting operation (Salmeron 1980; Sessions and Havill 2007; Thees et al. 2011; Wehner 2001). It may be applied in flat as well as steep terrain. After Penna (2009), the system has also been applied successfully in harvesting systems in forest plantations (Fig. 5). If it is intended to use the biomass of the full tree, including branches and crown parts for bioenergy, the system is highly productive since bark, leaves, branches, and finer parts are available and pre-concentrated just beside the forest road or intermediate log yards. On the other hand, the assortments produced from stem wood are also available and nicely separated for loading and transport at the forest road. The negative aspects of this system are the extreme nutrient extraction, driving with heavy machines all over the area, and the unprotected soil exposed to wind and rainfall. If the biomass is not used for energy generation, it has to be transported back to the stand and be distributed. Extracted nutrients have to be replaced by expensive fertilization. Some of the advantages of the system according to Blinn et al. (2000, apud Leinonen, 2004) are: • • • •

The system can be applied with natural regeneration. Efficient use and assortment production of heterogeneous tree species and diameters. Can be used in steep terrain. Facilitates future planting operations since there is a “clean” area available (Fig. 6). The machines commonly used in a full-tree harvesting system are:

• Feller bunchers (for felling)

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Fig. 4 Harvester and forwarder as the main machines used in the cut-to-length system (Source: Gustavo Castro)

• Skidders, clambunk skidders (for skidding) • Stroke delimber, knuckleboom loader, processor, slashers, grapple saw, and log loaders (for processing and loading) Tree-Length In this system, the tree is semi-processed (delimbing, topping) at the place where it is felled and taken to the forest road or landing zone in length of over 7 m The sectioning is done in a separate processing step beside forest road or in an intermediate log yard. The system is independent of the relief of the terrain and shows a high flexibility. The origin is located in North America, where about 90 % of all the harvesting operations were performed this way (Machado and Lopes 2008) (Fig. 7). The scheme in Fig. 5 shows a fully mechanized tree-length system in a forest plantation. The main justification for this harvesting system is the even lower costs per cubic meter of produced wood put in the log yard as compared to the cut-to-length system. The advantages of the system are practically the same as described in the full-tree system, but Blinn et al. (2000, apud Leinonen, 2004) cite some more: • The crown slash, even being pre-concentrated, remains in the stand near the spots of felling, reducing nutrient extraction and exposing the soil. • It is highly productive in clear-cut systems. • It may also be applied in partial cut systems or thinnings, if skidding trails are wide enough. A disadvantage on the other hand can be seen in the crown slash left on the area which is complicating planting and other silvicultural operations like soil preparation (Fig. 8).

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Fig. 5 Scheme of a full-tree harvesting system in a forest plantation (Source: Gustavo Castro)

Machines frequently used in such systems are feller buncher, track- and wheel-based harvester, skidders, clambunk skidder, slashers, and grapple saw. Like in the full-tree system, the long assortments produced in the stand are heavy and difficult to manipulate in manual operations or in animal-assisted skidding. In tropical plantation where thin trees are harvested, motor-manual felling and skidding by horses were performed in former times, but today such systems are replaced by machines because of ergonomic and productivity aspects. Infield Wood Chipping After Marques (2010), the production of wood chips infield is an alternative for biomass and pulp and band paper industry, regarding best recovery of biomass available per tree. Compared to the traditional systems, the chipping offers some considerable advantages. If harvesting forests with low volume of the individual tree, the system turns out to be more productive. The quality of the chips produced may be as high as in fix chippers in mill yards, but the mobile chippers offer more flexible strategies concerning the strategic and operational planning of the mill supply. In this system the trees are felled and extracted to the forest road for further processing. Mobile chipper units are able to delimb, debark, and chip the wood in one operation. For the system working well, the most crucial point is to feed the mobile chippers in a continuous flow, to guarantee the optimal machine efficiency, high productivity, and acceptable costs. Any problem in felling or skidding operation breaks the supply chain and increases costs, specifically of the chipping unit, significantly (Fig. 9). The investment necessary to mount an infield chipping system is one of the most limiting factors. The chipping process itself can be performed in three different ways: • Green chipping: chipping the full tree including wood, bark, branches, twigs, and litter, recommendable for companies that focus on bioenergy production. • Brown chipping: wood without bark and litter for producing more homogeneous chips for sensitive combustion units for energy production. • White chipping: only stemwood is used for producing chips of high quality, allowing only a very low percentage of bark, branches, and other fine material. The system is mainly used by pulp and paper industry in industrial plantations (Fig. 10).

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Fig. 6 Feller buncher (up, left), skidder (up, right), processor (down, left), and log loader (down, right) are the main machines used in full-tree systems (Source: Gustavo Castro)

Fig. 7 Scheme of the tree-length harvesting system (Source: Gustavo Castro)

The machines used in such systems are Feller Buncher (wheel or track based), Skidder, Clambunk Skidder and the Mobile Chipper system according to the chip type intended to be produced. Whole-Tree According to Machado (2002), Malinovski and Malinovski (1998), and Pulkki (2006), the system is based on the removal of the whole tree, including the root system. The harvesting system is only recommendable if the roots represent an additional value, covering at least the costs of the removal of the same. This may be the case if the roots contain a high content of valuable extractives or if there is a use as biomass or bioenergy.

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Fig. 8 Machines used in the tree-length system: feller buncher (a), grapple skidder (b), and grapple saw (c) (Source: Gustavo Castro)

The adoption of the system requires favorable topographic, edaphic, and climatic conditions (Machado 1989, after Penna 2009). Up to date, only a few machines adapted to this operation are available at the market. The removal of the tree with the root system requires heavy and powerful machines, being a complicated and difficult operation to coordinate. After Penna (2009), the skidding of whole trees also causes severe damage on the vegetation, natural regeneration, fauna and important soil organisms (Fig. 11). The machines used in such harvesting systems are mainly track-based hydraulic excavators and tractors with special equipment, wheel-based skidders, shovel logger, processors, and log loaders. The transport of the cutoff root system is not recommendable, since the awkwardly shaped roots require voluminous transport means. To avoid this problem, the system often is completed by a chipper or grinder producing chips for container transport.

Case Studies of Common Harvesting Systems in the Tropics To show different harvesting systems frequently applied in tropical forests, two case studies about harvesting systems, machine combination, and their productivities and costs are presented for a native forest management and a eucalypt forest plantation. Page 19 of 34

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Fig. 9 Scheme of an infield chipping system (Source: Gustavo Castro)

Fig. 10 Machines frequently used in infield chipping system (white chipping): wheel-based feller buncher (a), grapple skidder (b), and mobile chipper with delimbing and debarking unit (c) (Source: Gustavo Castro)

Case Study 1: Harvesting System in a Native Forest Today a clear trend to mechanized harvesting operations can be observed. Even so, in native forests, the felling of trees is dominated by motor-manual operations. Powerful chainsaws are used to cut the trees of big dimensions with in general hard tropical wood of elevated density. For extensively managed native forests, trees of big dimension are the most valuable ones. Its utilization is limited to motor saw felling, since the machines that would be able to handle the size and weight of the trees for mechanized felling Page 20 of 34

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Fig. 11 Scheme of a whole-tree harvesting system (Source: Gustavo Castro)

would be too heavy for low-impact harvesting. Even companies with high investment potential have no other option to the use of chainsaws for felling. The harvesting system to be presented in case study one is based on a semi-mechanized system in a primary tropical rainforest of the Amazon region. The overall forest management system practiced by the company is classified as sustainable after the principles of reduced impact logging (RIL) (Putz et al. 2008). The company is certified by the Forest Stewardship Council (FSC). The harvesting system, based on a single tree selection model, consists of the following operational steps (predefined activities shown in Fig. 12, micro-planning of harvesting): • Felling: by chainsaw, directed felling in predefined direction. • Delimbing: by chainsaw, in general the crown is cut off by after reaching the predefined “commercial height” of the stem. • Sectioning: the log length is predefined after the requirements made by the sawmill and the restriction given by the transportation system. The chainsaw operator is doing the bucking. • Wood extraction: by four-wheel skidder; in the case study are presented and compared. – A system based on a grapple skidder driving on roughly planned skid trails to the trees to avoid unnecessary movements on the productive forest area. – A system based on a skidder equipped with a winch, moving on a systematically designed skid-trail system. • Intermediate log yard manipulation and loading: wheeled front-end log loader. In the chapter “Harvesting Planning,” the steps for planning a harvest operation in the framework of sustainable forest management are presented. In the following are presented two examples, differing in the skidding process and the productivity between both. The inventory data and the operational planning allow the harvesting team to operate with high precision in a unit of 10 ha size (400  250 m). The terrain is plain to slightly undulated; from a primary road, secondary roads go to the right and the left every 250 m in a systematic way (Fig. 12). The micro-planning of the 10 ha unit contains detailed information for the felling, skidding, and landing zone staff:

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Fig. 12 Detailed operational planning of the harvesting operation (micro-planning) at a detailed level of 10 ha units (Source: the authors)

• • • • • •

Species, identification number, and coordinates of the tree Diameter of the tree and length of the commercial stem Direction of felling Number of logs to be crosscut from the stem Coordinates of the felled trees, number of logs to skid per tree, skidding trails, and direction to be used Location of the landing zone

Based on this information, the trees can be felled causing the lowest damage possible (felling direction), and the assortments are provided in the best way for skidding operations. Before felling, the chainsaw operator checks if the tree is hollow by making a heart cut. A chainsaw operator in the average has a productivity of 4 m3 per hour in felling and bucking. This value is possible with the high volume of the big-sized trees to be harvested. On the other hand, the productivity in felling is influenced by the problems of directional felling, where in some cases a hydraulic jack has to be applied. The cut-to-length process is easy since the logs remain at least in length of 5 m (Fig. 13). When the chainsaw operators finished their work (felling, bucking), the maps are passed to the skidding team. The operator of the skidder knows exactly how to get to the felled trees with lowest environmental impact possible (Fig. 14). The skidding trails to be used by the machine are defined by the engineering crew before the operation starts. The number of stems in the operational map shows the operator how many stems are to skid from a felled tree. The whole skidding operation is planned in a way that reduces the area driven over to a minimum (Seixas et al. 2003). The grapple skidder drives to each felled tree and takes as many logs as possible according to the machine specification. The average skidding distance in the case study is 150 m. The average productivity under these conditions was 29 m3/h. The operational efficiency of the skidder was 72 %, reaching a final productivity of 20.9 m3/h, corrected by unproductive times like maintenance, refueling the machine, operator necessities, or defects (Lopes 2007).

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A second possibility, with less environmental impact considering soil disturbance and damage to remaining trees, is the use of a winch. A skidder equipped with a winch needs less driving upon the area by designing a specific net of skidding trails, according to the range covered by the cable of the winch. The planning of the winching requires a careful planning of the skidding trails. The distance between the systematic skidding trails have to be designed according to the cable length and the maximum winching distance (Fig. 15). The winch of a skidder in a tropical native forest has to be equipped with a cable of 18–20 mm to be able to support the heavy loads during the pulling process. The major problem of cables with such diameters is the heavy weight, being the pulling of the rope through the understory of a tropical rainforest a heavy duty. The maximum length for the winch cable therefore has to be set to 50 m. Considering that the trees might be felled in direction of the skidding trails, a maximum distance between to trails of 120 m (2  60 m) seems to be plausible (Fig. 16). To reduce the workload of the winch operators, the spool-out process of the rope can be assisted by a hydraulic tool, making the operator only carry the weight of the cable while and not to pull it out actively. The trees must be felled in the same direction to the skidding trails in a fishbone pattern to reduce the length of skidding distance and damages on the remaining stands. This improves productivity significantly. Crown parts have to be cut and reduced in size in a way to allow skidding through it. The logs are hauled to the predefined landing zones where they are piled by a wheeled front-end loader for further transport by trucks. This machine shows enough flexibility and speed to work on several landing zones or intermediate log yards, piling the skidded stemwood and loading the trucks (Fig. 17).

Fig. 13 Felling of large trees in Brazilian Amazon (Source: Grammel 1995)

Fig. 14 Skidding operation in native forests with help of a grapple skidder (Source Leif Nutto)

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Fig. 15 Skidder with winch (left) and winching process (right) (Source: Grammel 1995)

The skidding operations in tropical native forests are always a compromise between productivity, i.e., costs and the impact on the sensitive forest ecosystem. To know which system to choose, the advantages and disadvantages of both options have to be carefully evaluated. In Fig. 18 are shown the inventory data and the planned skidding tracks for both systems. At the left is presented a secondary road system (red lines) completed by a systematic skidding trail net (green lines) where the winch-equipped skidder moves during skidding and winching operations. The area is crossed by a primary forest road (gray line) where the logs are being transported to a sawmill. The black dots represent the location of the trees defined by the coordinates measured in the preharvest inventory. At the right side the same area is shown in with a skid trail net for a grapple skidder that has to drive to each felled tree to skid the stems to the landing zone. A winch-equipped skidder with a systematic skid trail system with distance of 120 m between the lines reaches a productivity of 14 m3/h. The operational efficiency of the winch skidder is lower with 70 %, because the cable winch requires more maintenance than the grapple of the other skidding system. The operational efficiency therefore is only 9.1 m3/h, which might be considered as low for a mechanized wood extraction system (Schroeder 2006). Both systems are valid options, considered as RIL systems and accepted by the FSC (Forest Stewardship Council 2009). But there are significant differences in productivity and environmental impact. In a closer look, a comparison between the area driven over by the skidders, the systematic skidding trails with a distance of 120 between the lines reach about 3.5 % of the total harvested area (Fig. 19). The value increases with reduction of the distance between the lines, reaching 7 % for a distance of 60 m, which corresponds to the average percentage of the grapple skidder system (Schroeder et al. 2007). In terms of area consumption, a systematic skidding trail system of 100–120 m distance between the lines causes much less soil disturbance than a grapple skidder system, by reducing the unproductive area caused by operational issues by half. Systematic systems have the advantage of concentrating all machine activities to a few and predefined areas. Assuming that an area of 100,000 ha of a native forest is managed, the area affected by the winch skidder system would be 3,500 ha; the grapple skidder reaches close to 7,000 ha, which is a considerable loss of productive area, beside the impact caused by soil compaction. For decision taking, which harvesting system is the most appropriated one, in general the productivity of the single operational steps and the related costs are crucial for profitability of the harvesting operation

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_184-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 16 Scheme of a skidding system using a skidder with winch (Source Leif Nutto)

Fig. 17 Piling of logs at a landing zone beside a secondary road using a wheeled front-end loader (Source: Leif Nutto)

(Barreto et al. 1998). In the presented case study, there are no options to the chainsaw felling. For the given natural conditions, the size and weight of the logs and the flexibility needs of the machines, the front-end loader is non-optional too. The only variable option remaining in the harvesting system is the skidding operation, where the comparison of productivity and costs may give additional information to decision taking. The respective values are presented in Table 1, where the skidding system is the driving variable. For calculating the complete harvesting system, the volume to be harvested has to be defined. Assuming that a sawmill based on tropical hardwoods needs 4,000 m3 of roundwood a month, the harvesting system has to provide this volume. Working in a one-shift system with 22 working days a month, the system can be mounted based on the productivity data of the single harvesting operations. A chainsaw operator reaches a productivity of 24 m3 a day equivalent to 528 m3/month, about 7.6 or rounded eight persons have to be hired. The front-end loader reaches a monthly productivity of about 4,040 m3, which is more or less equivalent with the monthly harvesting volume. The difference is found in the skidding options. A grapple skidder reaches a productivity of 3,700 m3/month, a winch skidder only 1,600 m3/month. Page 25 of 34

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% of harvested area

Fig. 18 Design of a systematic skid trail net for a skidder with winch (left) and a skidding all over the area with a grapple skidder (right). (gray line = primary road, red line = secondary road, green lines = skidding trails) (Source: Schroeder et al. 2007)

8 7 6 5 4 3 2 1 0

Fig. 19 Percentage of the total area used for skidding in different systems. Average distances from 60 to 120 m between the skidding lines of a winch-equipped skidder compared to area use of the use of a grapple skidder (Source: Schroeder et al. 2007)

When using a grapple skidder, the following harvesting system would be recommendable to produce 4,000 m3/month: • Eight chainsaw operators • One grapple skidder, working additional two Saturdays a month to produce 4,000 m3 • One wheeled front-end loader

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_184-1 # Springer-Verlag Berlin Heidelberg 2015

Table 1 Comparison of productivity and costs of both systems presented in case study 1

Felling and bucking (chainsaw) Skidding Loading, piling, and switching between landing zones (mixed calculation) Cost/m3 (US$) a

System 1, grapple skidder Productivity Costsa (US$/m3) (m3/h) 3 7.41 20.9 4.55 23 3.49 15.45

System 2, winch skidder Productivity (m3/h) Costsa (US$/m3) 3 7.41 9.1 10.45 23 3.49 21.35

Including all costs including maintenance, fuel, depreciation, labor, etc.

Costs per m3 of loaded wood: 15.45 US$ For the winch skidder with a systematic skidding trail system (distance 120 between lines), the system would be the following: • Eight chainsaw operators • 2.5 winch skidders • One wheeled front-end loader Costs per m3 of loaded wood: 21:35 US$ The costs per cubic meter of wood loaded on a truck are 28 % more expensive for the system using a winch-equipped skidder. This is due to the lower productivity of the wood extraction using the winch. The final decision has to be made considering the environmental impact of the system, the sensitivity of the soils, and other possible operational systems (Barros and Uhl 1995).

Case Study 2: Harvesting System in Eucalypt Plantation Beside the native tropical forests, also the plantations based on mainly exotic species became increasingly important for global wood supply. Due to intensive management, innovation and optimization processes in harvesting systems are more frequent. Compared to the rather extensive management of native tropical forests and the heterogeneous conditions found in such forest ecosystems, the productivity of the applied management and harvesting systems are much higher (Alves and Ferreira 1998). For case study 2, the harvesting system of a eucalypt plantation managed for pulpwood is presented, including the recent optimization of the operations by changing the combination of the machines (Malinovski et al. 2006). The assortment produced for the pulp mill consists of logs of 6 m length without bark. The wood is only transported between 70 and 100 days after felling, making it possible to work with a “cool system.” The assortment implies the use of a “cut-to-length” system, already presented in the article. A normal cut-to-length system works with a harvester for felling, delimbing, debarking, and sectioning and a forwarder for wood extraction and piling (Thompson 2003). Loading is made with a track-based excavator with a grapple (Oliveira et al. 2009). The productivity of this harvesting system with an average single tree volume of 0.38 m3 is shown in Table 2. The harvesting system presented in Table 2 is a module for a monthly production of 100,000 m3. It works in a three-shift system of 6 h each (18 h a day) at 24 days a month (in average). The machines in the system perform the following working steps: • Harvester: felling, debarking, delimbing, and cut-to-length • Forwarder: forwarding and piling at forest roadside • Loader: loading of trucks Page 27 of 34

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Table 2 Harvesting system for a cut-to-length assortment of 6 m length without bark Machine Harvester Forwarder Loader Total

Productivity (m3/h) 27 43 130

Operational efficiency (%) 78 79 82

Number of machines (#) 11 7 2 20

Total productivity (m3/month) 100,000 100,000 100,000 100,000

Machine costs (US$/h) 110.33 99.82 72.95

Costs (US$/m3) 4.09 2.38 0.52 6.98

The overall costs of the system are 6.98 US$ per cubic meter of wood loaded for transport on trucks. The productivity of the module is designed to provide 1.2 million m3 of pulpwood per year. The company applying the system wanted to verify if there is a possibility to reduce costs and to have some other benefits by changing the harvesting system including a feller buncher for the felling process (Figs. 20 and 21). The new system consists of: • • • •

Feller buncher (felling and bundling felled trees) Harvester: delimbing, debarking, and cut-to-length Forwarder: forwarding and piling the wood at forest roadside Loader: loading trucks

In Table 3 are shown productivity and costs of the modified harvesting system. The feller buncher shows a high productivity of 140 m3 per hour in the felling process. The machine is able to bundle between 5 and 8 trees in one process, and this way the felled trees are pre-concentrated for the harvester processing the wood (delimbing, debarking, and cut-to length). Since the trees are pre-concentrated, the productivity of the harvester in this process is higher (Bramucci and Seixas 2002). The same effect can be noted for the forwarder, reducing the driving time in the stand due to higher volume of pre-concentrated wood (Malinovski 2007). The overall costs per cubic meter of wood produced and loaded on a truck are 2.5 % lower in the new system. As already mentioned, additional gains and benefits were expected from the new system. The feller buncher cut the trees very close to the ground level, leaving stumps of only 5 cm, while harvester heads are more sensitive and cut the trees at a height between 15 and 20 cm. When replanting the area (not using a coppice system), the tree stumps left behind by the harvester have to be reduced by a milling cutter causing additional costs. The volume harvested by a feller is about 2–3 % higher as compared to a harvester, so an additional gain in wood produced per area unit is obtained. Another advantage is the use of an automatic spray system for herbicides implemented in the forwarders felling head. If the harvested area is planted with new genetic material, the resprouting of the eucalypt stumps has to be impeded with chemicals. The chain of the hydraulic saw of a harvester head has to be changed every 2 h. If the distribution system of the chemicals is implemented in the head, the operator has to use complete personal protection, including, gloves, overall, and glasses. This is very timeconsuming and complicating the change of the chain. A problem frequently faced with harvesters is the accumulation of biomass and dust at the heads and the machine, causing a high risk of fire when getting in contact with hot machine parts. The head of the feller is protecting the machines much better from slash and litter, and the harvester head used only for processing is accumulating less biomass on machine parts too. Comparing the two harvesting systems, the merely gain in costs is not so high (Moreira 2004). Assuming a yearly production of 1.2 million cubic meter of pulpwood, the expected benefits of the system including the feller buncher are only about 205,000 US$. For an overall evaluation, also the additional benefits obtained in additional wood volume, less operations necessary in silviculture (stump Page 28 of 34

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Fig. 20 Cut-to-length system using a feller buncher (a), a harvester working as a processor (b), and a forwarder for wood extraction (c) (Source: Gustavo Castro)

reduction, application of chemicals), and the improved safety in harvesting operations have to be taken into account. The example presented in case study 2 shows that there are innumerous options of improving already highly productive harvesting systems.

Final Considerations Harvesting systems are complex and offer innumerous varieties and combination of different options for the different process steps. Because of health and safety reasons, the trend is clearly going toward semi-

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_184-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 21 Scheme of the optimized harvesting system using feller buncher, harvester, and forwarder producing the assortment eucalypt cut-to-length without bark (Source: Gustavo Castro)

Table 3 Harvesting system for a cut-to-length assortment of 6 m length without bark including a feller buncher in the system Machine Feller Harvester Forwarder Loader Total

Productivity (m3/h) 140 35 46 130

Operational efficiency (%) 83 74 84 82

Number of machines (#) 2 9 6 2 19

Total productivity (m3/month) 100,000 100,000 100,000 100,000 100,000

Machine costs (US$/h) 135.75 110.33 99.82 72.95

Costs (US$/m3) 0.97 3.15 2.17 0.52 6.81

mechanized and mechanized systems, also in tropical countries (Malinovski 2008). The choice of a harvesting system is depending on the general framework of the forest management, including social, ecological, and economic restrictions which may be of influence for the decision taking. There might be highly developed standards of harvesting systems that are applied nowadays, but this does not mean that there is not always a way to improve the performance of a system or they have non-monetary gains like more safety and less environmental impact. Highly qualified and trained personnel are necessary to keep always the highest level in knowledge about the existing technologies and procedures on the market. Frequent updating and innovative thinking may help to make the best choice in combining a harvesting system that meets all requirements of a modern and highly demanding logging operation (McDonagh 2002).

References Alves MKL, Ferreira OO (1998) Avaliação da etapa de derrubada e processamento de eucalipto para celulose. Ciência Florestal 8(1):23–34 Bantel CA (2010) Estudo de diferentes sistemas de colheita de Eucalyptusspp em área montanhosa. Ph.D. thesis, UniversidadeEstadualPaulista, Botucatu, 160 p Barreto P, Amaral P, Vidal E, Uhl C (1998) Costs and benefits of forest management for timber production in eastern Amazonia. For Ecol Manage 108(1–2):9–26

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Barros AC, Uhl C (1995) Logging along the Amazon River and estuary: patterns, problems and potential. For Ecol Manage 77:87–105 Bertin VAS (2010) Análise de dois modais de sistemas de colheita mecanizados de eucalipto em 1ª rotação, 82 f. Master thesis, São Paulo State University, Botucatu Bramucci M, Seixas F (2002) Determinação e quantificação de fatores de influência sobre a produtividade de “harvesters” na colheita florestal. Scientia Forestalis 62:62–74 FAO (2001a) Forest harvesting practice in concessions in Suriname, vol 16, Forest harvesting case-study. Forest Products Division, FAO, Rome FAO (2001b) Status and trends in forest management worldwide. Forest Management Division, FAO, Rome FAO (2004) Reduced impact logging in tropical forests: literature synthesis, analysis and prototype statistical framework. FAO, Rome, 287 pp FAO (2007) Code of forest harvesting practices. Forestry Development Authority, Monrovia, 59 pp Forest Stewardship Council (FSC) (2009) Global FSC certificates: type and distribution. Sept 2009. Forest Stewardship Council, Bonn. [online] URL: http://www.fsc.org/fileadmin/web-data/public/docu ment_center/powerpoints_graphs/facts_figures/09-09-15_Global_FSC_certificates_-_type_and_dis tribution_-_FINAL.pdf Gerasimov Y, Sokolov A (2014) Ergonomic evaluation and comparison of wood harvesting systems in Northwest Russia. Appl Ergon 45(2, Part B):318–338 Greudlich FG (1996) A primer for timber harvesting. Washington State University, Washington, DC, 33 p Hartsough BR (1997) Comparison of mechanized systems for thinning Ponderosa pine and mixed conifer stands. For Prod J 47(1):59–68 Hawthorne WD, Marshall CDM, Abu Juam M, Agyeman VM (2011) The impact of logging damage on tropical rainforests, their recovery and regeneration: an annotated bibliography. OFI, Oxford, U.K Junior EDO, Seixas F (2006) Análise energética de dois sistemas mecanizados na colheita do eucalipto. Scientia Forestalis 70:49–57 Lagan P, Mannan S, Matsubayashi H (2007) Sustainable use of tropical forests by reduced-impact logging in Deramakot Forest Reserve, Sabah, Malaysia. In: Sustainability and diversity of forest ecosystems. Springer, Tokyo, pp 414–421 Leinonen A (2004) Harvesting technology of forest residues for fuel in the USA and Finland. Espoo 2004. VTT Tiedotteita. Research Notes 2229, 132 p Lopes SE (2007) Análise técnica e econômica de um sistema de colheita florestal. Ph.D. thesis, Federal University of Viçosa Machado CC (2002) O setor florestal brasileiro In: Machado CC (ed). Colheita florestal. Vicosa, MG: UFV, Imprensa Univesitária, 468 p Machado CC, Lopes ES (2008) Sistemas. In: Machado CC (ed) Planejamento. UFV, Viçosa, pp 185–230 Malinovski RA (2007) Optimização da dist^ancia de extração de madeira com Forwarder. Ph.D. thesis, State University of São Paulo, Botucatu Malinovski JR (2008) Sistemas. In: Machado CC (ed) Colheita florestal. UFV, Viçosa, pp 161–184 Malinovski JR, Malinovski RA (1998) Evolução dos sistemas de colheita de Pinus na Região Sul do Brasil. FUPEF, Curitiba, 138 p Malinovski RA, Malinovski RA, Malinovski JR, Yamaji FM (2006) Análise das variáveis de influência na produtividade das máquinas de colheita de madeira em função das características físicas do terreno, do povoamento e do planejamento operacional florestal. Florestal 36(2) Marques AP (2010) Análise do sistema de produção de cavaco no campo. Thesis at Federal University of Rio de Janeiro

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McDonagh KD (2002) Systems dynamics simulation to improve timber harvesting system management. Faculty of Virginia Polytechnic Institute and State University, Virginia Moreira FMT (2004) Avaliação técnico-econômica do Feller-buncher em diferentes subsistemas de colheita florestal. Revista Árvore 28(2):199–205 Nordfjell T, Bjorheden R, Thor M, Thor M, Wasterlund I (2010) Changes in technical performance, mechanical availability and prices of machines used in forest operations in Sweden from 1985 to 2010. Scand J For Res 25:382–389 Nurminen T, Korpunen H, Uusitalo J (2006) Time consumption analysis of the mechanized cut-to-length harvesting system. University of Joensuu, Faculty of Forestry, Parkano, pp 335–363 Oliveira D, Lopes ES, Fiedler NC (2009) Avaliação técnica e econômica do Forwarderna extração de toras de pinus. Scientia Forestalis Piracicaba 37(84):525–534 Penna ES (2009) Avaliação ergonômica e ambinetal de cabos aéreos na colheita de pinus em cerro azul, PR. Universidade Federal de Viçosa, MG Putz FE, Sist P, Fredericksen T, Dykstra D (2008) Reduced-impact logging: challenges and opportunities. For Ecol Manage 256:1427–1433 Salmeron AA (1980) Mecanização da exploração florestal. Circular Técnico 88, 10 p Schardt M, Kremer J, Borchert H, Matthies D (2007) Wurzelschutz beim Einsatz von Forwardern. Forst Technik 2:6–11 Schroeder UE (2006) Pflegliche Holzenrte im Amazonasregenwald – Auswirkungen unterschiedlicher Eingriffsintensit€aten und Holzerntesysteme auf die ökonomische und ökologische Nachhaltigkeit. Thesis at the University of Freiburg Schroeder UE, Nutto L, Uhlich U, Becker G (2007) Reduced impact logging at the Amazon: impact of different harvesting systems. In: Annals of the German-Brazilian-Symposium for sustainable development, Freiburg, pp 131–132 Seixas F (2008) Chapter 4: Extração. In: Machado CC (ed) Colheita florestal. Viçosa, UFV, pp 97–145 Seixas F, Camilo DR (2008) Colheita e transporte florestal. ESALQ/USP, Piracicaba, 243 p Seixas F, Koury CGG, Rodrigues FA (2003) Determinação da áreaimpactada pelo tráfego de Forwarder com uso de GPS. Scientia Forestalis 63:178–187 Sessions J, Havill Y (2007) Proceedings of the international mountain logging and 13th Pacific Northwest skyline symposium. Department of Forest Engineering Oregon State University, Corvallis Simões D (2008) Avaliação econômica de dois sistemas de colheita florestal mecanizada de eucalipto. 2008. 105 f. Dissertação (Mestrado em Agronomia/Energia na Agricultura)-Faculdade de Ciências Agronômicas. Universidade Estadual Paulista, Botucatu Thees O, Frutig F, Fenner P (2011) Colheita de madeira em terrenos acidentados – Recentes desenvolvimentos técnicos e seu uso na Suíça. In: Annals XVI Seminário de Atualização sobre Sistema de Colheita de Madeira e Transporte Florestal, Campinas, pp 125–146 Thompson JD (2003) Productivity of a tree length harvesting system thinning ponderosa pine in Northern Arizona. In: Proceedings of the 2003 council of forest engineering 26th annual conference. University of Maine, Bar Harbor Wehner T (2001) Mechanized harvesting systems in permanent stands and technology. Forest Research Institute. In: The international mountain logging and 11th Pacific Northwest skyline symposium 2001, Freiburg

Websites for Machinery and Equipment Used in Tropical Forests and Plantations http://midiflex.se http://newholland.com.br http://www.atechsi.com.br Page 32 of 34

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http://www.biojack.fi http://www.brackeforest.com http://www.cat.com.br http://www.cbi-inc.com http://www.colheitademadeira.com.br http://www.deere.com http://www.deniscimaf.com http://www.eco-log.se http://www.el-forest.se http://www.fecon.com http://www.fezer.com.br http://www.forestsandrangelands.gov http://www.gilbert-tech.com http://www.gremo.com http://www.hultdins.com http://www.hypro.se http://www.jdesouza.com.br http://www.kesla.fi http://www.kollerna.com http://www.komatsuforest.ca http://www.komatsuforest.com http://www.komatsuforest.com.br http://www.komptechusa.com http://www.ktiforest.com/treeking.html http://www.logmax.com http://www.macedo.ind.br http://www.madillequipment.com http://www.mecanil.fi http://www.menzimuck.com.br http://www.morbark.com http://www.naarva.fi http://www.nisulaforest.com http://www.penzsaur.com.br http://www.petersoncorp.com http://www.ponsse.com http://www.precisionhusky.com http://www.prenticeforestry.com http://www.prosilva.fi http://www.randon-veiculos.com.br http://www.risleyequipment.com http://www.roderbrasil.com.br http://www.roster.ind.br http://www.rottne.com http://www.sampo-rosenlew.fi http://www.satco.co.nz http://www.silvatec.com http://www.spmaskiner.com Page 33 of 34

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http://www.tanguay.cc http://www.tigercat.com http://www.timbear.se http://www.timberpro.com http://www.tmo.com.br http://www.vermeer.com http://www.vicort.com http://www.volvoce.com http://www.welte.de http://www.woodtechms.com

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Harvesting Costing Rafael A. Malinovski*, Jorge R. Malinovski, Leif Nutto and Éllen C. Bianchi Malinovski Florestal, Curitiba, Brazil

Abstract Harvesting costing plays a key role in harvesting planning, controlling, and execution of harvesting operations. Since economic sustainability is the key factor of all production processes of enterprises, the expenses may not exceed the financial returns over a longer period. Therefore harvesting costing is one of the most important issues for forest companies, depending on highly qualified personnel and a wellorganized system of planning, execution, and controlling. Harvesting costing is very complex, since many burden centers have to be considered in cost calculation. Machines and equipment used in harvesting operations in general are expensive, specifically if high volumes of wood assortments have to be produced or heavy stems have to be manipulated. For cost calculation of harvesting systems, a series of information are necessary. First, all operational conditions of a forest area have to be known, because they determine the use of the adequate equipment and its productivity. The forest type (planted or native), tree dimension, terrain conditions, soil properties, and wood utilization have to be considered for decision taking and cost calculation. If the equipment or machines that match with all requirements are determined, the respective costs of the system may be calculated. Country-specific data like taxes, labor, and social costs or fuel prices have to be collected for cost calculation. In a second step, costs linked to an equipment or machine specifications like fuel consumption, necessary spare parts, accessories to be used, mechanical availability, life span, capital costs, interest rates, and maintenance costs, among others, have to be risen and included in the calculations. The costs itself may be classified after fixed or variable costs. Fixed costs are costs that have to be paid periodically, independent of the quantity of goods produced. This would be interest rates for capital costs, labor costs, machine insurances, or depreciation allowance. The fixed costs make it necessary that own equipment and machines of a company show a high productivity to reduce the share of the fixed costs on the total costs. The variable costs are directly linked to the quantity of goods produced, in case of harvesting the volume of wood. Examples for variable costs would be fuel consumption of a machine and maintenance costs depending on machine hours or lubricants. Costs may be reduced if the harvesting process is planned carefully and the machine and equipment are used with high efficiency over the whole “hour budget” set for operation. The working hours per day and how many days a week the employees and operators work determine the productivity of the machines and equipment and influence directly on the costs. Other costs that have to be considered are the ones that have influence of the cash flow of a company. Residual value of machines or savings or additional expenses that could be made if harvesting operation is outsourced to a third party have also been considered in overall cost calculation. Costs for harvesting operations have to be analyzed on a periodical basis and compared to existing alternatives. Internal rate of return, net present value, and cash flow should be checked for evaluation of efficiency of performed operations. Cost accounting for different periods and units produced offer numbers that allow benchmarking of a company’s harvesting operation. The present article introduces harvesting costing terminology, data collection, and cost reporting, showing how harvesting costs might be calculated and checked for efficiency.

*Email: [email protected] Page 1 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Keywords Wood Harvesting; Costing Variables; Machine Costs

Introduction Harvesting costs depend on equipment investment, stand size, tree species and volume removed, terrain, and even degree of difficulty due to proximity to houses, power lines, public roads, noise restriction areas, and other restrictions posed by forestry-related ordinances. Harvesting costs also depend on the type of equipment used, season in which the operation occurs, and a host of other factors (Sohns 2011; Grammel 1988). Overcoming these costs typically requires tracts with large volumes of relatively valuable material. At this time and based on current cost and revenue estimates, woody biomass for energy and other bio-based products may not generate enough revenue on its own to be profitable. Harvesting costing mainly consists of the operational costs of machines and equipment as well as the operator and workers necessary for its handling. Knowing well these costs is an indispensable requirement for planning, executing, and controlling harvesting operations with the respective equipment (Machado and Malinovski 1988; Freitas et al. 2004). The costs for machines and equipment result from their price of purchase and operation (Machado 1989; Freitas et al. 2004). Calculation of these costs may vary according to the methodology applied. In 1956 the Food and Agriculture Organization (FAO) developed their own methodology which since then is widely applied all over the world. In 1971 the German Curatorship for Forest Operations (KWF) implemented some modifications resulting in the FAO/ECE/KWF model. Both systems present their cost results in the unit “effective working hours.” Besides the international known systems, a series of local cost calculation models, some of them based on other units, also exist. The objective of the following chapters is to introduce the basic terms and definitions of harvesting costing and to provide examples for calculating machine and equipment costs in forest harvesting operations. Today a variety of free Logging Cost Analyses Worksheets and Calculators are available in the internet. The worksheets are computerized spreadsheet calculators that provide basic, usable information to determine operating costs for harvesting equipment, systems, and operations. Hourly operating costs, productivity, logging costs, harvesting system costing models, and road construction and maintenance models are available. Some examples can be verified at the following websites (access 10/2014): http://www.fs.fed.us/t-d/programs/forest_mgmt/projects/textbook/cost/ http://www.srs.fs.usda.gov/forestops/products/tools.html http://www.kwf-online.org/arbeitsverfahren/maschinenkalkulation.html http://www.fao.org/docrep/t0579e/t0579e05.htm

Requirements For cost calculation in forest harvesting operations, basic information is required. Starting from this information, a person in charge for planning the operation can make the necessary calculation for decision taking which equipment or machine offers the best cost-benefit option (Fight et al. 1999). Reliable sources Page 2 of 28

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for basic data for cost calculation may come from own experiences, from other companies that already applied a harvesting operation under comparable conditions, or from service offers of third parties. Also information about interest rates, fuel costs, labor and social costs, and taxes that have to be paid are necessary to get real costs for a given operation. For calculating machine costs, the producer or provider of the equipment in many cases provide fact sheets with important data of fuel consumption, lubricants, maintenance interval, productivity, and others.

General Requirements The most important items necessary for cost calculation are listed in Table 1. Depending on the harvesting system to be used, the basic information for cost calculation might be easy to obtain. Regardless if an ax, chainsaw, or complex felling machines are used, the difference might be to get reliable estimations of the productivity of the system under the conditions it might be applied.

Machine and Equipment Information If the basic requirements are available, the next step consists in calculating the operational costs of the chosen system. Detailed information about machines or equipment to be used are necessary to get reliable costs in the calculation (Table 2). According to the items listed in Table 1, the most important value to determine is the productivity of each machine under predetermined conditions. An adequate estimation for the productivity is absolutely necessary for a reliable cost calculation. The calculation is the base for a cost analysis of different harvesting systems that possibly could be used under given circumstances. Size and power of the machines might be adapted to the natural conditions found in the forest intended to be harvested (Malinovski et al. 2006). An important issue for cost calculation of a harvesting system is to consider the labor force and machine operators necessary to make the system working. The salaries and social costs linked with the activities in some cases may exceed costs for machines and equipment. These costs are under constant modification and adaption, specifically in emerging countries like those often found in the tropical regions of the world. Since harvesting costing in general is based on medium- to long-term planning, changes in labor and social costs may have significant impact on the costs per unit produced. It is recommendable to consider yearly increases of these costs when estimating the overall harvesting costs. Table 1 Example for basic requirements for harvesting cost calculation (for the examples the currency US$ is used) Item Productivity Effective harvesting costs Current harvesting costs per year Annual taxes Fuel costs Currency exchange rate (if applicable) Labor/operator costs Social costs Taxes

Unit m3/month (or hour, day, shift) US$/m3 US$/year %/year US/h Currency/U$ % US$/month %

Value – – – – – – – – –

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Table 2 Example for information necessary for cost calculation of a mechanized harvesting system consisting of feller buncher, skidder, and processor (based on costs in 2014 in Brazil) Item Activity Purchase costs of basic machine Accessory Purchase costs of accessory Residual value Costs for tires Life span of the machine Life span of accessories Life span of tires Percentage of lubricants in relation to fuel consumption Fuel consumption Operational availability Average mechanical availability Mechanical availability year 1 Mechanical availability year 2 Mechanical availability year 3 Mechanical availability year 4 Mechanical availability year 5 Surplus for maintenance (total of purchase value = PV)) Surplus for maintenance (up to 20 % of life span) Surplus for maintenance (up to 40 % of life span) Surplus for maintenance (up to 60 % of life span) Surplus for maintenance (up to 80 % of life span) Surplus for maintenance (up to 100 % of life span) Insurance (in %/year of purchase value) Annual interest rates for financing basic machine Annual interest rates for financing accessories Advance payment basic machine Period of grace for basic machine Financing period for basic machine Advance payment accessories Period of grace for accessories Financing period for accessories

Unit Type US$/unit Type US$ % US$ Hours Hours Hours % L/h % % % % % % % % PV % PV % PV % PV % PV % PV %/year %/year %/year US$ Month Month US$ Month Month

Feller Felling 490,000 Disk saw head 100,000 20 25,000 20,000 20,000 10,000 15 28 85 85.4 91 88 85 83 80 100 10 15 20 25 30 1.5 6 6 490,000 0 0 100,000 0 0

Skidder Skidding 470,000 Grapple 23,000 20 29,000 20,000 20,000 5,000 15 27 85 85.4 91 88 85 83 80 100 10 15 20 25 30 1.5 6 6 470,000 0 0 23,000 0 0

Processor Processing 275,000 Processor head 135,000 20 18,000 20,000 10,000 10,000 15 20 85 85.4 91 88 85 83 80 100 10 15 20 25 30 1.5 6 6 275,000 0 0 135,000 0 0

Costs For planning, execution, and controlling of harvesting processes, the costs for machines and labor have to be well known (Stöhr 1977). The FAO/ECE system considers three different types of costs: fixed costs, semifixed costs, and variable costs. Other systems only work with fixed and variable costs.

Fixed Costs

The fixed costs are costs that do not change with an increase or decrease in the amount of goods or services produced. Fixed costs are expenses that have to be paid independent of any operational activity (Pacheco 2000; FAO 1992). In the case of forest harvesting, this means that a chainsaw, a tractor, or a harvester Page 4 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

generates costs, if they are working or if they are parked in the machine yard. The same is true for the staff hired, regardless if it is a motor-manual harvesting system based on chainsaw felling or a fully mechanized one with harvesters, forwarders, or other machines. In the fix costs, costs for depreciation allowance, the costs for purchasing the machines, and insurance and taxes also are included. The equation for calculation of fixed costs is the following: Calculation of Fixed Costs FC ¼ PC þ DPC þ CCa þ IC þ LC þ OV

(1)

where: FC = fixed costs (US$/year) PC = purchase costs (US$) DPC = depreciation costs (US$/year) CCa = capital costs (US$/year) IC = insurance costs (US$/year) LC = labor costs (US$/year) OV = general overheads (US$/year) Property Costs Property costs refer to the costs generated by purchasing equipment or machine and the subsequent utilization of it (Borinelli 2003). The property costs show a broader approach including more costs than the price for purchasing, considering the total consumption of the good or the scrapping of a machine (Ellram and Siferd 1998; Soutes 2007). Purchase Costs The price of a machine in the factory is different from the price the client has to pay for it. There are costs for taxes, transport, and commission that have to be added (Stöhr 1977). Calculation of Costs for Machines PC ¼ ðPCBM þ PCAC Þ  QM

(2)

where: PC = purchasing costs (US$) PCBM = purchase costs for basic machine (US$/machine) PCAC = purchase costs for accessory (US$/accessory) QM = quantity of machines to be purchased A harvesting system in general consists of several processing steps, where different machines and equipment are used. Harvesting costing refers to the overall costs generated by this operation, including all machines, equipment, or vehicles necessary. This includes from mobile modules for coordinating harvesting operations maintenance trucks, storage for spare parts, low-loading trucks for transporting the oversized harvesting machines, hiring the staff up to the chemical toilets in the field, etc. It is noteworthy that the costs for the harvesting equipment in general are computed before the harvesting operation is

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

executed; having the investment this way has a significant impact on the internal rate of return of the overall project. Depreciation Allowance The depreciation refers to the loss of value of a machine due to aging and utilization. The difference between both is that the loss of value by wearing in general is linked with productivity, with a financial return (PACHECO 2000). Including the value of depreciation in the operational costs allows creating a capital reserve for the purchasing of a new machine when the end of the life span of the machine is reached (OLIVEIRA et al. 2006). Calculation of Depreciation Costs DPC ¼ ðDPCBM þ DPCAc Þ  12  QM

(3)

where: DPC = depreciation costs (US$/year). DPCBM = depreciation costs of the basic machine (US$/month) DPCAC = depreciation costs of the accessories (US$/month) QM = quantity of machines The annual rate of depreciation is applied to calculate the residual value of the machine or the accessory, if the machine is sold after a given period. The amortization costs that may be used in the tax declaration in general are given by the respective governments for the different machines and equipment. A flat rate of 0 %–20 % over the purchasing value of the new machine is very common for an estimation of the residual value. In practice, it is not very common to use the residual value for the accessories used with the basic machine. For manual tools like axes, saws, and other equipment used in harvesting operations, also an annual depreciation allowance of 20 % is common. For calculating the depreciation cost, the period of analysis of the harvesting system should be used subtracting the purchasing costs of tires and tracks, because they are already considered as variable costs. • If the span of property of the basic machine is less than or equal to the period of analysis: Calculation for Depreciation Costs for Less Than the Period of Analysis DPCBM ¼

ðPCBM  PCTR Þ  ð1  PRVBM Þ PCAC  ð1  ADAC Þ DPCAc ¼ PPBM  12 PPAC  12

(4)

• If the span of property of the basic machine is more than the period of analysis: Calculation for Depreciation Costs for More Than the Period of Analysis DPCBM ¼

ðPCBM  PCTR Þ  ð1  PRVBM Þ PCAC ð1  ADAC Þ DPCAC ¼ PA  12 PA  12

(5)

where:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

DPCBM = depreciation costs of the basic machine (US$/month) DPCAC = depreciation costs of the accessories (US$/month) PCBM = purchase costs of basic machine (US$) PCAC = purchase costs of accessory (US$) PCTR = purchasing costs of tires (US$) ADBM = annual depreciation of the basic machine (%) ADAC = annual depreciation of the accessory (%) PPBM = period of properties of the basic machine (years) PPAC = period of property of the accessory (years) PRVBM = residual value of the machine (in % of PCBM) PA = period of analysis (years) Capital Costs The capital costs are the return an investor would expect investing the money in a project of the same risk class. It indicates how much it costs the enterprise to finance its activities using its own or committed assets. Calculation of Capital Costs nh i oE APBM  ð1 þ iÞ1=12  1  12  QM D nh i oE 1=12  1  12  QM CCAC ¼ APAC  ð1 þ iÞ CCa ¼ CCBM þ CCAC

CCBM ¼

D

(6)

where: CCBM = capital costs of the basic machine (US$/year) CCAC = capital costs of the accessory (US$/year) CCa = capital costs (U$/year) APBM = advance payment for the basic machine (US$/year) APAC = advance payment for the accessory (US$/year) i = annual interest rate (%/year) QM = quantity of machines Insurance Costs Harvesting machines and equipment are used in zones and under working conditions of high risk; therefore it is recommendable to contract a partial or full insurance (Stöhr 1977). The risks are manifold. Harvesting operations under tropical conditions are dangerous for all machines with combustion engines. Heat, fuel, lubricants, and dust in combination with crown slash increase the risk of fires. Falling trees or big branches may cause damages to machines as well as injuries of personnel. The insurance costs may cover the full or partial value in case of an accident or unforeseen event (Pacheco 2000). It is very common to use a certain percentage of the purchasing costs for estimating the insurance costs, as indicated in the following equation:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Calculation of Insurance Costs IC ¼ IR  ðPCBM þ PCAC Þ

(7)

where: IC = insurance costs (US$/year) IR = insurance rate (%/year of PC) PCBM = purchase costs of basic machine (US$) PCAC = purchase costs of accessory (US$) Labor Costs Labor costs are all salaries paid to employees, as well as the cost for benefits and payroll taxes that have to be paid by an employer. It can be distinguished between direct and indirect costs. Direct costs include salaries for the employees physically making a product, like the operators of a harvesting machine or a chainsaw. Indirect costs are associated with labor that support the production of goods, such as the maintenance crew of harvesting machines or the administration staff that hires workers for the harvesting operation (Rocha 1992). The labor costs can be calculated with the following equation: Calculation of the Labor Costs LC ¼ SA þ OTH

(8)

where: LC = labor costs (US$/year) SA = salaries and social costs of the employees (US$/year) OTH = overtime hours and extras (US$/year) The costs for different groups can be summarized by multiplying the salary calculated by the number of employees. Typical groups in harvesting operations would be machine operators, chainsaw operators, maintenance crew, or supervisors. Extras like overtime, nightshifts, or premiums for high productivity may be estimated in a separated way. In many countries, the daily, weekly, or monthly working time of each employee is restricted by law. Any calculation of the number of employees should consider these restrictions, and absence periods of workers should be taken into account. In the case of machine operators, a sufficient buffer has to be planned, especially when it is intended to work in two or three shifts a day. In many emerging countries of the tropical regions, the social costs for employees increased significantly in the last decade. Especially for forest work, mainly classified as dangerous, the costs for health and life insurance, as well as limitations for maximum working hours, training requirements, and ban of outermost hard physical work, contributed in raising the costs. The local working legislation should be taken into account when calculating the labor costs for harvesting operations.

Variable Costs In the case of harvesting operations, the volumes or weights of wood assortments provided for transport and further processing are directly linked to the variable costs. The following equation expresses the variable costs:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Calculation of Variable Costs VC ¼ CMF þ FC þ LC þ TRY þ CCY

(9)

where: VC = variable costs (US$/year) CMF = costs for maintenance fund (US$/year) FC = fuel costs (US$/year) LC = lubricants costs (including hydraulic oil and other fluids) (US$/year) TRY = costs for tires and tracks (US$/year) CCY = costs of consumables (US$/year) Costs for Maintenance and Repair This category includes every maintenance activity, from a simple oil level checkup to a periodic revision of the engine, brakes, clutch, transmission, and other components of a harvesting machine. The same is true for a chainsaw. Even if the costs for this working tool might be lower, the time spent to tensioning the chain or to clean the air filter reduces productivity because it reduces the time spent in processing wood (FAO 1992). Maintenance might be classified as (a) preventive maintenance and (b) corrective maintenance. The preventive maintenance is applied on equipment, machines, or systems before a fault occurs. It can be subdivided into planned maintenance and condition-based maintenance. Corrective maintenance on the other hand may also be called repair. It is conducted to get a machine working again when it is broken or with a defect (Pacheco 2000). These costs may be estimated with information provided in the user manual of the producer or by own or third-party experiences. An indirect method would be by using the percentage depreciation allowance (FAO 1992). In the examples given below, another methodology is applied. The owner has to decide whether the utilization rate of the machine is below or above/equal 20 %. That value commonly is accepted as a breakeven value for maintenance cost calculation in the practice. • If the machine is operating (percentage of the utilization – PU) below 20 % multiplied by the year of reference: Calculation of Maintenance Fund Costs (Less Than 20 % of Usage of Total Machine Capacity Multiplied by the Reference Year)   OH (10)  100 < 20%  A, then : CMF ¼ ðWHY  CMn Þ  QM If LS where: OH = total operating hours (hours) LS = life span of the machine (hours; see manufacturer indications) A = year of reference (1, 2, 3. . .) CMF = costs for maintenance fund (US$/year) WHY = working hours per year (hours/year) CMA = costs for maintenance in the respective year (US$/h)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

QM = quantity of machines (unit) • If the machine is operating (percentage of the utilization – PU) above or equal to 20 % multiplied by the year of reference: Calculation of Reserve Fund Costs (Equal or More Than 20 % of Usage of Total Machine Capacity Multiplied by the Reference Year)   OH  100  20%  A, then : If LS      (11) WHY  LS  0, 2 CMF ¼ ðWHY  CMA Þ þ WHY   ðCMAþ1  CMA Þ  QM OH where: CMF = costs for maintenance fund (US$/year) WHY = working hours per year (hours/year) CMA = costs per hour for maintenance in the respective year (US$/h) LS = life span of the machine (hours; see manufacturer indications) OH = total operating hours (hours) A = year of reference (1, 2, 3. . .) QM = quantity of machines (unit) The percentage of the utilization of the machine is corresponding to the working hours already spent in relation to its life span. This value is calculated with the following equation: Calculation of the Working Hours Already Spent by the Machine in Relation to Its Total Life Span PU ¼

OH LS

(12)

where: PU = utilization of the machine up to the year of reference (%) OH = total operating hours (hours) LS = life span of the machine (hours) For calculating the costs for the maintenance fund for every working hour of the machine or equipment, the following equation has to be applied: Calculation of the Maintenance Fund Costs per Working Hour   PCBM þ PCAC  PCTR CMA ¼  ð1 þ PRMÞ LS

(13)

where:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

CMA = costs per hour for maintenance in the respective year (US$/h) PCBM = purchasing costs of basic machine (US$) PCAC = purchasing costs of accessory (US$) PCTR = purchasing costs of tires (US$) LS = life span of the machine (hours) PRM = percentage reserved for maintenance (%) Example 1: Repair and Maintenance Costs A feller buncher that works 3,041 h in the first year and 2,941 h in the second year. Life span of the machine is estimated with 20,000 h. For calculation of the costs, it has to be verified:   ð3, 041 þ 2, 941Þ  100 < 20%  2: 20, 000 The cost for one maintenance hour in the reference year (year 2) is about US$ 38.61. The calculated cost is CMF ¼ ð2, 941  38:61Þ  1 CMF = US$ 113,55. The annual working hours of a machine or equipment depend on the number of working days, the hours worked each day, and the effective use of the equipment. Calculation of Working Hours of an Equipment per Year WHY ¼ WHD  WDY  EU

(14)

where: WHY = working hours per year (h/year) WHD = working hours per day (h/day) WDY = working days per year (days/year) EU = effective use (%) The total operating hours correspond to the product of the programmed working hours per day, number of working days in 1 year, and the effective use of the machine or equipment, the latter being the result of the multiplication of the mechanical availability, the operational availability, and the rate of utilization. Accumulated Working Hours During the Period of Analysis (Hours) OH ¼

n  X

PWHYj  WDYj  EUj



(15)

j

where: OH = total operating hours (hours) PWHYj = programmed working hours per day in the year “j” (hours) WDYj = working days considered in the year “j” (days) EUj = effective use in the year “j” (%) n = number of analyzed years Page 11 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

The effective use of the machine takes into account the utilization rate and the operational efficiency. The latter is the product of the multiplication of the mechanical and operational availability of the machine. Calculation of the Effective Use of the Equipment EU ¼ UR  OEE

(16)

where: EU = effective use of the equipment (%) UR = utilization rate (%) OEE = overall equipment effectiveness (%) The machine or equipment efficiency is defined as the percentage of the effective working time in relation to the scheduled hours for the service (OLIVEIRA et al. 2006). It can also be defined as the product of the mechanical availability and operational availability. Calculation of the Overall Equipment Efficiency   WHM OEE ¼  100 or OEE ¼ MA  AO AHM

(17)

where: OEE = overall equipment effectiveness (%) WHM = working hours per month (hours/month) AHM = available hours per month (hours/month) MA = mechanical availability (%) AO = operational availability (%) The mechanical availability refers to the time frame the machine is programmed to work in harvesting operations, not being in preventive or corrective maintenance. The operational availability on the other hand is the time the machine is really operating, compared to the total time where it is scheduled for work. Fuel Costs It is difficult to obtain reliable fuel consumption values for machines used in harvesting operations, since the overall consumption depends on the workload of the machine at a given activity (Pacheco 2000). If there is no experience or manufacturer information about fuel consumption available, in literature it is recommended to calculate with 0.2 up to 0.3 l per hour of diesel oil per HP (horse power) put on the power train. Another source refers to a value of 0.14 l of diesel oil per working hour and HP. In case the consumption of the manufacturer is available, it is recommendable to add a surplus of 10–20 % (Stöhr 1977). Calculation of the Fuel Cost FC ¼ FCS  FP  WHY  QM

(18)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

where: FC = fuel costs (US$/year) FCS = fuel consumption (l/h) FP = fuel price (US$/l) WHY = working hours per year (hours/year) QM = quantity of machines (unit) Lubricants, Hydraulic Oils, and Other Fluids Even more difficult to estimate is the quantity of lubricants consumed by different machine types. The most reliable source in case of missing experience values are the user manuals provided by the manufacturers. The size of the reservoirs, intervals for changing lubricants, and other useful information are available there. Stöhr (1977) comments that in case of missing information, the lubricants can be estimated by using a value of 15–20 % of the fuel costs (except for chainsaws). Calculation of the Costs for Lubricants LC ¼ FC  LO

(19)

where: LC = lubricant costs (including hydraulic oil and other fluids) (US$/year) FC = fuel costs (US$/year) LO = percentage of lubricants and oils in relation to the fuel consumption (%) Some basic rules for changing intervals are given here (Pacheco 2000): • • • • •

Engine oils = > 200 h Gearbox oil and differential = > 750 h Hydraulic transmission = > 750 h Hydraulic oil = > 750 a 1,000 h Box of hydraulic steering = > 500 h

The consumption of grease is difficult to estimate without experience. Some basic rules are (Pacheco 2000): • 0.5 kg/10 h for tractors • 0.3 kg/10 h for accessories Costs for Tires and Tracks The costs for tires include costs for tracks and other accessories of the machines for keeping them mobile, not only for maintenance but also for replacement. These costs are influenced by terrain conditions, environment, maintenance, and capacity of the operators (Oliveira et al. 2006). Even if the track-based machines used in harvesting operations are built for heavy duty applications, the costs for replacing the tracks correspond to 50 % of the overall maintenance costs. Already when purchasing the basic machine, the tracks are about 20 % of the price of the new machine (ELO 2010).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Calculation of the Costs for Tires and Track Maintenance TRY ¼ TRH  WHY  QM

(20)

where: TRY = costs for tires and tracks per year (US$/year) TRH = costs for tires and tracks per hour (US$/h) WHY = working hours per year (hours/year) QM = quantity of machines Other Consumables Many machines use parts that have to be replaced periodically, causing additional variable costs. Some examples are saws and chains for felling in harvester heads, disks or shears in feller heads, knives in chippers, hydraulic hose, or steel cables for wood extraction. The calculation of such costs, the costs per hour, and year of the consumable should be known. It can be calculated with the following equation: Calculation of the Costs of Consumables CCY ¼ CCH  WHY  QM

(21)

where: CCY = costs of consumables per year (US$/year) CCH = costs of consumables per hour (US$/h) WHY = working hours per year (hours/year) QM = quantity of machines

Total Costs

The total costs are calculated by summing up the fixed costs and the variable costs described in the subchapters, by using the following equation: TC ¼ FC þ VC where: TC = total costs (US$/year) FC = fixed costs (US$/year) VC = variable costs (US$/year)

Assets to Be Considered Harvesting operations make part of a company’s cash flow over a given accounting period. The accounting entries can be separated into three sections like operating activities, investing activities, and financing activities.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Residual Values of Machines and Equipment When completing the life span after a given number of working hours or technical aging, a machine or equipment in many cases still can be used for the same or other activities for a certain period. In this case there is a potential residual value that may enter in the overall cost analysis, reducing the costs per working hour and at least the cost for the depreciation allowance (Stöhr 1977). Calculating Residual Value of a Machine or Equipment RVBM ¼ f½PCBM  ðPCBM  PRVBM Þ  ð1  PUÞg þ ðPCBM  PRVBM Þ  QM

(22)

where: RVBM = residual value of the basic machine (US$) PCBM = purchase costs of the basic machine (US$) PRVBM = residual value of the machine (in % of PCBM) PU = percentage of utilization (absolute value) (OH/LS) QM = quantity of machines in operation Example 2: Residual Value of Equipment and Machines Calculating the residual value of a feller buncher knowing the purchase cost of the machine: US$ 591,680. The life span is estimated with 20,000 h. The company works with the feller 13.7 h per day for 23.9 days per month (average). The utilization rate of the machine is 100 %, the average mechanical availabilities is reducing from 91% in year 1 to 80% in year 5 while the operational efficiency remains constant with 85%, and the operational efficiency is 85 %. The percentage of the residual value of the machine is estimated in 20 % of the purchasing costs. WHY year 1 ¼ 13:7  23:9  ð100%  91%  85%Þ ¼ 3, 041 h

WHY year 2 ¼ 13:7  23:9  ð100%  88%  85%Þ ¼ 2, 941 h

WHY year 3 ¼ 13:7  23:9  ð100%  85%  85%Þ ¼ 2, 841 h

WHY year 4 ¼ 13:7  23:9  ð100%  83%  85%Þ ¼ 2, 774 h

WHY year 5 ¼ 13:7  23:9  ð100%  80%  85%Þ ¼ 2, 674 h

OH ¼ 14271 h

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

 PU ¼

 14, 271  100 ¼ 71:36% 20, 000

RVBM ¼ f½591, 680  ð591, 680  20%Þ  ð1  0:7136Þg þ ð591, 680  20%Þ

RVBM ¼ US$ 253, 900

Expenses with Outsourced Services Harvesting can be done under own administration and execution or a service provider can be hired. In the first case, harvesting costing is treated as an internal investment of the company. In many cases, harvesting operations are outsourced to a service provider, causing this way a cash outflow to a third party.

Economic Analysis Like the cash flow evaluation, the economic analysis is an important tool for decision taking in investments. Harvesting operation is one of the most cost intensive cost position in forest management activities. An economic analysis of such operation points out the pros and cons of the investment in the present and future. For an economic analysis of an investment, three methods may be applied: internal rate of return (IRR), net present value (NPV), and payback (PB).

Internal Rate of Return (IRR) The internal rate of return (IRR) (or economic rate of return (ERR)) is used to measure and compare the profitability of investments. It is also called the discounted cash flow rate of return. The calculation does not incorporate business environmental factors like the interest rate or inflation (Oliveira 1979). The internal rate of return follows from the net present value as a function of the rate of return for a given collection of pairs of time and cash flow (see equation below). Calculation of the Internal Rate of Return 0 ¼ CF0 þ

CF1 ð1 þ IRRÞ

1

þ

CF2 ð1 þ IRRÞ

2

þ ... þ

CFn ð1 þ IRRÞn

(23)

where: CFn = cash flow of the evaluated period (US$) IRR = internal rate of return (%) n = analyzed period in the year of reference Example 3: Internal Rate of Return (IRR) A forest plantation company wants to invest in new harvesting machines. They want to know if the interest rate of the investment is higher than the cost for the capital to be invested. This way the internal rate of return (IRR) is calculated knowing that:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

• Investment for year 0: US$ 3,626,340 • Cash flow considered for 5 years: Year 1 US$ 897,581

Year 2 US$ 900,744

0 ¼ 3, 626, 340 þ

Year 3 US$ 905,868

897, 581 1

ð1 þ IRRÞ

þ

900, 744 2

ð1 þ IRRÞ

þ

Year 4 US$ 901,047

905, 868 3

ð1 þ IRRÞ

þ

Year 5 US$ 2,696,320

R$ 901, 047 ð1 þ IRRÞ

4

þ

R$ 2, 696, 320 ð1 þ IRRÞ5

IRR = 17.8 % per annum (if the IRR is higher than the cost of the capital, the investment would be acceptable).

Net Present Value (NPV) The net present value (NPV) (also called net present worth) of a time series of incoming and outgoing cash flow is defined as the sum of the present values of the individual cash flows. It compares the present value of money today to the present value of money in the future, taking inflation and returns into account (Lapponi 1996; Afonso Júnior et al. 2006). Calculation of the Net Present Value (NPV) NPV ¼ CF0 þ

CF1 1

ð 1 þ iÞ

þ

CF2 ð1 þ iÞ

2

þ ... þ

CFn ð1 þ iÞn

(24)

where: NPV = net present value (US$) CFn = cash flow of the evaluated period (US$, “n” can be month or years) i = capital costs (% per month or per year) n = analyzed period If the NPV is positive, then the investment aggregates value to the enterprise because the IRR is higher than the capital costs (i). If the NPV is negative, then the investment doesn’t aggregate value to the enterprise because the IRR is lower than the capital costs (i). If the NPV is equal to zero, the investment generates an IRR at the same amount as the capital costs (i). Example 4: Net Present Value (NPV) Using the data of the IRR sample, the calculation shows that the investment generates a profit of 904, 277 US$ in the following years. In the fifth year, the machines are sold. If an interest rate of 10 % per annum is assumed, the NPV is YEAR 0 US$ 3,626,340

YEAR 1 US$ 897,581

YEAR 2 US$ 900,744

YEAR 3 US$ 905,868

YEAR 4 US$ 901,047

YEAR 5 US$ 2,696,320

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

NPV ¼  3, 626, 340 þ

897, 581 ð1 þ 0:1Þ

1

þ

900, 744 2

ð1 þ 0:1Þ

þ

905, 868 ð1 þ 0:1Þ

3

þ

R$ 901, 047 ð1 þ 0:1Þ

4

þ

R$ 2, 696, 320 ð1 þ 0:1Þ5

NPV ¼ US$ 904, 277

Financial and Cost Accounting Financial and cost accounting are tools in order to have a better control of costs. As already mentioned, harvesting operations in general are expensive as compared to other activities of forest management. Financial accounting is focused on the reference year and reports the loss or profit in the form of a balance sheet. Cost accounting aims at computing production costs in order to facilitate cost control and cost reduction.

Machine and Equipment Costs (Present Value) The cost for each machine can be calculated by using the following equation: Calculation of the Cost per Machine CPM ¼ PV þ ½ðLC  PLCÞ þ ðCOH  PDGÞ

(25)

where: CPM = cost per machine (US$) PV = present value (US$) LC = labor costs (US$) PLC = percentage of other labor costs linked to the operation (%) COH = costs overheads (US$) PDG = % of overheads linked to harvesting operation (%) The present value or present discounted value is a future amount of money that has been discounted to reflect its current value, as if it existed today. The term was created because money has a potential of “interest earning” in the future, i.e., the value of a dollar today is less than the value of a dollar tomorrow. The future value measures the nominal future sum of money that a given amount is “worth” at a specified time in the future. For that purpose, a certain interest rate or rate of return has to be specified. Calculation of the Present Value PV ¼

FV ð1 þ iÞn

(26)

where: PV = present value (US$/year) FV = future value (US$/year) i = annual interest rate (%/year) n = analyzed period (year)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Example 5: Costs by Machine and Year Costs for a feller buncher operating at the second year: Account Purchase costs Depreciation allowance Insurance Maintenance costs Fuel Lubricants, oils, filters, etc. Tires (tracks) Overheads Labor costs General costs Tax refunds Percentage of labor costs dedicated to harvesting operations Percentage of general costs dedicated to harvesting operations

Year 2 (in US$) – 96,800 8,700 60,961 48,052 7,208 4,576 11,085 25,050 40,000 67.122 10 % 10 %

For the calculation of present value, it is sufficient to sum the expenses of year 2 discounted to reflect the value in year 0, considering interest rates of 10 % p.a.

PV ¼

ð 0 þ 96:800 þ 8, 700 þ 60, 961 þ 48, 052 þ 7, 208 þ 4, 576 þ 11, 085Þ ð1 þ 0, 1Þ2

US$ ¼ 267, 503 Costs related to the machine/equipment are CPM = 267,503 + [(25,050 * 0,1) + (11,085 * 0,1) + (67,122)] CPM = US$ 338,238.50 In the case of the operational cost, expenses related to the purchase cost of machines or equipment, depreciation allowance, insurance, maintenance fund, fuel and lubricant costs, tires, and overheads have to be registered as future cost.

Costs by Operation In some cases, one machine is not enough to realize a harvesting operation, but a combination of machines or a system. For wood extraction, it may be necessary to use a shovel logger and a skidder. Under these conditions, it is necessary to sum up the costs of both machines used in the process. Example 6: Harvesting Costs by Operation Combination of a skidder and a shovel logger in an operation of wood extraction. The costs for both machines in year 2 are US$ 306,948 and US$ 349,281, respectively. The total costs of both machines are US$ 656,229.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Costs per Unit Produced in a Respective Period (US$/m3) The average costs per unit of goods produced, in the case of harvesting operations, for instance, a cubic meter of wood, are equivalent to the ratio of the total costs and the production per month in a reference period. Average Costs per Produced Unit in a Reference Period ACU ¼

CO PDM  12  P

(27)

where: ACU = average costs per unit produced in the period of reference (US$/m3) CO = costs per operation in the period of reference (US$) PDM = planned production per month (m3/month) P = analyzed period (year) Example 7: Average Costs per Unit Produced in a Reference Period A forest enterprise has a demand of 13.195 m3 of wood in their mill yard every month. From experience, it is known that costs are variable for each year analyzed, according to the table below: Operation Extraction (US$) Working hours (h) Overall equipment effectiveness (OEE) Mechanical availability

Year 0 0 0 0 0

Year 1 699,930 2,700 77,4 % 91,0 %

Year 2 656,229 2,611 74,8 % 88,0 %

Year 3 616,364 2,522 72,3 % 85,0 %

Year 4 582,672 2,463 70,6 % 83,0 %

Year 5 477,522 2,374 68 % 80,0 %

Total/average 3,032,716 12,699 74,8 % 88,0 %

The costs for wood extraction in the example are reduced by every year, even the harvesting volume remaining constant. This is due to the changes in operational efficiency and mechanical availability which are influencing on the variable costs like fuel consumption, lubricants, tires, and other consumables. The working hours are reduced because the effective use of the machines diminished too (multiplication operational efficiency  utilization rate). The result is that the same volume of wood is extracted in less working hours. This way the average costs per unit produced would be: , 716 3 ACU ¼ ð133,, 032 195125Þ ACU = US$ 3.83/m Operational Costs on a Yearly Base The operational costs on a yearly base refer to the real costs of a produced unit in a given year of reference. Calculation of Costs per Unit and Operation CUO ¼

CO PDM  12

(28)

where: CUO = costs per unit and operation (US$/m3) CO = costs per operation (US$/year) Page 20 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

PDM = production demand per month (m3/month) Example 8: Operational Costs per Unit For the 5-year period considered in the former example, the average costs per cubic meter and year were of US$ 3.83. But on a yearly base, the costs show a different value: , 98 3 CUOðyear 1Þ ¼ 1:738:940 13:19512 CUO (year 1) = US$ 3.83/m Operation Wood extraction (m3) CUO (US$/m3)

Year 0 0 0

Year 1 697,529 4.40

Year 2 653,978 4.13

Year 3 614,250 3.88

Year 4 580,674 3.67

Year 5 475,884 3.00

Operational Costs on a Monthly Base Under some conditions it might be necessary to have the real costs on a monthly base. In this case, the monthly costs have to be multiplied by the wood units to be produced in the respective month. Example: Costs for a Monthly Operation Knowing that the costs per cubic meter of wood produced in year 2 are US$ 3.83 and in each month a volume of 13,185 m3, the operational costs would be CMO ¼ 3:83  13, 185

CMO ¼ US$ 54:498=month

Operational Costs per Hour For calculating the costs on an hourly base, the quantity of effective working hours of each machine or equipment has to be known. Calculation of Operational Costs per Working Hour OCH ¼

OCM OA  MA  UR  AHM

(29)

where: OCH = operational costs per hour (US$/h) OCM = operational costs per month (US$/month) OA = operational availability of the machine (%) MA = mechanical availability of the machine (%) UR = utilization rate of the machine (%) AHM = available hours per month (hours/month) Example 9: Costs per Hour of Operation In a forest company, the working schedule is 5.5 days per week; the machines used for the operation of “wood extraction” are a skidder and a shovel logger, both working in a two-shift system of 7.7 and 8 h, respectively, including a 1-h rest in each shift. One month in average has 4.35 weeks. AHM = (7.7 + 8  2) * 5.5 * 4.35 = 327.77 h available for working each month. OBS: In case of overtime hours, these have to be considered in the calculations. Considering that the skidder as well as the shovel logger has an operational availability of 85 % and a mechanical availability of 85.4 %, the machines are used at 100 % of their availability; the operational cost per hour is

Page 21 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015 54, 389 OCH ¼ 0, 850, 8541327 , 77 OCH = 229 US$/h The mechanical availability is defined as the percentage of the time the machine is mechanically able to realize productive service. This excludes all the time the machine is out of order for repair or maintenance.

Case Study: Harvesting Costing The case study is based upon an example of a Brazilian company operating in a tropical region. The example includes local taxes at federal, state, and municipality level. The conversion rate is given in US$ to Brazilian real. A Brazilian forest enterprise wants to revise their harvesting system. The company produces eucalypt for pulping in a tropical region and has a daily demand of 9,000 m3 of pulpwood. The assortment to be produced is of 3.60 m in length; the individual volume per tree is of 0.25 m3. The current harvesting costs are 32.30 R$/m3 using a system that consists of a harvester (felling, debarking, delimbing, and cutting to length) and a forwarder to transport and pile the wood at forest roadside. The company hired a consultant to support the internal process of evaluation of the current harvesting system. The objective is to evaluate an alternative harvesting system and to elaborate a cost report. The company is providing the information about the 5-year period to be analyzed.

Information About the Area For selecting a harvesting system, it is necessary to have sufficient information about the area where the operations should take place. • • • • • •

Total area Forest road density Average wood extraction distance Inclination of the terrain Homogeneity of the forest Operational conditions (rocks, soil type, etc.)

General Preconditions Besides the information necessary about costs and productivity of the system, also the data about employee costs, overheads, taxes, and so on have to be considered (Table 3).

Listing of the Machines for an Alternative Harvesting System Based upon information of the area, the volume to be harvested, and the climate conditions, a set of machines is listed to cope with the demand of the company: • Felling: feller buncher (track-based basic machine and felling head) • Skidding: clambunk skidder • Processing (delimbing, debarking, cutting to length): processor (track-based basic machine and processing head) The next step is to get information about the costs of the new machines, the accessories necessary, and the labor costs to get the machines working (Table 4).

Page 22 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Table 3 General information for cost calculation Item Monthly production/wood demand Current harvesting costs Harvesting costs Interest rate (p.a.) Conversion rate Fuel cost PIS/COFINS (specific Brazilian taxes) Value added tax Profit tax Social benefits offered Medical assistance (optional) Food basket (optional) Monthly food assistance (mandatory) Transport to company (mandatory) Medicine (optional) Transport to working place (mandatory) Lunches and meals at workplace (mandatory) 13th salary (mandatory) Life insurance for forest workers (mandatory) Expenses for overtime work Additional spending for overtime hours Additional spending for night work Social costs over salary

Unit m3/month R$/m3 R$/year % per year US$/R$ R$/l % % % over profit – R$/month and employee R$/month and employee R$/month and employee R$/month and employee R$/month and employee R$/month and employee R$/month and employee % over salary % over salary % overnormal working hours % % %

Value 9,000 32.30 3,488,400 10 1: 2.498 2.32 9,25 18 34 – 356.70 174.00 258.00 258.00 50.00 477.05 300.00 8.93 0.3 50 17 20 18

The company decided not to finance the purchase costs for the machines and pay cash for it. Therefore the period for financing the costs is equal to 0. Since the machines are not of national production, the government does not finance the purchasing with a low interest rate.

Operational Data In a next step, the information about the workload per month, productivity of machines, number of operators and employees necessary to get the system working, and the machine availability are necessary for further cost calculation (Tables 5 and 6).

Cash Flow

For generating the cash flow, all the data presented in the tables of Chap. ▶ 7 have to be considered for the calculation of the costs of the processes of the harvesting system to be evaluated (Table 7).

Cost Reporting The cost reporting consists of the general presentation of the aggregated costs of the harvesting system for each accounting. It contains detailed information about the costs of the evaluated system per unit

Page 23 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Table 4 Information about machine and labor costs Item Activity Purchase costs of basic machine (including taxes) Accessories Purchasing costs accessories (including taxes) Residual value of basic machine Value of tires and tracks (including taxes) Life span of the machines Life span of accessories Life span of tires/tracks % of lubricants in relation to fuel Consumption Fuel consumption Operational availability Average mechanical availability Mechanical availability in year 1 Mechanical availability in year 2 Mechanical availability in year 3 Mechanical availability in year 4 Mechanical availability in year 5 Reserve fund (total) (PC = purchase costs) Reserve fund (until 20 % of life span) Reserve fund (until 40 % of life span) Reserve fund (until 60 % of life span) Reserve fund (until 80 % of life span) Reserve fund (until 100 % of life span) Insurance (percentage of purchasing value)) Interest rate for financing basic machines Interest rate for financing accessories Cash down basic machine (without financing) Period allowed for payment Period for financing basic machine Cash down for accessories Period allowed for payment Period for financing the accessories Financing of national machines by government

Unit Type R$ Type R$ % R$ Hours Hours Hours % l/h % % % % % % % % PC % PC % PC % PC % PC % PC % p.a. % p.a. % p.a. R$ Month Month R$ Month Month –

Feller Felling 1,200,000 Head with disk saw R$ 250,000 20 % R$ 60,000 20,000 20,000 10,000 15.0 % 28.0 85.0 % 85.4 % 91.0 % 88.0 % 85.0 % 83.0 % 80.0 % 100.0 % 10.0 % 15.0 % 20.0 % 25.0 % 30.0 % 1.50 % 6.0 % 6.0 % R$ 1,200,000 0 0 R$ 250,000 0 0 None

Skidder Skidding 1,150,000 Grapple and clambunk R$ 57,500 20 % R$ 72,00 20,000 20,000 5,000 15.0 % 27.0 85.0 % 85.4 % 91.0 % 88.0 % 85.0 % 83.0 % 80.0 % 100.0 % 10.0 % 15.0 % 20.0 % 25.0 % 30.0 % 1.50 % 6.0 % 6.0 % R$ 1,150,000 0 0 R$ 57,500 0 0 None

Processor Processing 680,000 Felling head R$ 330,000 20 % R$ 45,000 20,000 10,000 10,000 15.0 % 20.0 85.0 % 85.4 % 91.0 % 88.0 % 85.0 % 83.0 % 80.0 % 100.0 % 10.0 % 15.0 % 20.0 % 25.0 % 30.0 % 1.50 % 6.0 % 6.0 % R$ 680,000 0 0 R$ 330,000 0 0 None

produced (m3) and related to different production periods (day, week, month, and year). The economic analysis uses an internal rate of return (IRR) of 22.4 % and a net present value (NPV) of 1,453,910.73 R$ (Table 8). The cost reporting reveals that the change from the system harvester and forwarder to feller buncher, skidder, and processor under the conditions described above reduces the average costs per cubic meter of wood produced from 32.30 R$ to 29.54 R$. This means a cost reduction of 8.5 % for the harvesting operation if the new system is introduced.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Table 5 Example of a table for data collection about working hours and productivity of machines Operation Machine Estimated productivity Individual volume of the tree Average skidding distance Assortment Machine productivity Machine productivity Machines and Employees Quantity of machines Operator in shift 1 Operator in shift 2 Operator in shift 3 Operators in reserve (vacation/illness) Working hours Working hours shift 1 Working hours shift 2 Working hours shift 3 Meals/day Programmed hours per day Working days per week Working days per month Hours available per month Overtime hours per month Night shift hours per month Utilization and production Operational availability Mechanical availability Utilization rate Utilization hours per day Life span of the machine Average productivity Wood demand Difference

Unit

Felling Feller buncher

Extraction Clambunk skidder

Processing Processor

m3/tree Meter Meter m3/h Trees/h

0.25 – – 87.5 350

0.25 75 – 45 –

0.25 – 3,6 25 100

n n n n n

1 1 1 – –

1 1 1 – –

1 1 1 1 2

Hours Hours Hours Hours Hours Days Days Hours Hours Hours

7.7 8 – 2 13.7 5.5 23.9 326.8 0 23.9

7.7 8 – 2 13.7 5.5 23.9 326.8 0 23.9

8 8 8 3 21 5.5 23.9 502.2 0 23.9

% % % Hours Year m3/month m3/month m3/month

85 % 85.4 % 65 % 154.2 10.8 13,493.15 9,000 4,493.15

85 % 85.4 % 95 % 225.4 7.4 10,143.10 9,000 1,142.10

85 % 85.4 % 100 % 364.6 5.0 9,114.01 9,000 114.01

Table 6 Example for a table for working hours and employees Function Machine operator Supervisor Operator maintenance truck Operator fuel truck Supervisor mechanics Mechanic assistant Total

Shift 1 3 1 1 1 1 1 8

Shift 2 3

shift 3 1

Reserve 2

1

2

1 1 5

Number of employees 9 1 1 2 2 1 16

Wages 2,400.00 3,780.00 1,800.00 1,800.00 1,500.00 2,500.00 Mean value

R$/h 12.54 19.76 9.41 9.41 7.84 13.07 11.85

Page 25 of 28

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Table 7 Cash flow Annual cash flow 1. Fixed costs (a) Property costs Net purchase costs (without taxes or subsidies) Depreciation allowance Other initial investments Capital costs Other initial investments Insurance (b) Labor costs (c) General expenses Total fixed costs 2. Variable costs (a) Maintenance (b) Fuel costs (c) Lubricants, hydraulic oils, etc. (d) Tires and tracks (e) Other consumables Total variable costs Total costs without depreciation allowance and capital costs 3. Assets to be considered (a) Residual value of machines (b) Expenses if the service is hired by third parties (c) Tax refunds (in Brazil PIS/COFINS/ICMS for 48 months) Total of assets (R$) Gross margin without depreciation allowance and capital costs (R$)

Year 0

Year 1

Year 2

Year 3

Year 4

Year 5

3,835,343.63

0.00

0.00

0.00

0.00

0.00

0.00

799,534.40

799,534.40

799,534.40

799,534.40

799,534.40

0.00

202,640.00

202,640.00

202,640.00

202,640.00

202,640.00

0.00 0.00

0.00 0.00

0.00 0.00

0.00 0.00

0.00 0.00

0.00 0.00

0.00 0.00 0.00 3,835,343.63

63,881.25 897,558.79 412,918.40 2,376,532.84

63,881.25 897,558.79 412,918.40 2,376,532.84

63,881.25 897,558.79 412,918.40 2,376,532.84

63,881.25 897,558.79 412,918.40 2,376,532.84

63,881.25 897,558.79 412,918.40 2,376,532.84

0.00 0.00 0.00

652,681.60 442,705.90 66,405.88

659,853.92 428,111.20 64,216.68

665,070.16 413,516.50 62,027.47

676,480.68 403,786.70 60,568.00

678,110.75 389,192.00 58,378.80

0.00 0.00 0.00 3,835,343.63

41,463.04 55,228.38 1,258,484.80 2,653,003.32

40,096.12 53,407.67 1,245,685.59 2,649,101.81

38,729.21 51,586.95 1,230,930.29 2,642,930.51

37,817.93 50,373.14 1,229,026.45 2,649,506.17

36,451.02 48,552.43 1,210,684.99 2,639,225.86

0.00

0.00

0.00

0.00

0.00

1,615,641.69

0.00

3,477,600.00

3,477,600.00

3,477,600.00

3,477,600.00

3,477,600.00

0.00

359,151.59

359,151.59

359,151.59

359,151.59

0.00

0.00 3,835,343.63

3,836,751.59 1,183,748.27

3,836,751.59 1,187,649.78

3,836,751.59 1,193,821.09

3,836,751.59 1,187,245.43

5,093,241.69 2,454,015.83

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

Table 8 Cost reporting Cost reporting Annual costs for harvesting (R$/year) Felling Extraction Processing Annual costs by operation (R$/year) Felling Extraction Processing Average costs by unit produced and period Felling Extraction Processing Total Annual cost per unit produced (R$/m3) Felling Extraction Processing Total Monthly costs per operation (R$/month) Felling Extraction Processing Total Operational cost per hour (R$/h) Felling Extraction Processing Total

Year 0

Year 1

Year 2

Year 3

Year 4

Year 5

0.00 0.00 0.00 Year 0

914,523.26 881,670.99 1,802,434.93 Year 1

861,488.32 832,264.39 1,718,934.95 Year 2

813,264.97 787,228.56 1,642,648.36 Year 3

772,109.42 748,955.67 1,577,729.81 Year 4

652,316.72 631,626.80 1,314,386.99 Year 5

0.00 0.00 0.00 R$/m3

914,523.26 881,670.99 1,802,434.93

861,488.32 832,264.39 1,718,934.95

813,264.97 787,228.56 1,642,648.36

772,109.42 748,955.67 1,577,729.81

652,316.72 631,626.80 1,314,386.99

7.43 7.19 14.92 29.54 Year 0

Year 1

Year 2

Year 3

Year 4

Year 5

0.00 0.00 0.00 0.00 Year 0

8.47 8.16 16.69 33.32 Year 1

7.98 7.71 15.92 31.60 Year 2

7.53 7.29 15.21 30.03 Year 3

7.15 6.93 14.61 28.69 Year 4

6.04 5.85 12.17 24.06 Year 5

0.00 0.00 0.00 0.00 Year 0

76,210.27 73,472.58 150,202.91 299,885.77 Year 1

71,790.69 69,355.37 143,244.58 284,390.64 Year 2

67,772.08 65,602.38 136,887.36 270,261.82 Year 3

64,342.45 62,412.97 131,477.48 258,232.91 Year 4

54,359.73 52,635.57 109,532.25 216,527.54 Year 5

0.00 0.00 0.00 0.00

494.21 201.54 412.01 1,107.75

465.55 190.24 392.92 1,048.71

439.49 179.95 375.49 994.92

417.25 171.20 360.65 949.09

352.51 144.38 300.45 797.34

References Afonso Júnior PC, Oliveira Filho D, Costa DR (2006) Viabilidade Econômica de Produção de Lenha de Eucalipto para secagem de Produtos agrícolas. Eng Agríc 26(1):28–35 Borinelli ML (2003) Análise de custos de consumidores Monografia apresentada ao curso de Gestão Estratégica de Custos – Faculdade de Economia. Universidade de São Paulo, Administração e Ciências Contábeis Ellram LM, Sifred SP (1998) Total cost of ownership: a key concept in strategic cost management decisions. J Bus Logist 19(1):55–84

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_185-1 # Springer-Verlag Berlin Heidelberg 2015

ELO (2010) Gestão e Equipamentos 11(55) Online Edition, São Paulo, http://revistaelo.com.br/ wordpress/wp-content/uploads/2010/09/ELO55.pdf. Accessed Sept 2014 FAO (1992) Cost control in forest harvesting and road construction. FAO, Rome, p 106 Fight RD, Gicqueau A, Hartsough BR (1999) Harvesting costs for management planning for Ponderosa pine plantations. United States Department of Agriculture, General Technical Report PNW-GTR-467, p 16 Freitas LC, Marques GM, Silva ML, Machado RR, Machado CC (2004) Estudo comparativo envolvendo três métodos de cálculo de custo operacional do caminhão bitrem. Revista Árvore 28(6):855–863 Grammel R (1988) Holzernte und Holztransport, Paul Parey Studientexte Nr. 60, p 242 Lapponi JL (1996) Avaliação de projetos e investimentos: modelos em Excel. Lapponi Treinamento e Editor, São Paulo, p 264 Machado CC (1989) Sistema brasileiro de classificação de estradas florestais (SIBRACEF): desenvolvimento e relação com o meio de transporte florestal rodoviário, PhD thesis. Universidade Federal de Curitiba, Curitiba Machado CC, Malinovski JR (1988) Ciência do trabalho Florestal. Universidade Federal de Viçosa, Viçosa, p 65 Malinovski RA, Malinovski RA, Malinovski JR, Yamaji FM (2006) Análise das variáveis de influência na produtividade das máquinas de colheita de madeira em função das características físicas do terreno, do povoamento e do planejamento operacional florestal. Rev Floresta 36(2):169–182 Oliveira A (1979) Método da Taxa Interna de Retorno – Caso de Taxas Múltiplas. RAE-Rev Admin Empresas 19(2):87–90 Oliveira RJ, Machado CC, Souza AP, Leite HG (2006) Avaliação Técnica e Econômica da Extração de Madeira de Eucalipto com “Clambunk skidder”. Rev Árvore 30(2):267–275 Pacheco EP (2000) Seleção e custo operacional de máquinas agrícolas. Embrapa Acre, Rio Branco, p 21, 18 Rocha W (1992) Custo de mão de obra e Encargos Sociais, 6th edn. Fipecafi, São Paulo, 1992, 26 p. http:// www.scielo.br/scielo.php?pid=S1413-92511992000300003&script=sci_arttext. Accessed Sept 2014 Sohns H (2011) Moderne Holzernte, Ulmer Verlag, Stuttgart, p 266 Soute DO (2007) Custo Total de Propriedade (TCO): É importante? Para quem? Ciências Soc Aplicadas Rev Marechal C^andido Rondon 7(14):83–105 Stöhr GWD (1977) Cálculo de custos de máquinas florestais. Rev Floresta Curitiba 8(2):23–30. http://ojs. c3sl.ufpr.br/ojs/index.php/floresta/article/view/6200. Accessed Sept 2014

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Safety and Training in Harvesting Ricardo A. Malinovskia*, Jorge R. Malinovskib, Leif Nuttob and Nathan S. Sanchesa a Federal University of Paraná, Curitiba, Brazil b Malinovski Florestal, Curitiba, Brazil

Abstract Safety and training in harvesting has become more and more important in the last decades. Forest work always has been considered as being extremely hazardous and causing health problems when practiced over longer periods. Today a clear trend is going toward fully mechanized harvesting systems, where modern and sophisticated machines have to work together to perform a smooth operation. For this purpose the management and administration of harvesting teams has to be improved, where planning, organization, staffing, directing, and controlling are applied. Management and staffing are important to create a highly productive and safe work environment, with motivated people performing as a team. Staffing is the most important management tool concerning safety and training in harvesting operations. The skills of operators moving million dollar machines have to be tested before hiring and trained adequately to reach a good performance. The instruments for motivating the employees and workers make part of efficient management. Training is one of the possibilities to improve and update the skills and this way increase working satisfaction and performance of the worker. Determination of training may be done in three steps: analysis of needs, development of action plans, and evaluation of success. It is important that the workers and operators reach a level of the learning curve where they combine high productivity with good quality and safe work. Adequate professional training also improves working safety and the health of the operators. High accident and death rate in forest work can be reduced by adequate training, but also working conditions have to be adapted to the needs of the workers. A safe working environment is a precondition for high performance and productivity of the staff. Instruction, monitoring, and supervision are instruments to guarantee a sound working environment. On the one hand technical measures can improve working safety, like chain brakes at chainsaws or safety features in harvesting machine cabins, and on the other hand organizational measures like safety training and behavior rules are also of high importance. Special attention should be paid to personal protective equipment: helmet, protection cloth, boots, or visors have to be provided to the workers and operators according to the specific activities of their job description. In tropical countries, protection against snakes, spiders, or insects should also be considered when designing the respective personal protective equipment of the forest workers involved in harvesting operations. Working safety is closely linked to the health status and physical performance of the forest worker and machine operators. Stressed or unhealthy workers lose concentration, pay less attention to their environment, and underestimate risks. In highly hazardous forest work, this may cause severe health damages or even deadly accidents. Ergonomics are a multidisciplinary field of professional research with the aim of finding the ideal balance between the worker and its activity. It has to be assured that their basic needs as food, housing, and health are fulfilled; otherwise the workers and the rest of the staff run a high risk of accidents.

*Email: [email protected] Page 1 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Keywords Ergonomics; Wood harvesting, working safety; Management; Staffing; Accidents; Workload

Introduction In the last decade, labor science became more and more recognized by companies, organizations, and governments. Legislation was gradually adapted to protect employees and workers from accidents, unsafe and dangerous work, or illness. What first was considered as additional costs for the economy today is widely recognized to contribute social sustainability. Especially in dangerous areas like forestry, working safety and training contribute to more efficiency, resulting in higher productivity, lower absence from work rates, and lower overall production costs. Efficiency and productivity of forest harvesting depend on planning, organization, execution, and controlling. The management of human resources has become very important in the recent years to cope with the production goals set by companies. Basic instruments for managing human resources are training, capacity building, working safety, and profilers selecting the right person for the right job. In 1996 the Food and Agriculture Organization (FAO) published the FAO model code of forest harvesting practice. In chapter ▶ Safety and Training in Harvesting of this guide, a group called “forest harvesting workforce” describe the importance of the components “management” and “administration” for harvesting operations, just like it is the case for any other business. Forest work in general is very labor intense. Many of the activities and operations are classified as hard or outermost hard work, where ergonomics play an important role to avoid health problems, permanent physical debility, or accidents. Forestry in the tropics is diverse, including wood production in subsistence farming, large-scale tropical forest management, and industrial plantation management. Apart from wood harvested for own demand from small farmers or communities, the operations and logistics of wood production for markets become complex, also for the human resource management. The principles for personnel structure in harvesting operations are similar to companies operating in other areas. In general the hierarchic structure includes the levels management, administration, planning, support, and operations. Personnel from business, administration and economics, engineers and the field labor like supervisors, machine operators, mechanics for maintenance, and manual workers are included in the working process. These people have to be organized to work together in an efficient, productive, and safe way. For that to happen, three factors have to be observed: organization, identification, and description of the job and duties for each person in the team, and, as one of the most important issues, that each single member of the staff is healthy and motivated. The operational manager has to guarantee that the principles and goals of the company are achieved by defining the duties of the staff members; allocating the human resources, equipment, and machines; and coordinating the working processes of the operation. The sector of administration conducts the office work of the company as well as the financial issues. The planning staff, with the organization of the labor force and resources, is related to the production goals of the company. In harvesting operations, they are also the link between the other fields of forest management, like silviculture, transport, and logistics, to assure the wood supply of the company or the market according to the planned demand. In the execution of the harvesting operations, supervisors are in charge of monitoring the production goals established by the planning staff, supervising that legal requirements and the company rules are accomplished. The operators and workers itself are in charge of performing an efficient and productive operation using the machines, equipment, and tools consigned by the company in a responsible and safe way, respecting the safety and environmental rules.

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The field of management is very wide and may be classified into the following categories: production, marketing, financial, human resource, purchasing, maintenance, and office. The emphasis of management, and consequently administration, has changed in the last decades. According to F. W. Taylor, “Management is an art of knowing what to do, when to do and see that it is done in the best and cheapest way” (Taylor 1911). While Taylor still is pointing out the economic component “cheapest way,” modern definitions of management have changed to more holistic views, where the human resource plays a more important role. Koontz and Weihrich (1990) define management as the following: “Management is an art of getting things done through and with the people in formally organized groups. It is an art of creating an environment in which people can perform and individuals can co-operate towards attainment of group goals.” In this definition the “people” play a central role. Under a management environment where human resources are a central factor, safety and training play a key role in harvesting operations. The article wants to point out the role and importance of the human factor in forest management and how the social sustainability can be obtained by appropriated measures to guarantee occupational health and a high professional training standard of the personnel.

Human Resource Management and Administration The administration has the function to establish the company policy and to determine the instruments how to operate the business to meet with the production goals (Boxall et al. 2007). The personnel of the different hierarchical levels working in an organization have their established objectives and try to reach these, always in accordance with the business culture and values of the company. The administration of a company represents the plan and ideas of the owners of a company, also in terms of return on investment of the applied capital. Decision taking makes part of the task of directors and managers, while the technical concepts provided for this process depend on the capacity of the employees, which are involved in the decision making. Decision taking is influenced by values, opinions, and visions of the higher administration levels. The hierarchical structure of the administration and the management in a company is shown in Fig. 1. The objective of an efficient management is to obtain the best possible production result with a given input, increasing the efficiency of production. The management, no matter at which level or area of the production of a company, is a logic consequence of its administrational objectives and policies. After Gulick (1936) management can be described by the keyword “POSDCoRB”, where P stands for planning, O for organizing, S for staffing, D for directing, Co for coordination, R for reporting, and B for

ADMINISTRATION • President CEO Directors Managing Direction

MANAGEMENT •Manager Coordinator Analyst Supervisor

Fig. 1 Organization of administration and management with their different levels (source: the authors) Page 3 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Planning

Controlling

Directing

Organizing

Staffing

Fig. 2 The five pillars of management (After Koontz et al. 1980)

budgeting. Another description of the functions of management is given by Koontz et al. (1980), where the focus is on planning, organizing, staffing, directing, and controlling (Fig. 2).

The Five Pillars of Management

In the following the five pillars are discussed with the focus on harvesting operations, specifically for the safety and training issues of human resources. Planning is the most basic activity of operational management. It is necessary for an adequate use of all resources available in a company to reach the production goals or targets set by the administration. It is based on the questions what to do, when to do, and how to do. It bridges the gap from “where we are” and “where we want to be” (Koontz and Weihrich 1990). Safety and training play an important role in this stage. Retraining, additional qualification, and advanced training have to be planned for the respective staff. Substitutes for the personnel involved in training have to be determined in advance to assure participation of the indicated employees. Safety instructions renewal or special courses have also to be considered in the planning process. These are only a few samples of the importance of safety and training in the planning phase. It is also important to plan the activities of the other “pillars.” The instruments and frequency of controlling processes are very important for the success of the operations to be performed. Organization is the next step, where the financial, technical, and human resources brought together to determine the best way to perform the operations. In this phase a kind of self-responsibility is passed to the members of the personnel of the different hierarchical levels. The organizational process includes the identification and classification of the activities and the assignment of the tasks. After Allen (1958) “Organizing is the process of identifying and grouping the work to be performed, defining and delegating responsibility and authority and establishing relationships for the purpose of enabling people to work most effectively together in accomplishing objectives.” Staffing is the pillar that gained more importance in the last decades. Higher degree of mechanization, stricter labor legislation, and controlling as well as more complex social behavior and interactions between people led to the necessity to fill open positions in harvesting operations with adequate and higher qualified personnel. Staffing involves manpower planning; recruitment, selection, and placement; training and development; remuneration; performance appraisal; as well as promotions of outstanding employees. According to Koontz et al. (1980) “Managerial function of staffing involves manning the

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organization structure through proper and effective selection; appraisal and development of personnel to fill the roles designed on the structure.” Directing or Leading has the function to put the outcomes of the three former “pillars” of management (planning, organizing, and staffing) in action. This part of the management deals with the elements of influence, guiding, subordination, motivation, and supervision. The main objective is to “influence” the behavior of the workers activities in a way that guarantees highest performance in the production process. This may happen by financial incentives or other methods. Guiding is the part of the working process where managers try to make the workers or employees accomplish the production targets. In this process conversation, training and information transfer are the crucial element of the communication. Finally Controlling has to be mentioned to guarantee that the activities are in accordance to the goals set and that resources are used adequately and to show where the optimization potentials of the production process are. In this step productivity is measured, variations in the performance are highlighted, and correction procedures are defined to meet better with the company politics and targets.

The Importance of Staffing

The management pillar “staffing” is the one where working safety and training have to be implemented. For forest harvesting operations, productivity and working efficiency are the best indicators for evaluating the performance of the system. Productivity is defined as the transformation of production factors in goods, services, and/or capital. Efficiency on the other hand is the comparison of what is actually produced and the potential of what could be reached with the same resources (money, time, labor, etc.). The objective of “staff management” is to select proper personnel for each function in the company activities and to perform appraisal and personal development to optimize motivation and productivity. After Koontz et al. (1980) staffing can be defined as “filling positions in the organizational structure through identifying work force requirements, inventorying the work force, recruitment, selection, placement, promotion, appraisal, compensation and training of people.” The basis for an efficient management of human resource is to find the right person for the task. For that purpose a precise and adequate description of the job profile is necessary, before the selection process can be done. In former times with manual or motor-manual harvesting operations, the selection of the workers was realized by a visual evaluation of the candidates. For higher positions also a personal interview was conducted. With the ongoing mechanization in harvesting operations, the jobs became more complex and so did the selection processes. For machines equipped with complex board computer systems allowing different operation modes, the operators are selected by sophisticated psychological tests and practical exercise, to detect the personal aptitude of a candidate. In tropical countries only a few training centers for harvesting machines exist. The operators in general receive an on-the-job training of the companies where they want to work. In this case the market only offers a low quantity of qualified professionals to operate machines, and personnel have to be qualified by the companies. In the case of occupying positions of supervisors and the management level, there are two possible sources for qualified personnel: internal recruitment with transfer and promotion of own employees or external source, where qualified candidates are found by advertisement, employment agencies, campus recruitment, or head hunters. For optimization of production processes, improvement of the organizational development, and success by increasing productivity and efficiency, training of personnel to enhance skills of the labor force is a basic requirement. Training familiarizes and updates the employee with organizational mission, vision, rules, and regulations and the working conditions of a company. Existing knowledge is refreshed and enhanced. Workers are trained about the use of new equipment and work methods. When the objective of training is promotion of the employee, the training is given to familiarize the candidate with responsibilities of the higher-level job.

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The benefits of training are the improved moral of employees, less necessity of supervision, fewer accidents, chances of promotion, and increased productivity. Training methods may be separated in two basic principles: on-the-job and off-the-job training. The first training method is implemented in the daily working process and is a simple but efficient way of enhancing and updating working knowledge. Examples are job rotation, coaching, or temporary promotions. In the second method, the employees have to participate in special training courses, seminars, conferences, or workshops. Remuneration plays also an important role in staffing. It is a monetary compensation of the employees for their work performance and, depending on the amount, leads to a higher motivation. Salaries may be based on a time or piece rate method. The time rate is linked directly to the time spent or devoted on the job. A predecided amount of money is paid per hour, week, or month. Since the remuneration is not directly linked to the productivity of the single employee, tight supervision is necessary, because the motivation to show a better performance in such a system is limited. The emphasis of the payment is more directed to quality than to quantity output. The piece rate method on the other hand is paid on a produced unit base. The employees are highly motivated to increase their productivity. In many cases quality suffers, the proper use of the raw material is not guaranteed, waste rates increase, and production costs may rise. According to Pynes (2009) a well-organized system of performance evaluation is necessary to get an overview about the productivity of each employee. Such a controlling allows to detect weak points in the organization, labor productivity, or in the motivation of the single employees or teams. Also it helps to detect the need for training and development and career planning and assist the companies’ long-term human resource planning. Performance evaluation facilitates job analysis and recruitment efforts and is an important component for evaluating people skills, abilities, knowledge, and other characteristics according to the job that has to be done. Harvesting operations can be considered as complex, since a couple of process steps have to be performed where a variety of different jobs, machines, and logistic concepts are involved. For the determination of how many workers are needed, a sophisticated personnel planning has to be conducted (Blomb€ack et al. 2003). The hierarchical structure has to be evaluated and the number of persons needed for each job has to be calculated. In general a few people have a coordinating and supervising function, but most of the labor force is directly involved in the operational part. Only focusing on the higher-level organization staff, the comparison of two harvesting systems of different size for an operation with 50 and 300 workers involved is given in Table 1. While a harvesting operation with 50 workers can be organized and conducted with a leading staff of 8 people, an operation with 300 workers requires 35 employees of higher level. That indicates that the ratio of workers to administration and supervising staff is 1:6.25 for 50 workers and 1:8.6 for a 300 worker staff, respectively. The proportion of managing to operating staff reduces with the increasing number of people to be administrated. The selection of the human resources needed may be defined as the search of “the right person for the right job.” To find the right person for each job, a detailed job description must be available, so that a Table 1 Example for the coordination and supervision personnel for two different sized harvesting operation systems (Source: Pancel 1993) Operation 1: 50 workers 1 general manager 0 (or 1) general planner 3 administrators 1 or 2 managers 3 or 4 group leaders

Operation 2: 300 workers 1 general manager 1 general planner 10 administrators 3 managers 20 group leaders

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preselection of the candidates can be done. If necessary, practical, theoretical, and psychological test have to be defined to choose the employees. Specifically high-performance machine operators in general receive an expensive training of several months to reach an adequate productivity (Vargas et al. 2002). If the wrong person with insufficient abilities is selected, the training costs and production loss may exceed an amount of 30,000 US$ (oral communication). The number of workers or machine operators in a harvesting operation is always higher than the managing staff. Operators of harvesters, forwarders, skidders, and chainsaws show the highest proportion of the staff. Supervisors, coordinators, or analysts in general are closely linked to a determined number of workers to be supervised during the operations, while higher-level employees like managers and planners are constant, no matter if a big- or small-scaled operation is conducted (Table 1).

Training and Motivation Companies invest in training for improving individual productivity as well as the results of a harvesting team or the overall organization. This also may include training for higher safety or ergonomic issues, reducing this way the absence from work caused by disease and low motivation of the employees. Training in general is linked to teach and improve skills of lower-level workers and employees, while further education or professional development is used to guarantee high performance in the present and future of the management level (Bateman et al. 1998). To meet high productivity levels and efficiency is important for the survival of a company on the highly competed markets. Training involves three processes: analysis of needs, development of an action plan, and evaluation of success. In a first step existing competences have to be analyzed and compared to those required. This can be done at the level of organization, groups, teams, or individual workers, involving managers, coordinators, and supervisors. At the organizational level, the purpose is to establish training priorities in the light of organizational strategy and associated core competences. At team level, the purpose is to ensure that a group of people involved in the same task possess the complementary skills required for effective performance and functional flexibility. At the individual level, a development review aims to match career aspirations with organizational needs (Winterton 2007). The commitment which employees show in fulfilling their work tasks or the dedication they disclose reaching the targets is influenced by many factors. The most important one is the motivation they have for doing their work. Motivation is the result of a complex interaction between the internal motives of a person and the external stimulation at the work environment (Maximiano 1991). Some theoretical approaches start from the premise that adequate opportunities and stimulations lead to the fact that persons do their work with more passion and enthusiasm (Gil 2001). The psychologist Maslow (1987) classified human needs in different power levels, where the first is physiological necessities, followed by safety, social, and appreciation, until individual fulfillment is reached. The psychologist Frederick Herzberg (1975) related motivation to working conditions like salaries, financial awards, policy of the enterprise, social status, safety at work, and supervision on the one hand and responsibility, admission, challenges, and opportunity for advancement on the other hand. According to Pynes (2009), process theories of motivation concentrate more on the cognitive and behavioral processes behind motivation. They suggest that a variety of factors may serve as motivators, depending on the needs of the individual, the situation, and the rewards for the work done. According to Rainey (2003), work motivation refers to a person’s desire to work hard and work well – that is, to the arousal, direction, and persistence of effort in work settings. He further notes the variety of words used to describe motivation, which often overlap: needs, values, motives, incentives, objectives, and goals. As already mentioned, selection and training of machine operators and workers for other activities in forest harvesting operations imply a high investment of time and money to the company. For getting a return on this investment, it is necessary to find the ideal profile for a determined activity, to find Page 7 of 31

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Which are the differentials of an operator?

• Simultaneous Movements • Quick Action and Reaction • Do not make unnecessary movements • Respect machine limits • Knowlegde

What the operator needs to have ?

• Psycho-motor-coordination • Quick and Logic reaction • Planning Capacity • Concentration Capacity • Attitude/Decision

Access requierements

• Psicomotricity • Visual Memory • Spatial Relation • Attention • Auditory Memory • Non Verbal Inteligence • Calculation Capacity •General Inteligence

Fig. 3 Scheme for selecting machine operators (After Parise 2005)

employees, workers, or operators that have good potential to be qualified for the designed activity. In forest harvesting operations, the competent operator produces according to the quality standards, while productivity is linked to the operational and mechanical efficiency of the machines or working equipment (Parise 2005). Knowledge of a person is linked to know-how and individual capabilities. Know-how is related with explicit knowledge, formal and specialized, data available, procedures, and drawings and based on a clear and practical application and it is shared. Capabilities are linked to tactical knowledge, acquired by practical training, personal accomplishment, professional skills, and private experiences. It is frequently transferred in a master-student relationship and generally is local. Most of the factors that contributes in improving productivity can be fostered by training, qualification, and motivation of the staff. Using adequate equipment and machines, improving local organization, introducing planning and controlling of production, and having a better information flow or material allocation also are adequate tools to increase productivity and working satisfaction. According to Oliveira (1999), the repetition of a task, the training and learning by executing it, and experience lead to a better performance of employees and consequently a higher productivity. In forest harvesting operations, this could be proven in many studies. No matter if the operator was working with a chainsaw or a high-tech harvesting machine, continuous practicing led to higher productivity. The more sophisticated the machine or equipment to operate is, the longer it takes until the operator reaches its maximum performance. Heinimann (2001) analyzed a harvester driver and found that with small diameter trees the performance increases by 50 % within 1 year. Stampfer (1999) suggested a two-leveled learning: the first phase is called the learning phase, where the operator continuously increases his/her performance, while in the second phase, the operator is working at a relatively constant performance level. According to Parise (2005), operators of forestry machines need to be specially gifted with psychomotor skills, visual-based memory, stereoscopic vision, nonverbal intelligence, concentration, attention, and basic calculation to show a good potential to become a highperformance machine operator (Fig. 3). A detailed description of the profile of an operator, the mental characteristics, and the psychomotor abilities helps to select the right person for the right job.

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production time per unit

1 0.8 0.6 0.4 0.2 0 0

20

40 60 cumulative repetitions

80

100

productivity (tons/PMH)

Fig. 4 Productivity and learn curve

40 35 30 25 20 15 10 5 0 0.6

0.8

1

1.2

1.4

1.6

1.8

2

2.2

average stem size (tons) pre-training

post-training

Fig. 5 Increasing productivity by training (PMH = productive man hour, after Haynes and Visser 2001)

After defining the personal capabilities an operator needs to have, the theoretically available skills have to be trained under professional supervision to reach the full capacity of a person for a given activity. Depending on the task, time for training and information to be passed to the candidate, may suffer alteration, or better, be adapted to the special function to be fulfilled. According to Parise (2005), the training of harvesting machine operators includes selection, physical health test, qualification, and final evaluation. Training has the function to qualify a person for a specified task or position by activating and improving skills. The results should be higher productivity, safety, and quality of the production. Studies showed that, for instance, a harvester operator by using a simulator in virtual training sessions could improve his/her average productivity with the machine by 41.3 % as compared with the start of the training (Lopes et al. 2008). The result of repetition by practicing and the time needed to produce one unit is shown in Fig. 4. The graph is also called “learn curve,” indicating that only after a certain time of training or practicing a person reaches the maximum productivity. Haynes and Visser (2001) showed that the productivity in a cable logging operation was based on the one hand on average size of the harvested stems and on the other hand on the training of the cable yarder team. For the average conditions in this study with a distance of 120 m, the average stem size of 1.2 t, and an average productivity before training of 18.8 t per hour, the training effect could be quantified as additional 4.9 t per hour (Fig. 5).

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Working Safety In the forestry sector, including the harvesting and wood transport operations, the risk of accidents, health damages, and dangerous situations is above the average level found in other productive sectors of the global economy. According to the International Labour Organization (ILO), about 6,300 persons die as a result of working accidents or work-related health problems on a daily basis, summing up to 2.3 million dead people per year. According to the statistics of the ILO, more than 300 million accidents occur on the job every year, many of them resulting in absence from work for a considerable time. The human cost of this daily adversity is vast, and the economic burden of poor occupational safety and health practices is estimated at 4 % of the global gross domestic product (GDP) each year. The average numbers of course show a strong variation between different countries, economic sectors, and also social groups. Most accidents and death cases are registered in developing countries, where a considerable proportion of the population is involved in the work of the primary sector like agriculture, fishing, forestry, or mining, generally considered as more hazardous activities. In these sectors, often women, children, or migrants of the lower social levels are among the victims. The forestry sector in tropical countries to large extend still is dominated by manual operations, including felling, delimbing, crosscutting, debarking, and loading. In general chainsaw operators are considered to be the group of workers running the highest risk. A survey conducted in Brazil in the 1980s by the authors showed a surprising result: the highest accident rate occurred in manual loading of the wood and the second place was occupied by accidents caused by snakes, spiders, and scorpions and only then followed the work with the chainsaw. No wonder that since these days the first activity mechanized was wood loading, the distribution of personal protective equipment, and the substitution of the chainsaw work by mechanized processes, where possible. But there are still many forest management projects in execution where no alternative to chainsaw work exist. Many of the forest operations cause health damages in the long term, not always recognized and detected as decease caused by ergonomic aspects in planting, carrying, or loading operations. The same is true for pesticides and fungicides used on seedlings, on trees, or in weed control in forest operations, which are also hazardous operations (Labour Department 2000). The hazardous forestry operations can be classified after their effect on the human body or mind, as there are mechanical, physical, chemical, biological, physiological, psychological, and social impact factors (Vahapassi 1988). It took a long time for the interaction between working conditions and productivity being recognized by the industry and service providing sector. The first move in this direction started when managers in charge began to realize that occupational accidents had economic impact on the production costs, although at first only their direct costs (medical care, compensation) were perceived. In a further step also attention to occupational diseases was paid, and finally it was realized that the indirect cost of occupational accidents are up to four times higher than the direct costs (Vahapassi 1988). Examples for indirect costs are absence from work due to injuries or health problems, costs for witnesses and accident investigators, production loss, material damage, work delays, possible legal and other costs, and reduced output when the injured person is replaced and subsequently when he/she returns to work, among others. To overcome the risks of working accidents, the companies should take proper actions. One important element is the participation of the workers of the dangerous activities to involve their opinion and experience in the decision-taking process (Fig. 6). A basic element of safety is a well-developed health management, describing clearly the nature of hazards linked with the different activities in a forest harvesting operation. The steps the management takes to prevent and reduce the negative impact of such hazards and work-related accidents should be written down in a clear and simple language. The safety and health policy and related strategic objectives should have equal status with the enterprise’s other policies and objectives and be explicit, operational, Page 10 of 31

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Representative of the Authorities

Social Dialogue

Employees

Employer/ Management

Fig. 6 Process of dialogue and decision taking for improving working safety (the authors)

and amenable to monitoring and evaluation. The enterprise should be committed to meet or exceed all relevant regulatory and legislative requirements; be consistent with the enterprise’s general policy and be periodically reviewed; and aim at fully integrating safety and health into the overall organization and operations of the enterprise. The safety and health policy and the management system for its implementation should aim, in the following order of priority, at eliminating the risk; controlling the risk at source; minimizing the risk by means that include the safe design of work systems and organization of work; and ensuring that personal protective equipment is used if, in spite of the provisions above, there is still an element of risk (Labour Department 2000). The most important instruments for a better risk management are supervision, monitoring, and controlling of the compliance of the safety rules of a company. If there is no self-responsibility of companies, the government should create an appropriated legislation to protect health and life of the citizens. Especially in forestry operations, a number of personal protective devices are available to protect workers against accidents. But not only providing the equipment and facilities is important, it should be combined with training and monitoring of the use of the protective devices and the safety behavior of the workers. One important instrument to be mentioned is the registration of accidents and near accidents. The control of occupational hazards in developing countries is, however, even technically difficult. Major part of the work is done in self-sustained agricultural activities, in small enterprises, or in the so-called gray informal sector, which implies that the number of individual workplaces is high and requires inspection and advisory resources to promote occupational health and safety (Mattila et al. 1994).

Principles of Occupational Health and Safety To assure occupational health and safety for workers and employees, basic principles were implemented in most of the legislation in countries all over the world. First, the employer is primarily responsible for the health and safety of the workers. He must take the necessary protective measures, while the workers and employees themselves are obligated to use safety equipment and to behave according to the instructions given by the enterprise to ensure a safe and healthy environment. Last but not least, also the authorities have to verify if safety rules from both sides, employer and employee, are applied (Labour Department 2000) (Table 2).

Cause Analysis and Prevention of Accidents

About 80 % of the accidents are more likely to be caused by “the human factor.” Human behavior, however, is determined by ergonomic factors as workplace characteristics, information and job instructions, situational/organizational factors, as well as individual factors. These factors can often explain why people take risks. A detailed work planning, considering ergonomic aspects, is an efficient tool against accidents (Lagerlöf 1977). As countries have different socioeconomic system, level of education, degree

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Table 2 Responsibilities of employer and employees Employer Do not permit employees to work unsafe Empower supervisors with authority Enforce health and safety measures at work Ensure that supervisors have work-related safety training in the respective field Identify hazards and evaluate risks Provide and maintain a safe system of work Provide information, training, and supervision Provide the protective equipments to apply safety measures Undertake everything necessary to eliminate or mitigate all potential hazards: personal protective equipment (PPE) should be the last measure to be taken

Employee Work according to the enterprise standards and comply with the health and safety rules Cooperate with the employer to enable him/her to comply with the respective action/duty Report any unsafe situation, near accidents or accidents to the employer or for health and safety responsible person Take reasonable care of their own health and safety and of others who may be affected by their acts (or omissions) To supervise and report about employees that put in danger the health and life of colleagues by not respecting health and safety rules

of mechanization, and climatic conditions, also these factors are discussed in relation to what preventive ergonomic approaches against accidents have to be taken (Blomb€ack 2003). The “human performance” depends on a variety of individual factors, if reliable evaluation is wanted. Characteristics of the workplace, the working situation, individual attitude, and the personal environment of the employee have substantial impact on the performance of each worker and the way how he/she accomplishes with the duties at the job. Individual factors are age, work experience, personality, intelligence and psychomotor performance, motivation, and social standards, among others. More external factors, mainly influenced by the management and organizational pattern of a company, are decision making, design of machines, tools, materials, information, and job instructions. Situational characteristics describe the work environment factors and the working schedule (Lagerlöf 1979). Accident preventive measures can roughly be divided into technical, organizational, and those directed to change human behavior (Lagerlöf 1977). As technological measures may be classified assignment of safety supervisors, elimination of physical factors, redesign of working processes in the work environment to influence individual performance or protective devices. As preventive measures to influence human behavior may be cited education, training or efforts at persuasion. In a final step restructuring organizational measures can help to prevent and reduce accidents. The implementation of administrative systems for human behavior control, such as production planning, remuneration system, or supervision and inspection, may also help to prevent accidents and health problems. The latter also includes establishing and maintaining procedures to identify systematically the risks to safety and health. For each task and activity in forest harvesting operations, it is recommendable to make a risk evaluation, identifying and recording the hazardous situations. The results should be processed statistically and reported periodically to the management and the employees (ILO 1998). As an example may serve the accident and risk reporting of chainsaw operators as described in the “Safety and Timber Harvesting” guide of the University of New Hampshire (2001). There the average body contact with moving chain hitting points is reported and specified in detail (Table 3).

Training in Forest Harvesting Operations All the staff involved in forest harvesting operations should participate in adequate training activities. The objective of training is to reach a professional level of high productivity and quality and, of course, a safe working environment. Since harvesting operations in general are teamwork, it is important that all the people of a group working together know all the activities or process steps of the operation. The felling activities, for instance, could put in danger the people of the wood extraction or the personnel in charge of delimbing and debarking.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Table 3 Risk of chainsaw work (After University of New Hampshire 2001) Upper body Right body half Right hand and arm Right knee and thigh Right foot and leg Total right side:

% 5 2 4 19

8% Left body half Left hand and arm Left knee and thigh Left food an leg Total left side:

22 24 21 67

Training can be conducted “on the job” at the forest site but also in theoretical and practical courses. Safety training should be repeated in predetermined periods, always completed by the newest findings in near-accident and accident monitoring of the responsible persons for working safety and the training feedback of the participants. Critical situations should be highlighted more frequently in the training sessions than routine situations with danger potential. Another important tool in work safety is “introduction” to the working job. This feature is not only important for newcomers but also in the case of job rotation or changes in the operation procedures. Training effect to improve safety is most efficient when the general training level is low. If the present worker training in a job is about average, only a limited amount of improvement in production performance, however measured, can be achieved by increasing the average level of training to good or excellent (Lagerlöf 1979). According to the rules of safety and health in forestry work, no person should perform forestry work if they do not have the required level of skill and knowledge. Unskilled persons, either new entrants to the industry or workers assigned to new jobs, are especially likely to have accidents. Effective training should therefore be part of the safety policy of the enterprise. Service providers such as contractors and their workers, self-employed people, farmers dealing with forestry, and woodlot owners may be disproportionately exposed to accidents. Mobile training units are a good way for providing access to training for professionals and semiprofessionals. The required level of skill and knowledge should be defined and objectively assessed through skills tests leading to certification by an authorized body. This procedure may be integrated with formal training or conducted at the worksite (ILO 2001). • According to the “Code of Practice on Safety and Health in Agriculture,” published by the International Labour Organization (ILO), the employers should have occupational safety and health competence (OSH) training to identify, eliminate, or control work-related hazards and risks (ILO 2001). Specific training needs can be identified by ongoing hazard identification, risk assessment, and evaluation of control measures by the workers during their activities. According to the ILO (2001), the training performed in a company should be: • Adequately documented • Conducted by competent and qualified persons • Reviewed periodically by the staff in charge for safety and health requirements or by the employer in consultation with workers and their representatives and modified or adapted as necessary • For all employees, temporary workers, service providers, managers, and supervisors involved in a determined activity • Evaluated by the participants to guarantee comprehension and retention of the training content • Adequate in content, language, training methods, and duration (time) and repeated in the necessary intervals It is important that the workers exposed to the highest risks are reached by the training. An adequate method is to train people already working in practice and making them instructors by special advanced

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Table 4 Standards about personal protective equipment according to Brazilian legislation (regulation standard N
6) Employer To provide the adequate equipment for a determined activity To request the use of the equipment Only provide equipment tested and approved by the national labor security agency To instruct and train workers in the proper use, safe keeping, and maintenance of the equipment To replace the equipment immediately when damaged or expired To be responsible for disinfection and maintenance Communicate problems or malfunction of equipment to the authorities Register the use and instruction to proper use in an adequate way

Employee To use the equipment for the designed activity To use the PPE only for the work on the job To use PPE only for the work it is meant to To be responsible for a safe keeping and proper control of the equipment To communicate any problem with the equipment, doubts, or damages to the supervisor To accomplish with the instructions about proper use of the equipment

training, so that they can work as multipliers of knowledge and skills, accepted by the colleagues. In a study about chainsaw operators conducted by Hultberg (1987), highly skilled chainsaw operators were trained to be instructors in their working districts. They started to train their counterparts in their home region, reducing this way the occurrence of accidents by 50 % and health damages by 80 %, while workload was reduced and job satisfaction increased.

Safety Equipment and Safe Harvesting Operations Where health and safety risks cannot be reduced to an acceptable level by training, instructions, and behavior rules, protection equipment should be provided to the workers to reduce risk for life and health damages. Safety equipment in harvesting operations is varied and available in a variety of technical accomplishment. There are simple protection means for manual operations, more sophisticated ones for motor-manual operations up to high-tech protection in purpose-built machines for forest harvesting operations. Modern machines specifically built for harvesting operations offer excellent protection and ergonomics to the machine operator, while the manual and motor manual in general are relying on personal protective equipment. Especially in tropical countries, this equipment is extremely important to reduce the risk of accidents and health damages. Even so, special training procedures have to be implemented in the harvesting operations to guarantee safety and to avoid accidents. PPE: Personal Protective Equipment Personal Protective Equipment (PPE) provides supplementary protection against exposure to hazardous conditions in forest operations where the safety of workers cannot be ensured by other means, such as eliminating the hazard, controlling the risk at source, or minimizing the risk (NYCOSH 2006). Suitable and sufficient PPE, having regard to the type of work and risks and in consultation with workers and their representatives, should be used by the worker and provided and maintained by the employer, without cost to the workers. The same level of protection should also be provided for casual or seasonal workers (ILO 2001). In some countries there already exist standards required by legislation for the use of PPE in forest harvesting operations. As an example, the PPE standards for employers and employees according to the Brazilian Ministry of Labor are cited (Table 4) (MTE 2001).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Table 5 Endangered parts of the body after harvesting activity (After ILO 2001, modified) Parts of the body to be protected PPE appropriated Felling Hand tools Chainsaw Mechanized Debarking Hand tools Motor manual Mechanized Splitting Manual Mechanized Extraction Manual Chute Animal Mechanized Skidder Forwarder Cable crane Helicopter Stacking/loading Manual Mechanized Chipping Mechanized Tree climbing With chainsaw Manual

Feet Safety boots

Legs Safety trousers

Trunk, arms, legs Close fitting clothes

Hands Gloves

Head Safety helmet

x x x

x x x

x x x

x

x x x

x x x

x

x x x

x x

x

x x

x x x x x

Eyes, face Visor (mesh)

x x

x x x

x x x

x x x

x x x x

x x

x

x

x

x

x

x

x

x

x

x x

Hearing Ear muffs

x

x x

x

x x

x

x x

x

x x x x

x

Goggles

x x

x x x x

x x

Eyes

x x x x

x

x

x x

x x

Employer and employees should evaluate carefully the use of PPE for each activity and the parts of the body endangered by the work. The parts of the body that are in danger in harvesting operations, according to the ILO (2001) are listed in Table 5. All equipment used in harvesting operations should undergo appropriate testing to ensure that it is designed and constructed according to safety requirements of the national laws and regulations (Firenze and Walters 1981). If such regulations are not existing, it is recommendable to use the standards of countries where forest work is done under comparable conditions. Equipment should be tested and certified to inform both purchasers and users about the quality and suitability of the equipment for the purpose for which it will be used. Testing and certification should preferably be performed only by institutions accredited by the competent authorities (ILO 2001). Personal protective equipment may be uncomfortable for the user, specifically under tropical climate conditions. Additional weight, hot cloth or helmets, and heavy boots with steel bar are causing discomfort to forest workers and chainsaw operators and lead to rejection of the use of the PPE. According to Mayer

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

and Korhonen (1999), to increase the willingness to wear protective equipment, the instruction and training must be effective and it must happen repeatedly. Positive feedback and the description of protection achieved have turned out to be effective in increasing the use. The use must be as easy as possible. It must be easy to get a device and there must be time to fetch it. Also the requirements to use must be realistic. In many cases the workload or environmental conditions can prevent the use of a protective device. Safety Features in Forest Harvesting Machines All machine producers have the duty to meet the requirements of the Driven Machinery Regulations (DMR) and General Machinery Regulations (GMR). According to these rules, machines used in forest operations must have: • • • • • •

Proper guarding. Suitable protection against rolling over (ROPS). Protection against falling branches and trees (FOPS). Protection against penetrating objects such as branches, breaking cables, and chain shot (OPS). Brakes, tires, steering, and other control systems that are in good working order. Booms, grapples, cables, shackles, linkages, and chokers designed and maintained to cope safely with the loads in the case of lifting machines. Also maximum load should be clearly marked on the lifting machinery.

The machines have to be checked frequently according to the instructions of the producer and every time the operator changes. All machines have to be operated by competent and well-trained operators. In tropical countries, these requirements are not always considered. Specially forest harvesting machinery was developed and built in other regions of the world, operating there under different working conditions. Operations in tropical forests often are technically more demanding: heavy load, three-shift systems, dusty environment, and permanent heat. The first specific wood harvesting machines imported from Scandinavia to tropical regions did not last very long. The cooling systems were not adapted to the hot climate, and air filters, hydraulic system, and other technical features were built for the use in boreal or temperate forests. In the best case only the engine blew up, but in many cases the whole machine started to burn, putting in risk the operator and other staff of the harvesting team. In the last decade, the machines did undergo a “tropicalization” process, where exactly these weak points were eliminated. The machines are much safer today, but special maintenance rules have to be implemented. More frequent washing to remove dust mixed with lubricants, oil, and residual biomass is recommended to reduce fire risk. Additional fire extinguishers or even automatic extinguishing systems are available on board to prevent damages in material and operators. Machines are equipped with several safety features as cited above. The visibility of the cabins for safer operation as well as a better handling of the machines for more precise working improved significantly. Automatic leveling of the cabins and air-condition improved the performance, concentration, and attention of the machine operators and helped to reduce accidents and risks. These safety features in general made additional PPE unnecessary. Even so it is recommendable to provide this equipment to the machine operators. When they have to leave the machine for maintenance or a checkup, they should use a safety helmet and snake protection on the legs. In the case of harvester operators, the chain of the hydraulic chainsaw has to be changed every 2 working hours, where they also need to wear protective gloves. If the head is equipped with a disposal for chemical application of herbicides against resprouting, they also need protection against hazardous substances (ACGIH 1996).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Specific forest machines for harvesting operations are mainly used by bigger companies with the respective investment power. In smaller companies, service providers, farmers, or communities often use old, not specifically designed machines for forest work. Specifically in tropical countries, disused machines, mainly designed for agricultural use or altered trucks, are used for forest harvesting (Neitzel and Yost 2001). The main problems in regard to health and safety are: • No cabins with protection features like: • Rollover bars • Protection against falling trees or branches • Secure glass • Seat belts • Noise and vibration reduction • Air-condition • High balance point with risk of overturn with load. • No automatic leveling of the machine or at least the cabin. • Accessories are self-made and provisional and do not meet with the minimum safety requirements. Specifically winches are not equipped with protection against cable rupture. • Loading operations with simple tools or constructions may be extremely dangerous. In the case of the use of such machines, depending on the activity, the use of personal protective equipment may be recommendable. In any case it is necessary to improve training of the workers in terms of health and accident prevention. The obligatory use of helmet and protection gloves and keeping minimum distances to dangerous operations are absolutely necessary. Special training for using equipment at the limit (cables for winches, cranes for lifting, maximum loads) is highly recommendable to prevent serious accidents and health risks. Another problem of using such wear-out machines is the lack of spare parts and maintenance conditions. In many cases the machines are not safe, without brakes, worn-out direction or with oil leakage. This causes additional risks to the environment and the forest workers, including fire, chemical contamination, or machine accidents, specifically in harvesting operations. Safety Procedures in Manual and Motor-Manual Harvesting Operations Motor-manual harvesting operations with the use of a chainsaw deserve special attention. This harvesting system is still the most applied in tropical forests. The use of chainsaws in felling, delimbing, crosscutting, and even debarking operations bears a high risk of injury, especially when used by untrained persons without proper instruction and missing safety equipment. Such conditions are often found in tropical countries leading to severe injuries and health problems of forest workers. Training of motor saw handling and adequate felling techniques help to prevent and avoid most of the risks associated with the use of chainsaws. Many accidents already occur when carrying the chainsaw from or to the working place. Most of the accidents would be avoidable if some simple rules are respected: • • • • •

Keep eyes on objects that may cause stumble. Always carry the chainsaw with the sword backwards and in a protective cover. If moving with engine running, block the chain brake. Turn off engine when moving on steep slopes and keep the chainsaw away from the body. Use already all protective equipment, even if the engine of the chainsaw was not yet started.

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Backcut 2 inches above undercut

Backcut

Undercut 2

Top cut 1/2 the length of the depth of the top cut

3 1

Slightly above undercut 3/4 to 1 inch

Bottom cut 1/3 diameter of tree

Undercut 1

Top cut 1/3 diameter of tree

3 1:1 ratio to top cut 2

Bottom cut

Fig. 7 Felling technique with top cut (left) and bottom cut (right)

For dominating correct felling techniques, the training is very complex. Especially in tropical forests, motor-manual felling operations are very complex because of the big-sized trees and the frequent occurrence of buttress. The motor-manual felling requires intense training and practice to be performed in a safe and efficient way. In the following the main steps in a checklist for a safe felling of trees with help of a chainsaw are described: • • • • • •

Safety check: Check for correct maintenance. Check if all parts are mounted and secured in the correct way. Check if chain brake is working. Check for personal protective equipment. Before felling trees: • Consider factors such as wind, natural lean of trees, and large or dead limbs. • Plan the felling, considering an escape way in case of unforeseen happenings. • Felling is a one-man operation: all other persons have to be in a safe distance. • Felling (see further instructions to the felling process)

For chainsaw operations, a lot of felling techniques exist. Some methods have even specific names, like Swanson, Pie, Directional, or Humboldt. Such techniques are often cited in chainsaw operator training sessions. The “Humboldt” method is considered as one of the safest felling cuts for chainsaws. For chainsaw felling, some specific terms are used. The “undercut” should be approximately 1/3 of the tree diameter, while the backcut is supposed to reach ½ of the diameter from the opposite side of the tree, being about 5 cm over the level of the undercut (Fig. 7). A hinge of about 3–5 cm should be left to guarantee the possibility of directional and slow felling. If the operator uses the saw to “cut through,” the tree generally falls faster, and the operator has less time to bring himself to a safe position. The safest way therefore is not to “cut through” but to leave a hinge and to use a wedge in the backcut while still sawing. The wedge can be driven into the cut with an ax keeping this way the cut open as well as directing the tree to the wished falling direction. The chainsaw operator only leaves the hinge intact, takes the chainsaw out of the cut, and turns the engine off. Then he/she fells the tree by driving the wedge deeper in the backcut until the tree starts to fall (Fig. 8). Wedges and axes are important felling tools for chainsaw operators. The wedge prevents the tree from falling to the opposite direction. There exist several types of wedges made of different materials for different occasions and felling techniques. Big trees or “hanging” trees should always be felled by wedging them down, to reduce the risk of accidents.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Intended direction of fall

Undercut 1/3 diameter of tree

High Side F

Holding Wood

Intended direction of fall

Undercut 1/3 diameter of tree

Low High Side Side F

Low Side

Holding Wood

3 5 1

2

4 1

2

3

Fig. 8 Felling techniques with wedges using different combinations to perform the backcuts

Intended direction of fall

Intended direction of fall Leans Downhill

Leans Downhill

Undercut 1/3 1 diameter of tree High Side

1 Low Side

Holding Wood

F

High Side

Undercut 1/4 diameter of tree Low Side

Holding Wood

F 8 5

3

4

2

2 B 6

A 4

7 Strike wedge B 6 inches 9 Strike wedge A

3 5 Strike wedge

Fig. 9 Different cutting schemes for leaning trees

For hanging or leaning trees that should be felled in direction against the gravity, wedges are indispensable. In extreme cases also the use of a cable skidder with winch is recommendable to prevent the tree from falling to unwanted directions. In such cases it is recommendable to form an asymmetric hinge, leaving more wood on the “high side” (Fig. 9). The felling techniques may show some variation according to the backcut and undercut performed. In extreme cases it might be even adequate to use a hydraulic jack or a cable winch to get a directional felling (Fig. 10). Motor-manual delimbing or snedding is the process of cutting branches of felled trees. While in deciduous trees and large conifers this term is used, for smaller logs with a straight stem (often plantation grown trees) also the term “snedding” is used. Motor-manual delimbing may be considered as the standard procedure for removing branches from all bigger trees felled in harvesting operations. Delimbing with a chainsaw is a risky and dangerous work. First because of the “kickback” of the chainsaw and secondly because of the difficulty to identify tension or compression of branches of the crown in felled tree. Some safety rules have to be considered for delimbing or snedding with a chainsaw:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 10 Directional felling to avoid damages on remaining trees or improve safety of forest workers

Take a safe work position, working on the opposite side of the stem with the saw. • • • • • • •

It is recommendable not to move while sawing. Always stay on the upper side of the slope. Balance the chainsaw on the trunk or the leg to avoid fatigue. Always activate the chain brake when moving. Avoid cutting with the tip of the saw to reduce risk of kickbacks. Always hold the saw correctly positioned and with both hands. Cut large branches several times, always considering the weight and potential tension of the branch.

The process is a highly flexible way to remove the branches and crown parts of a felled tree and can be performed in any terrain and under any climate condition. The chainsaw operators have to be specially trained for this work since the risk of accidents is higher than in felling trees. For large tropical trees coming from native forests, it is difficult to calculate the productivity for this operation, since crown structure is highly complex and diversified. In general the operation is not that time consuming, because the standard procedure is crosscutting the stem at the commercial height, which is defined as the height before the crown starts. The crown itself remains uncut in the forest. Another type of motor-manual delimbing is the use of a chainsaw with extension (Fig. 11). This type of motor-manual tool allows a highly ergonomic work with smaller trees felled, performing the operation in upright position and far away from the cutting part of the tool. It is used for cutting branches after motormanual felling in forest plantations with steep terrain, where no mechanized operations are possible. Debarking is another work in harvesting operations that may bear some risk for operators. If the work is done in motor-manual way in general, accessories for the chainsaw motor are used. Another operation is motor-manual bucking process in a harvesting operation. Making a crosscut in trees of big dimensions, like they occur in tropical rainforests, should not be underestimated. There is a high risk that the chainsaw gets stuck during the operation if the stem is not lying perfectly plain on the underground or if it is under any kind of tension. Since heavy and large trees can hardly be moved manually, it is important to train the chainsaw operators to perform the cut in the best way possible. After measuring the distance from the last crosscut precisely to provide the correct length of the stem for further processing, the stem should be carefully checked for any tension caused by uneven underground. It is recommendable to cut the crown first, before doing the further crosscuts. In general the crown lifts the stem from the ground or causes other

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 11 Risky delimbing of branches in native forests with the help of a chainsaw (left) and in a planted forest with the help of small chainsaws with extension for improved ergonomic position of the workers

tensions in it. If necessary the use of wedges is recommendable and allows performing the final cut from underneath the stem or above, depending on the type of tension detected. Maintenance of Machines and Equipment Maintenance keeps machines and equipment in good conditions. This is extremely important for prevention of accidents, ergonomics, and health risks. Maintenance rules and instructions for machines and equipment have improved continuously in the last decades. Especially in the area of preventive maintenance, progress in operational efficiency and accident prevention could be achieved (Almqvist et al. 2006). The machine and equipment manufacturers today provide manuals and checklists for correct maintenance of their products. In the forestry sector, specifically in forest harvesting operations, manual and semi-mechanized systems are more and more replaced by completely mechanized systems to improve productivity and quality, reduce costs, and guarantee more safety for machine operators in the harvesting process. The companies working with these machines ask for maintenance plans that provide information about mechanical availability and efficiency of the machines, for calculating their operational costs, plan staffing and have information about productivity (OSHA 1992). Keeping the machine in good working conditions always reduces the risk of accidents and health damages to the staff working in harvesting operations (Axelsson 1998). In recent years high variability in the wear of machines, the mechanical availability, and operational efficiency of the same specification were detected. It turned out that the “human factor” is influencing significantly in the serviceability of the machines. It is already known that some operators perform better in terms of productivity than others, but also the maintenance intervals are influenced by the operators. To use the machine adequately and in a smooth way prevents from excessive maintenance and precocious wear-out. The wear-out can be influenced by training of the operators. Some training plans even foresee to train the operators not only in daily maintenance but also in preventive maintenance to let them know more about the specific wearing of a machine type and how it can be reduced by smooth operation and special care during work. If the machine is getting close to the calculated life span and the maintenance intervals cannot be kept anymore, the machine should be scrapped to avoid excessive costs. Since the use of the chainsaws in harvesting operations of tropical forests is still very important, it is also appropriate to mention a few maintenance issues of this equipment. Chainsaws are considered as one of the most dangerous equipment in forest harvesting operations with high rates of accidents with serious injuries for the operators or causing severe health problems. This often happens because of wrong handling of the

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

machine, which could be resolved by training, but partially it is due to wrong or missing maintenance of the chainsaw. First, it is important to select the right size of the chainsaw for the right activity. Powerful and heavy chainsaws are required to fell big-sized trees, like they occur in native tropical forests. In forest plantations on the other hand, the trees often are of small diameter and can be felled with smaller chainsaws. Only choosing the machine of the right size often helps to reduce health problems and accidents. The selection of the chainsaw (power and weight) should be done according to the recommendations of the manufacturer for the respective tree size to be harvested. When refueling the chainsaw, it is recommended to use the specification given by the manufacturer. The right fuel and the respective oil for a two-stroke engine are indispensable to reduce toxic exhaust gases of the chainsaw to a minimum. Working for hours inhaling this dangerous gases leads to headache, dizziness, and nausea. Inhaling the toxic gases over longer period may lead to chronic illness. Imperfect combustion increasing the amount of toxic gases is also due to wrong maintenance of the chainsaw. Air filter, spark plug, carburetor, and setting of the chainsaw have to be checked and adjusted/replaced according to the recommendations of the manufacturer. For filling in the gas and the oil, it is strongly recommended to use specific canisters that avoid spillage of gas and oil which later on may get into contact with the skin of the operator. To be exposed to such toxic substances over longer periods causes serious skin disease and intoxication. A serious problem often found in tropical countries is the lack of specific lubricating oil for the chains. Instead of adequate lubricant, waste oil from tractor engines is used. Besides causing serious environmental pollution, waste oil is highly toxic and always gets in direct contact with the skin of the worker during chainsaw operation. The canisters for gas and oil should be stored outside the danger zone of falling trees to avoid accidents. For ergonomic questions, the maintenance of the chain is of crucial importance. Sword and chain consist of several flexible and fix parts that are important for the physical work the operator has to bring and also for the performance and productivity of the worker. Besides lubrication, the chain has to be sharpened correctly. The angle, the cutter tooth is sharpened has to be exactly after recommendation and the raker has to be reduced when the chain is wearing. The chain has to be changed if a tooth is broken or if the chain is reaching the end of its life span. A well-sharpened chainsaw pulls itself into the cut when felling the tree, while single-side sharpened chains often get stuck in a curved cut. One of the main causes for chainsaw accidents is the so-called kickback. This effect can be caused when the rotating chain is having contact with a solid object, causing an impulse in the opposite direction of the chain rotation. A good maintenance consisting of sharpening the angle correctly reduces the risk of such kickbacks. A good maintenance consisting of sharpening the angle of the teeth correctly reduces the risk of such kickbacks. In training session the chainsaw operators learn how to hold the chainsaw to prevent occurrence of kickbacks and how to position the body that it is always protected. The mechanical problems that may occur with a chainsaw are manifold, but it can be reduced with frequent and professional maintenance according to the manufacturer manual and own experiences under special working conditions. Checklists help to have always an optimal working equipment available, reducing incident of near accidents, accidents, or physical distress. The most important items of a chainsaw checklist are: • • • • •

Check starter recoil and decompression button for functionality. Keep the sword clean and well aligned, replacing it if necessary. Remove dust, dirt, sand, or oil from the chainsaw after work or during the work. Clean or substitute air filter. Take care that the flexible parts always receive the necessary lubrication.

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• • • •

Check the chain frequently for defects, sharpness, and tension. Check the chain break before starting the engine. Check the ignition and combustion system frequently for functioning. Pay attention to the functioning of the anti-vibration system.

First Aid: Training and Equipment Forest operations generally are taking place on forest sites that are far away from cities and of difficult access. Since the forest work is classified as dangerous, it is important that the staff of a harvesting team is able to provide first aid in the case of accidents and injuries (KWF 2004). The training should include the procedures for helping in the case of open wounds, bone fractures, and revitalization. In areas where the work involves the risk of intoxication by chemicals or smoke; snakebites, insect bites or spider bites; or other specific hazards, first-aid training should be extended accordingly in consultation with an appropriately qualified person or organization. First-aid training, courses, certificates, and equipment that must be provided by the company or employer generally are stipulated by law. The company only has to contact the authorities to get the necessary information about first-aid requirements for the respective activity. Anyhow, in many tropical countries such laws are missing or not enforced by the local authorities. In this case negotiated agreements of the companies or employers should take place. The most important facts to consider concerning first-aid in harvesting operations are presented as follows. First-aid training should be repeated frequently to ensure that the skills and knowledge of the employees are always up to date. Participation in the courses should be obligatory for all staff involved in the field work, not only the persons performing dangerous activities. The provision of first-aid facilities and trained personnel should be given by law, and respective regulations should be adapted by the companies. To provide first aid is not the end of the line after an accident, in fact the whole rescue chain in case of an accident with injuries of persons has to be planned carefully, including ambulance or helicopter transport to a hospital in an acceptable time. Well-maintained first-aid kits or boxes should be readily available at the worksite and should be protected against contamination by moisture and debris. These containers should be clearly marked and contain nothing other than first-aid equipment. When opened for use, the material has to be replaced by an authorized person under the necessary hygienic environment. Periodic check of the content, validity of the material, and replacement should be scheduled and documented by a person in charge. All employees and service providers interacting in the same operation should be informed of the location of the first-aid equipment. The company should plan periodic meetings of the harvesting operating staffs, supervisors, mechanics, and managers to evaluate and assess the first-aid needs for specific activities. Especially if a harvesting system is changed, for instance, from a motor-manual felling to the use of harvesters, the first-aid training and equipment should be adapted accordingly. The consultation of workers and machine operators and their representatives should be done prior to any changes in the rescue chain. In bigger harvesting operations, distant from any hospital or medical facility, it might be appropriated to provide the harvesting staff with a team of paramedics or an ambulance on the location where the operation takes place. The reasonable practicability of having trained personnel readily available will depend on the number of persons involved in the harvesting operation, the risk and accident frequency of the specific activities, and the distance to the next facility with medical services. Where the respective indications are not given by the authorities and legal regulations, the company has to decide on their own and base on ethical principles about the minimum standards to keep in case of injuries or health problems of their employees.

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The Role of Ergonomics in Health and Accident Prevention Ergonomics are a multidisciplinary field of professional research with the aim of finding the ideal balance between the worker and its activity (Apud 1989). The main areas are anatomy, physiology, psychology, sociology, engineering, and management. According to the definition of the IEA (International Ergonomics Association), the ergonomics (or human factors) are the scientific discipline concerned with the understanding of interactions among humans and other elements of a system and the profession that applies theory, principles, data, and methods to design in order to optimize human well-being and overall system performance. The root of the term “ergonomics” is derived from the Greek words “ergon” (= work) and “nomos” (= laws). Today it is closely linked to work science and is a systemsoriented discipline which now extends across all aspects of human activity. Ergonomists that have to evaluate a work area, like a harvesting operation, must have a broad understanding of the full scope of the discipline. An ergonomic evaluation should promote a holistic approach in which considerations of physical, cognitive, social, organizational, and other relevant factors are taken into account. It should include the relations and regularities between work environment, the work itself, and the workers. The aim of practical solutions is to design the work, work environment, machines, and tools according to the human necessities and characteristics. This helps the workers to maintain their health and guarantees a high level of job motivation. Knowledge about working techniques, tools and machines, work environment and worker’s capacity, motivation, and perceived effort helps to design the most efficient working environment with high productivity and good health (Harstela 1983). The FAO (1992) already pointed out the poor working and living conditions for forest workers in most of the poor and developing countries all over the world. In many cases work efficiency under such circumstances is also poor. Heavy physical workload, inadequate working techniques, and tools often cause occupational accidents, diseases, and unnecessary fatigue, linked with low productivity and work satisfaction. In countries with available accident records, forestry appears to be one of the most hazardous occupations, with frequent and severe accidents and many diseases (FAO 1992). Ergonomics may be subdivided into two basic elements: a technical and a human one. The technical element is based on the conditions of the work environment, machines, equipment, or tools, while the human factor is linked to the psychomotor and psychological characteristics of a person, its necessities, limits, or capacity to cope with the work in the job. Based on the analysis of these two elements, some criteria can be defined if, from an ergonomic point of view, a work or activity is acceptable or not. Among these are working safety, health, efficiency, remuneration system, social security, workload, and comfort at work and job stability. In the following the factors and characteristics of the activities in forest harvesting operations are evaluated that might be directly linked to safety and training of the forest workers.

Working Capacity and Workload The capacity to perform physical work is influenced by a complex combination of factors. According to Astrand and Rodahl (1977), the factors conditioning physical performance can be summarized as follows: • Energy output (aerobic and anaerobic processes) • Neuromuscular function (strength and technique) • Psychological factors (motivation and skill) Symptoms of exhaustion because of excess of physical overload depend on the exertion during the execution of the working activities and the individual conditions of a person, like health status, number of daily working hours, nutrition status, or physical fitness (Minette et al. 2007). To the extend exhaustion Page 24 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Table 6 Workload related to maximum aerobic capacity (AC) of the test person (After Couto 1987) Workload Low Moderate Heavy Very heavy Outermost hard

Workload in relation to maximum aerobic capacity (AC) Up to 25 % of AC From 25 to 37.5 % of AC From 37.5 to 50 % of AC From 50 to 62.5 % of AC Over 62.5 % of AC

Table 7 Mean heart rate and time spent in different activities while piling logs during 115 min. Activities: 1 = dragging logs with axes; 2 = ordering logs manually in piles; 3 = walking with logs on the shoulder; 4 = walking unloaded; 5 = recovery pauses Activity 1 2 3 4 5

Heart rate Mean 118 112 117 106 94

Standard deviation 12.7 4.9 6.1 6.2 8.1

Time Minutes 40 11 20 9 35

% 34.8 9.6 17.4 7.8 30.8

increase, the working rhythm of the worker is reduced, capability to concentrate and think rationally decreases, productivity becomes low, and the person is susceptible for mistakes and accidents. All these symptoms are closely linked to the maximal capacity of the aerobic processes, so that this value may serve as an adequate indicator of the ability of a person perform to a specific physical work or activity. The aerobic capacity today is widely accepted as an international standard of reference for studying the fitness of people. The aerobic capacity can be assessed by measuring the maximal oxygen uptake (VO2 max), which reflects the combined capacity of the cardiovascular and respiratory system to obtain, transport, and deliver oxygen to the working muscles, as well as the efficiency of this tissue to metabolize oxygen (Apud 1989). The measurement of VO2 max is a relatively demanding procedure. Instead of oxygen consumption, the energy expenditure or work rate in watts can be used. Other methods include the measurement of the work output at a fixed level of oxygen consumption or fixed level of heart rate (Edholm 1979). Couto (1987) published a work where he/she related workload classes according to the aerobic capacity of the test persons (Table 6). In case a worker is exposed to hard or outermost hard work, his/her physical capacities are passing the limits and he/she needs adequate rests between two working sessions. It is important to know the time a person needs to recover from an overload. Since the easiest way to measure workload for an individual person is to take heart rate, an example for a manual wood piling operation is presented. To determine the recovery time for each activity, Lundgren (1946) took the heart rate of several forest workers for different activities linked to manual piling. He classified the work in five different activities: pulling the logs with axes, walking carrying logs on the shoulder, normal walking to the next log, walking unloaded and manipulating the logs on the pile. In total a period of 115 min was monitored (Table 7): The table shows clearly the different workload of the activities expressed in the heart rate. Permanent work over a certain individual limit may lead to physical stress and wasting with danger of permanent health damage. For estimating the time necessary to recover from each activity, the following equation developed by Murrel (1965) may be applied:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Recovery time ðminutesÞ ¼

W ðb  sÞ b  1:5

where: • W = total working time in minutes • b = average energy expenditure (kcal/min) • s = energy expenditure adopted as standard (kcal/min) The statements above are very important for safety, health, and training in tropical countries. In order not to overestimate the working capacity of workers when planning a harvesting operation in tropical regions, it is important to consider the special circumstances found in the region where the harvesting activities take place. As already mentioned, the workers in tropical or poor countries may be different in strength and performance than people from industrialized and higher developed regions of the world. Size of the body, nutrition and health status, and metabolism of the organism are important to calculate the adequate workload for each activity. Besides these factors, also the climate may be considered. High temperatures, elevated humidity of the air, strong and frequent rainfall, or distinct drought seasons may also influence on the individual performance of the workers. Especially the heat is one of the limiting factors concerning hard work in the tropics. To regulate the body temperature, heart rate is accelerated to increase blood flow and to activate sweating through the skin. If personal protective equipment consists of special protective cloth, like it is the case for chainsaw operators, the problem becomes even worse. The person may reach their limit of heart rate without any additional work. Other indicators to detect individual workload of a forest worker besides heart rate are the level of blood sugar and the body temperature. The control of the working environment for manual and motor-manual work in general is limited and has to be integrated in the productivity calculation of the workers. Adequate tools and equipment are important to reduce the workload and to guarantee safe and humane working conditions. For harvesting machine operators, the development of cabins with specific ergonomic requirements like air-conditions and safety features improved significantly working safety, comfort, and productivity of the operators.

Nutrition and Energetic Consumption of Forest Workers Forest work is hard work with high energy consumption of the body. To guarantee the necessary energy input, a balanced nutrition consists of an adequate quantity of minerals, proteins, vitamins, fibers, and carbohydrates must be considered; correct alimentation for the forest workers is of extreme importance for working safety and for their health. In tropical regions people living in the rural regions in poor conditions, without adequate health care and balanced alimentation, often are the pool of workers hired for harvesting operations. The effect of nutrition on working capacity is complex, but the most important relationship is concerned with the energy content or calorie intake. For short periods energy expenditure can exceed energy intake, and an accumulated deficiency of some 42 MJ does not appear to affect working capacity. Strehlke (1993) classified the forestry work as medium to heavy (approximately 12 MJ total energy expenditure per day) for most silvicultural jobs and as heavy (approximately 16 MJ total energy expenditure per day) for most logging jobs. Staudt and Pieters (1978) describe that the widespread insufficiency in nutrition must be expected to limit the energy amount available for work and thus reduce concentration, attention, and productivity of the worker and increases risk of accidents. Edholm (1979) describes the most useful concept in considering nutrition and work capacity is that of calorie balance; the “extraction ratio” is a more informative index of the efficiency of food production. Page 26 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

The ratio, introduced into human biology by Weiner (1989), concerns the proportion of total energy expended, which is devoted to food production. A detailed job analysis is needed and the calorie value of all food produced as well as the calorie value of all food consumed. Such information needs to be collected over a period of a year to cover not only seasonal changes in climate but also, more relevantly, the variations in physical activity on the land. To meet with the hard to very hard workload, food during work time should be provided by the company. Besides the schedule for recreation of the physical stress, also correct alimentation is crucial to increase working safety and to reduce occurrence of accidents. Another important issue is hydration of the workers under the climatic conditions found in the tropics. To drink enough liquid guarantees correct functioning of the organism and help workers to concentrate and pay attention to their activities. The understanding of the importance of nutrition and hydration for work safety and health in many cases is not clear to the people. Training sessions should also include, in simple but comprehensive words, the importance of this issue.

Working Conditions and Human Needs In forestry work under tropical conditions, the local living standard and health and nutrition status of the local workers have to be classified as even more hard and risky than in the boreal and temperate zones of the world (CNSST 2006). The highly labor-intensive work with high workload is usually carried out by farmers and their families or hired local population, living mostly under traditional conditions in a poor state of health and nutrition. In many cases illiteracy is another important factor that influences on safety and training conditions. Forest work and harvesting operations after modern standards require a reasonable input of technical skill to achieve the safety goals in harvesting operations, no matter if it is on industrial scale or on a family level. Efficient organization of the forest work with acceptable effort and cost is important to meet fundamental ergonomic requirements. Ergonomics are usually overlooked in favor of low cost productivity or simply missing knowledge of basic context of influencing factors. Providing food for extra work and using techniques and methods demanding as little energy as possible, for instance, are simple and cheap measures to meet with ergonomic requirements (Strehlke 1979). As already mentioned in the introduction to ergonomics, it deals with the complex interaction between the working environment and the other human necessities. To highlight the working conditions in the context of the overall living conditions, the pyramid of Maslow (1943) with the “hierarchy of needs” is used to understand human motivation in their working environment (Fig. 12). According to the theory of Maslow, all persons have different needs at different point of time in their life. These needs of humans can be arranged in a hierarchy, while individual persons move through the hierarchy by fulfilling each level of needs. Some people may have dominant needs at a particular level and thus never move through the entire hierarchy. Maslow’s hierarchy lists the following five levels of needs: • Physiological needs: These are the basic necessities of human survival like food, clothing, and shelter. Without fulfilling these needs, a person will cease to function. • Safety: Once the first level needs are met, a person feels the need to have a life of security where safety in all aspects of life is ensured. • Social needs: This deals with the need to belong to a chosen social group or other relationships that are a part of human life. The need of being accepted prevents from negative effects like depression and loneliness.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_186-1 # Springer-Verlag Berlin Heidelberg 2015

Self-actualization creativity, problem solving, authenticity Esteem Self-esteem, confidence

Social needs family, friendship, social group

Safety and Security

Physiological needs (survival) Air, shelter, water, food, sleep

Fig. 12 Pyramid or triangle of needs (After Maslow 1943, modified)

• Esteem: Deals with the need to feel good about oneself and getting recognition from others to prevent inferiority complex and helplessness. • Self-actualization: Becoming the best one can be. Here the need is to maximize ones potential. The levels are presented in the form of a pyramid with the largest and most fundamental levels of needs at the bottom. According to Maslow, physiological, security, social, and esteem needs are deficiency needs or D-needs that arise because of deprivation. The highest level of the pyramid is called the growth needs or B-needs. Even if the hierarchies of needs are often criticized because cultural influence is not considered, the example might be adequate to explain the problems of the working conditions linked with harvesting operations in tropical forests. People working in tropical forests or workers hired for harvesting operations often are coming from poor conditions with low living standard. Before they think about safety or productivity, their basic needs like food, sleep, and health have to be fulfilled. Companies and employers should take care of these basic needs if they want to have highly motivated workers. In the case of farm or community forestry, the government should take over the part of the supervisor and take political measures to improve living standard and education of the people living in the rural regions. At least food and adequate lodging under safe and sound conditions should be guaranteed to make the workers susceptible for safety issues and training in forest harvesting operations. Safety and training in harvesting operations are an important issue as all the current research, new legislation, and efforts of companies and governments show, especially in poor countries in the tropics. Accidents with severe injuries and death are still very common. But there is still a long way to go before training and safety instructions reach standards of developed countries, which is also due to the different working conditions under tropical climate. A trend toward mechanization is a good indicator for substituting hazardous manual and motor-manual operations by safer and higher productive systems (Malinovski et al. 2008). Some of the motor-manual operations probably never will reach a level that at least deadly accidents may be completely extinguished. Page 28 of 31

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References ACGIH – American Conference of Governmental Industrial Hygienists (1996) Threshold limit values for chemical substances and physical agents – Biological exposure indices, 6th edn, Dichlorobenzenes. Cincinnati, OH: American Conference of Governmental Industrial Hygienists, 18–19. (verificar) Allen L (1958) Management and organization. McGraw-Hill, New York, p 57 Almqvist R, Gellerstedt S, Tobish R (2006) Ergonomic checklist for forest machines, European commission, handbook, 2nd edn, Swedish Univ. Agric. Sci., Uppsala Apud E (1989) Guidelines on ergonomics study in forestry. ILO, Geneva, 241p Astrand PO, Rodahl K (1977) Textbook of Work Physiology, McGraw-Hill Book Company, New York, 681 pp Astrand AO, Rodahl K (1986) Textbook of work physiology, 3rd edn. McGraw-Hill Book Company, New York Axelsson SA (1998) The mechanization of logging operations in Sweden and its effect on occupational safety and health. Int J For Eng 9(2):25–31 Bateman TS, Snell, Scott A (1998) Administração: construindo vantagem competitiva. São Paulo: Atlas, 539 p Blomb€ack P (2003) Improving occupational safety and health: the International Labour Organization’s contribution, FAO corporate document repository Blomb€ack P, Poschen P, Lövgren M (2003) Employment trends and prospects in the European Forest Sector. Timber and forest discussion papers, United Nations, Geneva Boxall P, Purcell J, Wright P (2007) The Oxford handbook of human resource management. Oxford University Press, Oxford, p 658 Couto HA (1987) Stress e qualidade de vida dos executivos. COP, Rio de Janeiro, 95p Edholm OG (1979) Ergonomics in tropical agriculture and forestry. Nutrition and physical working capacity, Centre for Agricultural Publishing and Documentation Wageningen. Local: Wageningen, Netherlands, p 18 FAO (1992) Introduction to ergonomics in forestry in developing countries. Fao forestry paper 100, FAO, Rome Firenze RJ, Walters JB (1981) Safety and health for industrial/vocational education. U.S. Department of Health and Human Services, Cincinnati Gil AC (2001) Gestão de pessoas: enfoque nos papéis profissionais. São Paulo: Atlas 2001:307 Gulick LH (1936) Notes on the theory of organization. In: Gulick L, Urwick L (eds) Papers on the science of administration. Institute of Public Administration, New York, pp 3–35 Harstela P (1983) The situation and need for future action in accident prevention in Finnish forestry. In: Proceedings international seminar on ergonomics applied to forestry, Vienna, Ossiach, 17–22 Oct 1983 / FAO/ECE/ILO Joint Committee on Forest Working Techniques and Training of Forest Workers, Geneva, International Union of Forestry Research Organizations, Vienna pp 94–98 Haynes H, Visser R (2001) Productivity improvements through professional training in appalachian cable logging operations. In: Proceedings of The International Mountain Logging and 11th Northwest Pacific Skyline Symposium, Seattle, Washington, pp 48–55 Heinimann HR (2001) Productivity of a cut-to-length harvester family – an analysis based on operation data. In: Proceedings of the 24th annual meeting of the council on forest engineering, appalachian hardwood s: managing change. Snowshoe, West Virginia, pp 121–126, 15–19 July 2001 Herzberg F (1975) Novamente: como se faz para motivar funcionários. Biblioteca de Harvard de Administração de Empresas, São Paulo 1(13):3–13

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Hultberg C (1987) Vocational training – Ergonomics applied to logging. In: Proceedings of the seminar. FINNIDA, Dehra Dun, pp 104–112, 14 Nov – 2 Dec 1983 ILO (1998) Safety and health in forestry work. International Labour Office, Geneva ILO (2001) Guidelines on occupational safety and health management systems, ILO Koontz H, Weihrich H (1990) Essentials of Management, 5th Ed., McGraw Hill Koontz H, O’Donnell C, Weihrich H (1980) Management. McGraw-Hill, New York, p 895 Korhonen E (1999) ILO encyclopaedia Personal Protective Equipment. http://www.ilo.org/encyclope dia/?doc&nd=857200390&nh=0 KWF – Kuratorium f€ ur Waldarbeit und Forsttechnik e.V (2004) Verletzungsursachen Waldarbeiter Staatswald, 2004 Unfallstatistik. http://www.kwf-online.de/deutsch/mensch/unfall/unfall_index.htm. Accessed Nov 2014 Labour Departement (2000) Health and safety in forestry. Labour Department, Republic of South Africa Lagerlöf E (1977) Risk identification, risk-consciousness and work organization – three concepts in job safety. In: Research on occupational accident. Arbetarskydds-fonden\Liber Tryck, Stockholm Lagerlöf E (1979) Accidents their causes and prevention. National Board of Occupational Safety and Health, Stockholm Lopes ES, Cruzinani E, Araujo AJ, Silva PC (2008) Avaliação do treinamento de operadores de harvester com uso de simulador de realidade virtual. Revista Árvore, Viçosa-MG 32(2):291–298 Lundgren NPV (1946) The physiological effects of time schedule work on lumber-workers. Acta Physiol Scand 13(41):137 Malinovski JR, Camargo CMS, Malinovski RA, Malinovski RA (2009) Sistemas. In: Machado, C.C. (Ed.). Colheita Florestal., 2.ed., atual. e ampl. Viçosa: UFV, p. 161–184 Maslow AH (1943) A preface to motivation theory. Psychosom Med 5:85–92 Maslow AH (1987) Motivation and personality, 3rd edn. Harper & Row Publishers, New York Mattila M, Hyttinen M, Rantannen E (1994) Effective supervisory behaviour and safety at the building site. Int J Ergon 13(2):85–93 Maximiano ACA (1991) Introdução a administração. 3a ed., rev. e ampl. São Paulo: Atlas, 1991. 426p Mayer A, Korhonen E (1999) Assessment of the protection efficiency and comfort of personal protective equipment in real conditions of use. Int J Occup Saf Ergon 5(3):347–360 Minette LJ, Pimenta AS, Faria MM, Souza AP, Silva EP, Fiedler NC (2007) Evaluation of the physical work load and biomechanical analysis of workers at wood carbonization in hot tail charcoal kilns. Rev Árvore 31(5):853–858 MTE (2001) Equipamento de Proteção Individual, Ministério de Trabalho da Republica Federativa do Brasil, Portaria ST n.
25 de 15 de outubro de 2001 Murrel KFH (1965) Ergonomic: man in his working environment. London: Chaoman et Hall Neitzel R, Yost M (2001) Tasked-based assessment of occupational vibration and noise exposures in forestry workers. http://staff.washington.edu/rneitzel/vib_document.pdf. Accessed Nov 2014 NYCOSH (2006) Personal protective equipment occupational safety and health training and education. Program – factsheet. http://www.nycosh.org/workplace_hazards/PPE-1999.html. Accessed Nov 2014 Occupational Safety and Health Administration (OSHA) (1997) Assessing the need for Personal Protective Equipment (PPE): a guide for small business employers (OSHA publication No. 3151). U.S. Department of Labor, Washington, DC Oliveira DPR (1999) Planejamento Estratégicos-Conceitos Metodologia e Práticas. São Paulo. Atlas, p 303 OSHA (1992) Concepts and techniques of machine safeguarding (OSHA publication No. 3067). U.S. Department of Labor, Washington, DC

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OSHA Health hazards: vibration. http://www.osha.gov/SLTC/etools/woodworking/health_vibration. html. Accessed Nov 2014 Pancel L (ed) (1993) Tropical forestry handbook. Springer, Berlin, p 1738 Parise DA (2005) Influência dos requisitos pessoais especiais no desempenho dos operadores de máquinas de colheita florestal de alta performance. 2005. 138f. Dissertação (Mestrado em Engenharia Florestal) – Setor de Ciências Agrárias, Universidade Federal do Paraná, Curitiba, 2005 Pynes JE (2009) Human resources management for public and nonprofit organizations: a strategic approach, 3rd edn. Jossey-Bass, San Francisco, 456 p Rainey HG (2003) Understanding and managing public organizations. Jossey-Bass, San Francisco, p 506 CNSST – Comision Nacional De Seguridad Y Salud En El Trabajo, Grupo De Trabajo Sector Agrario (2006) Trabajos Forestales España Stampfer K (1999) Influence of terrain conditions and thinning regimes on productivity of a track-based steep slope harvester. In: Sessions, Chung (eds) Proceedings of the international mountain logging and 10th Pacific Northwest Skyline symposium, Corvallis, Oregon, pp 78–87, Mar 28 – April 1 1999 Staudt FJ, Pieters JJL (1978) Energy balance of forestry workers in Surinam. In: 8th world forest congress, Jakarta, Indonesia, Proceedings: 535–544 Strehlke B (1993) Forest management in Indonesia: employment, working conditions and occupational safety. Unasylva 44(172):25–30 Taylor FW (1911) The principles of scientific management. Harper & Brothers, London University of New Hampshire (2001) Safe timber harvesting. UNH Cooperative Extension Forestry Information Center, New Hampshire Vahapassi A (1988) Occupational safety and health – the basic concept and definitions. In: Vahapassi (ed) Finland proceedings of the workshop on woodworking industrial safety. Government Printing Centre, Kotka, p 268 Vargas F, Steffen I, Brigido R (2002) Certificação de competências profissionais – análise qualitativa do trabalho avaliação e certificação de competências – referenciais metodológicos – Organização Internacional do Trabalho, Brasília, 2002 Weiner JS (1989) Human adaptability: a historical and compendium of research for the international biological human adaptability, Taylor and Francis, London, 384p Winterton (2007) Training, development and competence, In: Boxall P, Purcell J, Wright P (Orgs.) The Oxford handbook of human resource management, Oxford University Press, New York, pp 324–343

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

Trade and Transfer of Tree Seed Lars Schmidt* University of Copenhagen, Copenhagen, Denmark

Abstract When seed producers and seed users are geographically or functionally separated, seeds are transferred from producers to users. In market-oriented systems, transfer includes the pricing of seed, which reflects the procurement cost and seed quality. Physiological quality is documented via the seed testing records. Genetic quality is documented as documents on origin or seed source. New types of tree planting by smallholders imply special problems in distribution and supply systems since production systems for tree seeds have large areas while many consumers have small space for planting. A centralized forest seed supply contains large central units with good facilities for production and procurement but is far from seed users. Alternative decentralized systems with many small producers may have problems meeting high standards of seed quality and dealing with central regulations.

Keywords Seed trade; Seed transfer; Transport; Shipment; Seed supply system; Desiccation-sensitive seed; National seed centers; Legal regulations; Phytosanitary certificate; Ownership of genetic material; Formal system; Informal systems; Quality declared seed

Introduction The use or selection of species for various plantation programs is often influenced by the availability of seed and the ease of handling and propagation. In spite that the collection and propagation cost may make up only a fraction of the total plantation cost, tree planters often tend to select what is cheap and easiest. Seed supply may easily be caught in a vicious cycle: no seed sources => no seed => no planting => no seed sources. Opposite to the progress in seed handling, a network of adapted seed sources and effective distribution chain to end users can contribute to make species accessible and worth growing for those with land to plant. In this way, forest seed supply is a keystone to environmental rehabilitation, biodiversity conservation, and economic progress. Trade and transfer happen when producers and consumers (users) of seed are different people. Sometimes they are linked by middlemen, such as seed suppliers, who physically move seed in the demanded quantity from producers to consumers. Since the quantity of forest seed is relatively small compared to agriculture and horticulture seed, forest seed producers and suppliers are often identical. The ultimate consumers are tree planters, e.g., farmers and plantation owners. However, since most trees are planted and not sown directly, a nursery segment typically occurs between the supplier and tree planter, sometimes being an integrated part of one or the other and sometimes being an independent plant producer.

*Email: [email protected] Page 1 of 8

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

Production and consumption of forest seed (as most other goods) are in most countries (at least those with a mixed market economy) a complicated network, usually with many stakeholders at each level. Forest seed supply has much similarity with agricultural seed supply, but there are some fundamental differences: 1. Because trees have long juvenile periods and individual trees are large, seed sources with high-quality seed require large production areas, and once the trees start fruiting, the seed production is often very high. Forest seed production is thus often concentrated on relatively large production units of plantation owners. 2. Consumers with limited land areas at their disposal use small quantity of plants of any species and very few tree seed. Plantation owners use large quantities but sometimes irregularly depending on plantation rotation.

Dispatch of Seeds Seed should reach end users with minimum loss of physiological quality (germination capacity). Shipping implies a risk of physiological deterioration during transit, especially for sensitive seed, long distances, and poor transport conditions. Conditions as those used during seed storage should as far as possible be maintained during shipment. That means primarily dry and free from insects and pathogens. Shipment implies inevitably some mechanical handling of the consignment; package material that can withstand such handling is essential. Seed should be put in transparent sealed bags that allow inspection through the material. If the consignment is prone to inspection that implies opening bags, it is advisable to put the sealed bags into strong zipper bags that can easily be re-closed to avoid loss. For ordinary dry orthodox seed and relatively fast shipments, cold shipment is unnecessary. The main problem is to avoid overheating during transport and transits. Temperature inside car boots and non-airconditioned store rooms under tropical suns can rise to critical high levels. Cool transport may be necessary during shipment of sensitive moist material. Cold consignment shipment is often available from specialized transport companies when necessary. Several goods (primarily food) are shipped cool, and some of that network may be used. Alternatively, sensitive material may be packed with dry ice (dry to prevent water from sipping out when melting). The duration of transport should, as a rule, be as short as possible. Depending on transport type, notification of the receiver on dispatch is often the most efficient way to get the seed fast “through the system.” Upon receipt, seed may be sown immediately or stored temporarily in cool store until sowing. All seed consignments should be documented (labeled) with seed lot number, collection information, and seed testing information (seed weight, purity, moisture content, and viability). Test data should, as a rule, not be older than 9 weeks (Karrfalt 2008). In case additional information is needed, the seed lot can be traced back to the seed source via the seed lot number. Since various types of seed dormancy may reduce germinability or the seed may require special germination conditions, it is customary to accompany a traded seed lot with germination and propagation instructions. End users may cover user groups from plantation owners to small farmers. Their demand varies in terms of species, quantities, economic resources, and technical background. They may also cover large geographical areas. In order to reach each customer group, the dispatch system must be able to address different demands, including giving technical instructions on different levels. A small quantity of seed

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

supply to small farmers appears to be a widespread bottleneck in forest seed supply. As a group, small farmers are often of the largest stakeholders in tree planting, yet each planter has only a small demand. The pathway is the distribution of larger quantities to larger local centers (e.g., village nursery or agricultural centers) who may then further distribute to small farmers via local shops, mobile salesmen, or the like (Moestrup et al. 2007) (Fig. 1). International trade and transfer of important commercial species has nowadays, thanks to the development of long-distance communication via Internet, made it significantly easier to communicate requests and supply data across boundaries (WAC undated). The general globalization of economy with easy money transactions and cheaper air transport fees has made the exchange of most goods much smoother than a few decades ago. However, the international seed supply chain still suffers from some obstacles: 1. Exported and imported live material is often subject to regulation, to avoid both the import of potential dangerous pathogens (importing countries) and export of potential valuable genetic resources (exporting countries). As the potential value of genetic material (species) is a relatively new concern, rules on how to get these permits are often not clear. The materials for research purpose are often exempted from the strict regulations. 2. The transit and loading of material can be critical for short-lived material such as desiccation-sensitive seed. Much seed deteriorates “while waiting.” 3. The production of valuable and sought-after seed is usually in remote and difficult accessible areas. With the general shrinking of forest resources, the choice of seed sources for most species is getting smaller. So despite the improved transport, impediments such as ownership, regulations, and restrictions can make seed collections more difficult. 4. As subject to regulations and general pollicization of international relations, informal joint seed collection expeditions are becoming increasingly regulated. 5. Large seed specialist institutions such as Danida Forest Seed Centre, Commonwealth Forest Network, Australian Tress Seed Centre, and CIRAD-Foret who used to mediate international transfer of forest seed have either closed or the seed supply part has been heavily cut back. Few other organizations (e.g., WAC (ICRAF)) mediate international transfer.

Fig. 1 Distribution of seeds of agroforestry species in small quantities. Left: local dealer sells the tree seeds in small bags together with propagation and growth information, Nepal (Photo by Iben Nathan). Right: seeds of Erythrina velutina distributed in “six packs” to farmers (Brazil)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

Centralized and Decentralized Forest Seed Supply National seed centers with central seed supply and distribution were established with the rationale that the production of quality forest seed needs a large area network of seed sources and good processing and storage facilities. Secondly, quality seed supply requires the knowledge of improvement and tree breeding activities that are closely linked to high-level research. However, while these centers have often proved effective on seed production (collection, processing, storage), they have also often had problems getting seed distributed especially to smaller consumers like farmers. National seed centers are also sometimes less attractive to large companies who often have their own independent seed supply system for their key species. Since the knowledge base on tree seed is often concentrated in national centers, the roles are often diverted between different activities: 1. 2. 3. 4.

Seed production, procurement, and supply Seed research and tree breeding Training, extension, and awareness raising Policy formulation and certification

Re. 1. Seed production pertains to the selection and establishment of seed sources (section 2); procurement pertains to collection, processing, and storage (section 5); and supply pertains to dissemination and seed sale for various plantation programs (section 8.1). These are largely commercial activities where centers are usually obliged to operate on market conditions by selling seed, paid for by consumers, which may be private (from smallholders to plantation companies) or public enterprises. Re. 2. Seed research and tree breeding are part of producing quality seed and should hence ideally be financed by seed sale (which should be more expensive for high-quality seed). However, only for very few short rotation species can research and breeding activities be expected to be implemented in better seed quality in the short term. External (e.g., government) funding for research activities may be obtained independent on commercial seed trade, but the product of, e.g., an advanced seed orchard is a seedproducing stand, which has a direct link to seed production and sale. Re. 3. Training, extension, and awareness are considered public duties fulfilling a national objective of increasing productivity by using the best genetic plant material. This is thus supposed to go beyond the narrow commercial interest of seed supply involving stakeholders not necessarily linked to the seed business yet indirectly an advertisement. Re. 4. Policy formulation and regulations aim at supplying public goods that are supposed to influence seed quality on a national level. This could include regulations on trade and transfer, certification of seed sources, and documentation schemes. Where national centers have been established in larger countries, it has usually been structured with a national center or main office and a number of smaller regional centers (e.g., National Tree Seed Centre, Tanzania, Indonesia Forest Seed Project). This has been with a logistic rationale that these countries contain large ecological variation, and because of the envisaged local adaptation, seed users are recommended to use seed sources that are relatively close to the planting site. Hence, in practice, most seed is collected and distributed by local/regional centers. A survey of the dispatch pattern from national and regional centers has usually shown that the “coverage” of seed dispatch is usually few 100 km around the centers with little supply to more remote regions.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

Keeping large quantities of seed in store for interim use may, from a seed supply point of view, be a sensible way of coping with biological fluctuations of seed availability and to rationalize collection. However, the price of running cold stores is high, and where power supply is unreliable as is the case in some tropical countries, they are not always very effective. Since recalcitrant seed cannot be stored under any conditions for a very long time, a swift and efficient communication system between seed users and suppliers, leading to higher degree of collection upon demand, may be a suitable way to minimize the requirement for seed storage. National seed centers in tropical countries have often been heavily supported by overseas donors and subsequently relying on governmental support (National Tree Seed Centre (Tanzania), Central Forest Seed Company (Vietnam), Kenya Forestry Research Institute (KEFRI)). It has often proven difficult just to cover operation costs not to mention background research by seed sale alone. Customers are often skeptic to the claimed superiority of the seed center’s quality seed and unwilling to pay for it if there are other seeds on the market. Such other seeds may come from local small suppliers, who can collect seeds at low costs from public or private seed sources. Another problem of national tree seed centers is when they act in a mixed establishment with other private stakeholders. Here their roles in policy development may tend to favor own seed sources and seed supply without being founded on objective quality criteria.

Legal Regulations Regarding Forest Reproductive Material Legal aspects pertaining to trade and transfer have various purposes: 1. Quality guarantee to seed users 2. Preventing pest and disease to be spread with seed 3. Protecting ownership of genetic material Re. 1. Quality guarantee is in some cases a mere legal verification of the seed documentation scheme pertaining to genetic, physical, and physiological seed quality. In particular, in connection with genetic quality (provenance, source, collection base), whose validity is hard to prove or disprove due to the often long generation time of trees, particular verification or certification schemes are pertinent. Certification schemes have existed for a long time in Europe and the USA (Mangold and Bonner 2008; OECD 2011), whereas only few tropical countries have implemented control of forest tree germplasm, and in case some certification system exist, it is normally limited to larger plantation species and not covering, e.g., agroforestry tree seed. A main problem for the implementation of high-quality seed certification schemes is that it requires several verifications and inspections on various levels, all of which adds to the price of the seeds and in several cases effectively becomes a barrier to those farmers that should be benefitted with the proven high-quality seed (Nyoka et al. 2011). In addition, genetic quality with reference to particular seed sources is documented for only few species and it is far from complete. A less formal system, quality declared seed (QDS), which aims at providing flexibility in implementation while still retaining the basic principles of quality assurance, which can achieve the confidence of seed users, has gained some support (FAO 2006).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

Re. 2. Phytosanitary precautions are a key concern for exotic species where natural controlling enemies are often absent and where pest and diseases can consequently spread rapidly and cause great loss. The problem is obviously only for the importing countries, but requirement compels exporting countries or seed suppliers to issue phytosanitary certificates which state that seeds are free from pest and pathogens. Importing countries would often require seed to go through quarantine where seeds are examined. Re. 2. Ownership to genetic material has appeared out of concern of “gene mining” where rich countries/companies may collect material from poorer countries and then market and profit from it without leaving any benefit to the country of origin. The concern is mainly pertaining to crop plants and plants with medical potential, where potential patentation might make it problematic for countries of origin to utilize resources in the future. These legal aspects are an obstacle to smooth seed transfer, which is further hampered by bureaucratic conditions.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

Annex: Seed Lot Information Outline Seed lot no.

Supplier

Species name (botanical):

Provenance name:

Common name : Country :

Seed source information Seed source location:

Region/state  'N/S, longitude:

Geographical coordinates: Latitude: Altitude:

Country  'E/W; UTM

Mean annual rainfall (mm):

Rainfall regime:

Summer

Soil type: Stand type:

, X:

Y:

m.a.s.l Uniform

Winter

Bimodal

pH: Plantation;

Natural stands

Seed source type:

Unclassified,

Provenance seed stand,

Type:

Selected stand,

Seed production area,

Breeding seedling seed orchard (BSO),

Farmland seed source

Seed orchard

Other information:

Collection data Collection date: Genetic representation: Number of parent trees collected from: Average spacing between parent trees (m): Phenotypic selection of seed trees: Selection criteria:

Height,

Straightness,

Yes

No

Branching habit,

Health,

Others,

Test results Date of (latest) test

Germination percentage: %

Purity: Moisture content:

Viability: %

Measured by:

1000 grain seed weight:

TTZ Cutting X-ray Other:

No. of viable seeds per gram:

Seed treatment Seeds treated with:

Pretreatment: Scarification, method and duration:

Date of treatment Stratification, method and duration

Recommended seed handling before sowing Soaking in water, duration:

Date :

Leaching, duration Manual extraction, method: Signature

Other, Inoculation:

Mycorrhiza, species / type: Rhizobium, species/ type: Frankia, species/ type:

References FAO (2006) Quality declared seed systems. FAO plant production and protection paper 185. FAO, Rome, 242 pp Karrfalt RP (2008) Seed testing. Chapter 5 In: USDA. The woody plant seed manual. Agriculture handbook 727. United States Department of Agriculture, Forest Service, Washington, DC, pp 98–116

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_191-1 # Springer-Verlag Berlin Heidelberg 2015

Mangold RD, Bonner FT (2008) Certification of tree seeds and other woody plant materials. In: Bonner FT, Karrfalt RP (eds) The woody plant seed manual, vol 727, Agriculture handbook. United States Department of Agriculture, Forest Service, Washington, DC, pp 117–124 Moestrup S, Schmidt L, Nathan I (2007) Guidelines for distribution of tree seed in small bags: small quantities and high quality. Center for Skov, Landskab og Planlægning/Københavns Universitet, Hørsholm. http://forskning.ku.dk/search/?pure=da%2Fpublications%2Fguidelines-for-distributionof-tree-seed-in-small-bags(bde97030-a1c3-11dd-b6ae-000ea68e967b)%2Fexport.html Nyoka BI, Ajayi OC, Akinnifesi FK, Chanyenga T, Mng’omba SA, Sileshi G, Jamnadass R, Madhibha T (2011) Certification of agroforestry tree germplasm in Southern Africa: opportunities and challenges. Agrofor Syst 83:75–87 OECD (2011) OECD forest seed and plant scheme. http://www.oecd.org/agriculture/code/47439648.pdf WAC (undated) Seed suppliers directories. http://www.worldagroforestry.org/our_products/databases/ tssd

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Pest Management in Tropical Forestry M. R. Speighta* and S. Woodwardb a University of Oxford, Oxford, UK b Department of Plant and Soil Science, Institute of Biological and Environmental Sciences, University of Aberdeen, Aberdeen, UK

Introduction and Scope The term “Pest” is used in the heading for this chapter in a broad sense to encompass all the living and nonliving agencies which damage living plants. In the text, however, it is mostly used in a narrower sense to include only various animals; while the terms “Diseases” and “Disorders” are used for damage caused by various groups of living plants (pathogens) and various nonliving agencies, respectively. In natural ecosystems, plants have evolved gradually over many years and have therefore become adapted to the environment and all the other components of their own ecosystem. Damage from pests and diseases does occur in natural ecosystems, but it is often greatly exacerbated in the unnatural conditions of managed and plantation forests. Natural ecosystems have also become changed by the international movement of plants, and inadvertently their pests and diseases, and by man-made changes to the environment. The term “Tropics” is used to encompass all the geographical regions between the Tropics of Cancer and Capricorn at 23
260 1600 (23.4378
) N and 23
260 1600 (23.4378
) S, which encompass a wide range of different climatic zones, varying from deserts to continually wet sites; hot sites to cold alpine sites; and maritime to inland sites. In general, tropical regions experience small seasonal changes in day length, solar radiation, air temperature and soil temperature, with diurnal rather than seasonal extremes. However, most regions experience very considerable seasonal changes in rainfall, which in total can range from 0 to 10,000 mm/an. Pests and diseases of trees have been reported from the tropics for many years; however, it was not until 1968 that F.G. Browne produced his basic text (Browne 1968) in response to a resolution of the 8th British Commonwealth Forestry Conference (Gibson 1975). Since then, many texts on pests and diseases limited to particular tropical regions, particular host families and genera or particular families of pests and diseases have appeared (Passos de Carvalho 1971; Gibson 1975, 1979; Bakshi 1976; Krugner 1980a, b; Evans 1984; Singh and Singh 1986; Bigger 1988; Su See 1999; Old et al. 2000; Keane et al. 2001; Wingfield 2003; Richardson et al. 2007; Wingfield et al. 2008a). In this chapter, diseases, pests, and disorders of trees are considered separately for convenience; however, several may affect the same trees at any one time under field conditions. It should also be emphasized that they form only a small part of the extremely complex ecosystems which occur in the various regions of the tropics. Thus all senescing, moribund, damaged, stressed, or even healthy plant tissues are colonized by a multitude of organisms which may be damaging, or may exist as endophytes, living inside the tissues until it becomes stressed from other causes.

*Email: [email protected] Page 1 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Diseases Disease can be defined as “a continuing harmful deviation from the normal functioning of a plant which is caused by organic disease – inducing agents and which is usually of sufficient magnitude to give rise to visible symptoms or effects” (Brooks 1953). Biotic agents of disease are known as pathogens and the plants on which these organisms grow and obtain their nutrients as hosts. Given suitable environmental conditions, a disease will spread from affected plant tissues to other parts of the same plant, and to other plants in the vicinity. Reproductive structures of particular organisms, or other signs of infection, will also appear in time on, or inside, affected tissues. Specific diseases are invariably caused by a combination of factors, particularly the interactions between the host and its environment, which may affect the growth and development of both the host and the pathogen, and with the pathogen itself. Broadly, the incidence and severity of a particular disease are influenced by the interactions between: (i) Host susceptibility (ii) Pathogen virulence (iii) Environmental factors Environmental factors include temperature, rainfall, humidity, light, soil, and the multitude of other organisms associated with the host or in the surrounding air and soil (Agrios 2005). These interactions are summarized in the “disease triangle” (Fig. 1). The association of an organism with a host as the cause of a disease is not always readily apparent. Plant pathologists, therefore, must follow a series of rigorous experimental procedures first postulated by the nineteenth century medical bacteriologist Koch (1882) to prove conclusively that a causal relationship exists between the host plant and the pathogen. Failure to follow these procedures continues sometimes to lead to numerous erroneous reports of disease in plant pathology literature from the tropics and elsewhere.

Symptoms and Signs of Disease Symptoms are the visible manifestations of the disease syndrome which appear in a sequence after infection has taken place; signs of disease are visible evidence of the pathogen itself, such as fungal fruitbodies, fungal hyphae, bacterial ooze, or virus particles which are present in at least some of the affected tissues. Every disease produces symptoms and signs, usually in a particular sequence, after an initial time lag or incubation period that follows infection. These symptoms may, or may not, be characteristic for particular diseases; diagnosis, therefore, requires great care and experience. Disease symptoms can be either systemic, in which the entire plant sometimes is affected, although the pathogen may be restricted within the plant, or localized where the disease is restricted to particular parts Environment

Plant

Pathogen

Fig. 1 The disease triangle

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Table 1 Symptoms of plant disease Symptom observed Yellowing of leaves; may be interveinal yellowing or yellowing of veins Plant fails to reach expected height or stature; serious lack of growth Leaves collapse; premature leaf fall; (chlorosis is likely) Premature leaf fall Literally “death of cells.” Patches of dead cells may develop on any living tissue. Abnormal extension growth of tissues Leaf petioles make an obtuse angle with the stem, resulting in the leaf lamina pointing downwards. Due to increased extension of cells in upper tissues of petiole Increase in cell number over the normal Increase in size of cells compared with normal

Technical name Chlorosis Stunting Permanent wilting Leaf Abscission Necrosis Etiolation Epinasty Hypertrophy Hyperplasia

of the plant, sometimes to a single necrotic lesion. Various classifications are used for disease symptoms, based on either the nature of the physiological changes induced in the host, or the tissue affected (Table 1). These symptoms are not solely caused by pathogens; many can also be induced by certain pests and abiotic agents.

Agents of Disease

In general terms fungi (singular = fungus) are the organisms most commonly associated with plant diseases. Many important plant diseases are also caused by bacteria (and phytoplasma) and viruses. Nematodes also cause a number of important plant diseases; although these organisms are animals they are studied by specialist Nematologists, who are generally considered under plant pathologists. Further plant-infecting organisms include parasitic plants (mistletoes, dodders, sandalwoods) and rarely certain algae may cause diseases on other plants. Fungi and Fungus-like Organisms Fungi form a separate Kingdom to plants, animals and prokaryotes, the Mycota. All fungi have heterotrophic life strategies, requiring organic materials to gain nutrition. Structurally, most fungi comprise minute thread-like filaments (hyphae) which aggregate into a network (mycelium) on which various reproductive structures may form (Petersen 2013). Hyphae are usually dichotomously branched and divided into linear rows of cells by septa, forming cross-walls. Differentiation into particular tissue types varies considerably within this Kingdom. These tissue types have differing functions. Globose aggregates of hyphae, or sclerotia, permit perennation in a dormant state; rhizomorphs, formed by hyphae aggregating linearly into chords, enable spread through an unsuitable substrate and conduct nutrients over long distances; stromata form secure bases on which to produce reproductive structures; and more or less complex reproductive structures of varied shape and size facilitate the production and dissemination of reproductive propagules. Reproduction in most fungi is via the production of unicellular or multicellular sexual or asexual spores. Many fungi, particularly in the Ascomycota (see below) produce at least one type of asexual spore on suitable substrates under favorable conditions. Asexual spores are often produced in vast numbers, enabling these fungi to multiply rapidly and exploit a suitable substrate under favorable environmental conditions. Sexual spores are also produced in huge numbers by many fungi and often are sufficiently resilient to enable survival through periods where conditions are unfavorable for growth. Traditionally, the fungi were classified and named according to characters of their sexual reproductive structures (teleomorphs) where these were known, or based on their asexual reproductive structures Page 3 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 2 Damping off disease (a) pre-emergence damping-off in a bed of conifer seedlings. The large gap is where germinating seedlings were killed prior to the plumule emergence. (b) Multiple losses due to damping-off during raising Acacia seedlings in cells (Image b courtesy of Su See Lee)

(anamorphs) and vegetative characters where sexual structures were not known. It is somewhat confusing that many fungi have at least two Latin names in use, one for the teleomorph and one for each anamorph. The name of the teleomorph must always take precedence over that of an anamorph. There is a current drive to give all fungi (and other organisms) only a single name, which would remove this confusion. With the advent of molecular biological analyses, however, much of the confusion concerning the taxonomic placement of fungi can, in time, be resolved. The DNA of an organism is definitive and, using multigene sequences (e.g., Multilocus sequence typing, MLST), highly definitive interpretations of the relationships between individual organisms can be elucidated. The application of molecular biology techniques, therefore, has led to some adjustments to previous understanding of fungal taxonomy, although, in general, much of the taxonomic work based on morphological structures has proved to be highly accurate. Classifications and systems for taxonomic assignments of the true fungi can be found in appropriate text books (e.g., Kirk et al. 2008). Fungi and fungus-like organisms are responsible for a great variety of different diseases of plants; plant pathologists divide these into groups damaging various parts of the plant at different growth stages, although many pathogens affect several organs of a plant. Further confusion may arise when these diseases are given different common names, despite being caused by the same pathogen species. Page 4 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

A further Kingdom of organisms which includes numerous plant pathogens, many of which are highly damaging, is the Chromista. In terms of ecology, these organisms behave very similarly to the true fungi, but are completely distinct phylogenetically. In this Kingdom, the class Oomycetes includes pathogen species in the genera Pythium, Phytophthora, Phytopythium and Peronospora, several species of which cause some of the most damaging diseases of trees (Hayden et al. 2013). Diseases Affecting Seeds Various pathogens can invade seeds, during development of the fruit (or cones), at seed harvest and storage, or between sowing and germination. Seeds or fruits with fleshy external tissues are particularly at risk. The fungi may originate from infected flowers or fruits, extraneous organic matter in the seed batch, or from airborne and soilborne propagules. A particular risk noted currently is that of Fusarium circinatum (Gibberella circinata), which can be transmitted via seed transport. Although considered likely to be native in the highlands of Central America, it has spread to many other parts of the world, including North America, South America, South Africa, Japan, and Spain, where it is causing problems both with damping-off in nurseries and in pine plantations and forests in the field (Wingfield et al. 2008b). Diseases of Seedlings and Young Plants Damping-Off Disease. Damping-off (Fig. 2) refers to the death of seedlings prior to the development of lignified tissues. It can manifest as pre- or postemergent damping-off, depending on whether the root and/or shoot are killed before or after the plumule has emerged above soil level. The impact is variable, depending mainly on quality of the seed batch and nursery management (Lilja and Poteri 2013). All tree seedlings are susceptible to some extent, although damage in Eucalyptus spp. and species in the Pinaceae are frequently reported. A variety of both true fungi and Oomycota can cause damping-off; under drier conditions, species in the (anamorphic) genera Fusarium, Cylindrocladium, Macrophomina and Rhizoctonia spp. may be involved, whereas in wetter nursery conditions, Pythium and Phytophthora spp. are usually responsible. All of these species grow rapidly, completing their life cycles of infection and sporulation within a few days and producing persistent propagules which can survive adverse soil conditions. Symptoms of damping-off include a wet, soft rot of the emerging root and/or radicle, resulting in pre-emergent damping-off, or seedling emergence occurs, but the hypocotyl or stem base at soil level is infected and the seedling collapses on to the soil surface. In some broad-leaved trees, the infection may first affect the cotyledons, before rapidly spreading to the hypocotyl. Typical damping-off, however, is seen as rapidly expanding, roughly circular patches in which the most recently killed plants are located at the periphery. Incidence is favored by wet, alkaline, highly organic soils, excessive seed density, and humid environments. Young transplants are also predisposed to infection by damage during pricking-out operations or when planted too deeply (Bloomberg 1985). Seedling Root and Collar Rots. Older, fully emerged seedlings with well-developed xylem and suberization of the cortex can also be attacked and damaged by the same soilborne fungi and oomycetes responsible for damping-off. As with damping-off itself, the problem frequently arises under poor management conditions, particularly waterlogging or a lack of water which causes stress to the plants. Symptoms include decay of root cortex tissues, sometimes mainly at the root collar, leaving the internal vascular stele tissues, particularly the xylem, more or less intact. Aerial parts of affected plants are stunted, with yellow, wilted foliage. When the plants die, they usually become colonized by saprophytic fungi. Pathogenic sclerotia-forming fungi, such as Cylindrocladium spp., M. phaseolina and various Rhizoctonia spp., may form microsclerotia in affected tissues, providing long-lived inoculum in the soil following disintegration of the tissues. Page 5 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 3 Foliar diseases. (a) Browning of young needles on radiata pine due to infection by Dothistroma septosporum; (b) excessive loss of needle on pine due to infection by Dothistroma septosporum; (c) Sphaeropsis (Diplodia) dieback of radiata pine shoots; (d) Needle browning on pine due to infection by Cercospora pini-densiflorae (syn. Mycosphaerella gibsonii) (Figure 3c courtesy of H. Hashimoto, Bugwood.org)

Non-Specific Seedling Blights. Many opportunistic fungi with rapid reproductive cycles can infect foliage and young, green shoots of forestry plants in the nursery. These diseases may be lethal to young plants, but usually do not kill older seedlings. Severe blight may lead to death of the apical shoot, however, resulting in stunting and multiple leaders on young plants, which are then considered to be of low quality. Seedlings of most trees are susceptible to these problems, but seedling age, environmental conditions and the inoculum potential contribute greatly to disease incidence. High humidity, due to the high densities of young plants in the nursery, along with overwatering increase disease severity. Many fungi causing seedling blights, such as Sclerotinia fuckeliana (Botrytis cinerea) the cause of gray mold, Fusarium spp. and Cylindrocladium spp., have a broad host range. Others are more or less host specific, i.e., Colletotrichum acutatum f.sp. pinea the cause of terminal crook disease of pines (Dingley and Gilmour 1972) and Sphaeropsis sapinea (diplodia shoot blight) also on Pinus spp. and other conifers (de Wet et al. 2003; Fig. 3). These fungi are very widely distributed. Symptoms of blight include the formation of water-soaked or resinous lesions on the foliage at the shoot tips of plants. The lesions become necrotic with time and the infection spreads into the green stem tissues causing cankers which gradually increase in size and may eventually girdle the shoot, causing dieback. Spread down the stem is not usually very extensive in older seedlings. Anamorphic reproduction of the causal fungi in or on each lesion produces huge numbers of conidiospores which are splash dispersed to neighboring plants. These new infections result in expanding foci of disease. Production of conidia, dispersal of conidia, and infection of the host plant are highly dependent on high humidity and the occurrence of rain or water splash. Incidence of disease is therefore highly correlated with rainfall and high humidity. Page 6 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 4 Symptoms of obligate pathogens on angiosperm trees. (a) Melampsora populina causing rust on foliage of hybrid poplar; (b) close-up of uredosori and teliosori of Melampsora populina; (c) powdery mildew on Acacia spp.; (d) sexual structures (cleistothecia) in which asci and ascospores of powdery mildews are formed (Figure 4c courtesy of Su See Lee)

Host-Specific Foliage Diseases. The leaves of young trees, including nursery plants, are frequently attacked by highly host-specific fungi which have long and, in some cases, complex reproductive cycles. These diseases may be restricted in distribution, but can on occasion be very damaging on particular host species. Initial infections may be very scattered; however, during favorable conditions, spread to other foliage on the same individual plant or to foliage on neighboring plants may give rise to severe disease epidemics within the nursery phase or in the forest. Microclimatic conditions favouring the production and dissemination of fungus spores and infection of the host have a marked effect on both disease incidence and severity. These conditions may vary for particular fungi, although high humidity, between 90 % and 95 % rh, is a general requirement. Optimum temperatures for infection and disease development may differ, however. The highly damaging pine needle blights caused by Dothistroma septosporum and D. pini (Dothistroma needle blight; Figs. 3a, b and 5a), Cercospora pini-densiflorae (syn. Mycosphaerella gibsonii; brown needle disease; Fig. 3d) and Mycosphaerella dearnessii (brown spot needle disease), all require 100 % rh for infection and are favored by high relative humidity throughout the pathogen life cycle. These needle pathogens, however, have different temperature optima; D. pini grows most rapidly at 15–20
C, whereas for C. pini-densiflorae, the optimum is 25–30
C (Ivory 1967). The two species, therefore, rarely occur together. On the other hand, leaf rusts (Uredinales) and powdery mildews (Erysiphales; Fig. 4) are generally favored by drier conditions during the majority of their life cycles, although high humidity is required for spore germination and infection. Typically, needle blights form small, discrete lesions, initially visible as pale-green spots that turn yellow and then red-brown as the tissues die. Lesions may extend rapidly, but others remain small. Reproductive structures of the causal fungi emerge from necrotic lesions (Fig. 5). These can impart particular colors or characters to the lesions. For example, lesions of Dothistroma needle blight are often red-brown and delimited by dark red lines, leading to one of the common names used in the past, “red Page 7 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 5 Needle lesions on pines caused by (a) Dothistroma septosporum; (b) Lophodermium sp

band needle blight.” Toxins may also be produced by fungi in these lesions; D. septosporum and D. pini produce dothistromin, which has structural affinities to the aflatoxins produced by Aspergillus species and is known to be required for virulence of D. septosporum (Bradshaw 2004). Symptoms of rusts are usually characteristic with large black, orange, or yellow-colored spores produced in erumpent sori in green tissues (Fig. 4a, b). Foliage and shoot tissues turn necrotic at a later stage of disease development. Symptoms of powdery mildews include the characteristic white powdery appearance on the foliage or young shoots, formed by the development of fungal hyphae and asexual conidia over the tissue surface. The powdery mildews produce structures known as haustoria into the epidermal cells of the host plant, which function to abstract plant nutrients preferentially into the pathogen. Extensive growth of the mildew results in foliar and shoot necrosis. In recent years, a rust disease of the Myrtaceae, guava rust (Puccinia psidii) has spread widely through Eucalyptus growing areas and is also affecting many other plants in the family (Glen et al. 2007) Spores of most foliar pathogens are disseminated in the air, following rain splash or through active ejection of the spores from reproductive structures. Rust fungi (Uredinales) have complex life cycles. Several distinct types of spores are produced, with at least two distinct host plants (restricted to related genera) being infected. Although the incidence of foliage diseases often correlates with environmental conditions at critical points in the life cycles of the host and pathogen, high plant densities in tree nurseries also increase the likelihood of infection by many pathogens, particularly because humidity is high around the plants and the short distance between affected and healthy plants expedites rapid spore transmission. Stem Diseases. Stems of trees are attacked by many fungi, some of which are reasonably host specific. Such diseases often have restricted geographical distributions, but can be very damaging to particular hosts, given suitable conditions for infection and disease development. Some diseases, such as eastern gall rust of pines (causal agent: Cronartium quercuum f.sp. fusiforme) in Central America, are particularly important on nursery plants and young trees as the main stem of the plant is severely damaged, resulting in stunting or death over a period of 2–3 years (see Fig. 12). The pathogen enters pine needles during wet weather following airborne dispersal of basidiospores from infected leaves of Page 8 of 37

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alternate hosts in the genus Quercus. Mycelia grow through the needles and may eventually reach the stem tissues, where the host responds through the production of large, ovoid to globular-shaped galls. The aecidia formed on the galls within 12 months, release aecidiospores which reinfect nearby Quercus spp., thus completing the heteroecious life cycle (Powers and Kuhlman 1997). Western gall rust of pines (causal agent: Endocronartium harknessii) maybe a greater threat to tropical pines as the fungus has a reduced (autoecious) life cycle: the aecidiospores are able to reinfect pines directly, without passage through an alternate host. Based on inoculation experiments, many widely planted tropical pines are known to be highly susceptible to E. harknessii infection, but to date, this disease has not spread into tropical regions. Stems of nursery seedlings may also be attacked by fungi with short simple reproductive cycles which may be more or less host specific (i.e., Phyllachora balansae on Cedrela spp. in Central and S. America; Dothiorella mahagoni on Swietenia macrophylla in the West Indies). Fungal Diseases of Trees in the Forest Although some diseases which affect seedlings can also infect older trees, there are many further diseases that infect only older trees. Diseases of Roots. Fine roots of trees are attacked by a range of soilborne fungi and fungus-like organisms, but in good plant growth conditions cause little damage to the tree overall because the damaged roots are continually replaced. Under conditions favorable to the pathogen, or unfavorable to the tree, however, particular pathogens can become severely damaging. A widespread example of this type of damage is the problem caused by the oomycete Phytophthora cinnamomi, which is probably native in Papua New Guinea, but has been spread around the globe by human activities. Severe dieback of Eucalyptus marginata, other Eucalyptus spp. (“Jarrah die- back”) and many other plant genera in Western Australia, Queensland, and Victoria demonstrates the severe destructive potential of alien invasive pathogens in general (Shearer et al. 2004; Weste 2003). Introduction of P. cinnamomi into previously uncolonised areas has led to severe epidemics in native and exotic forests in conjunction with mechanical disturbance of forests and interference with natural drainage. Spread of P. cinnamomi and other Phytophthora species is by means of infected soil, soil run-off, or on young plants from infected nurseries. Good hygiene and sanitation of forest machinery can give some control; in Western Australia, strict regulations mean that any human activities in known affected areas must include sanitation plans for machinery leaving the area. Other Phytophthora spp. can cause similar root rots of trees under circumstances favorable to the pathogen (i.e., waterlogging). Associated symptoms include yellowing, stunting of leaves and shoots (e.g., little leaf disease of pines). Recent work has demonstrated that species in the newly defined Oomycota genus Phytopythium may be involved in dieback of mature trees in parts of the tropics. In plantations of Cedrela odorata in Trinidad, a severe dieback in exotic provenances of the host tree appeared to be due to root infection by Phytopythium cucurbitacearum and/or P. vexans (Woodward et al. in prep.; Fig. 6). This genus, formerly known as Pythium clade K, is widespread in the tropics and has a wide host range including both herbaceous and woody plants. The interesting point in Trinidad is that the indigenous provenances of C. odorata were not showing symptoms of dieback, where adjacent plantations of a Colombian provenance had serious dieback, suggesting local adaptation to a probably native pathogen. Fine roots of trees are also attacked by soilborne true fungi such as the wide host range Macrophomina phaseolina (Botryosphaeriales; charcoal root rot or black root rot; e.g., Barnard 1994) and the Hyphomycete Cylindrocladium spp. (Nectriaceae; teleomorphs are in the genus Calonectria; Crous 2002). Where these diseases have infested soils by the production of microsclerotia, very high losses of roots may be incurred. M. phaseolina is associated with very high soil temperatures during the growing season. Page 9 of 37

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Fig. 6 Dieback diseases caused by root-infecting pathogens. (a) Bleeding canker at the base of Cedrella odorata, caused by Phytopythium cucurbitacearum infection, in Trinidad; (b) Dieback of Cedrella odorata resulting from Phytopythium cucurbitacearum infection (Courtesy of E. Boa)

Root Decay Fungi: The larger, secondarily thickened roots of trees are attacked by a range of nonhostspecific fungal pathogens which produce specialized peroxidase enzymes enabling the decay of lignified tissues. Such fungi are abundant in any forested situation, driving the mineralisation of woody tissues and, hence, playing a major role in nutrient cycling (Boddy and Watkinson 1995). Examples in tropical forest ecosystems include mainly Hymenomycetes, such as Phellinus noxius [brown root disease (Fig. 7)], Armillaria spp., [Armillaria root rot (Fig. 8)], Rigidoporous microporus (white root rot), R. vinctus [poria root rot] and Ganoderma spp. (red root rot; Fig. 9; Lundquist 1987; Mohammed et al. 2014). The ascomycete Rhizina undulata can infect secondarily thickened roots of many gymnosperm trees causing death through killing the vascular cambium; the common name of Rhizina root rot is anomalous, as the pathogen does not degrade root tissues per se, but gains its nutrients from the vascular cambium. Some of these fungi, however, can invade living tissues, such as bark, root cortex, cambium, and sapwood, as well as being able to degrade the cellulose and lignin of the sapwood and heartwood. Some root decay fungi require wounds for entry, and are unable to invade living tissues to any degree. Invasion of large heaIthy roots requires a high inoculum potential which is provided by mycelium from infected woody substrates in the soil derived from the previous forest vegetation. Mycelium of some of these fungi can penetrate a short distance through soil (e.g., some Armillaria spp.), but most can only invade root tissues which come into direct contact with infected woody debris from the previously colonized tree root systems (i.e., P. noxius; most tropical Armillaria spp.; root-infecting Ganoderma spp.; Lee 2004; Mohammed et al. 2014). These diseases are therefore nearly always centered on an infected inoculum Page 10 of 37

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Fig. 7 Fungal “sock” growing up the lower trunk of Delonix regia (Courtesy of Charles Hodges)

Fig. 8 Symptoms of Armillaria infection in broad-leaved trees. (a) Typical fruiting bodies of Armillaria sp.; (b) clearing forming in stand of Pinus sp. following killing by Armillaria; (c) Typical mycelial sheath of Armillaria in the vascular cambium region of the lower trunk Page 11 of 37

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Fig. 9 Fruiting bodies of Ganoderma (red root rot) forming at the base of a dead Acacia sp

source, such as an old stump, root debris or fallen stem from the previous woody vegetation. Subsequently, spread may occur between crop trees by root–root contacts giving rise to characteristic roughly circular expanding disease foci. It is very likely that root decay fungi are widespread at low inoculum potentials in undisturbed indigenous tropical forests, existing in an ecological balance in the ecosystem as saprotrophs, but occasionally causing mortality to native trees that are stressed by other agents. Felling trees can cause heavy stress, upsetting the ecosystem balance and providing large volumes of woody substrate for colonization by these and other saprophytic decay fungi. Events such as windthrow and stem breakage have similar effects in natural forests (i.e., brown root disease in Vanuatu), but disease foci do not enlarge rapidly, presumably because the forests are normal, with mixed species and varied age classes present. Phellinus noxius sometimes occurs on broken branches in the canopy in these forests, outside the subterranean environment, which is considered this pathogen’s usual habitat. Root diseases require soil conditions conducive to spread and large food bases to provide the resources needed to persist and penetrate the roots of host trees. The persistence of inoculum for these pathogens depends on the size and durability of the woody substrate which is colonized. Stumps of trees left from felling operations, or from copping, for example, are particularly suitable as persistent substrates disease sources. In plantations of palms or rubber, the stumps of the previous crop are frequently sources of inoculum for the subsequent crop (Arrifin et al. 2000). Diseases of Green Shoots and Foliage. The foliage and young shoots (before extensive suberization) of trees are frequently attacked by a wide range of fungi, some of which are host specific. These pathogens may have simple life cycles that may repeat once or twice each year (e.g., Dothistroma needle blight of pines), or more complex life cycles extending over 2 or more years, sometimes involving an alternate host, as in many foliage and stem rusts. In general terms, these diseases are very common and widespread on trees, although the amount of foliage damage is usually too little to cause notable growth reductions on the Page 12 of 37

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tree as a whole. In some instances, however, severe disease has been reported on forest trees in tropical countries. This problem was usually considered to affect exotic tree species grown in regions particularly favorable for development of the pathogen involved. More recently, however, these problems have been increasing on indigenous trees, partly due to the increasing effects of alien invasive pathogens (e.g., Santini et al. 2013) and also due to climate change. One example of pathogens with a simple life style is Dothistroma needle blight (DNB) of pines caused by the ascomycetes Dothistroma septosporum (sexual state: Mycosphaerella pini) and D. pini (sexual state unknown) (Fig. 3). Although this disease was, arguably, first observed in western Russia in 1911 (Bulman et al. 2013), it was not until the mid-twentieth Century that the large monocultures of Pinus radiata established in the highlands of East and Central Africa, Chile, and New Zealand were severely damaged in large-scale epidemics of DNB. Under conditions highly conducive to infection and disease development, D. septosporum has a minimum life cycle of approximately 40 days, and can have several generations per year during the prolonged periods of high relative humidity encountered in highland areas of East and Central Africa, for example. Vast numbers of conidia are produced by D. septosporum, enabling rapid multiplication of the pathogen and the onset of an epidemic in a short period of time. Spread of the conidia in mist droplets after splash dispersal from the acervuli also promoted rapid spread from plantation to plantation, and between regions over a few years. The near simultaneous appearance of DNB in cool parts of East Africa, Central Africa, Chile, and New Zealand probably arose due to diseased needles present in seed lots that were moved intercontinentally (Bulman et al. 2013). Pinus radiata and several other Pinus spp. susceptible to DNB can become more resistant with increasing age. Thus, young trees which are not killed within a few years gradually become less damaged. The time required for this change in susceptibility to occur depends on the extent of damage to the young tree, the susceptibility to DNB of the individual tree, and the disease risk at that particular site (Bulman et al. 2013). More recently, however, DNB has caused more severe disease on older trees, suggesting that changing climatic conditions may have reduced the abilities of trees to resist infection. Genetically controlled resistance to DNB occurs in several Pinus spp. (e.g., Ivory and Paterson 1970; Bulman et al. 2013), and between-provenance variations are now being considered for replacement plantations in some regions. DNB is managed in P. radiata plantations of New Zealand by regular high pruning to reduce humidity under the canopy and by the application of copper-based fungicides (Bulman et al. 2013). This latter technique, first utilized in East Africa by Gibson and coworkers (Gibson 1974), is a rare example of the use of fungicides in forestry being economically viable. Other Mycosphaerella spp. causing severe needle blights of several Pinus spp. utilized in tropical plantations include Cercospora pini-densiflorae, the cause of brown needle disease of Pinus caribaea, P. merkusii, and P. roxburghii in Africa, Asia, and Central America (Fig. 2d; Bednářová et al. 2013). Infection by this pathogen occurs at temperatures above 20
C, resulting in a climatic separation from needle blights caused by D. septosporum and D. pini, which require lower temperatures to complete their life cycles. M. dearnessii causes brown spot needle blight in the Southern USA, and has spread further in N America, into Central America, South America, Colombia, and more recently into Europe and South China (Bednářová et al. 2013). There are numerous leaf spot diseases and blights that affect young shoots and foliage of tropical trees. Diplodia shoot blight is a common disease affecting pines in both temperate and tropical regions (Capretti et al. 2013; Fig. 2c). Eucalyptus spp. can be affected by a range of Mycosphaerella spp., particularly when in plantations (Crous 1998; Crous et al. 2007; Fig. 10); Cylindrocladium shoot blight is also prevalent on eucalypts under conditions conducive to infection and disease development (Roux et al. 2005; Fig. 11). In many cases, there is insufficient damage to foliage for these diseases to cause lasting effects on the host, although when combined with the impacts of other pests and diseases, losses can increase greatly. Page 13 of 37

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Fig. 10 Mycosphaerella leaf spot on Eucalyptus nitens foliage

Fig. 11 Cylindrocladium shoot blights on (a) seedlings of Eucalyptus grandis and (b) Pinus palustris (Images courtesy of Edward L. Barnard, Florida Department of Agriculture and Consumer Services, Bugwood.org)

Rust pathogens also attack green foliage of both gymnosperms and angiosperms. When alternate hosts are also present in abundance, these pathogens may become highly damaging, as the inoculum required to infect the tree is produced on the alternate hosts. Moreover, the short, repeating life cycle of macrocyclic rust species may be produced on the alternate host plants, meaning that populations of the pathogen may build up rapidly. This situation occurs with leaf rust of teak in S.E. Asia and elsewhere in the tropics caused by Olivea tectonae and with the many Acacia rusts (Punithalingam and Jones 1971; Mulder and Gibson 1973; Daly et al. 2006). Microcyclic needle- and shoot-infecting rusts of pines are also known in temperate climates (i.e., Endocronartium harknessii) but to date have not been recorded in tropical Page 14 of 37

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countries. Macrocyclic leaf rusts are quite common on pines in natural forests and adjacent planted areas, but their effects are usually insignificant. A leaf rust (Aecidium fragiforme) is common on Agathis macrophylla in S.E. Asia (Punithalingam and Jones 1971). Foliage of angiosperms is frequently affected by powdery mildews, especially under warm humid conditions. These problems all have similar symptoms characterized by leaf necrosis preceded by a white powdery external growth of sporulating mycelia on all green surfaces; during aging of the mycelium, small brown dots appear, turning black on maturity. These structures are the cleistothecia, containing asci and ascospores, and are capable of withstanding environmental conditions unsuitable for host or pathogen growth. Powdery mildews are commonly seen on young plants of Eucalyptus spp., Acacia spp. (Fig. 3c, d), Tectona grandis and many other trees, and may occasionally cause severe disease on mature trees (Limkaisang et al. 2006). Diseases of Flowers and Cones. Certain diseases attacking young shoots and foliage, such as powdery mildews and some needle diseases may also attack flowering parts of trees and can then be dispersed on seeds and fruits (including cones). In addition to these damaging agents, however, some diseases occur only on the flowers or cones. On graminaceous plants, smut diseases are common world-wide, but are rare on trees. One example is the smut of Triplochiton scleroxylon in West Africa caused by Mycosyrinx nonveilleri (Ofong 1978); as with smut infections in other host plants, the flowers and fruits of the host become distorted and partially replaced by spores of the fungus. Although these infections may have little effect on the growth of the tree, the production of seed can be serious affected. Moreover, in trees, smut infections are systemic and persist from year to year. Cronartium conigenum attacks cones of pines, resulting in the replacement of seed by bright orange-colored aecidiospores of the fungus. This problem is quite common on Pinus oocarpa in Central America, where seed losses can be serious (Gibson 1979). Diseases of Woody Stems. Woody tissues of trees, present in large amounts in the main stems and branches, are attacked by fungal pathogens which cause symptoms such as sunken cankers, swollen galls, or, internally, decay of the sapwood or heartwood. Many of these fungi require wounds for initial establishment. Decay fungi, moreover, can cause considerable loss of timber. Cankers and galls can also lead to breakage. “Pink disease”, a canker caused by the fungus Erythricium salmonicolor, is present throughout the tropics, attacking a very wide range of hosts, including tree crops such as rubber and many forest trees. It is particularly well-known on Eucalyptus spp. in Southern India (Keane et al. 2001), but has also caused major problems on many other tropical tree species (Roux and Coetzee 2005). Small necrotic lesions developing in young bark are associated with extensive superficial wefts of white mycelia over unaffected bark. In conditions of high humidity, this mycelium becomes more obvious and turns pink in color. Underlying phelloderm and secondary phloem tissues become necrotic, with pink pustules of sterile mycelia. The fruiting body of the pathogen, a thin, pink smooth resupinate basidiome forms on the undersurface of branches; in addition, orange-red pustules of the conidial “necator” anamorph may form on upper surfaces of branches. The death of young branches spreads down the tree under suitable environmental conditions and into the main stem. Cankers can girdle the stem causing top-die back, stem breakage, or death of the whole tree. Infections are dormant in dry weather and diagnosis is very difficult at these times. Trials in Vanuatu suggested that provenances of Cordia alliodora are all similarly susceptibility to “pink disease,” and losses can be significant. Other fungi also cause cankers on Eucalyptus spp., but most are infrequent. Very high mortality occurred in young plantations of E. grandis and E. saligna in Surinam following attack by Diaporthe cubensis (syn. Endothia havanensis; Boerboom and Maas 1970; Hodges 1980), a pathogen present in many parts of the world where Eucalyptus spp. are grown, caused girdling cankers at the stem base in young trees, and at higher points on the stems leaving trees disfigured or dead (Conradie et al. 1990). Various Cytospora spp. also cause stem cankers on Eucalyptus, which can become very large after many years. Losses are variable and depend on the host species. Page 15 of 37

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Fig. 12 Symptoms of Cronartium fusiforme on pine. (a) Fusiform gall covered in aecidia releasing aecidiospores on shoot of pine; (b) teliosori on the underside of a Quercus leaf (Figure 12a courtesy of Clemson University – USDA Cooperative Extension Slide Series, Bugwood.org; 12b courtesy of Robert L. Anderson, USDA Forest Service, Bugwood.org)

Cankers which can be highly damaging may occur on other tree species. Certain rust fungi that damage tree branches and stems may induce the formation of cankers on infected host tissues, eventually resulting in dieback of affected branches and top-dieback of trees if the infection girdles the main stem. Rust pathogens causing canker diseases on conifers are usually macrocycIic with complex Iife cycIes involving stages on alternate hosts. The galls and cankers, however, are perennial, gradually increasing in size over many years. Fusiform rust, for example, caused by Cronartium quercuum f.sp. fusiforme, is common on some pines in the USA (Powers and Kuhlman 1997; Fig. 12), but to date has not spread into tropical pine plantations because of the absence of suitable alternate host species, in this case Quercus spp. Several rust pathogens that affect tropical angiosperm trees are microcycIic and have repeating life cycles on the same host. Very few of these rusts, however, have been reported to cause significant damage on important tropical forest trees. Examples include stem rust of Cordia alliodora caused by Puccinia cordiae in Central and South America (e.g., Pardo Cardona 1998), and the Caribbean and stem rust of Paraserianthes falcataria (syn. Adenanthera falcataria; Albizia falcataria; Falcataria moluccana), caused by Uromycladium tepprianum, in the Philippines (Old and Santos Cristovao 2003). Tree stems are also frequently attacked internally by decay fungi. The decay process is natural, and is of great importance in forest ecosystems, as it releases nutrients sequestered in the woody tissues for cycling Page 16 of 37

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within the ecosystem. For timber production, however, excessive amounts of decay are detrimental to yield, and therefore have a negative impact on what humans may require from the forest. It has long been believed that decay fungi colonize stems and larger branches through wounds, although this assumption has been challenged more recently (Parfitt et al. 2010). Regardless of the mode of entry, fungi commonly establish and cause serious decay in heavily lignified tissues of trees. The decay fungi themselves are almost all in the phylum Basidiomycota, class Hymenomycetes, although there are a few Ascomycota that can also cause decay in standing trees. Within the Hymenomycete decay fungi, two broad groups are recognized: 1. White rot fungi: these species are effective in degrading wood, being able to produce manganesedependent lignin peroxidase enzymes, and also, in most species, laccases. Other species may also produce lignin peroxidases. In effect, these peroxidases are “stress” enzymes, produced by the fungi in adverse growing environments, yet enabling the fungi to degrade the highly resistant lignified woody tissues. The degradation process results in a bleaching of the wood, hence the common name of “white rot.” Examples in tropical trees include Stereum sanguinolentum in Pinus patula damaged by elephants (Fig. 13) or water buffalo (Lundquist 1987; Dublin 1995) 2. Brown rot fungi: in contrast to white rot fungi, the brown rot species cannot degrade lignified material, but can access the cell wall carbohydrate polymers (cellulose, xylans) in wood directly. The result of this type of decay is a crumbling wood structure, which is dark brown in color. There is some oxidation of the phenolic compounds left, hence the brown color of the products. An example affecting tropical trees is Pseudophaeolus baudonii. Patterns of degradation also differ between fungi in these two main groups (Schwarze et al. 2000). Broadly, however, most decay fungi should be considered highly specialized saprotrophs. The heartwood of trees is, in almost all species, dead, and cannot respond to the presence of the fungi. Heartwood in many trees contains high concentrations of antifungal compounds, although decay fungi are well adapted to detoxifying such compounds, due to production of peroxidases. The main active response that is seen in attacked trees, therefore, is at the boundary between the heartwood and sapwood, where considerable discoloration is often seen. Other responses that occur, depending on the host species, include the release of resins, kino or gums. In many cases decayed areas are compartmentalized by the host tissues (e.g., Shigo and Marx 1977), although the walls of the compartments may be breached by further growth of the fungi (Pearce 1996). Growth of the decay fungi into the sapwood is usually prevented by the high oxygen tension and water content, plus active responses of this tissue (Boddy and Rayner 1983; Pearce 1996). When a tree is stressed by factors such as drought or waterlogging, however, decay fungi may breach the reaction zone and enter the sapwood. Certain fungi, mostly Ascomycota in the Ophiostomataceae, colonize sapwood and heartwood through wounds, living on easily assimilable soluble compounds in the wood, such as simple sugars and amino acids. These stain fungi can have serious economic consequences, as the green, gray, or blue staining in the tracheids is seen as a problem by end-users, despite the inability of such fungi to cause decay (Jacobs and Wingfield 2001). The problem mainly arises in humid cIimates when felled trees are left too long before conversion into pulp or sawn timber. Systemic Diseases. Wilt-causing fungi specifically colonize vascular tissues of affected plants, when the pathogens may be confined to the xylem until the plant dies. These pathogens produce toxins which spread rapidly in the vascular system resulting in loss of the ability to control water relations in the host and, as a consequence, wilting of the foliage of foliage and young shoots. Affected plants or parts of plants become stunted. Internally, the xylem companion cells respond by producing polyphenol oxidases, which Page 17 of 37

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Fig. 13 Elephant damage and subsequent decay. (a) African elephant asleep, leaning against a tree; (b) internal decay caused by Stereum sanguinolentum is evident in damaged trees; (c) fruiting bodies of Stereum sanguinolentum on fallen timber (Figure 13a courtesy of Joy Viola, Northeastern University, Bugwood.org)

cause dark streaking in the affected vessels. Further companion cell responses that occur, depending on the host tree, include the formation of tyloses and gums/gels, which plug the affected xylem. Specialized asexual bud cells of wilt-causing fungi are swept upwards in the xylem sap, lodging against perforation plates at the ends of vessels. These spores germinate, the germ tubes penetrate through the perforation plates, and further bud cells are released in the next vessel. Wilt pathogens typically invade via the roots, as with Fusarium and Verticillium wilts, or are insectborne into stem tissues as with Dutch elm disease which occurs in temperate regions of Europe, N. America, Asia and New Zealand. Several wilt diseases are well-known in tropical countries, such as sissoo wilt on Dalbergia sissoo in the Indian subcontinent (Al Adawi et al. 2013), Sandragon wilt on Pterocarpus indicus in The Seychelles (Fig. 14; Boa 2014, personal communication) and other more recently discovered Ceratocystis wilts in various regions of the world (Harrington 2013), including C. fimbriata in teak (Tectona grandis) plantations in Brazil (Firmino et al. 2012). Page 18 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 14 Wilt of Pterocarpus indicus in The Seychelles islands, caused by a form of Fusarium oxysporum. (a) Severe loss of foliage along with crown dieback. (b) Staining in the vascular system, indicative of a wilt disease; (c) Staining in the secondary phloem tissues near the base of the trunk (Courtesy of E. Boa)

Bacteria Bacteria are prokaryotic, unicellular organisms, visible at high magnifications with the compound microscope, which are composed of a cell wall around apparently homogenous contents. Plant pathogenic bacteria are rod-like in shape, with aerobic or facultatively anaerobic metabolism, and often possess external flagellae (Waller et al. 2001). Bacteria cause diseases in all major groups of the plant kingdom, particularly among angiosperms, although most species are saprotrophic. The importance of bacteria lacking cell walls, termed phytoplasma, as pathogens of forest trees is being increasingly recognized (Griffiths 2013). Bacterial infections of plants lead to similar symptoms to those occurring with fungal or fungus-like pathogens, including chlorosis, localized necrosis (leaf spots), general necrosis (shoot blights), rots, cankers, scabs, wilting, stunting, galls, fasciation, vascular wilts and gummy exudations. Symptoms often depend on the ability of the bacteria to produced toxins (chlorosis, necrosis and wilting) or enzymes (rotting). Certain bacteria are known to insert plasmids into host cells, which cause the host to produce conditions more conducive to bacterial reproduction, as in crown galI caused by Agrobacterium tumefasciens (Waller et al. 2001). Bacteria cannot penetrate the outer protective tissues (cuticle; epidermis; phellem) of plants and must, therefore enter through wounds, natural openings, or through less-protected surfaces, such as the stigma (Manners 1982). Release of the bacteria from infected plants usually occurs as gummy exudations or sap flow, following which further dissemination is expedited by wind, rain, insects, nematodes, other animals,

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

and human activities. Transmission also occurs during vegetative propagation, either on contaminated tools, or on the affected plants themselves and occasionally by seed. Diagnosis is made by isolation of bacteria from affected plant parts using standard procedures, identification by laboratory tests and the induction of symptoms on host plants in inoculation tests (Waller et al. 2001). More recently, powerful molecular tests for diagnosis of bacterial infections in plants have been developed (e.g., Pirc et al. 2009). In tropical countries bacterial leaf spots and shoot blights, caused by Pseudomonas spp. and Xanthomonas spp., have been reported on Azadirachta indica, Cassia spp., coffee, Cunninghamia lanceolata, Khaya spp., mango, Pinus radiata and Tectona grandis by various authors (Anonymous 1985; Gibson 1975; Langridge and Dye 1982; Spaulding 1961). These diseases are not generally very severe, but can result in die-back of affected shoots or even mortality of small plants (Langridge and Dye 1982). Kairu et al. (1984) reported that application of the fungicide Captafol to control coffee berry disease produced large iatrogenic increases in incidence of bacterial blight caused by Pseudomonas syringae. Similarly, bacterial blight of P. radiata reported from New Zealand by Langridge and Dye (1982) may also be a similar iatrogenic effect of fungicides applied to control terminal crook disease. Minor bacterial cankers and galls, caused by Agrobacterium tumefaciens, Corynebacterium spp., Pseudomonas savastanoi and Xanthomonas khayae, have also been reported on Eucalyptus spp., olive, and Pinus spp. (Gibson 1975, 1979; Spaulding 1961; Coutinho et al. 2002). Several serious bacterial wilts occur on trees, caused by species such as Ralstonia solanacearum and R. tectonae. Affected hosts include Cassia spp., Eucalyptus spp., Paraserianthes falcataria, Pinus spp. and Tectona grandis (Da Cruz and Dianese 1986; Gibson 1975, 1979; Sharma and Sankaran 1987; Supriadi and Sitepu 2001). There are also several known bacterial blights and diebacks now becoming more predominant on Eucalyptus species and hybrids (e.g., Coutinho et al. 2002; Arriel et al. 2014). One group of bacteria, known as xylem-limited bacteria, can also cause major problems in trees. The type species in this group, Pseudomonas syzygii, causes dieback of cloves in Indonesian plantations (Roberts et al. 1990). A further species, Xylella fastidiosa, has recently been found causing dieback and mortality of cultivated olives in the Mediterranean region (Loconsole et al. 2014). Problems caused by Phytoplasma, cell-wall free prokaryotes, are becoming more widely recognized as problems in trees (Griffiths 2013). As with viruses, Phytoplasma are mainly insect-transmitted. These organisms are often restricted to phloem tissues, and are sensitive to tetracycline or penicillin antibiotics. Several tree diseases are caused by Phytoplasmas, including spike disease of Santalum album, elm phloem necrosis, stubborn disease of citrus, lethal yellows of coconut, citrus greening and various witches’ brooms, most notably of Paulownia and ash. Control of bacterial diseases can best be achieved using resistant varieties; however, this can have severe limitations and thus use must be made of other control options such as (1) excIusion of the pathogen by quarantine and hygienic measures; (2) reduction of avoidable inoculum by crop sanitation, crop rotation, and treatment of planting materials; (3) protection of plants by the use of bactericidal chemicals; and (4) the use of modified cultural practices either to minimize transmission of the bacteria (i.e., suitable watering processes) or to reduce infection (i.e., pruning in dry weather). Viruses Diseases Viruses are highly specialized disease-causing agents, with little or no metabolic machinery, that are entirely dependent on a host for replication. They comprise nucleic acid, either RNA or DNA, encoding for replication, along with satellite nucleic acids encoding proteins that support replication (Agrios 2005). Outside the host organism, the nucleic acids are enclosed in a protein coat or “capsid.” On entering a suitable host, the protein coat is lost and the DNA or RNA takes over the metabolism of the plant cell, so Page 20 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

that the virus nucleic acids are replicated. Once the replication phase is complete, the virus capsid is added and the host cell dies. A further group of infectious particles similar to true viruses are the viroids, which exist as naked RNA, lacking a capsid (Agrios 2005). Virus diseases of trees are probably much more common than is obvious from the literature (Cooper 1993; B€ uttner et al. 2013). In trees, however, it is difficult, if not impossible to find individuals that have no virus infections, even when it is not obvious that the hosts are suffering in any way from such infections. The problems are recognized when the infected plants are displaying symptoms in the aerial tissues such as chlorosis (mosaics, mottling, yellowing, flecking), growth disturbances (galls, distortions on foliage and shoots, witches’ brooms, stem pitting), necrosis (localized or systemic), wilting of the whole plant, and other physiological disturbances. Although problems caused by virus disease on roots are not visible, Hollings (1983) suggested that roots of Theobroma cacao infected by cocoa swollen shoot virus are also swollen and necrotic. Virus particles are unable to penetrate intact plant cell walls and require suitable vectors and cell damage to enter the host; rarely, transmission can be via root-grafting, or in seed and pollen (Cooper 1993; Hollings 1983). The most common natural vectors of plant virus diseases are arthropods, particularly sap-sucking insects and mites, although nematodes and fungi can also act as vectors. Human activities, such as those during vegetative propagation, pruning and cultivation are also important vectors in horticulture and forestry. Diagnosis of suspected virus diseases is usually through the application of the serologically-based ELISA (enzyme-linked immunosorbent assay) test, along with confirmation either by cross-infection tests on a range of sensitive test plants. ELISA is based on antibodies raised against known viruses (Cambra et al. 2006). Currently, molecular methods, particularly PCR- or quantitative PCR-based techniques are used for many virus infections in agricultural and horticultural plants (B€ uttner et al. 2013). Development of these methods for virus infections of forest trees, however, lags behind their application in agriculture and horticulture. More than half of the known groups of plant viruses have been detected in trees and shrubs, the most frequent being “opportunist” viruses with wide host ranges which have spherical particles approximately 30 nm in diameter (Cooper 1993). Although viral infections of woody plants are undoubtedly common, few have been reported on forest trees. It is highly likely, however, that trees can act as reservoirs for many viruses, which could then be transferred to nearby crop plants by suitable insect vectors. Control of virus diseases is very difficult, particularly in perennial plants. Quarantine measures are in place to try and exclude the organism or its vectors from regions from where that virus is absent. Vectors may be controlled by chemical or other means. In agriculture and some horticultural crops, resistant or tolerant cultivars may be developed (Agrios 2005). Further methods of control include elimination of the virus from hosts by meristem tip culture and/or thermotherapy or through antiviral chemotherapy. Hygienic propagation and cultivation procedures are essential in horticulture to minimize dissemination. A number of possible viral infections have been reported on several tropical broad-leaved trees, including Acacia spp., Cassia spp., Paraserianthes falcataria, and Swietenia macrophylla (Gibson 1975), but conclusive proof through diagnosis is lacking to date. Knowledge regarding viral infections of conifers in the tropics remains fragmentary. Diseases known to be linked to viroid infection in trees are very rare, although cadang-cadang of the palm Cocos nucifera has received some attention (Maramorosch 1979; Semancik et al. 1987). Nematodes Pine wilt disease, caused by Bursaphelenchus xylophilus, is causing large losses to pines in several regions of the world, where the nematode has been introduced by human activity (Kamata and Takeuchi 2013). Native in North America where it is saprotrophic on native Pinaceae, B. xylophilus is vectored by Page 21 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

long-horned beetles in the genus Monochamus, and has established in various regions, including temperate and subtropical areas in Asia and the west of the Iberian Peninsula. This disease causing organism poses a major threat to pines in many regions of the world where these conifers are grown. A nematode Bursaphelenchus coccophilus, thought to be native in South America, is spreading in Central America and the Caribbean, attacking several palm species including coconut, African oil palm, and date palm. Symptoms include a red ring in the cross-section through a felled palm. It is likely that the nematode is vectored by Rhyncophorus spp. leading to concern that the pathogen will be spread rapidly in Europe by the red palm weevil, R. ferrugineus, that has recently been introduced there (Kamata and Takeuchi 2013). Parasitic Higher Plants and Algae The most common algal species that infects plants is Cephaleuros virescens, which causes a disease commonly known as red rust on foliage of tropical woody plants. including tea, cocoa, rubber, and forest trees such as Albizia spp., Cassia spp., Khaya spp., Swietenia macrophylla, Tectona grandis, and Lophostemon confertus (Tristania conferta) (Gibson 1975). The disease is most common in hot, humid climates, affecting the foliage of heavily shaded, suppressed branches. On trees, the most important angiosperm families that include genera partially or wholly parasitic on plants are the Loranthaceae (mistletoes), the Convolvulaceae (Dodders), and the Santalaceae (sandalwoods) (Waller et al. 2001; Shaw and Mathiasen 2013). Mistletoes are hemiparasitic, possessing chlorophyll enabling production of sugars, but requiring the host plant to provide water and minerals (Parker and Riches 1993). A haustorium is produced into the stem or branch vascular tissue of the host plant. Two major groups of mistletoes are recognized, the dwarf mistletoes (Arceuthobium spp.) and the true or leafy mistletoes, which includes several different genera. Dwarf mistletoes only affect coniferous trees, and are principally found in north temperate regions (Gibson 1979; Hawksworth and Wiens 1996; Waller et al. 2001), although some species occur in the native pine forests of Central America, where they cause considerable damage to individual trees or groups of trees. Arceuthobium spp. have greatly reduced foliage and an explosive seed dispersal mechanism. True or leafy mistletoes affect many hardwoods and conifers throughout the world, with species of Amyema, Dendropemon, Dendrophthoe, Elytrante, Loranthus, Macrosolen, Phoradendron, Phthirusa, Psittacanthus, Struthanthus, and Tapinanthus commonly found in tropical regions (Watson 2001). The species have large green shoots and produce sticky seeds which are dispersed by animals, mainly birds. The part of the host which is colonized becomes swollen, often forming large galls and sometimes witches’ brooms. Leafy mistletoes can cause significant damage to some trees, especially in even-aged stands, and were particularly noted on Gmelina arborea in Bangladesh (Loranthus parasiticus) by Ivory (unpublished) and on Tectona grandis (Waller et al. 2001). Recently, the parasitic plant Tapinanthus globiferus was reported at high infection rates in natural stands of Boswellia papyrifera managed for the production of frankincense in northern Ethiopia (Yirgu et al. 2014). Dodders (Cuscuta spp.) are trailing, leafless, yellow plants which form thread-like webs over the aerial parts of herbaceous and woody plants, including broad-leaved and gymnosperm trees (Fig. 15a; Parker and Riches 1993). Haustoria develop from the dodder stems into the host stems, enabling the abstraction by the dodder of water and nutrients from the host vascular tissues. This process weakens the host; abundant growth of dodder may also lead to smothering of the host plant. Sandalwoods are partial parasites on a wide range of woody plants, with a distribution ranging from India and Nepal, through Indonesia, Australia and into Polynesia. The plants are capable of effective photosynthesis, but are parasitic on other tree species from which they gain water and elements (Fig. 15b). Page 22 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 15 Parasitic plants. (a) Cuscuta sp. (dodder) growing throughout the crown of Cupressus sp.; (b) A quandong tree (Santalum acuminatum), growing on the root system of a nearby Eucalyptus sp., in Australia

Unlike the other species of parasitic plants described above, however, it is the parasite itself which is the valuable crop species. The best known species, Santalum album is used extensively for timber and the fragrant essential oils. Host species vary in their suitability for parasitism by particular Santalum spp., and are particularly needed by young sandalwood trees (Barrett and Fox 1995).

Epidemiology and Population Dynamics Many bacteria and fungi are vectored by insects, usually through the pathogen being casually picked up from infective material and subsequently deposited on another suitable host (i.e., fire blight caused by Erwinia amylovora). More rarely, a more complex association with the vector and pathogen is involved, such as with olive knot caused by the bacterium Pseudomonas savastanoi and its vector Dacus oleae, Dutch elm disease caused by the fungus Ophiostoma novo-ulmi and vectors in the genus Scolytus spp., and with ambrosia beetles and pathogens (Kirisits 2013). Entry into the Host Plant pathogens enter their hosts through a variety of means including (Agrios 2005): 1. Natural openings, such as stomata, lenticels, hydathodes 2. Unprotected tissues lacking cutin or suberin, such as nectaries or stigmata 3. Natural wounds made by insects or other animals, by the plants being struck by hail or other materials in high winds or on the roots through abrasion against stones in the soil during movement in high winds; fresh leaf abscission scars can also provide wounds for entry of pathogen spores. Lightning may strike trees, blowing bark strips off, leaving elongated wounds that are colonized by decay fungi 4. Through wounds made by humans during management operations such as pruning or felling of adjacent trees 5. Through contamination of propagation materials and tools used in pruning or propagation.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Most pathogens, however, arrive at the host surface as propagules, usually a spore, which must germinate and subsequently enter the host. In the prepenetration phase, when the pathogen and host make contact, the resistant resting propagules must undergo one or more processes. Many spores, the main function of which is rapid multiplication of the pathogen exhibit, little dormancy, germinating immediately they land on a surface. Frequently, however, germination requires cues from various physical and chemical factors. Very high humidity or the presence of liquid water on the plant surface is required. Moreover, germination takes place within a particular range of temperature for each pathogen. Conidia of powdery mildews are exceptions to these rules, germinating at lower relative humidities, and sometimes inhibited by liquid water. Chemicals produced by either the host plant or within the spores themselves also affect germination. When spores of some species are present in high numbers, there may be mutual inhibition of germination by chemicals carried on the spore surface, regulating the spore densities for germination. Many exogenous chemicals from the aerial or subterranean parts of plants also affect germination. Spores often do not germinate in pure water but require carbohydrate or nitrogenous growth factors exuded from plant tissues, particularly roots. This is not usually a specific host fungus response but occurs in the presence of many nonhost plants also. Thirdly, the germ tubes or motile spores produced at germination must make direct contact with the host. This usually takes place by the growth of the germ tube, or the movement of motile zoospores, along diffusion gradients of chemicals (chemotropism) or electrical gradients (electrotropism). Germ tube growth of many fungi also responds to the topography of the plant surface (thigmotropism). Following germination, the pathogen, through growth, releases chemicals which may be detected by the plant, and, via a series of signaling actions, the plant detects that a problem is present (e.g., Wasternack 2007; see section Host Resistance to Infection). The second phase is penetration of the host surface by the pathogen, which does not necessarily involve penetration of individual host cells: some pathogens, such as rusts and powdery mildews, grow intercellularly, producing specialized structures into host cells, invaginating the host plasmalemma, called haustoria (singular “haustorium”). A biochemical interface between the host and pathogen plasmalemmas enables the pathogen preferentially to take up nutrients form the host. Spores or germ tubes of pathogens such as Nectria galligena and Pseudomonas mors-prunorum may enter stem tissues of trees through leaf scars, before developing to form cankers. Certain trees, such as many eucalypts and Cordia alliodora self-prune (Greaves and McCarter 1990); pathogens that have colonized these branches may grow into the living stem, or through the heartwood, causing decay. At points of emergence of lateral roots, poorly protected tissues occur giving certain pathogens direct access to the cortex and secondary phloem tissues of the parent root. Apart from being intimately associated with the infection processes for viruses and a few specialized bacteria and fungi, insects, mites and nematodes cause wounds in aerial tissues and in roots which permit entry by other nonspecialized pathogens. These pathogenic organisms may or may not be associated with particular insects and are not usually transmitted by the insect. In the tropics, hail damage can sometimes be severe, damaging not only leaves, but also causing pitting on stem tissues. This problem results in sudden, massive and synchronous disease outbreaks, sometimes caused by opportunistic pathogens, such as Sphaeropsis sapinea on Pinus radiata, which can be lethal even to very large trees (Capretti et al. 2013). Some of these pathogens are probably endophytic, existing inside the plant until another stressing agent (in this case hail damage) prevents containment of the pathogen by the host. Strong winds can cause branches to break and snap or twist woody stems of various sizes, exposing sapwood and heartwood of host trees to infection. Even gentle winds can cause cracking in branches, frequently at points where branching occurs: the wound between the branches is then weakened by the entry and action of decay fungi.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Colonization of the host is completed by the pathogen producing propagules for further dissemination, although in the case of some fungi, rapidly spreading asexual spores may be produced soon after initial penetration of the host. Host Resistance to Infection Spores of fungi and bacteria are widespread in the air, in and on the soil and in water. Impacting on plant surfaces must be very frequent. These contacts, however, rarely result in infection and disease; in the vast majority of cases no colonization occurs. Hence, plants are resistant to most pathogens. This form of resistance is known as nonhost resistance. There are, however, other forms of resistance, represented by varying susceptibility of individual plants to a given pathogen that can attack that plant. In agriculture and horticulture, this form of resistance has been exploited in selection and breeding programs for over 100 years in attempts to reduce the impacts of diseases such as black stem rust of wheat, or Fusarium and Verticillium wilts of tomato. Resistance to host-specific pathogens is genetic and can be detected by analysis of progeny arising from cross-breeding between resistant and susceptible plants. The genetic control of resistance can be through the action of a single gene (monogenic), several genes (oligogenic) or by many genes (polygenic), and the extent of resistance conferred by these different mechanisms of control varies a great deal. Monogenic resistance, for example, can give almost total resistance to the pathogen, but eventually selects for individuals in the population of the pathogenic organism that can overcome the resistance gene. Eventually, therefore, the resistance breaks down completely and the crop may be lost; breakdown can take less than 5 years or in some instances much longer. Clearly, this type of resistance is not valuable in forest trees, where generation times are highly extended relative to annual crop plants. Oligogenic resistance can be similar, although tends to be more robust than monogenic resistance. In contrast, polygenic resistance results from the combined actions of many genes and is far more durable than either mono- or oligogenic resistance (Cheng et al. 1998; Hamelin 2013). Resistance of this type may be less complete than mono- or polygenic resistance, but for long-lived plants, it is undoubtedly more appropriate to accept some losses during the plant’s lifecycle. Resistance against given pathogens can also vary with age of the plant. Resistance of many pines against Dothistroma needle blight, for example, increases with maturity of the trees (see Fraser et al. 2015). As described earlier, many diseases attack young plants, but are almost unknown on older plants, and vice versa. Hypersensitivity is a rapid, extreme form of resistance to pathogens, often controlled at the single gene level (Jones and Dangl 2006). When the plant detects the presence of a pathogen through signaling, a hypersensitive plant responds very quickly, killing a small number of cells immediately adjacent to the pathogen. Obligate pathogens such as rust fungi cannot utilize dead cells and the attack is prevented. Other pathogens that can grow on dead and dying host cells may not be affected by hypersensitivity. Plants also synthesize many secondary metabolites, some of which have antimicrobial action. Some are produced in healthy tissues, whereas others are produced in response to biotic or abiotic stresses. If these antimicrobial compounds accumulate rapidly enough around a point of pathogen attack, the pathogen may be inhibited and infection does not occur, or proceeds only slowly (Strange 2003). It is now understood that this process is controlled by a complex signaling cascade between the host and pathogen, the outcome of which varies depending on both the resistance of the host and the relative virulence of the pathogen (e.g., Wasternack 2007). Resistance mechanisms are similar in trees and herbaceous plants. Any differences arise due to the secondary tissues that are abundant in trees. Bark tissues and sapwood are typical of the tissues in trees that are capable of responding actively to attack; heartwood, as mentioned above, is dead. In sapwood, responses include the production of toxic compounds (as described in more general terms above), but also Page 25 of 37

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

include the formation of gums and gels and/or tyloses into the xylem or tracheids. Tangential ray parenchyma tissues in both the bark and sapwood can also respond actively to attack (Pearce 1996). Bark tissues, including the phelloderm and the secondary (redundant) phloem are also living and can respond to infections (Pearce 1996). Loss Assessment, Disease Forecasting and Risk Prediction As we know that disease outbreaks in plants are to a great extent controlled by the environment, models have been constructed to predict the occurrence of disease, and the potential extent of damage. These models are best developed for agricultural crop plants, such as potatoes, or cereals, and are usually focused on specific host-pathogen combinations. Apple scab is modeled in many countries, allowing early warning to growers of the likelihood of disease development, when they should, therefore, use preventative measures against infection and disease development. For details on the development of crop disease forecasting methods, see Madden et al. (2007), which includes information on how to gather data to estimate crop losses. Examples of models for predicting diseases of forest tree diseases are rare, however. The main economically important product from forests, of course, is timber, although other, nontangible forest products are becoming more recognized for their multiple values. Disease models for forests, however, remain largely focused on losses in timber. There are several models published for diseases of forest trees, such as Dothistroma needle blight (Möykkynen et al. 2015), and for various diseases affecting temperate forests, including Heterobasidion root and butt rot (Pukkala et al. 2005), Fusarium pitch canker (Möykkynen et al. 2014), and White pine blister rust (Kearns et al. 2014).

Disease Management Choices of disease management methods are rather restricted in the forest. In contrast, a wide range of management options are available to control diseases in the nursery environment. In order to maximize the impact of any management methods on the pathogen, detail of the disease life cycle is required. Correct diagnosis of the problem is a very important step. The greatest effect will be achieved when control is targeted at the weakest point in the pathogen life cycle, such as the time soon after spore germination, or by applying the controls to the specific infection court for a given pathogen. Gathering data on the etiology of the disease takes time and effort and, therefore, costs money. But it can reap great rewards, in terms of reduced losses. A problem in tropical trees is that most of the data required are not available as yet, although work in South Africa is making great inroads into these deficiencies. A problem that appears to be increasing currently, is the ingress of damaging alien invasive species in all continents of the world where trees are grown. Measures such as legislation and plant quarantine, seed disinfection, prohibition of imports, and good hygiene in plant nurseries and plantations, can help to reduce damage from these pests, but once established, there is usually little that can be done. Disease Avoidance Diseases can be avoided by either the elimination of the pathogen following eradication of an introduced pathogen or exclusion of an alien pathogen, or by the replacement of susceptible species with nonhost species, or provenances of the same species with greater levels of resistance. In addition some diseases which cannot spread over long distances can be avoided by only planting uninfected sites.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_199-2 # Springer-Verlag Berlin Heidelberg 2015

Plant Quarantine. Most countries or trading areas have regulations on the import and export of plant materials that aim to reduce the probability of also transporting potentially invasive pests and pathogens along with the goods. The over-arching systems for these regulations are decided at an international level through the World Trade Organization, along with eight Regional Plant Protection Organizations (RPPO; e.g., EPPO, NAPPO), and National Plant Protection Organizations (NPPO). When invasive pests and pathogens are newly discovered, the aim is to have an upward flow of information from NPPO to RPPO. There are many flaws in the system, however. For example, if NPPOs do not report the discovery of a “new” problematic invasive species promptly, the further spread may occur, reducing the chances of preventing establishment. Moreover, the system does not prepare adequately for formerly unknown problems, species that were not recognized in their native environments where they co-evolved with their host and may cause little or no notable damage. Until very recently, WTO insisted that restrictions can only be used when “scientifically justifiable,” to provide reasonable protection without unduly interfering with trade: this system, however, has been widely criticized, as steps could only be taken against known organisms, fully described and named. There are now steps to tighten the regulations to cover the potential for unknown pests and pathogens. Currently, phytosanitary officers devise and monitor the regulations, and also are responsible for inspection of consignments of plant materials. Plant health certificates are issued by phytosanitary officers in the exporting countries and checked for detail and accuracy at ports of import. Some trading nations have very strict isolation facilities in which plants are maintained in strict quarantine immediately on arrival in the importing country. The time in quarantine varies depending on the plants and the potential problems they may be carrying. Elimination of the Pathogen. In some instances, it may be feasible to eradicate a newly introduced pathogen which has yet to establish fully in a given area. Methods include the destruction and disinfection of suitable host plants within the infected area and in an appropriately-sized “cordon sanitaire” around the area. The procedure must be accompanied by regular surveys outside the area. Such efforts, however, have rarely proved effective in the medium term, except where initial detection of the problem occurred very soon after invasion, and the prescribed actions were both prompt and thorough. In the nursery, soilborne pathogens could be eliminated using sterilization procedures such as steam of chemical injections, but the whole nursery site would require treatment to provide even a moderate degree of success. Many pathogens would recolonize sterilized soils very rapidly from adjacent soils, with potentially devastating effects on future seedling crops and transplants subsequently grown in those beds. Replacement of Susceptible Species. When a disease outbreak occurs and the whole stand is threatened, then a logical approach is to fell the area and replace the affected species with an alternative tree that is not susceptible to the pathogen. The replacement species may not provide products (usually timber) of the same quality as the original tree planted on the site, and will, therefore, have a “cost.” Site Selection. This approach may be used to avoid infection when particular pathogens, which cannot spread readily from infected sites, are absent for some reason. This is well-known in parts of Africa where infection of highly susceptible trees, such as Pinus elliottii, can be avoided by planting only on old grassland sites where inoculum of Armillaria root disease does not exist due to the absence of large pieces of woody plant debris on which the fungus can persist. Hygiene and Cultural Controls Hygiene should be practiced at the local level in order to prevent or delay the introduction of a pathogen into a tree nursery or from there into the forest. Nurseries can be sited away from forests, plantations or individual trees which provide sources of infection. Cleaning and disinfecting nurseries between crops is important too; where appropriate, soil sterilizing methods should be used prior to re-sowing nursery bed.

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Moreover, younger plants should be separated from older plants of the same or related species, to avoid transfer of pathogens. As certain pathogens can be transferred in seed (e.g., Fusarium circinatum, cause of pine pitch canker), any seed for propagation should be obtained from approved sources, particularly registered seed stands, where available. Any tools used in pruning or grafting should be disinfected between plants, and cultivation tools and machinery must be kept as clean as possible. If a disease does appear, the affected plants should be removed and burned as soon as possible. In preparing beds for sowing seed, re-planting young seedlings, or in preparing substrates for potting, mycorrhizal soil, free from diseased litter, and obtained from a healthy plantation, should be used to add organic matter. A further precaution is to avoid transfer of seedlings between production nurseries, even where the seedlings appear to be healthy. Good forest hygiene should follow similar protocols: plant only healthy seedlings, preferably locally grown, disinfect tools between individual plants or between plantations or forest areas, including forest machinery, and treat any disease that occurs promptly before it can spread. Many silvicultural practices influence the development of diseases either directly, as in the infection of wounds, or indirectly by their effects on host vigor or persistence of pathogen inoculum. Examples which may be effective against diseases of forest trees include the removal or destruction of inoculum (i.e., stump removal for the control of root rots caused by species of Armillaria, Heterobasidion, Phellinus and Rigidoporus), the timing of pruning to coincide with low inoculum densities during dry weather (i.e., cypress canker) or with the status of the host branches (i.e., before the branches die and self-prune as in Eucalyptus spp. in Zambia and Oceania); and the partial or complete sterilization of nursery soil to eliminate soilborne pathogens such as Macrophomina phaseolina. Biological Control Under natural conditions, pathogens are components within the ecosystem complex, and interact with the other organisms present and with their environment. Multitrophic interactions between pathogens and the multitude of other organisms present mean that over time a balance may develop, such that outbreaks of pests or disease do not exceed rather low levels, although individual plants that lack required resistance genes, or are growing in suboptimal conditions may succumb to pathogens (Gilbert 2002). Changes in the ecosystem, however, whether deliberate, accidental, or through natural agents can disrupt the balance, potentially stimulating the pathogen, resulting in epidemic development. This principle may be mimicked artificially in the application of biological control. Most commonly, particular fungi and/or bacteria have been used to control various fungal pathogens in agriculture, horticulture, and, to a lesser extent, forestry. The most effective biological control used in forestry was developed in the UK in the 1960s to prevent the colonization of pine stumps by Heterobasidion annosum, a root and butt rot hymenomycete that also kills pines (Holdenrieder and Greig 1998). Oidia (a type of asexual spore produced by fragmentation of the hyphae) of the fungus Phlebiopsis gigantea are applied to the fresh stump surface immediately after felling; this saprotrophic fungus rapidly grows into the stump, preventing H. annosum from colonizing. Further strains of P. gigantea are effective against Heterobasidion spp. in other conifers. Current work in Sumatra is examining the potential for another Phlebiopsis sp. to control invasion of fresh tree stumps by Ganoderma philippii (Agustini et al. 2014). Similar control of the root rot pathogen Phellinus noxius is obtained in Queensland through inoculation of hoop pine (Araucaria cunninghamii) stumps with spores of Trametes versicolor and a Tyromyces spp. (Anonymous 1988). Commercial preparations of Trichoderma spp. spore suspensions are available for the treatment of wounds, particularly to prevent colonization of Prunus spp. by the silver leaf pathogen, Chondrostereum purpureum (Grosclaude et al. 1973). This treatment is more effective than the wound paints used Page 28 of 37

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previously. Trichoderma spp. have also received attention as potential biological control agents in tropical forests (Prasad and Naik 2002; Sariah 2003; Widyastuti 2006), although no commercial products are yet available. Although a highly promising approach to disease management, biological control requires a great deal more research before it can be deployed on a wide scale in tropical forestry. Chemical Control Chemicals used to control plant diseases are grouped into three broad categories, depending on usage and mode(s) of action: (a) Sterilants and fumigants (b) Protectants (c) Therapeutants Some chemicals can fit into more than one category, however, having both protectant and therapeutic properties. Commercial agrochemicals are formulated in a mixture of one or more active ingredient with wetting agents, stickers, emulsifiers and diluents, and are recommended for use in particular situations, on given crops. Moreover, national and international regulations control the approval and licensing of chemicals for particular purposes, in order to ensure the health and safety of users and operators and the protection of the environment. The chemicals approved for use in nurseries and in forestry are changing rapidly, due to health and safety concerns; hence no particular manufactured chemicals are named here. Prior to sowing seed, or to using composts as growing substrates in nurseries, inoculum of pathogens can be killed using sterilants and fumigants. Sterilant chemicals may also be used when cleaning machinery and other equipment and plant containers used during propagation to destroy inocula of pathogens; these chemicals have activity against a wide range of living organisms, usually including the plants themselves. Fumigants are used to completely or partially sterilize soil or other substrates before use. Fumigant chemicals in particular can be dangerous to handle, and are quite expensive, being used in large quantities. Nursery soils and other substrates can also be partially sterilized using dry heat or steam, or by injection of ozone, when suitable machinery is available. Protectants are applied prior to infection, to reduce the chances of disease becoming established in plants. These chemicals are often applied to growing plants at times of particular susceptibility, and provide protection over the whole aerial surface, provided they are applied correctly. Fungicidal chemicals vary in their effects against particular pathogens, a feature which must be taken into consideration before use. Moreover, in order to provide reliable protection, formulation of the pesticide is crucial: it must provide a uniform persistent layer over the host surface, be stable under fluctuating environmental conditions and be compatible with the equipment used for application. Timing of application is of utmost importance for good disease control to be obtained. Most chemicals used as therapeutants are systemic, absorbed through the plant surface and translocated throughout the whole plant. On contact with infections, the pathogen may be killed or inhibited. The halflife of systemic fungicides in plants varies, but eventually activity decreases and is lost as the concentration of the active chemical is reduced below critical levels following dilution by growth of the host or inactivation by natural degradation processes. Hypothetically, it is not necessary to ensure uniform coverage of systemic therapeutants, although good practice in formulation and application are essential to ensure effective use of these expensive chemicals.

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Usually, the chemicals are applied as sprays applied to foliage, but root drenches and injection into tree stems are also used under appropriate circumstances. Antibiotics produced by living organisms act systemically and are also quite selective with effects against bacteria, fungi, and various mollicutes. Choice of the appropriate type of therapeutant is therefore essential for effective disease control. Many systemic therapeutants have specific modes of action against pathogens. Although this makes these compounds highly selective and therefore less damaging to the environment, prolonged use may result in the development of fungicide resistance pathogen populations, rendering the fungicide useless against the respective diseases. Although antibiotics used in medicine have also been applied in forestry, their use probably accelerated the development of antibiotic-resistant bacteria. The application of man-made chemicals to manage diseases should be a last resort in any situation, used only when other methods of control, such as correct soil preparation, installation of good drainage, appropriate sowing densities for seed, have failed. In tropical forestry, chemical controls may be used in forest nurseries. Soil sterilants are applied to nursery beds or to potting soil prior to planting to control diseases, pest, and weeds. Foliar sprays and soil drenches with protectants or therapeutants are also used to manage outbreaks of damping-off, blights and other diseases (e.g., Dothistroma needle blight on Pinus radiata and brown needle disease of Pinus caribaea). Application of similar chemicals to diseased older trees is rare because of the expense of applying the expensive chemicals using aircraft. Thus, although Gibson (1974) showed that application of copper-based fungicides to control Dothistroma needle blight on Pinus radiata was feasible in Kenya, the cost of the procedures and various logistical problems meant chemical control was discontinued. In subtropical areas of New Zealand, however, aerial application of copper-based fungicides is still used to control Dothistroma needle blight (Bulman et al. 2013). Selection and Breeding for Resistance For annual crops, such as cereals and potatoes, it has proven possible to breed hybrids showing good levels of resistance to many pathogens, such as rusts, mildews, and blights. This resistance is often monoor oligogenic and highly specific to given races of the pathogens, leading in time to the pathogens overcoming the resistance for the reasons given in section Host Resistance to Infection. This type of approach would be completely unsuitable for plants with long life spans. In the more recent past, plant breeders have focused on the more difficult task of incorporating polygenic resistance into cultivars which is likely to have much longer-lasting results. Although the resulting hybrids do not resist infection completely, the progress of disease is slowed markedly with reduced crop losses. Being polygenic, moreover, the probability of pathogen races developing that can overcome the resistance is far lower than with mono- or oligogenic resistance (e.g., Poland et al. 2009). For trees, with rotation periods of 10–100 years in duration, the use of cultivars with polygenic resistance is likely to be a much safer option than deployment hybrids with mono- or oligogenic resistance. Forest practice has generally encouraged the use of genetic variability in the field, but in recent times, clonal forestry has taken on much greater importance in tropical regions, particularly with very fast growing trees, such as Eucalyptus hybrids. Should diseases threaten in such plantations, it could be pertinent to plant mixtures of cultivars, or multilines, which have different disease resistance genes, although mixtures may lead to other problems in harvesting. In practice, the selection and breeding of forest trees has taken little note of susceptibility to diseases, with the exception of poplar against canker and rust diseases (e.g., Pinon and Frey 2005). There is a gradual selection for healthy plants within the overall breeding program. Very considerable efforts have, however, been made to incorporate resistance to fusiform rust into Pinus taeda in southeastern USA with some success (Kayihan et al. 2005). Clones of Pinus radiata resistant towards Dothistroma needle blight

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are also under development in New Zealand (Bulman et al. 2013). Many pines show quantitative variations in resistance to pitch canker caused by Fusarium circinatum (syn. Gibberella circinata) suggesting that it may be possible to manage this problem by more targeted selection, or through breeding programs (Wingfield et al. 2008b).

Disorders Apart from being attacked by a wide range of pests and pathogens, trees also suffer from abiotic stresses, caused by climatic, edaphic, and environmental problems. These stresses are generally termed “disorders” and have visible symptoms resulting from deviations in normal physiological processes caused by nonliving factors. Differences from pest and pathogen attack include the tendency for the symptoms to appear uniformly amongst affected plants, without evidence of a slow spread from an infection focus, and a lack of association with particular pathogens, although affected tissues may be invaded secondarily by various opportunistic pests or pathogens. Disorders are frequently involved in complexes together with biotic diseases, such as oak decline in many parts of the temperate world (Paoletti 2000). Many disorders can be avoided from the outset through careful matching of species (including provenance) to site, or can be cured or modified by amendments to the environment. Examples are the application of fertilizers, better drainage, or use of more appropriate spacing at planting. Disorders in tropical countries are most commonly caused by shortage or surplus of water, insufficient soil nitrogen and/or phosphorus, and excess salinity. Deficiencies of other macro-and micronutrients and excess concentrations of toxic elements also occur occasionally at particular sites. The effects of abiotic factors can be direct, impacting on the plant itself, or indirect, where pests and diseases affect the trees secondarily due to abiotic problems. Symptoms of nutrient deficiencies vary with plant and the confounding effects of other problems and require laboratory analyses for diagnosis. Confirmation of the diagnosis obtained using chemical analyses must be backed up by a positive response in the plants to applications of the particular nutrients. Catastrophic environmental events, including wind, hail, lightning, and fire are also common in tropical regions. The resulting damage is usually immediately obvious, but where internal tissues have been damaged by low- intensity fires, for example, may be delayed for up to a year. Frequent lightning strikes in parts of the tropics can affect groups of trees, from one to several hundred in extent, and are characterized by a sudden appearance and nonspreading habit. Some affected trees may have longitudinal strips of bark torn off or longitudinal splits at points on the bark, most of which are rapidly colonized by bark beetles. Hail storms can defoliate trees, causing extensive tearing in the foliage and damage to young stems. The damage results in numerous wounds encouraging the development of fungal infections, such as Diplodia die-back of Pinus radiata in Southern Africa (Zwolinski et al. 1990), and consequent die-back and death of large trees. Other disorders brought on by environmental and climatic factors include basal sweep, resulting from constant, mono-directional winds. Air pollutants can cause severe damage to trees near industrial plants and escape of pollutants (excess fertilizers, pesticides) into water courses can lead to tree health issues, particularly in urban or agricultural environments. Diagnosis in these situations relies on detailed knowledge of site history; chemical analyses may be required for reliable diagnosis of problems arising from pollution (Costello 2003).

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Capretti P, Santini A, Solheim H (2013) Branch and tip blights. In: Gonthier P, Nicolotti G (eds) Infectious forest diseases. CABI, Wallingford, pp 420–435 Cheng J, Smith-Becker J, Keen NT (1998) Genetics of plant-pathogen interactions. Curr Opin Biotechnol 9:202–207 Conradie E, Swart WJ, Wingfield MJ (1990) Cryphonectria Canker of Eucalyptus, an important disease in plantation forestry in South Africa. S Afr For J 152:43–49 Cooper JI (1993) Virus diseases of trees and shrubs. Chapman & Hall, London Costello R (2003) Abiotic disorders of landscape plants: a diagnostic guide. Agriculture and Natural Resources Communications Services, University of California, Oakland Coutinho TA, Preisig O, Mergaert J, Cnockaert MC, Riedel K-H, Swings J, Wingfield MJ (2002) Bacterial blight and dieback of Eucalyptus species, hybrids, and clones in South Africa. Plant Dis 86:20–25 Crous PJ (1998) Mycosphaerella spp. and their anamorphs associated with leaf spot diseases of Eucalyptus. APS Press, St. Paul Crous PJ (2002) Taxonomy and pathology of Cylindrocladium (Calonectria) and allied genera. APS Press, St. Paul Crous PJ, Summerell BA, Carnegie AJ, Mohammed C, Himaman W, Groenewald JZ (2007) Foliicolous Mycosphaerella spp. and their anamorphs on Corymbia and Eucalyptus. Fungal Divers 26:143–185 Da Cruz AP, Dianese JC (1986) Tolerance to bacterial wilt in eucalypt species. Fitopatol Bras 11:396 Daly AM, Shivas RG, Pegg GS, Mackie AE (2006) First record of teak leaf rust (Olivea tectonae) in Australia. Australas Plant Dis Notes 1:25–26 de Wet J, Burgess T, Slippers B, Presig O, Wingfield BD, Wingfield MJ (2003) Multiple gene genealogies and microsatellite markers reflect relationships between morphotypes of Sphaeropsis sapinea and identify a new species of Diplodia. Mycol Res 107:557–566 Dingley JM, Gilmour JW (1972) Colletotrichum acutatum: Simmds. f. sp. pinea associated with “terminal crook” disease of Pinus spp. NZ J For Sci 2:192–201 Dublin HT (1995) Vegetation dynamics in the Serengeti-Mara ecosystem: the role of elephants, fire and other factors. In: Sinclair ARE, Arcese P (eds) Serengeti II: dynamics, management, and conservation of an ecosystem. University of Chicago Press, Chicago, pp 71–90 Evans HC (1984) The genus Mycosphaerella and its anamorphs Cercoseptoria, Dothistroma and Lecanosticta on pines. Mycol Papers 153, Commonwealth Mycological Institute, Kew. Firmino AC, Tozze HJ Jr, Furtado EL (2012) First report of Ceratocystis fimbriata causing wilt in Tectona grandis in Brazil. New Dis Rep 25:24 Fraser S, Martin-Garcia J, Perry A, Kabir MS, Owen T, Solla A, Doğmuş HT, Brown AV, Bulman L, Barnes I, Hale MD, Vasconcelos MW, Lewis KJ, Woodward S, Bradshaw RE (2015) A review of Pinaceae resistance mechanisms against needle and shoot pathogens with a focus on the DothistromaPinus interaction. Forest Pathology 45 doi: 10.1111/efp.12201 Gibson IAS (1974) Impact and control of Dothistroma blight of pines. Eur J Pathol 4:89–100 Gibson lAS (1975) Diseases of forest trees widely planted as exotics in the tropics and southern hemisphere. Part 1. Important members of the Myrtaceae, Leguminosae, Verbenaceae and Meliaceae. CMI, Kew/CFI, Oxford, 51 pp Gibson lAS (1979) Diseases of forest trees widely planted as exotics in the tropics and southern hemisphere. Part 11. The genus Pinus. CMI, Kew/CFI, Oxford Gilbert GS (2002) Evolutionary ecology of plant diseases in natural ecosystems. Ann Rev Plant Pathol 40:13–43 Glen M, Alfenas AC, Zauza EAV, Wingfield MJ, Mohammed C (2007) Puccinia psidii: a threat to the Australian environment and economy – a review. Australas Plant Pathol 36:1–16

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Langridge YN, Dye DW (1982) A bacterial disease of Pinus radiata seedlings caused by Pseudomonas syringae. N Z J Agric Res 25:273–276 Lee SS (2004) Diseases and potential threats to Acacia mangium plantations in Malaysia. Unasylva 217:31–35 Lilja A, Poteri M (2013) Seed, seedling and nursery diseases. In: Gonthier P, Nicolotti G (eds) Infectious forest diseases. CABI, Wallingford, pp 567–591 Limkaisang S, Cunnington JH, Liew KW, Salleh B, Sato Y, Divarangkoon R, Fangfuk W, To-anun C, Takamatsu S (2006) Molecular phylogenetic analyses reveal close relationship of powdery mildew fungi on some tropical trees with Erysiphe alphitoides, an oak powdery mildew. Mycoscience 47:327–335 Loconsole G, Potere O, Boscia D, Altamura G, Djelouah K, Elbeaino T, Frasheri D, Lorusso D, Palmisano F, Pollastro P, Silletti MR, Trisciuzzi N, Valentini F, Savino V, Saponari M (2014) Detection of Xylella fastidiosa in olive trees by molecular and serological methods. J Plant Pathol 96:7–14 Lundquist JE (1987) A history of five forest diseases in South Africa. South African Forestry Journal 140:51–59 Madden LV, Hughes G, van den Bosch F (2007) The study of plant disease epidemics. APS Press, St. Paul, 432 pp Manners JG (1982) Principles of plant pathology. Cambridge University Press, Cambridge, 264 pp Maramorosch K (1979) Present status of mycoplasma and spiroplasma diseases of trees. In: Raychaudhuri SP (ed) Mycoplasma diseases of trees. Assoc Publishing, New Delhi, pp 1–7 Mohammed CL, Rimbawanto A, Page DE (2014) Management of basidiomycete root- and stem-rot diseases in oil palm, rubber and tropical hardwood plantation crops. For Pathol 44:428–446 Möykkynen T, Capretti P, Pukkala T (2014) Modelling the potential spread of Fusarium circinatum, the causal agent of pitch canker in Europe. Ann For Sci. doi:10.1007/s13595-014-0412-2 Möykkynen T, Woodward S, Fraser S, Pukkala T, Brown AV (2015) Modelling the spread of Dothistroma needle blight (Dothistroma septosporum) in Europe. For Pathol (submitted) Mulder JL, Gibson IAS (1973) Olivea tectonae. CMI descriptions of pathogenic fungi and bacteria, no 365. Commonwealth Mycological Institute, Kew Ofong AU (1978) Studies on the smut infection of Triplochiton scleroxylon in Nigeria. Plant Dis Rep 62:492–496 Old KM, Lee SS, Sharma JK, Qing Juan Z (2000) A manual of diseases of tropical acacias in Australia, South-east Asia and India. Centre for International Forest Research, Jakarta Old KM, Santos Cristovao CD (2003) A rust epidemic of the coffee shade tree (Paraserianthes falcataria) in East Timor. In: da Costa H, Piggin C, da Cruz CJ, Fox JJ (eds) Agriculture: New Directions for a New Nation — East Timor (Timor-Leste). ACIAR Proceedings No. 113, Canberra, Australia, pp. 139–145 Paoletti E (2000) Physiological aspects of oak decline. In: Ragazzi A, Dellavalle I, MOrricca S, Capretti P, Raddi P (eds) Decline of Oak Species in Italy: problems and perspectives. Accademica Italiana di Scienzia Forestali, Firenze, pp 23–37 Pardo Cardona VM (1998) Uredinales (Royas) de Cordia L. (Boraginaceae) en Colombia. Rev Fac Nal Agr Medellin 51:277–283 Parfitt D, Hunt J, Dockrell D, Rogers HJ, Boddy L (2010) Do all trees carry the seeds of their own destruction? PCR reveals numerous wood decay fungi latently present in sapwood of a wide range of angiosperm trees. Fungal Ecol 3:338–346 Parker C, Riches CR (1993) Parasitic weeds of the world: biology and control. CABI, Wallingford/Oxford Passos de Carvalho J (1971) Introducao & Entomologia Florestal de Angola. Univ de Luanda, Nova Lisboa, 314 pp Page 35 of 37

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Pearce RB (1996) Antimicrobial defences in the wood of living trees. New Phytol 132:203–233 Petersen JH (2013) The Kingdom of Fungi. Princeton University Press, Princeton Pinon J, Frey P (2005) Interactions between poplar clones and Melampsora populations and their implications for breeding for durable resistance. In: Pei MH, McCracken AR (eds) Rust diseases of willow and poplar. CABI, Wallingford, pp 139–154 Pirc M, Ravnikar M, Tomlinson J, Dreo T (2009) Improved fireblight diagnostics using quantitative realtime PCR detection of Erwinia amylovora chromosomal DNA. Plant Pathol 58:872–881 Poland JE, Balint-Kurti PJ, Wisser RJ, Pratt RC, Nelson RJ (2009) Shades of gray: the world of quantitative disease resistance. Trends Plant Sci 14:21–29 Powers H, Kuhlman EG (1997) Fusiform rust. In: Hansen EM, Lewis KJ (eds) Compendium of conifer diseases. APS Press, St. Paul, pp 27–29 Prasad M, Naik ST (2002) Management of root rot and heart rot of Acacia mangium Wild. Karnataka J Agric Sci 15:321–326 Pukkala T, Möykkynen T, Thor M, Rönnberg Stenlid J (2005) Modeling infection and spread of Heterobasidion annosum in even-aged Fennoscandian conifer stands. Can J For Res 35:74–84 Punithalingam E, Jones D (1971) Aecidium species on Agathis. Trans Br Mycol Soc 57:325–333 Richardson DM, Rundel PW, Jackson ST, Teskey RO, Aronson J, Bytnerowicz A, Wingfield MJ, Proches S (2007) Human impacts in pine forests: past, present, and future. Ann Rev Ecol Evol Syst 38:275–297 Roberts SJ, Eden-Green SJ, Jones P, Ambler DJ (1990) Pseudomonas syzygii, sp. nov., the cause of Sumatra disease of cloves. Syst Appl Microbiol 13:34–43 Roux J, Coetzee MPA (2005) First report of pink disease on native trees in South Africa and phylogenetic placement of Erythricium salmonicolor in the Homobasidiomycetes. Plant Dis 89:1158–1163 Roux J, Meke G, Kanyi B, Mwangi L, Mbaga A, Hunter GC, Nakabonge G, Heath RN, Wingfield MJ (2005) Diseases of plantation forestry trees in eastern and southern Africa. S Afr J Sci 101:409–413 Santini A, Ghelardini L, De Pace C, Desprez-Loustau M-L, Capretti P, Chandelier A, Cech T, Chira D, Diamandis S, Gaitniekis T, Hantula J, Holdenrieder O, Jankovsky L, Jung T, Jurc D, Kirisits T, Kunca A, Lygis V, Malecka M, Marçais B, Schmitz S, Schumacher J, Solheim H, Solla A, Szabò I, Tsopelas P, Vannini A, Vettraino AM, Webber J, Woodward S, Stenlid J (2013) Biogeographic patterns and determinants of invasion by alien forest pathogenic fungi in Europe. New Phytol 197:238–250 Sariah M (2003) The potential of biological management of basal stem rot of oil palm: issues, challenges and constraints. Oil Palm Bull 47:1–5 Schwarze FWMR, Engels J, Mattheck C (2000) Fungal strategies of wood decay in trees. Springer, Heidelberg/Berlin, 185 pp Semancik JS, Garnsey SM, Robertson HD, Symons RH (1987) Viroids and viroid-like pathogens. CRC Press, Boca Raton, 192 pp Sharma JK, Sankaran KV (1987) Diseases of Albizia falcataria in Kerala and their possible control measures. Research Report 47. Kerala Forest Research Institute, India Shaw DC, Mathiasen RL (2013) Forest disease caused by higher plants: mistletoes. In: Gonthier P, Nicolotti G (eds) Infectious forest diseases. CABI, Wallingford, pp 97–114 Shearer BL, Crane CE, Cochrane A (2004) Quantification of the susceptibility of the native flora of the South-West Botanical Province, Western Australia, to Phytophthora cinnamomi. Aust J Bot 52:435–443 Shigo AL, Marx HG (1977) Compartmentalization of decay in tress. USDA Forest Service Agriculture Information Bulletin USDA Forest Service, Washington, 73 pp Singh P, Singh S (1986) Insect pests and diseases of poplars. Forest Research Institute and Colleges, Dehradun, 74 pp

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Spaulding P (1961) Foreign diseases of forest trees of the world. Agricultural handbook 197. US Department of Agriculture Washington, Washington, DC Strange RN (2003) Introduction to plant pathology. Wiley, London/New York Su See L (1999) Forest health in plantation forests in South-East Asia. Aust Plant Pathol 28:283–291 Supriadi MK, Sitepu D (2001) Bacterial wilt disease of woody trees caused by Ralstonia solanacearum: a review. J Penelitian dan Pengembangan Pertanian 20:106–112 Waller JM, Lenne JM, Waller SJ (2001) Plant pathologist’s handbook. CABI, Wallingford/London, 528 pp Wasternack C (2007) Jasmonates: an update on biosynthesis, signal transduction and action in plant stress response, growth and development. Ann Bot 100:681–697 Watson DM (2001) Mistletoe – a keystone resource in forests and woodlands worldwide. Ann Rev Ecol Syst 32:219–249 Weste G (2003) The dieback cycle in Victorian Forests: a 30-year study of changes caused by Phytophthora cinnamomi in Victorian open forests, woodlands and heathlands. Australas Plant Pathol 32:247–256 Widyastuti SM (2006) The biological control of Ganoderma root rot by Trichoderma. In: Potter K, Rimbawanto A, Beadle C (eds) Heart rot and root rot in tropical Acacia plantations. ACIAR, Canberra, pp 67–74 Wingfield MJ (2003) Increasing threat of diseases to exotic plantation forests in the Southern hemisphere: lessons from Cryphonecteria canker. Aust Plant Pathol 32:133–2139 Wingfield MJ, Slippers B, Hurley BP, Coutinho TA, Wingfield BD, Roux J (2008a) Eucalypt pests and diseases: growing threats to plantation productivity. South For 70:139–144 Wingfield MR, Hammerbacher A, Ganley RJ, Steenkamp ET, Gordon TR, Wingfield BD, Coutinho TA (2008b) Pitch canker caused by Fusarium circinatum – a growing threat to pine plantations and forests worldwide. Australas Plant Pathol 37:319–334 Yirgu A, Gezahgne A, Kassa H, Tsega M (2014) Parasitic plant in natural Boswellia papyrifera stands at Humera, Northern Ethiopia. J For Res 25:923–928 Zwolinski JB, Swart WJ, Wingfield MJ (1990) Economic impact of post hail outbreak of die-back induced by Sphaeropsis sapinea. Eur J For Pathol 20:405–411

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Insects and Other Animals in Tropical Forests Martin Speight* St Anne’s College, University of Oxford, Oxford, UK

Abstract Insects that cause economic damage to tropical trees can be classified into various categories according to how they feed. Defoliators remove leaf material, reducing tree growth by reducing photosynthetic area, sap feeders remove phloem or xylem sap, competing with the tree for its own products, whilst borers tunnel into bark or timber killing tress by girdling or damaging timber by creating holes or introducing stains. Insect pest outbreaks can occur for a variety of reasons. Primary pests such as sap feeders and defoliators may render trees susceptible to secondary pests such as the borers. In many cases, trees are susceptible to insect damage by virtue of being planted in locations, soils, and climatic conditions which are unsuitable for them; stressed trees are very often more likely to suffer serious pest attacks than healthy ones. Resistant trees must be grown if possible in sites to which they are suited. In addition, insect population densities may rise to damaging levels because regulation by natural enemies is reduced or missing altogether due to trees being grown in exotic locations, to insects invading from other regions or forest activities such as the removal of native vegetation or the misuse of pesticides. Insect pest management should always in the first instance be thought of as a preventative measure, since pest control, once insects start to cause significant losses, is frequently difficult if not impossible on large plantation scales. Monitoring of pest populations followed by predictions of damage intensities must be used to determine pest management tactics.

Keywords Defoliator; Sap feeder; Borer; Coleoptera; Lepidoptera; Hemiptera; Isoptera; Ecological control; Biological control; Chemical control; Monitoring; Integrated pest management

Vertebrates Mammals and birds can exert considerable impact on forest trees. Grazing on young trees by deer and other ungulates such as cattle can cause heavy losses, in terms of both growth retardation and tree mortality. Bigger trees can suffer severe bark stripping by, for example, elephants and buffalo. Even humans can cause damage by branch lopping, bark removal, and the collection of litter for mulch which deprives stands of nutrients to recycle. Mammal control is problematic; fences are too expensive and not very effective, whilst chemical deterrents are usually impractical. Domestic livestock may require more careful management by villagers. Damage to forests by birds is most prevalent in seed orchards where again control is difficult.

*Email: [email protected] Page 1 of 43

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Invertebrates Other Than Insects Mites, barnacles, and nematodes can be pests of tropical trees. There are more nematodes per unit area of forest soil than any other multicellular animal. Those that may be pestiferous can be grouped into three categories: (1) those feeding on aerial plant parts, (2) those feeding on mycorrhizal symbionts, and (3) those feeding directly on or in the roots. Wounding of the tree roots by nematode feeding may also allow ingress of pathogenic fungi. The root-knot nematodes, Meloidogyne spp., has larvae which penetrate root cells, causing enlargement and swelling, often resulting in wilting and retarded growth of the host. The distribution is broad; the genus is a problem in nurseries from Malaysia and Papua New Guinea to Egypt, Zimbabwe, and Central America, feeding on species of Leucaena, Casuarina, and Eucalyptus, for example. As with many insects, nematode control is possible in nursery situations, but is more difficult later.

Insects The majority of insect species are herbivorous. Most, however, do not consume an undue quantity of plant material, and, indeed, plants have evolved defenses, both chemical and physical, to reduce the severity of this feeding. Certain groups of insects are, however, notorious in tropical forestry as potential or actual pests, causing a great deal of increment loss, deformation and mortality. The following account briefly describes some of the more widespread groups and provides, where known, details of their impact to forest crops. It must be emphasized that quantitative impact studies are sadly lacking in many cases; a great deal more fundamental research is required to provide data which forest managers can use in planning and decision making.

Insect Groups Isoptera: Termites It must be stressed at the outset that termites are a vital component of tropical ecosystems. They perform the essential task of nutrient recycling and are thus extremely beneficial (Varma and Swaran 2007). However, some species feed on living trees and are amongst the most serious insect pests of tropical forestry. Termite attacks may be observed in older, established trees in plantations, and it is tempting to attribute the death of these trees to termites, especially when active galleries are found in the wood. However, primary attack of healthy trees is rare and other reasons for debilitation should be sought. In most cases, termite problems only arise when the trees are already stressed, though Kirton and Cheng (2007) did find termites attacking healthy young dipterocarps in Peninsular Malaysia. Damage to the roots or aerial parts caused by mishandling at the pricking out or nursery stage, wounding due to excessive brashing, pruning, or browsing mammals can all predispose trees to termite attack. Fungal decay is often found to be a primary associate with termite abundance. In Malaysia, for instance, Acacia mangium trees with termite galleries up the center were found to be infected with butt rot fungi in almost all cases. In general terms, the bark of a tree, when intact, forms an effective defence against termite workers foraging in earthen tunnels up the trunks and usually the wood underneath remains unattacked. Similarly, stands of Araucaria cunnighamii in Penang, Malaysia, were found to be commonly infested by woodboring termites (Jasmi and Ahmad 2011) but mainly in stumps and moribund timber. There is no economically viable way to control termite attacks to established trees; only prevention is possible, which usually involves the selection of a resistant tree species, or the removal of various predisposing factors such as those mentioned above. Much more common and economically serious throughout the Page 2 of 43

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_200-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 1 Termite damage to nursery tap root (Malaysia) (Photo: Martin Speight)

tropical world are termite attacks to newly transplanted trees. Data vary tremendously, but mortality levels can be as high as 80–100 %. The species of tree thus affected vary, but experience shows that exotics such as eucalypts and pines are more heavily attacked than indigenous ones (Wardell 1987). Trees in the nursery and first year after planting seem to be the most susceptible (Kumar and Thakur 2011). Genera of termites responsible for these attacks vary from country to country, but Coptotermes, Eurytermes, Microtermes, and Odontotermes are particularly well known. Typically, termites attack the tap root of transplants a few centimeters below the ground (Fig. 1), severing the roots and causing dumbbell-shaped swellings on the main stem at ground level. Various ecological systems for reducing this damage have been suggested, but as with established trees, the only reliable methods include the choice of resistant species of tree or the use of persistent soil insecticides (Mitchell 2002). More recently, entomopathogenic fungi (Nagaraju et al. 2013) and bacteria (Nagaraju et al. 2012) have been trialed with limited success. It is important to note that several other factors can affect the survival of transplanted trees, such as planting stress, attack by insects such as moth and butterfly larvae or crickets in the nursery prior to planting out and also after the event, fungal attacks such as damping off and even grazing by mammals. Evidence of termite attack to the roots of sickly looking transplants must be sought. It must be remembered that losses of up to 20 % or so can usually be tolerated and the gaps filled by beating up some while after initial planting. Hemiptera: Sap Feeding Insects; True Bugs AII the Hemiptera have mouthparts specially adapted for piercing the outer surface of hosts and feeding on the liquid contents, which in the case of herbivorous species, is usually phloem or xylem sap. In doing so, the tree is deprived of photosynthetic products, which results at minimum in localized cell death or deformation, and at maximum in increment loss or even whole tree mortality. The order Hemiptera is Page 3 of 43

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Fig. 2 Leucaena psyllid, Heteropsylla cubana (Nepal) (Photo: Martin Speight)

Fig. 3 Gall psyllid, Phytolyma lata (W. Africa) (Photo: F. Brunk CIRAD)

conventionally split into two suborders – the Heteroptera and the Homoptera. The former group contains insects such as capsid bugs which feed mainly on the contents of leaf epidermal cells, causing yellowing and occasional deformation. Much more important are the Homoptera, which contain psyllids, aphids, scale insects, bronze bugs, and all notorious pests of tropical forestry. The Psyllidae variously known as plant or leaf hoppers, jumping plant lice of lerp insects, are typified by the leaucaena pysllid, Heteropsylla cubana, (Fig. 2), the gall psyllid, Phytolyma lata (Fig. 3)., and the red gum lerp psyllid, Glycaspis brimblecombei (Fig. 4). Heteropsylla cubana is fairly host plant specific, and is a major pest of Leucaena species, especially the so-called agroforestry “wonder tree,” L. leucocephala. This tree, which is a native of Central America, has been established in many parts of the tropical world, including the Pacific, south and south-eastern Asia, Africa, and South America (Brewbaker 1987). The pest is now widespread and extremely serious in many countries in which the tree is exotic, including Fiji, Hawaii, Taiwan, Thailand, India, and Nepal. It is present in Africa, and has become a serious pest in Kenya (Ogol and Spence 1997), Cameroon (Alene et al. 2012), and Zimbabwe (Matimati et al. 2009). Nymphs and adults feed on the stems and leaves of the host, causing immense damage which includes defoliation, deformation, stunting, and dieback; young trees may be killed and the fuelwood and fodder production drastically reduced. Page 4 of 43

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Fig. 4 Eucalyptus lerp psyliids (Australia) (Photo: Martin Speight)

Phytolyma lata attacks the leaves of young Milicia spp. (iroko) in parts of West Africa especially when the seedlings are planted in large openings and clearings (Nichols et al. 1999b), whereas Glycaspis brimblecombei is now a very widespread pest of eucalypts. Originating in Australia, this psyllid is now a serious problem in Brazil (Pereira et al. 2008), India (Ramanagouda et al. 2011), Morocco (Maatouf and Lumaret 2012), Chile (Huerta et al. 2011), Argentina (Ganci and Lanatti (2011), Mauritius (Hollis 2004), Venezuela (Julio Rosales et al. 2008), Peru (Burckhardt et al. 2008), in fact pretty much everywhere that Eucalyptus is grown commercially these days. In Brazil at least, the preferred hosts are Eucalyptus camaldulensis and E. tereticornis, on which the psyllid causes leaf deformation and curling as well as spoiling by the growth of sooty molds on the honeydew produced by the pest (de Queiroz et al. 2012). At the moment, biological control by an Australian parasitoid, Psyllaephagus bliteus (Ferreira Filho et al. 2008) has little effect. Aphids and scales are universal pests of all types of agricultural and forest crops. They are specialized for optimum reproductive rates, and host finding and exploitation and can be considered as quintessential herbivores. They compete with host trees for the latter’s own photosynthetic products, and are thus able to exert extensive increment losses. For example, studies on scale insects in the UK have shown that infested trees suffer growth reductions as measured by shoot elongation of over 90 % when compared with pest-free trees; root biomass is also affected (Speight 1991). The tropical aphid Cinara cupressi (Fig. 5), a major problem in various parts of Africa and now South America (Montalva et al. 2010), also causes severe increment losses and even death in plantations of cypress. Other aphid species feed on tree stems, thereby causing changes in wood properties. The black pine aphid, Cinara cronartii, in South Africa, causes the formation of compression wood in its host, Pinus taeda, thus rendering the timber useless, with the potential for huge financial losses. Orthoptera: Crickets, Grasshoppers, and Locusts Tropical forest nurseries often report quite serious defoliation of young trees by a large variety of rather generalist insects which chew at the leaves, stems, and more rarely, the roots. Bush crickets (Tettigonidae) and grasshoppers (Acrididae) can be distinguished by virtue of the very long antennae possessed by the former. Since they are generalists, wild vegetation or even agricultural crops around forest nurseries can act as reservoirs for these pests which periodically invade. Young transplants can also be killed by true crickets (Gryllidae) which live in tunnels, emerging to sever young trees near ground level. The effects of crickets can sometimes be mistaken for termite attack, at least in terms of gaps in a line of transplants.

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Fig. 5 Damage to Cupressus by cypress aphid, Cinara spp. (Malawi) (Photo: Martin Speight)

Lepidoptera: Butterflies and Moths Of all pests of tropical forests, the Lepidoptera are probably the best known. Their activities range from leaf feeding (defoliation), to stem and wood boring, and all stages of trees may be attacked by one species or another. (a) Defoliators. Since trees rely on their leaves for photosynthesis and subsequent growth and reproduction, anything which removes leaf material will have direct consequences on the tree’s future increment, vigour, and even survival. As well as direct increment losses, a whole range of other problems may manifest themselves. Trees can normally withstand some degree of defoliation; in fact, natural forests can be expected to suffer considerable defoliation levels from many groups of insects including the Lepidoptera. Tolerance is a product of insect-plant co-evolution, but very high levels or repeated bouts of defoliation can cause severe and unrecoverable depredations. Furthermore, since most trees have defences against shoot and stem- boring insects based on simple sap or resin pressure systems, removal of the transpiration stream produced by the leaves also reduces this defence system, rendering the trees very susceptible to so-called secondary pests such as wood-boring beetles (see below). The impact of defoliators can often reach considerable proportions, but is rarely quantified. A defoliated stand of trees often appears to be extremely unhealthy but the situation is usually temporary, and refoliation occurs in most cases. Nevertheless, both height and radial increment can be severely checked. In India, for example, the teak defoliator Hyblaea puera (Hyblaeidae) (Fig. 6) causes reductions of 50 % in height increment, 66 % in basal area growth, and 61 % in volume increment (Nair et al. 1985). Long lists of defoliating insects are common in the literature, but without reliable impact data, management decisions are difficult to make. Some lepidopterous defoliators do not restrict themselves to leaf feeding; many al so attack leading shoots and buds, especially when young. The yellow butterflies, Eurema blanda and E. hecabe are serious defoliators of various leguminous trees such as Acacia and Paraserinathes (Khan and Sahito 2012). They are ubiquitous in S and SE Asia, and have been reported to destroy all the terminal buds of its host tress, as well as causing damage to 60 % or 80 % of the foliage (Roychoudhury et al. 1995). Conifers can also be heavily attached by defoliating moth larvae, one of the best examples being the Masson pine caterpillar, Dendrolimus punctatus (Fig. 7) (He et al. 2006). This species is a widespread pest in many parts of southern China, where sophisticated control programs have been developed (see below). Page 6 of 43

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Fig. 6 Defoliation on Tectona by teak defoliator larvae, Hybleae puera (India) (Photo: Martin Speight)

Fig. 7 Larva of pine caterpillar, Dendrolimus punctatus (Vietnam) (Photo: Martin Speight)

Since the huge expansions of eucalypt plantations in Brazil, various defoliating Lepidoptera have become serious pests. Most of them are indigenous species that have swapped from native trees into the monoculture exotics (Kowalczuck et al. 2012). One extremely important example is Thyrinteina arnobia (Zanuncio et al. 2000). Various natural enemies of this species have been identified, both parasitoids (Pereira et al. 2008), and predators (de Oliveira et al. 2011), but their effectiveness has yet to be demonstrated. Another family of defoliating Lepidoptera in tropical forestry is the bagworms (Psychidae). Rather than living as caterpillars exposed on leaf surfaces, bagworms construct cases from dead leaf fragments within which they live, feed and eventually pupate. Pteroma plagiophleps (Fig. 8) is one species from S.E. Asia which has a broad host range from oil palm to mangroves (Remadevi et al. 1997), as well as various forest plantation trees. A final group of defoliating lepidoptera which are commonly found, especially in nursery situations, are the leaf rollers. Here, the larvae construct tents out of soft leaves rolled together with silk in which they feed and grow. Strepsicrates rhothia (Fig. 9) (Lepidoptera: Tortricidae) (Sidhu et al. 2008) is frequently found in eucalyptus nurseries in Vietnam and Thailand, for instance, but eventually damage appears to be slight. This is the key to defoliation; since most tree species have evolved alongside their defoliators, forest managers should not worry unduly about isolated albeit severe attacks. When defoliation is persistent and/or accompanied by attacks by secondary pests then it is time to worry. Page 7 of 43

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Fig. 8 Bagworm larva, Pteroma sp. on Paraserianthes (Vietnam). Photo: Martin Speight

Fig. 9 Eucalyptus leaves rolled and tied by Strepsicrates larva (Philippines) (Photo: Martin Speight)

(b) Shoot and cone borers. Many species of Lepidoptera have larvae which for most of their lives live and feed inside the leading and lateral shoots of trees. Their impact takes the form of loss of height increment due to the destruction of dominant leaders, and severe deformation of trees because of lateral shoot compensatory growth. In extreme situations, trees resemble shrubs. One of the most widespread pests of mahogany are the moths Hypsipyla robusta and H. grandella (Pyralidae) (Figs. 10 and 11). The former species occurs all over S.E. Asia, Australia and Africa, whilst the latter is widespread in the New World (Floyd et al. 2003). Young larvae attack the leading shoots of young mahogany and other Meliaceae, causing extreme dieback and loss of increment. In Indonesia, for example, 90 % of leading shoots were reported attacked and hence killed in three-year-old trees (Watt et al. 2003), whereas those beyond 13 or 14 years old were hardly attacked at all. Host tree resistance is extremely variable, linked to species, site and country of planting. Thus, for example, the Australian Page 8 of 43

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Fig. 10 Swietenia attacked by mahogany shoot borer, Hypsiypla sp. (Costa Rica) (Photo: Martin Speight)

Fig. 11 Mahogany shoot borer larvae, Hypsipyla sp. (Australia) (Photo: Martin Speight)

cedar, Toona ciliata, appears resistant to Hysipyla when planted in Brazil (Carvalho Nassur et al. 2013). Perhaps the most serious pests of tropical pines from central America to the Far East are the so-called shoot or tip moths. This large group of Lepidoptera belongs mainly to the families Tortricidae and Pyralidae, whose larvae tunnel into the leading and lateral shoots of all species of Pinus. The most common genera are Rhyacionia (=Petrova) and Dioryctria respectively (Figs. 12 and 13) (Bi et al. 2008). Infested shoots are killed, and trees become severely stunted (Speight and Speechly 1982). Growth is so retarded that projected timber returns at rotation may never Page 9 of 43

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Fig. 12 Pinus caribaea stunted and branched by attacks from pine shoot moth, Dioryctria sp. (Vietnam) (Photo: Martin Speight)

Fig. 13 Pine shoot moth, Dioryctria sp. larva (Vietnam) (Photo: Martin Speight)

be realized. Observations in the Philippines suggests that tree dominant height at a rotation age of 14 years reaches a mere 10 m, instead of the projected 18–25 m. Some shoot moth larvae also tunnel into the main stems of young trees, girdling them, or the cones of older ones, destroying seeds (Bhandari et al. 2006). Page 10 of 43

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_200-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 14 Beehole borer, Xyleutes ceramica, larva in Gmelina arborea (Indonesia) (Photo: Martin Speight)

(c) Wood borers. Larvae in the families Cossidae, and Hepialidae are commonly found as pests of tropical trees because of their boring into the main stems of trees. Normally, the trees are not killed, because the larvae live mainly in the heart wood, but severe if not complete degrading of the timber occurs. An example well known from the Far East is the teak beehole borer, Xyleutes ceramica (Cossidae) (Fig. 14) (Gotoh et al. 2007). The larvae tunnels up the center of tree trunks, leaving an access hole in the bark through which frass (feces) is ejected and from which sap exudes. This species is a serious pest of Gmelina arborea, and other Verbenaceae in Sabah and Peninsular Malaysia, where 50 % or more of mature trees in stands were attacked. Another cossid, Zeuzera coffeae, is a widespread pest of many tree species, such as Cassia, Eucalyptus, Pterocarpus, Swietenia, Tectona and Toona (Hutacharern et al. 1988). The hepialid Endoclita signifier has recently been reported to have shifted from native tree species into eucalypt plantations in southern China (Yang et al. 2013). Unlike most boring stem or bark insects, these pests do not seem particularly associated with host plant stress; more or less healthy trees can be attacked. Attack prevention is therefore difficult.

Hymenoptera: Ants, Sawflies, Wood wasps and Gall wasps The order Hymenoptera is sub-divided into three sub-orders, the Symphyta which contains the sawfies and wood wasps, the Parasitica, all specialized enemies of other arthropods, and the Apocrita, which contains the bees, ants and wasps. As far as tropical forestry is concerned, only the sawfies and the ants represent serious pests. (a) Sawflies. Larvae of the superfamily Tenthredinoidea closely resemble larvae of moths and butterflies in structure and function. They are all defoliators, and hence the earlier discussion on the impact of Page 11 of 43

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Fig. 15 Galls on Eucalyptus leaves created by the blue gum psyllid, Leptocybe invasa (Turkey) (Photo: BJ Schoenmakers)

lepidopterous pests is equally valid for the sawflies. The genera Gilpinia, Neodiprion and Diprion are usually found on conifers of various species from Central America to S.E. Asia. As with many lepidopteran defoliators, these sawflies pose little long-term threat to plantations as long as their outbreaks decline naturally and do not persist for any length of time. This is especially to be expected in stands of tree species indigenous to an area. In N. Vietnam, for instance, the sawfly Shizocera sp. periodically defoliated the native Mangletia glauca (Tin 1990) Complete defoliation sometimes occurred, but long-term losses were not thought to be significant; certainly, tree mortality did not seem to occur, and attacked trees rapidly refoliated. (b) Wood wasps. Wood wasps are another member of the Symphyta group within the insect order Hymenoptera; Sirex noctilio is a widespread albeit mainly temperate pest of various pine species. Their larvae are well known as borers within the timber of standing trees, causing not only physical damage but also introducing a symbiotic fungus which causes timber degrade. (c) Gall formers. Certain tiny wasps belonging to the Apocrita group of the Hymenoptera, are members of the superfamily Chalcidoidea, which contains many species of parasitoid that attack other insect species. However, a few species in the family Eulophidae are herbivorous. The burrowing activities of their larvae in plant tissues stimulate the production of galls, swellings and other growth distortions which reduce plant yield and produce deformities. Leptocybe invasa (Fig. 15) is now the most globally wide-spread pest in this group, despite only being recorded as an emerging problem in the early 2000s (Mendel et al. 2004). A typical invasive pest, Leptocybe now attacks species of Eucalyptus over many parts of the world, from its native home in Australia, to S.E. Asia, China, India, Africa, the Middle East and South America. The adult wasp is a mere 1 mm or so in length, and the female lays eggs in shallow leaf tissue of shoots and leaf petioles (Rocha et al. 2013). The hatching larvae cause the host plant to produce swellings – the galls – which deform the terminal leaves and shoots, leading to severe leaf fall and dieback; trees in the nursery and in young plantations are most affected (Zhu et al. 2009). Eucalyptus species show distinct variations in susceptibility to Leptocybe attack and subsequent damage (Dittrich-Schroeder et al. 2012), but such variation may be difficult to use as a prevention method commercially, since different genotypes of the same species may differ widely in their susceptibility to the pest. On top of this, there are problems with variations of site and climate at the local and regional level (Nyeko et al. 2009), as well as the likely problems of genetic variability within and between populations of the pest itself. (d) Ants. Most species of ant have no relevance to tropical forestry, but one New World group, the leaf cutters, can be extremely serious defoliators in Central and South America. Two major genera of leaf Page 12 of 43

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Fig. 16 Leaf cutter ant, Atta sp. (Guatemala) (Photo: Paul Embden)

cutter ant are Atta and Acromyrmex (Fig. 16). Workers forage in the forest and remove leaf material in great quantities to act as mulch for fungus gardens within the colony. In Brazil it has been found that leaf cutter nests in natural forest remnants can provide foraging (and ravaging) worker ants which defoliate trees in adjacent eucalypt plantations (Urbas et al. 2007).

Coleoptera: Beetles Of all insects (indeed, of all animals), beetles are the commonest in terms of numbers of species so far described. One family alone, the weevils, comprises around 80,000 species, whilst total numbers of species may reach 350,000. Many are herbivorous, feeding on a wide range of plant material. Because of their abundance, only certain families have been selected to illustrate the diversity of their activities and their importance in forestry. (a) Curculionidae – weevils. Characterized by extended head capsules, adult weevils feed as voraciously on plant material as their larvae. In most cases, however, the apodous (legless) larvae live in concealed habitats such as the soil, under bark, or inside seeds. Adults are predominantly external bark or leaf feeders, and as such can cause serious damage. One of the most conspicuous in S.E. Asia is the large iridescent green weevil, Hypomeces squamosus (Fig. 17), which can be a severe defoliator of eucalyptus and various leguminous and citrus crops (Chung et al. 2008). Another example of a polyphagous weevil is the genus Myllocerus (Sharma and Sood 2009) which has been recorded as a serious defoliator of dipterocarps and eucalypts. Some weevils, rather than feeding on leaves, attack the bark of young trees near ground level. These so-called root-collar weevils can kill young

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Fig. 17 Weevils, Hypomeces squamosus, defoliating Acacia mangium in nursery (Philippines) (Photo: Martin Speight)

transplants by ring-barking them. Other wood boring weevils such as Aclees spp. have begun to attack young Cedrela odorata in Vietnam (Thu et al. 2013). One of the most widespread and troublesome weevils in mainly temperate or sub-tropical regions is the eucalyptus snout beetle, Gonipterus scutellatus (Mapondera et al. 2012). Originally a native of Australia, this beetle is now a pest in most eucalypt-growing regions of the world, from Argentina, Uruguay and Brazil to Lesotho, Malawi, Kenya and South Africa, a classic example of anthropocentric accidental spread of a pest. The larvae, and to a lesser extent the adults, feed voraciously on eucalypt leaves, resulting in the destruction of young twigs and shoots, and hence the severe stunting of trees. (b) Chrysomelidae – Leaf beetles. Adult and larval chrysomelids are defoliators with the same impact on host trees as lepidopteran or hymenopteran pests which feed on leaves. Though not extremely common, their local effects can by severe. The species Calopepla leayana occurs spasmodically in outbreak numbers in various parts of Asia, feeding on trees such as Gmelina arborea (Kumar et al. 2010). (c) Scarabaeidae and melolonthidae – Cockchafers, Rhinoceros beetles, white grubs. Scarabaeid beetles are pests in perennial tropical crops such as palms, but their impact is less significant in forestry. Adults may occasionally act as defoliators, but larvae often occur as root feeders in nurseries. These are the well-known white grubs which gnaw the bark and wood of most nursery species up to the root collar, causing widespread mortality. The larvae of species such as Schizonycha ruficollis (Kulkarni et al. 2007) and Holotrichia rustica (Kulkarni et al. 2009) can be extremely damaging in nursery beds of teak, Tectona grandis in India and neighboring countries. Adult beetles use natural vegetation around forest nurseries as refuges, and lay eggs in large numbers in the bare soil of the nurseries.

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Fig. 18 Paraserianthes falcatari a showing multiple galleries of the longhorn beetle, Xystrocea festiva (Indonesia) (Photo: Martin Speight)

(d) Cerambycidae and Buprestidae – Longhorn Beetles; Round Head and Flat Head Borers. Both families of beetle are notorious in the tropics as despoilers of timber and killers of younger trees by virtue of the tunneling activities of their larvae. Eggs are laid on the outside of host plant bark and the hatching larvae tunnel under the bark and feed at first between the bark and sapwood. In smaller trees, this can kill the host by girdling. Later, the larvae tunnel into the timber itself, creating large and extensive galleries packed with coarse wood fibers. As with many other forest pests, cerambycids and buprestids inhabit natural forest where they are usually destroyers of over-mature or moribund timber. Transferring to often nonvigorous or monoculture plantations, they can become a serious problem which is very hard to control. Usually, but not invariably, cerambycid and buprestid attack is indicative of host tree stress; vigorous trees are able to withstand the initial invasion of newly hatched larvae using sap pressure defence systems (Paine et al. 2011). Heavy infestations of Shorea robusta in the Terai region of Nepal by a buprestid only occurred in trees planted on waterlogged sites. The cerambycid Hoplocerambyx spinicornis, the so-called sal heartwood borer, has the distinction of being one of the earliest recorded major forest pests in the tropics, affecting thousands of hectares of Shorea forests in India in the 1920s (Sen-Sarma and Thakur 1986); it is still a serious threat today (Baul et al. 2013). In Sabah, Xystrocera festiva (Fig. 18) has been a serious problem in plantations of Paraserianthes falcataria (Endang and Farikhah 2010), and, to a lesser extent, Acacia mangium. It seems particularly prevalent in forest stands near to secondary, natural forest, and death of trees is mainly caused by ring-barking. Other species of cerambycid also exhibit this habit of transferring from alternative tree hosts. Oxymagis horni is recorded as infesting up to 10 % of 9-year-old Eucalyptus deglupta in the Solomon Islands, but is known from at least nine wild tree species, and also as a pest of cocoa (Bigger 1988). Perhaps the best-known borer pest of eucalypt in Africa, South

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Fig. 19 Larvae of the bark beetle Dendroctonus valens (China) (Courtesy by Nmsgsfz nd)

America, California, the Middle East and southern Europe is the cerambycid Phoracantha semipunctata. It normally attacks sickly or drought-stressed trees (Caldeira et al. 2002), but healthy young trees may be killed by the boring of the larvae under the bark and later in the wood. Most species of eucalypt seem to be susceptible (Hanks et al. 2001). (e) Scolytidae and platypodidae – Bark beetles, pin hole and shot hole borers, ambrosia beetles. These beetles are usually considered to be secondary pests of trees which normally only attack trees which are already stressed by climatic effects, primary effects of defoliation or disease, old age or felling. Unlike the cerambycids, adult scolytids and platypodids enter the host plant themselves. Bark beetles lay eggs under the bark where the larvae produce typical engraving galleries, girdling the host when densities are high. Shot hole borers, or ambrosia beetles, carry on through the bark and into the wood itself, taking with them symbiotic fungi which stain the wood surrounding their tunnels blue or black. Wood degradation is thus the major impact. A great deal of detailed research has been carried out on the ecology and taxonomy of these beetles (Beaver and Liu 2013), and it seems that very few species preferentially select healthy living trees to attack, whether in plantations or natural forests. When attacks on healthy trees do occur, they are usually associated with exotic hosts which may not be well adapted to local conditions. Even then, large densities of attacking beetles are required to overcome the defences of the tree; in Malaysia, for example, field surveys have shown that most beetle attacks on Acacia mangium are abortive (they do not penetrate through the bark), until densities per 0.1 m2 exceed 100 or so. One of the commonest genera in S.E. Asia is Xyleborus; over 150 species of this genus occur in Peninsular Malaysia, for example, and members have been recorded from over 50 host species in India (Chandra 1981). Dendroctonus is a global genus, some species of which are known to be serious bark-boring pests in the tropics. The red turpentine beetle, D. valens, (Fig. 19) is having huge impacts on pines in various provinces of China (Sun et al. 2013), whilst the southern pine beetle, D. frontalis, is a serious pest in native pine stands in Central America (Rivera Rojas et al. 2010). Perhaps the biggest hazard for standing plantations is an excess of moribund timber, either as a result of clear-felling or a natural disaster such as wind throw, in which bark and ambrosia beetles can build up enormous populations very quickly, resulting in mass attacks to otherwise resistant forests, which may succumb under the pressure of attack. To make matters even worse, it is very easy to transport such pests across the world in all sorts of timber imports such as logs and planks, introducing them into new areas where climatic and forest conditions are perfectly suitable for their establishment and spread.

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Table 1 A summary of some of the main reasons for outbreaks of forest insects (A) Increased food supply for insects Natural disasters Monocultures Neglected crop hygiene Susceptible host species (B) Unsuitable site conditions for crop Soil deficiencies Climatic extremes Use of exotic species Host plant stress

(C) Pest introductions International trade Poor quarantine inspection National transport Deliberate introductions (D) Absence of natural enemies Exotic pest species Monocultures Side effects of pesticides

The Reasons for Insect Pest Outbreaks in Tropical Forestry Table 1 summarizes some of the basic reasons for insect pest outbreaks. In essence, most of them relate to the provision of an abundant food supply for insect herbivores, and hence a high reproductive and dispersal potential. Insect herbivores can be considered to be opportunistic. Their food supply, plant material, is especially deficient in organic nitrogen, a basic necessity of animal life. Any increase in this type of food will promote insect abundance and hence pest damage. Additionally, because most insect herbivores are host plant specialists, and natural forest systems tend to be mixtures of suitable and nonsuitable host species, any plantation system which increases the likelihood of an insect finding nutritious and specialized food increases the probability of epidemics. A further problem for insects is to find suitable breeding sites without which the food acquired as a growing larvae or nymph cannot be converted into offspring. One of the best ecological systems involving trees which provide many of the above requirements involves host stress. Stress is basically any reduction in vigour which a tree undergoes by virtue of its own environmental interactions (although felling is a very successful, man-made, stressinducing system). Even subtle stress from which a tree may easily recover once conditions improve can provide the extra food and breeding sites needed to convert an endemic (low density) insect population to an epidemic (high density) one. Stress is accompanied by typical increases in the availability of plant organic nitrogen, and, on occasion, reductions in plant defences such as sap pressure and complexes of chemicals in leaves and bark. There is no doubt that the absolutely fundamental system for preventing insect pest outbreaks involves the practice of ensuring optimal vigour in forest trees.

Climate Change

Certain situations are rather hard to avoid. Natural disasters such as forest fire, wind throw, drought or water-logging can provide increased food and breeding material in the forest for insects, and changes in climate, for example, a reduction in harsh winters, allow the overwintering of pests that would otherwise have died, can make matters worse (Carnegie et al. 2005). Some of these exacerbating factors can be avoided, or their impacts reduced at least, by avoiding planting tree species that are, for example, drought intolerant on aridity-prone sites, but in the longer term, the effects of climate change may be difficult to avoid. It is very difficult, and indeed risky, to make general statements about how insect pests will react to climate change, since so many species have different responses to variations in temperature, humidity, rainfall, CO2 levels etc. As Singh et al. (2010) point out “The impact of climate change on pests is likely to be highly variable, with some changes favoring the spread of certain pests whilst hindering others.” It is clear that the occurrence and magnitude of insect pests in all ecosystems can be strongly influenced by local weather conditions and more general climatic variations (Juroszek and von Tiedemann 2013), but is

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also the case that specific effects of climate change on tropical forest pests are almost entirely unknown. Predictions however can be made, which will need validating by research and firsthand experience in the relatively near future. According to Roques (2010) climate change is likely to influence the survival, fecundity, dispersal and natural range of forest insects, and also aid the establishment of survival of exotic pests species introduced into new countries via increases in international commerce. Some amount of global warming is likely to enable some insect species to increase the number of generations per year (de Lucia et al. 2012), and changes in leaf chemistry under increased CO2 levels might actually increase damage levels caused by herbivores, since foliage may provide fewer nutrients, necessitating the insects to eat more. It is also possible that climate change can influence food chains, such that natural enemy populations and dynamics are just as negatively or positively influenced by increases in temperature, changes or variations in rainfall patterns, as the pests themselves (van Bael et al. 2004). Pangga et al. (2013) suggest that the effects of climate change on pest and pathogens operate at least in part through changes in plant structure and growth rate. Certainly, increased levels of CO2, raised temperatures, and/or too much or too little rain can alter nutrient and defence levels in host plants, with concomitant changes in pest survival and reproduction. Drought effects are particular well known, though changes in rainfall patterns which reduce precipitation might not always result in extra stress for trees, and hence heightened susceptibility to boring Lepidoptera, Hymenoptera and especially Coleoptera. Indeed, Jactel et al. (2012) published a meta-analysis (a specific literature review) of the effects of drought on damage caused by forest insects and pathogens, with varying results. For example, it was clear from their review of 40 or so publications that damage by secondary pests (such as wood or bark boring beetles) increased with the severity of tree stress caused by drought conditions, as did primary pests and pathogens. The conclusion of this analysis however was that in at least two-thirds of cases, drought was accompanied by increased tree pests, though that in itself suggests a general concept, i.e., drought stressed tress may well be more prone to insect attack. As should be expected, there are exceptions to this “rule.” There are other ways to stress a tree than depriving it if water; indeed, giving it too much water can also cause stress. Ranger et al. (2013) studied the influence of flood-stress (waterlogging) in laboratory conditions, on the selection of host trees by ambrosia beetles such as Xylosandrus germanicus. They concluded that trees subject to waterlogged conditions attracted significantly more beetles, via changes in the hosts’ olfactory chemistry. Insect pests can be influenced directly by changes in climatic conditions. Plecoptera reflexa is a moth whose larvae can be serious defoliators of nursery stocks of Dalbergia sissoo in parts of India. Research by Garg et al. (2007) has shown that the incidence of the pest and numbers of larvae are positively correlated with increasing humidity, but negatively correlated with rising temperatures. In this example therefore, it is predicted that the pest will become more serious as the climate becomes drier and hotter. Note however that if temperatures get too high, even tropical insects may suffer and die (Kiritani 2013). Another example of the influence of drier, warmer weather on tropical forests and the insects that attack them comes from Honduras. The southern pine beetle, Dendroctonus frontalis, is a serious bark borer of Pinus oocarpa and P. caribaea in Central America, and outbreaks of the beetle are thought to be linked to increases in ambient temperatures and decreased rainfall in the region (Rivera Rojas et al. 2010). Additional, because of this combination of changing climatic conditions (drier and hotter), wildfires have become more frequent in the forests, which increases stand susceptibility to D. frontalis and many other potentially serious secondary beetle pests (Choi 2011), by significantly increasing woody breeding material and still-standing but stressed host trees (Singh et al. 2010). Not all affects of climate change need be beneficial to pest insects. Cornelissen (2011) has discussed the predicted effects of elevated CO2 levels, and concludes that increased CO2 may influence host plant

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physiology such that the net result is leaves of relatively low nutritional quality for insect herbivores, with a consequent decrease in pest abundance.

Ecological Pest Management Monocultures Once the species or provenance of a tree has been selected, the planting system is almost invariably some sort of monoculture. Natural monocultures do occur; natural forests, especially in temperate regions, tend to be dominated by single species, but the major differences between this situation and a plantation monoculture is that all the trees in the latter are of the same age and usually of very similar gene tic constitution (exactly the same in the extreme case of clonal forestry). For insects searching for a specific type of host tree, typified by its age and genotype, monocultures provide an almost limitless supply of food which can easily be found without other, nonsuitable species, getting in the way and hiding the host. For many years, tree species and genotypes have been chosen based on silvicultural characteristics, such as growth form and yield (Ji et al. 2011) and only relatively recently has pest or diseases resistance been considered. Indeed, the more distantly related tree species are in a mixed stand the less likely are problems with high levels of herbivory (Jactel and Brockerhoff 2007). It has been suggested that not only do nonhost tree species reduce insect pest problems by making it more difficult for the host-specific herbivore to find it desired host but that the other tree species in a mixture may in fact form a deterrent or natural barrier to pest expansion. So, for example, Alves Silva et al. (2013) suggest that mixing neem trees, Azadirachta indica, with mahogany, Swietenia macrophyla, reduces attacks on the mahogany by mahogany shoot borer, Hypsipyla grandella. In general, planting large areas of one susceptible genotype is fairly clearly asking for trouble. Some entomologists and silviculturalists contest the argument that planting forest monocultures increase the risk from insect pests (Vehvilainen et al. 2007). Plath et al. (2011) found little difference in tree growth and survival in the presence of herbivorous insects in mixed or single species trials with native trees species, whilst Arnold and Fonseca (2011) showed no differences in leaf damage in mixed natural forest and managed monocultures, both in Panama. In general terms though, there can be no doubt that growing extreme forest monocultures, especially plantations of exotic tree species, should be avoided where possible, on the grounds of higher pest susceptibility, especially where the forest stand is prone to stress.

Site Choice The suitability of a particular tree species or provenance to a particular site is of extreme importance when considering whether or not a tree is likely to become stressed. If, for example, a site is clearly dominated by native vegetation which consists of xerophytic species shrub, it must be clear that such a site would not be suitable for new forest plantations which demand (but will not receive) sufficient water (Ji et al. 2011). As stated elsewhere, stressed trees are usually more susceptible to pest attack, though this varies with the type of insect (borers and sap feeders being most likely to thrive on stressed trees – Koricheva et al. 1998) and it is therefore vital to match tree species or provenances to the soils, climate and ecological structure of the area to be planted. The associations between stress and insect attack are not always clear cut. In the Turkana district of N. W. Kenya, Prosopis spp. has been planted in desert conditions to provide muchneeded fodder and fuelwood. Severe mortality of trees has occurred, and most dead or dying trees are infested with cerambycid beetles. It is likely that these trees would have died in the absence of pests, and the beetles are only present in the role of detritivores. Most stress situations are not so severe, and insects certainly do finish off trees which would otherwise have survived. Stress can also be produced by the action of insects themselves; defoliation is a case in point. Trees with their leaves temporarily removed are Page 19 of 43

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often attacked and eventually killed by borers such as bark and ambrosia beetles. Because these borers cannot usually attacks trees successfully without the activities of defoliators, they are known as “secondary pests.” One such insect is the now almost global eucalyptus borer, Phoracantha semipunctata. The larvae of this beetle tunnel between the bark and sapwood of trees, effectively ring-barking the host. The pest is undoubtedly much more serious when trees are planted in sites where water is in short supply (Caldeira et al. 2002), and on eucalypt species such as E. grandis that are drought-intolerant wherever they are grown. It would be thought that an obvious pest-prevention tactic for Phoracantha would be to not plant trees on arid soils, especially not grandis.

Pest Reservoirs Even if a tree is rendered susceptible to insect attack, the likelihood of damage depends on the availability of a reservoir of pests. Some insects are fairly polyphagous, so that most wild or secondary vegetation, or even established plantations, can act as pest reservoirs, but most are more specialized, and hence the likelihood of attack in a new plantation depends on the degree of relatedness between the new tree species and the already existing vegetation in the area. Thus, planting monocultures of exotic Pinus caribaea in areas in the vicinity of natural or older stands of native Pinus kesiya already infested with their specific herbivores such as shoot boring Lepidoptera is folly (Speight and Speechly 1982), especially if the new sites are likely to cause tree stress. Indigenous species are usually in coevolved balance with their insect herbivores, new forest plantations are not. A simple management strategy therefore is to use indigenous tree species; if this is not possible, exotics which are totally alien to their new site should be preferred. Another example involves leaf cutter ants in Brazil (Magistrali and dos Anjos 2011). Ant nests are common outside, but near to, Eucalyptus plantations, and the trees can suffer significant defoliation because of their proximity to native pest reservoirs. Occasionally however, establishing forest plantations close to natural vegetation may in fact reduce pest problems; in Brazil, native species of moth such as Euselasia eucerus appear to be less of a problem in eucalypt stands in the vicinity of natural habitats because native parasitoids and pathogens living in these areas are able to suppress insect pest in the plantations (Macedo-Reis et al. 2013).

Exotic Pests and Invasions The importation of insect pests into countries where they are not indigenous can be a source of tropical pest problems, but, for the most part could be substantially avoided using efficient plant health and quarantine legislation. International trade in living trees or their seed, and timber products, provides an efficient vehicle for the accidental introduction of insects and nematodes, but few countries in the tropics practice stringent import restrictions. Many widespread tropical forest pests have arrived in new countries via international trade or passive transport. Examples include the wood wasp Sirex noctilio (Slippers and Wingfield 2012), Leucaena psyllid, Heteropsylla cubana (Matimati et al. 2009), the bronze bug Thaumastocoris peregrinus (Nadel and Noack 2012), cypress aphid, Cinara cupressi (Montalva et al. 2010), and the red gum lerp psyllid, Glycaspis brimblecombei (de Queiroz et al. 2013). In fact, the majority of serious insect pests in tropical forestry today have been introduced from other countries, in the wake of their host tree species being planted as exotics.

Quarantine and Forest Health Surveillance Though in many cases, it is too late to prevent these types of invasions (Ji et al. 2011), effective quarantine and forest health surveillance must be a standard part of any forest pest management program these days (Carnegie et al. 2005). Maintaining healthy forests is discussed later in this chapter. Imports of timber in the round or sawn, wood packaging products, processed materials etc. carry with them a great number and diversity of potentially serious forest pests (Humble 2010). Live plants are also another common route for Page 20 of 43

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invasive pests to enter a new country (Brockerhoff et al. 2010). Such pests must be intercepted at international ports if at all possible, assuming that their departure from source countries cannot be avoided, so routine and effective inspections systems must be put in place. Wylie et al. 2008 suggest a series of steps to be considered in forest pest quarantine measures, whether they be at international borders or indeed once the cargo has entered the new country. They are: • • • • •

Know what pests are already present Know what pests you don’t want Assess the likely pathways for exotic pest entry • identify and categorize risk sites Have methods for detecting target pests Be able to identify what you find.

Inspections may involve physical techniques such as debarking immediately or waiting for potential emergences from products held in controlled facilities, or the use of pheromones to bait traps to detect the presence of novel pests. Clearly, if any of these techniques reveal pest species, immediate and effective sanitation procedures must be followed.

Tree Susceptibility and Resistance All sexually reproducing species vary genetically, and trees are no exception. Hence, there can be significant phenotypic variation within one trees species, as well as of course even more between species, within a genus or beyond. Some of this variation can be in terms of physical and chemical defences or deterrents to the feeding of herbivorous insects, which are characteristic of tree leaves, sap, bark and other plant parts. Thus, some genotypes of a particular tree species may be palatable, even attractive to herbivores, whilst others may be much less suitable. These variations in host-tree palatability may be simply in terms of leaf toughness or nutrient content, or maybe much complex cocktails of poisons and toxins. Trees which insects find palatable and nutritious can be called susceptible, and the quest for the opposite, i.e., resistance, is an important tactic in modern pest management (Speight et al. 2008). Note that this type of resistance must be heritable, and not just a consequence of site or weather conditions; A lot of forestry, whether temperate or tropical, is in the business of utilizing tree species and genotypes that have the most desirable silvicultural properties, such as growth rate, top height, timber yield, wood structure and so on (Evans and Turnbull 2004). Risk takers would maximize these sorts of parameters, and neglect those that mean the trees are less likely to be eaten or attacked. As Henery (2011) puts it, commercial forestry tends to place “selection for growth over defence.” Physical defenses include simple leaf toughness, so that young caterpillar mouths are unable to chew on their food, or the provision of lots of leaf hairs (trichomes) which prevent both sap feeders and defoliators from gaining access to the leaves. An example of the latter is the tree genus Corymbia from Australia which is fed on by the leaf beetle Paropsis atomaria (Nahrung et al. 2009). C. citriodora has few if any trichomes on its leaves, and is frequently heavily defoliated by both larvae and adults of the beetle, whereas the closely related C. torelliana has very hairy leaves and in experiments at least, suffered 10 times less defoliation in average. Tree foliage can contain all sorts of oils, tannins, toxins and poisons, some at least having evolved specifically to combat insect feeding. Staying with Corymbia and Eucalyptus species, Steinbauer and Matsuki (2004) found a clearly linear negative relationship between the oil content of tree leaves and the final weight of autumn gum moth, Mnesampela privata, pupae. Small pupae mean smaller females with smaller numbers of eggs, resulting in many fewer pests in the next generation. So, tree breeders should be looking for genotypes that not only have desirable silvicultural characteristics, but also show various forms of resistance to insects (and diseases). However, time and again, this appears not to have been put into practice. For example, Gonçalves et al. (2013) reviewed the major species of Page 21 of 43

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Eucalyptus grown in Brazil. They looked at seven species and four hybrids, and concluded that all of these trees were susceptible or indeed very susceptible to a whole range of galling or sapfeeding insects such as bluegum chalcid, Leptocybe invasa, redgum lerp psyllid, Glycaspis brimblecombie, and bronze bug, Thaumastocoris peregrinus (all of which incidentally are as exotic to Brazil as the trees themselves). To make matters worse, many of these species or hybrids are produced clonally, and planted over large areas, thus producing extreme monocultures with high selection pressures for rapidly reproducing peats to overcome what little or transitory resistance there is. The future of resistance selection and breeding in tropical trees, though seemingly most sensible, is unclear. Other species of tree may show more scope for resistance traits in pest management. Progenies of Dalbergia sisso were found to vary significantly in their resistance to the potentially lethal wood boring beetle, Aristobia horridula in Nepal (Dhakal et al. 2005). Similarly, Gmelina arborea is now a widely planted broad-leaved tree native to parts of Asia and South east Asia, and field trials in India have shown that over 30 % of clones of this one trees species show high or moderate resistance to defoliation by the beetle Craspedonta leayana (Kumar et al. 2006). Couple this with a reported 80+% mortality of C. leayana pupae by the parasitoid wasp Brachymeria excarinata (Singh et al. 2006), and a potentially successful IPM program can be envisaged (see below). However, it has yet to be seen whether or not such examples of resistance are heritable, survive genetic interbreeding, and work over a wide range of sites and environmental conditions. Henery (2011) in facts is of the opinion that selecting for resistant genotypes for insect pest management in trees is unlikely to be successful.

Stand Management Silvicultural practices should be directed towards promoting and maintaining forest health (Bi et al. 2008), and healthy forests tend to be less prone to pest problems. Once trees are planted, some amount of manipulation may be possible to reduce pest attack and damage. Little ecological manipulation is possible at the nursery stage, since young trees are grown in an intensive, almost horticultural manner which makes them prone to insect attack. They are usually highly palatable with low pest resistance, and are grown in intense monocultures with high inputs of fertilizers and pesticides. It is important to ensure that the transplants are as vigorous as possible when placed in a new stand; sickly transplants are unable to withstand the shock of planting, and may soon succumb to insects and other depredations. The production of healthy transplants is essential. It is simple to induce stress in a young tree if it is mishandled in the nursery; root coiling caused by clumsy pricking out or potting on can result in termite attack on the roots in later life or a general reduction in plantation vigour. Plant spacing can have an influence on the future pest problems; it is suggested that close spacing of Swietenia encourages the height growth of trees and hence reduces the length of the critical period during which the trees are susceptible to the shoot borer Hypsipyla robusta. However, shady conditions can reduce the same tree’s growth rate, whilst limiting attacks by these borers (Opuni-Frimpong et al. 2008a), a trade-off that may have some merit in an IPM program (see below). Competition amongst a stand of rapidly growing trees is another way of reducing their vigour, and hence increasing their susceptibility to insects. Proper thinning to an optimal spacing before competition becomes too intense can reduce pest attack considerably. Thinnings must not be left lying in the stand; forest hygiene methods such as removal and destruction or conversion of brashed, pruned or thinned material is essential to prevent the build-up of pests which could attack the standing trees. The same is true at the final felling stage; logs with bark on should not normally be allowed to lie in the forest for any length of time (3 or 4 weeks would be maximum in humid tropical climates) before conversion. On occasion, it may be useful to leave moribund timber lying around. If a stand becomes infested with wood borers, it has proved possible to utilize a trap tree system to attract adult insects away from standing but susceptible trees by felling suppressed or infested trees and leaving them in piles to which pests are preferentially

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attracted. The logs are later destroyed and with them the pests. This ecological system has worked in the past in India for the control of the sal heartwood borer, Hoplocerambyx spinicornis (Nair 2007).

Chemical Control Chemicals available for the management of pests in tropical forestry can be split into two broad groups, the pesticides (insecticides, nematicides etc.) which are basically poisons or hormone mimics, and behavior-modifying chemicals such as sex-attractant pheromones.

Insecticides All manner of poisons and toxins have been used to kill insect pests for many decades (Devine and Furlong 2007), although the overwhelming majority of these have been used in agriculture or public health. Forestry, especially tropical forestry, has seem very little use of these chemicals, and is likely to see even less in the future. Apart from in nurseries, pesticides in tropical forestry can in the main be discounted as too expensive for economic viability. It must be remembered that the major part of the cost of chemical control is the application system required; in the case of any plantation forest beyond the establishment phase, this almost invariably means an air-borne delivery system such as a fixed-wing aeroplane or, even more expensive, a helicopter. Just occasionally it is possible to use ground-based delivery systems for mature plantations; thermal foggers which produce an insecticide-rich smoke cloud have been used to control leaf cutter ants in Brazil and other parts of South America (Cameron 1989), but since this system is often difficult to restrict in its coverage, there is a substantial risk of environmental pollution. Often the technology is unavailable anyway, and poor or inefficient applications are worse than doing nothing. In general terms, a very high percentage kill is required to quell a pest population and prevent its resurgence. Eighty percent mortality, for instance, will leave 20 % alive, of whom many will be selected for pesticide resistance. The natural regulatory factor of intraspecific competition for food and space will be reduced considerably, and with even a low fecundity (in this case 10 eggs per surviving female, assuming a 1:1 male: female ratio) will bring the pest population back to where it was prior to treatment. To make matters worse, natural enemies which may on occasion be economically beneficial (see below) may be easily destroyed. Even in situations where money and technology are both available, it may be impossible to achieve these high mortalities required. Many insect and nematode groups are protected from pesticides by virtue of their mode of life; thus leaf miners, gall formers, root feeders, shoot, bark, wood and cone borers, are all very difficult to get at with poisons, especially since the more effective systemic insecticides are usually the most expensive. Then there is the problem of resistance. Even some of the newest insecticides available are now showing signs of being less effective because insects pest are evolving resistance to them. Imidacloprid, for example, is one of the newest types of insecticide available. However, though not used much at all in forestry, it’s widespread use against defoliators, borers and sap feeders in agriculture and horticulture the world over has rather rapidly seen the appearance of resistance in various pest insects (Tiwari et al. 2011). All in all, it is unlikely that tropical foresters would ever consider pesticidal use except in the special cases of nurseries or at the planting stage. As has been said before, forest nurseries approximate to a horticultural crop. They are small scale, easily monitored to assess pest incidence and impact, and readily accessible for treatment. The value of seedlings is relatively high, and hence some pest control is therefore viable. Even then, gross errors can be made in the use and hence efficacy of pesticides. A great deal of time and money is squandered in inefficient, poorly timed and wasteful insecticide use, with phytotoxicity commonplace. The choice of compound may well be very limited, but it is important to realize that old-style, broad spectrum Page 23 of 43

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insecticides are (a) inefficient because they do not reach their target and (b) dangerous because of their broad range and persistent properties. Most insect pest control in nurseries can be carried out only when inspection reveals high numbers of pests or large amounts of damage. Apart from the nursery, insecticides are only occasionally economically sensible in a case such as severe damage by termites to young planted trees. Although many trees are fairly resistant to termites even at the delicate establishment stage, the choice by silviculturalists often includes very susceptible species, such as pines and eucalypts. Historically, long-persistent organo-chlorine insecticides such as aldrin and heptachlor have been used in the planting holes of each tree, with considerable success in many tropical countries. With increased concern about public safety and environmental hazards associated with these compounds, legislation by many countries or via aid agencies has precluded their use, despite their obvious efficiency. Persistence of toxicity is required for up to a year after planting, and some useful chemicals have been developed with slow release formulations, but these have proved to be prohibitively expensive (Logan et al. 1992). Less environmentally harmful compounds such tropical plant abstracts (Osipitan and Oseyemi 2012) or neem oil (El Atta et al. 2011) are unlikely to work terribly well if at all.

Pheromones Many volatile compounds known as pheromones have been identified and isolated from insect pests in forests, especially Lepidoptera and Coleoptera. The former order of insects mainly uses pheromones to attract mates, whereby adult females release pheromones which males use to locate them. The latter order may also use sex-attractant pheromones, but they also use them to form aggregations of the adult beetles to overcome host-tree defences (Wyatt 2014). Synthetic versions of some of these compounds are now available which mimic an insect’s own chemical communication systems. Such compounds are now routinely used in many agricultural and horticultural systems to monitor pest levels, provide decisionmaking data for spray programs, and to reduce mating between male and female adult pests so that significantly fewer eggs are laid (Nadel et al. 2012). So far however, little or no commercial use has been made of this in tropical forestry, although some major tropical forest pests have been studied. In China, for example, the complex chemistry of sex-attractant pheromones of the yunnan pine caterpillar moth, Dendrolimus houi), and the goat moth Zeuzera leuconotum, and have been elucidated (Kong et al. 2007; Liu et al. 2013), but as yet there are no suggestions as to how to deploy these compounds in forest pest management strategies. However, some progress has been made with pheromones of the Chinese pine caterpillar, Dendrolimus tabulaeformis (Kong et al. 2012), and the masson pine moth, D. punctatus (Zhang et al. 2003) for use as monitoring tools for pests incidence and abundance. Assuming a one-to-one male/female ratio, it is possible to assess forthcoming pest (defoliating larvae in these cases) densities by counting male moths attracted to pheromone baited traps, relating these to female numbers, and, knowing average fecundity values, estimating the numbers of eggs laid, where and when. Such tactic work very well in certain agricultural and horticultural situations where monitoring can lead to effective management techniques, but in tropical forest stands, even if pheromone monitoring works, subsequent control may not be available.

Biological Control Predators and Parasitoids There is a great deal of dogma both in the literature and in the minds of biologists and silviculturalists about the merit of biological control, and the use of natural enemies in pest control. The basic debate revolves around the understanding of what factors are most important in either maintaining pest populations at low levels, or reducing them when they have become high. As has been discussed earlier, Page 24 of 43

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opportunist herbivores such as forest insects tend to be limited predominantly by their food supplies, and since forestry does have a tendency to increase this food supply, then natural population regulation fails. In many cases, parasites and predators of pests cannot keep up with growth and dispersal rates of pest insects when their food is super- abundant and they are at epidemic levels. In most cases therefore, insect epidemics have to be reduced by other means before biological control using parasitic or predatory insects can be expected to be at all efficient in the short term. To make matters worse, the likelihood of natural biological control occurring decreases as the host plant and/or pest becomes more exotic and the planting conditions less natural. Perhaps the major advantage of forest stands in terms of the potential for successful biological control (when compared with agricultural landscapes) is that forests are longlived, relative undisturbed ecosystems (Day et al. 2003), wherein some degree of stability between pest and enemy might be expected to develop (at least until felling). Nonetheless, many workers advocate the use of biological control using predators, or especially parasitoids, to control (or more accurately in ecological terms, regulate) insect pests in forests. Wingfield et al. (2013) for instance state that “biological control represents the most important approach to reduce damage to nonnative insect pests of eucalypts.” However, Garnas et al. (2012) are of the opinion that “current efforts and scope for developing such (biological) controls are woefully inadequate for dealing with the increasing rates of pest spread.” One of the most important features that “makes or breaks” a biological control program is the relative growth rate of the pest and its enemy. If the pest can reproduce fast and disperse efficiently, it may be unlikely that the enemy can keep pace, and though there may appear to be a relationship between pest and enemy numbers, it is the pest that is regulating the enemy in a bottom up fashion, not the other way round (top-down) which biological control requires. In some situations, native insects become pests if exotic tree species, whereupon native natural enemies start to take a toll of these increased pest populations. In Brazil, for example, the larvae of various indigenous lepidopteran species have been found to damage eucalypt plantations, and a native predator of these pests has been identified which appears to rapidly follow defoliator outbreaks (de Menezes et al. 2013). Brontocoris tabidus is an heteropteran predator that feeds on many species of moth larva, but its ability to significant reduce pest populations in Eucalytptus stands has yet to be evaluated. These days, it is frequently the case that the new exotic insect pest spreads through a new region or country in the absence of natural enemies that may be abundant in the pest’s native home, but have to be discovered, reared and released in the new forests (Yang et al. 2014). Rarely do natural enemies seem to be capable of causing high mortalities, though, for example, Kurylo et al. (2010) report up to 100 % parasitism of a psyllid species feeding on eucalypts in Brazil. The bronze bug, Thaumastocoris peregrinus is an Australian native which has spreads to many countries in Africa and South America. Nadel and Noack (2012) feel that the only feasible option for managing the bug in these new countries is biological control utilizing the parasitic wasp, Cleruchoides noackae, also from Australia. The snag is that the development of an efficient rearing and release system of the enemy has yet to be commercialized, remembering that it is one thing to achieve some establishment of the enemy species in the recently invaded country, but quite another to reduce the numbers and impacts of the pest to an economically acceptable level. Another sapfeeder, the cypress aphid, Cinara cupressi (later to be named C. cupressivora in Africa) has been a serious pest of tree species within the Cupressaceae for many years in parts of East Africa and more recently Chile (Montalva et al. 2010). Huge efforts were made in the 1990s especially to set up a classical biological control program for the aphid using a parasitic wasp, Pauesia juniperorum (Kairo and Murphy 2005), but to this day, Cinara is still a problem around the world, and the success of the biological control program is hard to evaluate, but at best is probably only partial (Day et al. 2003).

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Pathogens It remains likely that the only biological control agents which may have the ability to rapidly control forest pests at high or outbreak densities are the pathogens. Fungi, bacteria and viruses all have considerable potential to control forest pests in various parts of the tropics, and several tropical countries such as India (Kumar et al. 2008), China and Brazil (Li et al. 2010), are pushing hard to replace the use of chemical pesticides wherever possible with entomopathogens, otherwise known as biopesticides A word of caution is required at the outset; laboratory trials which show efficacy do not necessarily mean that commercial field operations will be successful since delivery systems still rely to a great extent on aerial application. Additionally, pests which in the lab can easily be exposed to pathogens may, as in the case of shoot borers, for example, be concealed from the infection. (a) Fungi Pathogenic fungi which kill insects occur naturally in temperate and tropical forests (Jia and Liu 2010), and genera include Entomophaga, Nomurae, Paecilomyces, Metarhizium and Beauveria. Metarhizium anisopliae is mainly used against agricultural pests, but Beauveria bassiana has been trialed against a variety of forest pests in various countries. A big advantage of fungi as insect pathogens is that they are usually able to enter the body of the insects via spiracles and between body segments, whereas bacteria and viruses have to be ingested (eaten) by the host. One snag is that they are only really efficient in moist, humid conditions, but this is rarely a problem in tropical forests. B. bassiana has proved effective at killing termites in India (Nagaraju et al. 2013) and bark beetles in China (Zhang et al. 2011b). In fact in the latter case of Dendroctonus valens a serious pest of pines, a total of 88 different strains of Beauveria were isolated from soil, bark, frass, and living and dead beetles (Tao et al. 2012). Converting this impressive natural abundance into commercial and large scale control tactics has however yet to be achieved in most tropical forests, though some success is reported in China using inundative releases of the fungus to control pine defoliating caterpillar, Dendrolimus punctatus, a culmination of several decades of research and development (Li 2007). (b) Viruses The viruses seemed to hold much promise some years ago, but have not in many cases realized predicted potentials. Many types of viruses infect insects, most of which have some similarity to vertebrate (including human) or plant viruses, hence rendering them inappropriate for use in pest management. However, one group, the baculoviruses, are entirely specific to arthropods, in most cases in fact to single species, and hence could be used without fear of harming the environment. Most common and, in most cases, effective amongst forest insects is the baculovirus group of Nuclear Polyhedrosis Viruses or nucleopolyhedroviruses (NPV’s). NPVs have been used on a limited basis against various forest insect pests in the USA and Europe, but few if any are currently commercially available. They crop up fairly regularly as natural epizootics. In 2009 for instance Castro et al. identified a new NPV from ledidoptera larvae feeding on trees in Brazil, but although its molecular and cellular characteristics were investigated, there has been no further development to date as a pesticide. Where they have been used semicommercially, NPVs can be very successful. An early example concerns Lymantria ninayi (Lepidoptera: Lymantriidae) is one of the most important defoliators of Pinus patula in Papua New Guinea. Naturally occurring NPVs have been associated with the collapse of pest populations, and trials have been conducted into the use of this NPV as a management tactic (Entwistle 1983). This particular virus remains active for up to 6 years in the soil or bark crevices and relies on rain to transfer it from these sites to places on the host plant where eggs or first instar L. ninayi larvae will encounter it. More recently, a lot of research and development has been carried out on the control of teak defoliator moth, Hyblaea puera in India. Natural populations of H. puera have been found to be infected with Hyblaea puera nucleopolyhedrovirus (Hp NPV) at rates Page 26 of 43

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varying from 50 % to nearly 90 % of the populations of later stage larvae (Bindu et al. 2011). Viruses can be collected in the field for application to new outbreak areas (Sudheendrakumar et al. 2004) either from the air or from ground based devices. However, the development of mass multiplication of Hp NPV has led to in vivo production which produces yields up to a 33,000 fold increase over the original inoculation concentration (Sudheendrakumar et al. 2008). So successful has this biopesticide become that it was patented by the Kerala Forest Research Institute in India, and given the trade name “Hybcheck” (Sajeev et al. 2007). One new problem has unfortunately been detected; high density populations of Hyblaea larvae (the very ones where control is needed most) do seem to show some resistance to Hp NPV (Bindu et al. 2012). (c) Bacteria Of all the pathogens, there is no doubt that the use bacteria as biopesticides is most widespread globally, particularly in agricultural crops. Bacillus thuringiensis is an insect-specific bacterium made up of many different strains or varieties with different properties and target organisms. For example, Bt var kurstaki is specific to lepidopteran larvae, whereas Bt var isrealensis targets dipteran larvae. All work in much the same way; living bacteria replicating inside a host gut (hence the need for ingestion) produce a delta-endotoxin crystal as a by-product of metabolism, which essentially kills the insect by creating holes in the midgut. In fact, commercial formations of Bt do not contain living bacteria at all, merely the toxic crystal which is presented in different types of genetic varieties classified as “Cry” genes, e.g., Cry I, Cry II, and so on. Though Bt is in widespread use in agricultural crops all over the world, and on some forests in the USA, for example, it has so far seen very little application in tropical forestry. If delivery systems can be developed that are efficient and cheap, then controlling defoliator outbreaks may be a possibility, but note that no current strains of Bt will work on sap feeders or gall formers. One limited example involves the larvae of the moth Ptyomaxia sp., a defoliator of mangrove forests in China. Li et al. (2007) were able to achieve over 90 % mortality. In India, the teak skeletoniser moth, Eutectona machaeralis was controlled by spraying formulations of Bt kurstaki from the ground into teak canopies, producing over 77 % mortality after three days (Meshram et al. 1997). There are two big drawbacks. Firstly, Bt does not persist as an active pesticide in the forest environment for very long, unlike most fungi and viruses (as well as certain chemical insecticides). Secondly, widespread resistance to Bt has been detected in pest insects across the world (Gassmann et al. 2009), so its future looks somewhat limited. A final use of Bt toxins is in transgenic plants, whereby crops such as maize and cotton are genetically modified to produce Bt toxins when fed upon by insect pests (mainly Lepidoptera). Many thousands of hectares of crops are GM modified in this way, and some tree species such as transgenic poplar have been tested with some success in the temperate regions of China (Zhang et al. 2011a). In tropical forestry however, there are no examples of GM trees being available and it seems unlikely that such a pest management system will ever be commercially viable, even if desirable.

Integrated Pest Management This account has been subdivided into separate sections for ease of study of various management tactics. In reality, however, all appropriate preventative and curative systems should be used as a package throughout the life of a forest crop to maintain insect numbers and their impact below economically serious levels. This is termed integrated pest management (IPM). Figure 20 lays out a basic framework in the form of a flow chart. In its simplest form, it can be considered as a simple decision making system at the planning stage, where concepts plant vigor and resistance are coupled with site details to produce a healthy, nonsusceptible crop (Liang and Zhang 2005). All single techniques from ecological control to Page 27 of 43

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IPM IN TROPICAL FORESTRY PREVENTION TREE SPECIES CHOICE

MONITORING IDENTIFY LIKELY PESTS

IMPACT ASSESSMENT

SITE SELECTION SILVICULTURAL SYSTEM

ECONOMIC THRESHOLD

NURSERY MANAGEMENT STAND MANAGEMENT

ROUTINE PEST MONITORING

MAINTAIN TREE VIGOUR

DECISION MAKING

CURE

NO ACTION

SANITATION

BIOLOGICAL CONTROL

CHEMICAL CONTROL

Fig. 20 Flowchart depicting stages in IPM in tropical forests (From Wylie and Speight 2012)

chemical control and biological control form part of an “IPM toolbox” (Speight et al. 2008) from which pest managers and foresters can select appropriate tactics. Even before the “toolbox” is employed, there are some fundamental requirements which underpin any IPM strategies. Nyeko et al. (2007) present four categories of such requirements, i.e., Institutional strengthening, political support, research, and information exchange. Institutional strengthening (in developing countries in particular) involves regional training, international collaboration and the provision of sustainable forest practices that maintain the heath of plantations. Political support asks that plant protection measures and tactics are properly funded and conform to international agreements on plant health, quarantine and so on. Research has to provide information on pest ecologies, population dynamics, host-plant relationships and susceptibilities (Wylie et al. 2002), whilst finally, information exchange enables all of this basic information and best-practice strategies to be readily shared between countries and regions, coupled with a proliferation of extension services, so sound advice is made available to the forestry industries themselves. As Garnas et al. (2012) point out, many tropical forest pest problems are now global, and their solutions need to be addressed at the same scale.

IPM Examples Case studies are the best way of illustrating the practice of IPM. It must be emphasized that these case studies describe potential management systems; so far their commercial use has been minimal. Many of these examples emphasize several basic problems with the commercial implementation of IPM programs. Most are complex and elaborate, requiring detailed knowledge of the pest and host ecology and biology. A great deal of planning is required, and many procedures are labor intensive. There are no easy “recipes” for successful IPM (with the exception of ensuring host vigour and reduced pest reservoirs); each package has to be designed from scratch to fit special characteristics. Most importantly, the basic knowledge is often lacking. Whether tropical countries or individual projects within them have the resources and expertise, or even desire, to establish IPM programs in their forests in the light of these problems is open to debate. All successful IPM programs require prior knowledge of a pests’ status and likely impact. Without such information, any control or management decisions cannot be based on sound economic grounds. Note

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above all that the key to IPM in tropical forestry is prevention – if things do not go wrong in the first place or if they do the actually damage is below an economic threshold, then control will be unnecessary. Two detailed examples will illustrate the ways in which various appropriate pest management techniques may be combined to go some way at least towards practical IPM systems. One example concerns a long-standing and seemingly intractable pest, the mahogany shoot borer, Hypsipyla spp., and the other a newly emerging tropical forest pest, Leptocybe. (a) Mahogany shoot borers, Hypsipyla species Over the years, many reviews have updated the then current state of knowledge and practice for the management of mahogany shoot bores in the genus Hypsipyla (e.g., Newton et al. 1993; Speight and Wylie 2001; Floyd et al. 2003; Wylie and Speight 2012). One most crucial point is that the taxonomy of mahogany shoot borers is still to this day complex and unclear. Horak, as far back as 2001, used molecular techniques to show that at least eleven species of Hypsipyla could be identified across the tropical world, but even 2014, papers are still being published naming just one species from each of the New and Old Worlds. Any management systems against a pest whose very taxonomy is unclear might not be as successful as one would hope. The reviews propose various different techniques for the management of Hypsipyla species, which can be summarized as (a) Host resistance, (b) Tree/stand manipulations, (c) Chemical control, and (d) Biological control. In other words, all components of an IPM program have been studied and trialed at one time or another, with varying, but mainly little, success. The following sections bring the knowledge base up to date. (a) Host resistance Rapid tree growth is thought to be a key to avoiding the worst effects of shoot borer attack in various species of mahogany (Ward et al. 2008), and hence selection for this characteristic (subject to site influences) is an important goal of provenance trials. Other important factors to select for when looking for pest resistance are strong apical dominance and vigorous height growth (Cunningham and Floyd 2006), and tolerance of trees when attacked is also an important trait (Cornelius 2009). However, there is no point in finding differential host tree resistance to pests such as Hypispyla larvae if the traits observed in the forest have little or no heritability (Wightman et al. 2008). These authors suggest that selection trials for pest resistance need to be carried out separately on high quality and poorer sites, and the best performing trees selected from both situations for future plantings. Most work on host tree resistance to Hypsipyla boring has been carried out on young trees, from planting to 3 or 4 years old, since that is when most of the damage is done. However, OpuniFrimpong et al. (2008b) suggest that in the case of African mahoganies at least, it is more reliable to wait until the trees are more mature. One reason for this is that young tress which are attacked in fact manage to grow out of the problem and are capable of producing a reasonably straight and unforked trunk as the years go by. (b) Tree manipulations Planting mahoganies in countries or regions where Hypsipyla doesn’t occur would seem to be an obvious solution to the problem. For example, it seems that Dominica is free of borers, and the mahogany Swietenia macrophylla does much better there than in its native range of central America (Norghauer et al. 2011). Other remote islands such as Fiji appear borer free, but these are literally and metaphorically isolated examples, since the pest genus is hugely widespread across the tropics. Most species of trees grown on plantations in the tropics are exotic to the country in which they are newly planted, and it is relatively rare to establish native species because of potentially Page 29 of 43

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enhanced risks from indigenous pests or pathogens (Plath et al. 2011). In the many reported cases of Hypsipyla attacks to native and exotic species of mahogany, there is no clear lesson to be learned, though it is suggested that exotic species may be attacked less in certain situations since the local, indigenous Hypsipyla species or genotypes may find the exotics less suitable as hosts, at least in the early days. An example of this is the Australian native, Toona ciliata that grows well in Brazil and seems not to be attached significantly by the borer (Carvalho Nassur et al. 2013). As discussed earlier in this chapter, planting trees in species mixtures rather than monocultures can on occasion reduce pest problems. For mahogany silviculture, this can mean mixing with other plantation species not in the family Meliacaea. For example, Alves Silva et al. (2013) tried interplanting neem, Azadirachta indica, with the mahogany Swietenia macrophylla in Brazil, in the hope that the neem would act as a natural barrier to the pest. Borer attacks were not prevented. Alternatively, enrichment plantings can be carried out, where mahogany trees of various species are established in gaps created by selective logging in natural or seminatural forests (Lopes et al. 2008). In Brazil, for example, Grogan et al. (2005) found that attacks by the borer were low when the mahogany trees were surrounded by dense secondary vegetation. Additionally, Goulet et al. (2005) discovered in Honduras that borer attacks on young trees were least when weedy strips were allowed to proliferate between the rows of trees, whilst mixed planting with maize (taungya) actually made pest problems worse. Unfortunately, the competition for nutrients, light and water that the young mahoganies are exposed to from native vegetation may preclude these techniques for having commercial viability. Opuni-Frimpong et al. (2008b) tried planting various African mahoganies in various shade levels, and found that indeed Hypsipyla attacks became much less as shade increased. Sadly, the growth of the mahoganies in deep shade was also very low. On a small scale, where individual trees can be dealt with, pruning and grafting has been shown to influence the effects of borer attack. If resistance traits can be discovered, it may be possible to use resistant root stock on which to graft susceptible but otherwise desirable scions. In experiments Perez et al. (2010) found that the resistance from the rootstocks was passed to the otherwise susceptible grafts, but whether this is a long term, large scale, practical system has not been established. Pruning of trees forked because of borer attack to produce just one leader may have some merit (Martinez-Vento et al. 2010). (c) Chemical control It is difficult to consider practical methods of killing mahogany shoot borer larvae with contact insecticides because of the fact that they spend most of their lives concealed in their tunnels within shoots. Systemic chemicals, which are translocated by the tree, would be unlikely to be efficient enough to reach the larvae, especially as the trees grow taller. It is true that lab experiments readily demonstrate that synthetic insecticides such as carbofuran can kill Hypsipyla larvae (Soto et al. 2007), and that small-scale field trials also demonstrate the high efficacy of deltamethrin applied weekly on 2-year old trees in preventing borer attacks (Goulet et al. 2005), but even if such techniques were economically viable, their practical application at plantation scale seems very limited. Instead, any chemical usage against mahogany shoot borer is likely to take the form of deterrents, or behavior modifying chemicals such as pheromones. Soto et al. (2011) tried using methanol and diethylether, to extract phagodeterrant chemicals from bitterwood, Quassia amara, to deter the feeding and tunneling of Hypsipyla larvae, with little success. Crude extracts of rue, Ruta chalepensis, were found to have some deterrent effect to third instar Hypsipyla larvae (Barboza et al. 2010). Abraham et al. (2014) were able to demonstrate responses by adult

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Hypsipyla to extracts of volatile chemicals from African mahoganies, but it is difficult to imagine the use of these extracts in commercial quantities, especially in the wet tropics. Sex-attractant pheromones of Hypsipyla species have rather surprisingly received little research attention. Apparently, synthetic compounds do exist that mimic Hypsipyla sex-pheromones but apart from one or two hard to substantiate field trials back at the turn of the twenty-first century, nothing is available at the current time. (d) Biological control Papers are published fairly regularly that describe predators or parasitoids that have been found attacking Hypsipyla larvae or pupae. Predators include weaver ants (Peng et al. 2011), and parasitoids include various species of hymenopteran in the families Braconidae (Pinto et al. 2014), Eulophidae (Zache et al. 2013), and Ichneumonidae (Yoshida et al. 2010). Pathogens such as the fungus Metarhizium anisopliae are known to infect and kill Hypsipyla larvae (Balachander et al. 2012), but in practice, none of these biological control agents are likely to have sufficient efficacy to stop borer attacks on trees in susceptible plantations. So where does that leave us? Nothing has really changed since the international workshop on mahogany shoot borer ecology and control held in Sri Lanka in 1996 (Floyd and Hauxwell 2001), and growing tropical mahoganies of many species in plantations still has major pest management problems. This has to be one key example of IPM in tropical forestry which may never have a viable solution. (b) Eucalyptus gall wasp, Leptocybe invasa Unlike Hypsipyla species which have been familiar pests for many decades, the eucalyptus gall wasp, Leptocybe invasa, is a newcomer to the tropical forestry scene. For all its newness however, its pest status has rocketed from pretty much unknown in 2004, to global problem 10 years later. Mendel et al. (2004) recorded L. invasa as a new genus and species of gall-forming hymenopteran in the family Eulophidae. Only females were identified at the time, but the galls their larvae caused to occur on leaves and petioles were already having significant impact on Eucalyptus species in the Middle East and Africa. Zheng et al. (2014) listed 29 countries where the pest has established. These include Brazil (Garlet et al. 2013), India (Senthilkumar et al. 2013), Morocco (Maatouf and Lumaret 2012), Iraq (Hassan 2012), Argentina (Aquino et al. 2011), Taiwan (Tune and la Salle 2010), and China (Wu et al. 2009). Most damage is done to seedlings and young trees (Zhu et al. 2013a), and impacts vary. In Sri Lanka, for example, Karunaratne et al. (2010) found that 10 % of coppiced Eucalytptus camaldulensis suffered heavy damage, whilst 62 % suffered low (but not zero) damage. These figures need to be verified across the world and between tree species and then converted into yield and monetary losses. Effective control is likely to be particularly difficult because of large populations, small body size, overlapping generations, and the concealed nature of the pest larvae inside galls (Zhu et al. 2012). However, management tactics may take the forms of a series of measures itemized below: (a) Avoidance – nonimport and quarantine It is probably too late to prevent L. invasa reaching most of the countries where eucalypts are grown. The pest has undergone huge range expansion in the last decade or so (Ramanagouda et al. 2010), and it is now a very serious invasive species for which quarantine will be ineffective. (b) Host–plant relationships – planting sites and resistance Because of the rapid appearance of this pest, certain crucial items of information are so far lacking. Whether or not it prefers stressed or healthy trees has yet to be established and its associations with altitude, water relations, climate regimes etc. are also poorly understood. Obtaining such details

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will be a key in any attempts to establish IPM tactics. We do know that the pest is less of a problem in drier seasons (Nyeko et al. 2010), but this is fairly typical of many herbivorous insects. Field trials to look for resistance to L. invasa across genotypes and species of Eucalytpus are also rather limited, but some results are available. Trials in Kenya and Uganda classified genotypes of Eucalyptus henryi as resistant to the pest, E. dunii as tolerant, E. camaldulensis as tolerant or moderately susceptible depending on germplasm, whilst E. tereticornis, E. grandis, and E. saligna were moderately or highly susceptible (Nyeko et al. 2010). In India however, E. tereticornis was found to be maximally infested with galls and E, grandis less so. E. urograndis, a hybrid between E. grandis and E. urophylla, showed minimum infestations (Kumari et al. 2010). In China, highest susceptibility was shown by E. urophylla and E. exserta, with E. tereticornis and E. robusta being most resistant (Zhu et al. 2012), whilst Luo et al. (2014) suggested that taller trees tended to be less infested than shorter ones. Finally, in South Africa, the damage index for L. invasa was greatest on various hybrids between E. nitens and E. grandis, and E. grandis and E. camaldulensis, whilst zero damage indices were recorded on E. dunii and E. grandis, as well as a hybrid between E. grandis and E. urophylla (Dittrich-Schroeder et al. 2012). So, messages are unclear at the moment and more work must be done if reliable resistance properties can be employed in IPM programs. (c) Trapping Mass trapping as a tool for managing forest pests has rarely been successful because of its inefficiency at catching sufficient adult insects, though traps are routinely used as monitoring tools to establish if and when other management techniques should be deployed. In the case of Leptocybe, Kumari et al. (2010) employed sticky traps to catch flying gall wasps, and concluded that flat yellow traps coated in sticky gum impregnated with eucalyptus oil; gave the best results. Unfortunately, the researchers did not evaluate any resulting reductions in pest or damage incidence; Zheng et al. (2014) reiterate that sticky traps of various shapes and sizes could be used to catch adult insects and this reduced the size of the next generation. (d) Biological control Various natural enemies of Leptocybe invasa have been identified (Kulkarni et al. 2010, Ramanagouda et al. 2011). No predators or pathogens have been recorded in the literature, but quite of lot of parasitic hymenoptera are known to occur. Various genera of parasitoid have been identified which may prove useful in classical biological control release programs. These include Selitrichodes (Kelly et al. 2012) and in particular, Megastigmus (Sangtongpraow and Charernsom 2013). Note of course that because pest larvae are concealed within their galls, discovery and subsequent oviposition by parasitoid female adults is likely to be slow. Nonetheless, in greenhouse trials, Megastigmus sp. were able to cause 10 % parasitism of L. invasa which rose to 23 % 10 months later and 28 % a month after that (Kulkarni et al. 2010). In Sri Lanka, Udagedara and Karunaratne (2014) recorded a mean percentage parasitism of L. invasa of 67 %. Whilst not overly impressive numbers, especially since they would be likely to be lower under field conditions, it may be that an integration of this form of biological control with semiresistant host trees (and even mass trapping) might give some satisfactory control. (e) Chemical control Hemiptera such as L. invasa do not employ sex-attractant pheromones in the ways that Coleoptera and Lepidoptera do, and toxic insecticides are unlikely to reach pest larvae inside galls. No reports are yet forthcoming concerning chemicals acting as repellants. In short, chemical control methods for this pest are not thought to have much potential.

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So, IPM of Lepto cybe invasa may be possible using a combination of host tree resistance and biological control using parasitoids. A lot of pure and applied field work needs to be carried out before successful tactics can be found.

Future Trends During the second half of the 20th century, tropical forestry has been in a phase of great expansion. The utilization of natural forest, its conversion to agriculture and forest plantations, and its management for sustained timber production have all gone on apace for both sound and unwise economic and social reasons. Unfortunately, it is quite apparent that the management of pests and diseases in managed natural forests and plantations is lagging far behind. Research is often inadequate to provide foresters with the advice they need, and more financial backing is required to provide this information. Even the taxonomy of many groups of forest pests and fungi is in its infancy. A further problem is to persuade tropical forest managers to use what knowledge is already available with experts being consulted at a very early stage before planting is attempted. The training of local scientists and forest workers in the fields of entomology, pathology, nematology, virology etc., is also lacking, hence many opportunities for the prevention of pest and disease problems are missed. Neither forest pathology nor forest entomology services should be entirely responsive to new pest and disease outbreaks, but should be based on sound planning and forethought with at least a minimum of infrastructure and trained personnel always at hand. Within each discipline, the trend is already for chemical control to become more target-orientated, with the development of chemicals with greater specificity towards particular organisms. Similarly, greater use of biological control and integrated pest management will be made as our knowledge of pests and diseases becomes more detailed. These trends will also be greatly encouraged by the public and political awareness of environmental concerns. In addition, new breeding techniques, such as genetic engineering, offer great, albeit somewhat risky, opportunities for the development of trees resistant to pests and diseases. Molecular biological techniques also offer the opportunity for the development of rapid, highly accurate methods for disease diagnosis.

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Zhang B, Chen M, Zhang X, Luan H, Diao S, Tian Y, Su X (2011a) Laboratory and field evaluation of the transgenic Populus alba x Populus glandulosa expressing double coleopteran-resistance genes. Tree Physiol 31:567–573 Zhang L-W, Liu Y-J, Yao J, Wang B, Huang B, Li Z-Z, Fan M-Z, Sun J-H (2011b) Evaluation of Beauveria bassiana (Hyphomycetes) isolates as potential agents for control of Dendroctonus valens. Insect Sci 18:209–216 Zheng XL, Li J, Yang ZD, Xian ZH, Wei JG, Lei CL, Wang XP, Lu W (2014) A review of invasive biology, prevalence and management of Leptocybe invasa Fisher & La Salle (Hymenoptera: Eulophidae: Tetrastichinae). Afr Entomol 22(1):68–79 Zhu Y-F, Ma R, Wen J-B (2009) Potential risk assessment of a new invasive pest, Leptocybe invasa, to the mainland of China. Chinese Bull Entomol 46:957–960 Zhu F-I, Ren S-x, Qiu B-I, Huang Z, Peng Z-q (2012) The abundance and population dynamics of Leptocybe invasa (Hymenoptera: Eulophidae) galls on Eucalyptus spp. in China. J Int Agric 11:2116–2123 Zhu F, Qiu B, Ren S (2013a) The continuous life-table of Leptocybe invasa. Acta Ecol Sinica 33:97–102 Zhu F-L, Qiu B-L, Ren S-X (2013b) Oviposition behavior of Leptocybe invasa. Chinese J Appl Entomol 50:192–196

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Fire Management in Tropical Forests Johann Georg Goldammer* Global Fire Monitoring Center (GFMC), c/o Freiburg University/United Nations University (UNU), Freiburg, Germany

Abstract The chapter “Fire Management” of the Tropical Forest Management Handbook provides an introduction to the history and ecology of fires in ecosystems of the tropics (closed evergreen forests; closed and open seasonal forests; fire-climax pine forests in the tropical submontane and montane altitudes, subtropical lowlands; savannas and open woodlands; planted forests). In addition the chapter provides references to other environmental impacts of tropical fires, notably the global impacts of fire emissions on atmosphere and climate. The main part of the chapter provides different fire management options. Fire prevention methods include technical measures such as fuel management (treatment of combustible materials for fire hazard reduction) and the use of prescribed fire. The involvement of local communities in active fire prevention, the sound and safe use of fire in land management, and the defense of rural assets against wildfires are essential. References are given on fire management on contaminated terrain. The section on fire suppression (firefighting) provides access to the most important guidelines and technical training manuals. The need of developing national fire management policies that address the fire problems at landscape level including cross-sectoral/interagency approaches in fire management is underscored. The complexity of interactions between land use and other human activities, tropical vegetation characteristics, climate, and climate change may require expert assistance in capacity building in fire management at national and local level. International networks and voluntary mechanisms are available for exchange of knowledge and expertise.

Keywords Tropical fire ecology; Fire regime; Fire climax; Forest fire; Wildfire; Wildland fire; Vegetation fire; Fire management; Fuel management; Prescribed burning; Fire protection; Fire suppression; Communitybased fire management; EuroFire standards

Introduction The vast majority of global vegetation fires (fires occurring in forests, savannas, grasslands, and other wildlands, as well as agricultural burning) takes place in the subtropics and tropics. Here, fire is being widely used as a land management tool, e.g., for conversion of native vegetation, including forests, peatlands, or wetlands to agricultural land, for maintaining grazing lands, and for utilization of the seasonal forests and savannas. Fire influence through traditional burning practices has over past millennia strongly favored some select plant communities which are since considered to be sustainable and longterm stable fire ecosystems. With increasing land-use pressure on those tropical ecosystems that are fire sensitive, however, the use of fire is associated with severe vegetation degradation processes and loss of forest cover (cf. synthesis by Goldammer 1990). *Email: fire@fire.uni-freiburg.de Page 1 of 42

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The first part of this chapter evaluates some instances of prehistoric, historic, and the contemporary role of fire in tropical and subtropical ecosystems. Fire regimes are classified according to the main biome types and specific characteristics and impacts of fire. The second part of this chapter deals with fire management options and techniques.

Biogeography and Ecology of Tropical Fires Evidence of prehistoric fires is found in many places throughout the globe. Charcoal layers embedded in coal seams (fusain) provide evidence of fires in ancient forests which were fossilized during the carboniferous period. Charcoal and lightning-struck fossilized trees found in swamps reveal lightning as a major source of natural fires in the subtropics. Within the tropics and subtropics outside of Australia, where pre-Quaternary and Quaternary fires have been investigated, reliable information on prehistoric and historic fire is scarce. The lack of in situ materials suitable for radiometric age determination in the tropical lowland rain forests is explained by the transport of charcoal by water, floods, change of riverbeds, and erosion. However, scattered evidence of ancient fires in rain forests, which are presently considered as undisturbed “primary” rain forests, is available. Charcoal samples recovered in lowland rain forests of eastern Borneo date back to the peak of the last Pleistocene glaciation ca. 18,000 14C years BP (Goldammer and Seibert 1990). Radiometric age determination of charcoal found in Amazon rain forests revealed prehistoric natural or early human-caused fires in the Holocene ca. 3,500–6,000 years BP (Sanford et al. 1985; Saldarriaga and West 1986; Fölster 1992). During the Pleistocene, the role and influence of fire on vegetation may have changed in accordance with climatic fluctuations. During the interglacial periods, a prevailing warmer and more humid climate created conditions unfavorable for fire occurrence. During the glacial epochs, the tropical climate on the whole was cooler and in general more arid and seasonal than the present one. These glacial climates occupied ca. 80 % of the last two million years. The prevailing arid climate conditions forced the rain forest to retreat into refugia, which were surrounded by savanna-type vegetation (cf. synthesis by Prance 1982). It has been suggested that the savanna vegetation between the refugia has been strongly influenced by fire and that the “fire corridors” between the refugia may have contributed significantly to the genetic isolation of the rain forest islands (Goldammer 1991a). Other vegetation and landscape mosaics created by fire may have also induced the formation of genetic islands, which may explain the high genetic diversity of today’s rain forest biota. The evolutionary role of shorter climatic fluctuations associated with dry periods and long-return interval forest fires is not yet clear. Saldarriaga and West (1986) found that the radiometric dates of Amazon charcoal comply with the relatively dry periods postulated by the interpretation of pollen data.1 In the present equatorial climate, short-term climate oscillations (inter-annual climate variability) are common. One of the most prominent and well-investigated phenomena is the El Niño-Southern Oscillation (ENSO) event, which is associated with extended droughts in the West Pacific region. As it has been observed during the extreme ENSO events of 1982–1983 and 1997–1998, rain forests may become extremely flammable during these droughts. The occurrence of natural fires caused by dry thunderstorms, especially at the transition from the dry period to the rainy season, is very likely. In eastern Borneo (East Kalimantan), it has been observed that rain forest fires spread from burning coal seams exclusively during drought years. This ignition source has been available at least since ca. 15,300 thermoluminescence (TL) years, but probably since more than 60,000 TL years (Goldammer and Seibert 1989). These 1

These periods were ca. 4200–3500, 2700/2400–2000, 1500–1200, and 700 and 400 years BP (Absy 1982; van der Hammen 1983). Page 2 of 42

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examples of old and contemporary rain forest fires may be unique. However, the assumed ancient fire occurrences in an environment, in which rain forests are currently growing, demonstrate the capability of the rain forest to cope with multiple environmental stresses. In Africa, early humans, or hominids, have been using fire for at least 1.5 million years (Brain and Sillen 1988). With the migration of humans into today’s tropical forest lands, the anthropogenic use of fire started to develop as a dominant factor influencing vegetation (Sch€ ule 1990). In the seasonally dry regions adjoining the permanently humid equatorial rain forest zone, fires were set for hunting purposes to improve grazing conditions for animal husbandry and in general to keep forest lands open for reasons of security (improved visibility) and accessibility. The influence of these Neolithic fires in savannization and deforestation has been documented by pollen analysis.2 Since early man began to conquer tropical lands, the reasons and methods of fire use have not changed. However, with the present and unprecedented human population pressure on tropical vegetation resources, the consequences of regional climate change, coupled with changing fire regimes, the influence of fire is now a critical element in tropical vegetation development as well as a predominant driver of vegetation degradation and destruction.

Tropical Fire Regimes Fire regimes in tropical forests and derived vegetation are characterized and distinguished by return intervals of fire (fire frequency), seasonality (time of occurrence during the dry season or dry spells), and fire behavior (fire intensity/fire severity) (Mueller-Dombois and Goldammer 1990). Basic tropical and subtropical fire regimes as distinguished in Fig. 1 are determined by ecological and anthropogenic (sociocultural) gradients. Lightning is an important source of natural fires, which have influenced savanna-type vegetation in pre-settlement periods. The role of natural fires in the “lightning-fire bioclimatic regions” of Africa was recognized early (e.g., Phillips 1965; Komarek 1968). Lightning fires have been observed and reported in the deciduous and semi-deciduous forest biomes as well as occasionally in the rain forest. However, with increasing human activities in tropical ecosystems, the contribution of natural ignition sources to the overall tropical wildland fire occurrence is becoming less significant as compared to humancaused ignitions or purposely set fires. The main reasons or “underlying causes” for the use of fire, which have been described in-depth in the past, still remain valid in the twenty-first century (Bartlett 1955, 1957, 1961; Goldammer 1988; Steensberg 1993): – The use of fire as the most convenient and inexpensive tool for conversion of forest and other native vegetation, including wetland and peatland ecosystems to other land uses, e.g., establishment of plantations, agricultural lands, and pastures, or for exploitation of other natural resources (mining) – Traditional slash-and-burn agriculture – Grazing land/pasture management (fires set by hunters and herdsmen mainly in savannas and open forests with distinct grass strata [silvopastoral systems] and by managers of industrial livestock enterprises) – Harvest of non-wood forest products (use of fire to facilitate harvest or improve yield of plants, fruits, and other forest products, predominantly in deciduous and semi-deciduous forests) – Fires starting at the wildland/residential interface (fires from settlements, e.g., from cooking, torches, camp fires, etc.); The origin of fire-shaped savannas of Cambodia dates back to ca. 2,000 years BP, the Malawi savannas ca. 12,000 years BP, the arid savannas of Rajasthan (India) ca. 10,000 years BP, the opening of forest lands in Sumatra by early hunters ca. 18,000 years BP, and in New Guinea ca. 25–28,000 years BP (cf. synthesis by Goldammer 1993). 2

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Fig. 1 Types of tropical/subtropical fire regimes as related to ecological and anthropogenic gradients. Exemptions from this generalized scheme such as higher species diversity in certain fire-climax communities must be noted

– Other traditional fire uses (religious, ethnic, and folk traditions) – Targeted or collateral consequences of socioeconomic, political, and armed conflicts over questions of tribal land tenure, traditional land-use rights, or territorial/national sovereignty Guidance for the determination of wildfire causes and damages based on forensic investigation is provided by de Ronde and Goldammer (2015). Fire regimes of selected forest types and other vegetation are briefly described in the following section; additional examples illustrate the role of fire in tropical human-made forests.

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Fig. 2 Effects of a forest-conversion fire after clear-cutting in a lowland dipterocarp forest of East Kalimantan (Indonesia). Only a small part of the wood biomass is utilized, and the remainder is burned. Ignition and combustion of heavy logs under average conditions of humidity and fuel moisture content are extremely difficult. The logs, which were not affected by fire, decompose in the following years (Photo: GFMC)

Fire in Evergreen Equatorial Rain Forest Ecosystems In general, the equatorial rain forests are classified as fire-sensitive ecosystems. As stated above the use of fire for forest clearing is the main issue: – Shifting agriculture (slash-and-burn agriculture), where land is allowed to return to forest vegetation after a relatively short period of agricultural use – Permanent removal of forest for conversion to plantations (e.g., oil palm plantations), livestock pastures, or crop land, as well as other non-forestry land uses In all instances, clearing and burning initially follow the same pattern: trees are felled at the end of the wet season, and the vegetation is left for some time to desiccate in order to obtain best burning efficiency. In the case of previously non-exploited rain forests, the efficiency of the first burning is variable. Often it does not exceed 10–30 % of the aboveground biomass. This low burning efficiency is due to the large fraction of forest biomass residing in the tree trunks, only a small portion of which tends to be consumed during the first burn. The remainder is treated by a second fire or is left on the site to decompose (Fig. 2). Shifting agriculture systems in their early practices and extent were largely determined by low human population pressure on the forest resources. They provided a sustainable base of subsistence for indigenous forest inhabitants, and their patchy impacts had limited effects on the overall tropical forest biome (Nye and Greenland 1960; Watters 1971; Peters and Neuenschwander 1988). Today, traditional shifting agriculture is still practiced in many regions of the topics. However, in many regions shifting cultivation is becoming increasingly destructive because of larger individual sizes of areas cleared and shorter fallow (forest recovery) periods. In addition to shifting cultivation, large forest areas are converted for permanent crop and grazing lands. The burning of primary or secondary rain forest vegetation for conversion purposes is continuing at a rapid pace since the 1980s. In 1985 alone, more than 26.5 million hectares (ha) of forest clearing and

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rangeland fires was observed in the southern Amazon Basin, thereof ca. 8.9 million ha was forestconversion fires. In 1987 a total of 20 million ha were burned in the “Amazonia Legal” region; 40 % of the burned area was primary forest, the remainder secondary growth (Malingreau and Tucker 1988; Setzer and Pereira 1991). For the more recent developments in Southeast Asia and South America see Page et al. (2013) and Cochrane (2013). The application of targeted fire use in the rain forest biomes, however, often results in wildfires that escape control. Observations of the impact of drought and fires on the rain forests of Borneo and on the Amazon rain forest in the 1980s have already shown that undisturbed perhumid rain forest biomes may occasionally become flammable. Goldammer and Seibert (1990) evaluated the state of information on the extent and impact of rain forest fires in Borneo during the extreme drought of 1982–1983, which affected the entire Western Pacific Region. Such droughts were reported in both the nineteenth and twentieth centuries and were associated in several cases with rain forest fires. During the 1982–1983 drought, the area of the fire-affected rain forest was very large as a consequence of numerous fires escaped from forest conversion and shifting agriculture fires. These fires totaled ca. 5 million ha in East Kalimantan and the Malaysian provinces of Sabah and Sarawak. Fifteen years later, the 1997–1998 fire and smoke episode in SE Asia resulted in a similar dimension of fire-affected area in East Kalimantan: A total land area of ca. 5 million ha, including 2.6 million ha of forest, was burned with varying degrees of damage (Siegert et al. 2001; Heil and Goldammer 2001; Goldammer 2006). Forest regeneration after fire shows no coherent pattern. While the dipterocarp forest in general is highly fire sensitive, there is regeneration potential in moderately burned forests. The occurrence of a relatively common fire-adapted tree species (ironwood – Eusideroxylon zwageri) in the lowland dipterocarp rain forest of East Kalimantan may be an indicator of historical recurrent disturbances by fire. Another example of larger-scale rain forest fires were those in the Yucatan (Mexico) during 1989. These fires were the result of a chain of disturbance events. The hurricane “Gilbert” in 1987 resulted in largescale wind damage, creating an unusual amount of fuels available for consumption. Trees and other woody fuels downed by the hurricane desiccated during the subsequent drought of 1988–1989; the entire forest area was finally ignited by escaped land-clearing fires. None of these single three factors, the cyclonic storm, the drought, and the ignition sources, if occurring alone, would have caused a disturbance of such severity and magnitude on an area of ca. 90,000 ha. Kauffman and Uhl (1990) described the environmental conditions required for potential flammability of surface fuels and downed woody material in the Amazon rain forest. The research shows that the microclimate of undisturbed rain forest is less favorable to allow ignition of surface fuels and fire spread as compared to disturbed forests. They also investigated and summarized research on the susceptibility of rain forest tree species to fire. A variety of vegetative adaptations were identified that may influence species persistence following fire, e.g., thick bark, subterranean sprouting, coppice, epicormic sprouting, characteristics of seed banks, and seed dispersal. It is generally observed that recurring fires in tropical rain forest biomes lead to successive forest degradation by impoverishment of forest cover and species diversity and in the final degradation stage to the invasion of pyrophytic grasses, e.g., Imperata spp. Large tracts of tropical lowlands formerly occupied by rain forest are now degraded Imperata grasslands that are maintained by short fire-return intervals (Fig. 3a–f). Fire in Seasonal Forests The occurrence of seasonal dry periods in the tropics increases with distance from the perhumid equatorial zone. The forests gradually develop to more open, semi-deciduous, and deciduous formations (e.g., moist and dry deciduous forests, monsoon forests). Between a more or less closed deciduous forest (characterized by fuels from the tree layer) and a grass savanna (fuels exclusively grasses), a broad Page 6 of 42

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Fig. 3 (continued)

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Fig. 3 a–f. This long-term series of photographs illustrate the fire-induced destruction of a lowland tropical rain forest in East Kalimantan, Indonesia (Goldammer et al. 1996; Goldammer 1999). In sequence they show: a Pristine dipterocarp rain forest in eastern Borneo (1985); b surface fire burning in the same, selectively cut forest (1982); c post-fire stage after 3 years (1985). Most trees are killed by the surface fire, some by drought stress, but some trees are still standing; d post-fire stage after 13 years (1995). More standing trees have died and collapsed. Undergrowth dominated by pioneer tree species (predominantly Macaranga spp.) comes in vigorously. This secondary succession becomes highly flammable in extremely dry years. e The effect of the second burn in 1998. The tree layer, including the post-fire secondary succession, is nearly completely killed by a high-intensity fire. f Final stage of savannization in a nearby former forest site. The area is dominated by an aggressive post-fire invading grass species (Imperata cylindrica) (Photos: GFMC)

range of ecotones can be found. Since varied terminologies exist for the non-evergreen forests and for the ecotonal transitions toward savannas, it was suggested that the prevailing fuel type, a parameter more meaningful from the point of view of wildland fire science, be used to distinguish the diverse formations (Goldammer 1991, 1993). The term “forest” is used if trees and tree residuals are dominating elements of the fuel complex (cf. section “Savannas and Open Woodlands”). The main fire-related characteristics of these formations are seasonally available flammable fuels (grass-herb layer, shed leaves) which allow the grass layer, other understory plants (shrub layer), and the overstory (tree layer) to survive and furthermore to take advantage of the regular influence of fire. The most important adaptive traits are thick bark, ability to heal fire scars, resprouting capability (coppicing, epicormic sprouts, dormant buds, lignotubers, etc.), and seed characteristics (dispersal, serotiny, fire cracking, soil seed bank, and other germination requirements) (Stott et al. 1990; Goldammer 1993). These features are characteristic elements of a fire ecosystem. During the dry season, the deciduous trees shed their leaves and provide the annually available surface fuel. In addition the desiccating and (finally) dried grass layer, together with the shrub layer, adds to the available fuel which together generally ranges between 5 and 10 t ha 1. Forest users such as herdsmen and collectors of non-wood forest products usually set these fires. The forests are underburned in order to remove dead plant material, to stimulate grass growth, and to facilitate or improve the harvest of other forest products. The fires usually develop as surface fires of moderate intensity (usually less than 400 kW m 1; cf. Stott et al. 1990) and tend to spread over large areas of forested lands. The canopy layer is generally not affected by the flames, although isolated torching and crowning may occur earlier in the dry Page 8 of 42

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Fig. 4 Typical surface fire in a dry dipterocarp forest in Thailand (Photo: K. Wanthongchai)

season when the leaves are not yet shed. In some cases, fires may affect the same area two or three times per year, e.g., one early dry season fire consuming the grass layer and one subsequent fire burning in the shed-leaf litter layer (Goldammer 1993; Wanthongchai et al. 2011). The size of these fires is usually larger than the area that was intended to be burned. This is mainly due to the uniformity of available fuels. The ecological impacts of annual fires on deciduous and semi-deciduous forest formations are significant. Fire strongly favors fire-tolerant trees, which replace the species potentially growing in an undisturbed environment (Figs. 4 and 5). Many of the monsoon forests of continental Southeast Asia would be reconverted to evergreen rain forest biomes if human-made fires were eliminated (Fig. 6). Such phenomena have also been observed in Australia where the aboriginal fire practices and fire regimes were controlled, and rain forest vegetation started to replace the fire-prone tree-grass savannas. Fire adaptations and the possible fire dependence of economically important trees such as Sal (Shorea robusta) and Teak (Tectona grandis) have been the focus of a controversial discussion regarding the traditional fire control policy in British Indian Forestry for a long time (Pyne 1990; Goldammer 1993; Goldammer and Wanthongchai 2008). The tropical deciduous forests largely constitute a “fire climax,” i.e., their composition and dynamics are predominantly shaped by fire. However, these fire-climax forests are not necessarily in an ecologically stable condition. Long-term impacts of the frequent fires lead to considerable site degradation. For instance, the erosion rate tends to be high because of the depletion of protective litter layer by fire just before the onset of the monsoon rains (Fig. 7; Goldammer 1993). Fire-Climax Pine Forests in the Tropical Submontane and Montane Altitudes and in the Subtropical Lowlands Approximately 105 species of the genus Pinus are recognized. Some species extend into the tropics. There are no pines occurring naturally between the tropics of Africa and in the whole of the Southern Hemisphere except Sumatra. In the tropics, the pines are largely confined to the zone of lower montane rain forest. They are usually found on dry sites and prefer a slight to distinct seasonal climate. Most tropical pines are pioneers and tend to occupy disturbed sites, such as landslides, abandoned cultivation lands, and burned sites. In the subtropics pines are also found in the lowlands, e.g., in the South of the North American continent.

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Fig. 5 Typical pure stand of Shorea robusta (sal) in northern India and southern Nepal. Fires occurring in 1- to 3-year intervals favor the fire-resistant sal trees and eliminate the most important competing tree species, thus leaving large pure stands of sal (Photo: GFMC)

Fig. 6 Examples of evolution of seasonal and perhumid forest biomes in continental and insular Southeast Asia as influenced by fire and fire protection ((Modified after Blasco 1983)

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Fig. 7 Teak (Tectona grandis) plantation in the State of Uttar Pradesh (India) annually affected by surface fires. The fires leave the teak trees largely unaffected and eliminate all competing vegetation. The depletion of litter layer prevents humus layer formation and leads to heavy erosion processes (Photo: GFMC)

Besides the pioneer characteristics, most tropical pines show distinct adaptations to a fire environment (bark thickness, rooting depth, occasional sprouting, high flammability of litter) (Goldammer and Peñafiel 1990). The tropical pure pine forests of Central America and South Asia most often are the result of a long history of regular burning. As in the tropical deciduous forests, fires are generally set by graziers, but also spread from escaped shifting cultivation fires and the general careless use of fire in rural lands. Fire return intervals have become shorter during the last decades, often not exceeding 1–5 years. These regularly occurring fires favor the fire-adapted pines, which replace fire-sensitive broad-leaved species. The increased frequency of human-caused fires has led to an overall increase of pines and pure pine stands prevalence outside the potential natural area of occurrence in a non-fire environment. In the mountainous zones of the tropics, fire also leads to an increase of the altitudinal distribution of pines, e.g., by expanding the mid-elevation pine forest belt downslope into the lowland rain forest biome and upslope into the montane broad-leaved forest associations (Kowal 1966). These tropical fire-climax pine forests are found throughout Central America, the mid-elevations of the southern Himalayas, and throughout submontane elevations in Burma, Thailand, Laos, Cambodia, Vietnam, Philippines (Luzon), and Indonesia (Sumatra). The subtropical fire-climax pine forests are also the result of a long history of natural and anthropogenic fires. In North America, the belt of southern pines gradually stretches from the subtropical coastal regions along the Gulf of Mexico into the southern temperate forest region. Pines that may dominate or form exclusively pure stands are in permanent competition with broad-leaved tree species. Broad-leaved trees in general are less fire tolerant than pine species. Thus the influence of regularly occurring natural fires caused by lightning, the historic fires set by the pre-Columbian Indian population, and later by the game hunting society gave advantage to the genus Pinus, which proved to cope successfully with the fire

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environment. The mix of natural fires and anthropogenic-influenced fire regimes was disturbed by the influential European dogma of fire exclusion, which inappropriately was imposed in North America. During the 1970s, public policies were modified aiming at the reestablishment of native natural and human-shaped fire regimes. This was approached through the reintroduction of prescribed burning practices, as well as allowing some wildfires to burn, within the fire management objectives. In the tropical and subtropical regions, fire-climax pine forests provide a high degree of habitability and carrying capacity for humans. If used properly in time and space, fire creates a highly productive coniferous forest, which grants landscape stability and sustained supply of timber, fuelwood, resin, and grazing land. However, together with the effects of overgrazing (including mechanical disturbances, e.g., caused by trampling) and extensive illegal logging, the increasing occurrence of wildfires tends to destabilize the submontane pine forests and results in forest depletion, erosion, and subsequent flooding of lowlands (Pancel and Wiebecke 1981; Fig. 8a, b). Savannas and Open Woodlands The various types of natural savanna formations are potentially of edaphic, climatic, orographic origin and additionally shaped by wildlife (grazing, browsing, and trampling) and fire (cf. Cole 1986). Together with anthropogenic influences (e.g., livestock grazing, fuelwood cutting, and other non-wood product uses), most tropical savannas are shaped by regularly occurring human-made fires (Fig. 9). The interactions of wildlife, humans, and fire in the prehistoric climate and landscapes as described by Sch€ ule (1990) are of significant importance in the development of tropical savannas. Modern synoptic analyses of savanna ecosystems have always regarded fire as an important function.3 A tremendous variety in physiognomy of the savannas occurs throughout the tropics of Africa, America, and Asia. A common feature, however, is the grass stratum, which is an important surface fuel of the open savanna woodlands (tree savannas) and the predominant or exclusive fuel in the grass savannas (grasslands) and in the ecotones between ecosystems defined as forests. From the point of view of fire ecology, the distinction between a savanna ecosystem and an open forest could be based on the potential fuel availability. In a savanna, the grass stratum would be the exclusive or predominant fuel, whereas in open deciduous forests the fuels carrying a fire should predominantly be tree leaf litter and other downed woody materials from the tree layer. Fuel availability (aboveground biomass density of the grass stratum) per area unit varies with the different bioclimatic and phytogeographic savanna zones (Menaut et al. 1991). In the arid zone of West Africa (Sahel), aboveground biomass ranges between 0.5 and 2.5 t ha 1, in the mesic Sudan zone between 2 and 4 t ha 1, and in the humid Guinea zone up to 8 t ha 1. Fire frequency largely depends on fuel continuity and density. Thus, savannas with relatively high and continuous loads of flammable grasses, such as the Guinean savannas, are subjected to shorter fire-return intervals as compared to the arid savannas (Fig. 10). Burning efficiency depends on the moisture content of dead and live organic matter. Fires occurring in the early dry season generally consume less of the aboveground biomass than those at the end of the dry season. Fires in Tropical Planted Forests Forest plantations in the tropics are established for three main purposes. First, afforestations are planned to support the demands of local population such as for timber, fuelwood, non-wood forest products, silvopastoral, and other agroforestry systems. Second, afforestations are part of landscape rehabilitation

The following monographs contain numerous bibliographical sources on savanna fires: Tall Timbers Research Station (1972), Huntley and Walker (1982), Booysen and Tainton (1984), Cole (1986), or van Wilgen et al. (1997).

3

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Fig. 8 (a, b) Young Pinus khesyia stand on a steep slope on Luzon, Philippines, and a pure open stands of Pinus roxburghii on the Himalayan south slopes of Uttar Pradesh (India). Large tracts of these pine stands are subjected to severe erosion processes due to the effects of regular fires, overgrazing, browsing, and trampling (Photos: GFMC)

or environmental protection measures, for example, planting of greenbelts and plantations to encounter the impacts of wind, erosion, and desertification. The third objective of afforestation activities is to establish industrial plantations for cash crops, mainly timber, pulpwood, or oilseeds. Only a minor part of the industrial plantations is afforested with indigenous species. Most species planted are fast-growing exotics among which Pinus spp. and Eucalyptus spp. are the genera most widely used. Litter production in plantations of fast-growing species is extremely high and often is not in equilibrium with decomposition. The monoculture structure of plantations and the exclusion of other forest uses lead

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Fig. 9 Generalized scheme of closed dry deciduous forest degradation and rehabilitation as induced by uncontrolled fire and grazing (regressive development) and protective measures (progressive development) (Modified after Verma 1972)

to accumulation of surface fuels (thick layers of needles/leaves, downed woody debris, shed bark strips) and aerial fuels (draped fuels: shed needles intercepted by branches/twigs) (Figs. 11 and 12). Within their natural range, both genera have developed forest formations largely shaped by natural and human-made fires. The role of regularly occurring fires was to suppress fire-sensitive vegetation and to favor the formation of pure stands of fire-resistant pines and eucalypts. Exclusion of fire from the fireclimax ecosystems generally leads to buildup of fuels and extreme wildfire hazard (high-intensity stand replacement fires). During the past decades, almost all industrial exotic forest plantations in the tropics were established without considering and introducing recurrent fire as a basic element of stabilizing the biological disequilibrium in fuel dynamics. Consequently, many of these plantations are highly susceptible to high-intensity stand replacement fires. The introduction of prescribed fire into tropical plantations (or the restoration of fire into fire ecosystems that were transferred from their native fire environment into a management system in which fire originally had not been integrated) is still a challenging field of fire research and fire management policy (de Ronde et al. 1990; Goldammer and de Ronde 2004; cf. section “Prescribed Burning”).

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Fig. 10 Many of the tropical humid savannas are long-term stable fire-climax ecosystems. The photograph shows a humid “Guinean” savanna type in Côte d’Ivoire (West Africa) which is subjected to regular fire influence. The extreme fire tolerance of palms (here: Borassus aethiopum) is a pantropical phenomenon (See also Fig. 2. Photo: GFMC)

Fig. 11 A typical fuel load of needles in a 9-year-old Pinus elliottii plantation. Note the ladder (aerial) fuels and the lack of understory. Fazenda Monte Alegre, Paraná, Brazil (Photo: GFMC)

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Fig. 12 Surface fuel load in a 15-year-old Pinus taeda plantation after third thinning. Same location in Brazil as Fig. 11 (Photo: GFMC)

Other Environmental Impacts of Tropical Fires Since the 1990s increasing attention has been given to the impact of tropical fires on regional- and globalscale environmental processes, e.g., the role of tropical fires in biogeochemical cycles and especially in the chemistry of the atmosphere (cf. syntheses by Goldammer 1990, 2013a; Levine 1991, 1996; Crutzen and Goldammer 1993). A recent estimate of the magnitude of tropical plant biomass burned in shifting agriculture, permanent deforestation, other forest fires, and savanna fires revealed that up to 5.1 billion tons of combusted plant biomass may result in an annual immediate (gross) release of carbon into the atmosphere in the magnitude of 8.4 billion tons of carbon dioxide (CO2) and 400 million tons of carbon monoxide (CO) (Andreae 2013). Table 1 shows that the amount of CO2 emitted from fires affecting tropical savannas and forests corresponds to about one third of the total emissions from fossil fuel burning. Though the amount of carbon remaining in the atmosphere (net release) is not known exactly, it is generally accepted that the net release of carbon into the atmosphere from plant biomass burning for permanent conversion of tropical forest into other land uses (“deforestation”) amounts to ca. 1 billion tons per year. Although the emissions from tropical vegetation fires are primarily CO2, many by-products of an incomplete combustion process, which play an important role in atmospheric chemistry and climate, are emitted as well (Crutzen and Andreae 1990). Much of the burning is concentrated in limited regions and occurs mainly during the dry season, resulting in levels of atmospheric pollution that rival those in the industrialized regions of the developed world. These environmental consequences of tropical fires demonstrate that this natural force, increasingly induced by humans, is influencing ecosystem processes on a scale that goes far beyond the site where fire is applied.

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Table 1 Global annual plant biomass combusted by fire and the emitted amounts of CO2 and CO released in the late 1990s (in mass of species per year, millions of tons per year) compared to the CO2 and CO emissions from fossil fuel burning

Million tons burned CO2 CO

Savanna and grassland 3,160

Tropical forest 1,330

Extratropical forests 640

Biofuel burning 2,824

Charcoal making 152

Charcoal burning 38

Agricultural residues 496

Total 8,600

Fossil fuel burning –

5,257 197

2,162 134

1,006 68

4,274 242

73 12

98 8.4

723 46

13,600 710

23,100 278

This table is an extract of a more comprehensive compilation of global annual emission of selected pyrogenic species in the late 1990s (Andreae 2013) (Copyright note: This table has been published by GFMC, no copyright issues).

Fire Management The description of fire ecology of some selected tropical vegetation types, coupled with other ecological implications of tropical biomass burning, demonstrates that a general and overall valid statement on the role of fire cannot be made. On the one hand, it is clear that fire in the tropics has been used by humans for millennia in successfully cultivating and maintaining valuable forests and open savanna landscapes of high sustainability and carrying capacity. On the other hand, in recent years, fire has become the most destructive and omnipresent agent in tropical vegetation. The tropical forest land manager is challenged to carefully investigate the very specific (real) and potential role of fire in his area of responsibility, to determine the allowable extent to which fire is compatible with other management and conservation objectives, and to transfer this knowledge into an integrated fire management system (Fig. 13). Fire management guidelines developed by international organizations provide more detailed guidance and suggestion for comprehensive approaches in fire management (ITTO 1997; FAO 2006). To avoid redundancy, it is suggested to consult these guidelines, which are available online.4 These guidelines provide, among other things, guidance to principles and strategic actions that are not addressed in this chapter: • Principles – Social and cultural – Economic – Environmental – Institutional • Strategic actions – Fire and resource management planning – Fire management in natural or protected areas and reserves – Fire awareness and education – Fire danger rating and early warning systems – Fire preparedness, including technical training – Pre-fire-season activities – Fire detection, communications, and dispatching

See comprehensive web page of the Global Fire Monitoring Center (GFMC) with links to all fire management guidelines: http://www.fire.uni-freiburg.de/literature/Fire-Management.htm. 4

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Fig. 13 Schematic diagram of components, objectives, and considerations of integrated fire management system

– – – – –

Initial attack/action Large-fire suppression and management Managing multiple incidents Burned-area restoration and rehabilitation Monitoring and assessment

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Fire Management Options: Some Basic Considerations

A brief review of tropical fire regimes revealed the different functional roles of fire in tropical ecosystems and the variation of sensitivities and adaptations to fire, including fire dependence of some ecosystems. Given the magnitude wildfires and land-use fires globally, which may affect up to 600 million hectares annually (Mouillot and Field 2005), among which savanna ecosystems of Africa and South America may account for more than the half of the global area burned, fire management planning must be on a realistic basis and give priorities to the most vulnerable ecosystems. In principle, there are three basic options for fire management planning; the following three basic considerations and possible fire management options in tropical forestry will be highlighted. The ecological and economic implications of these options are summarized in a general scheme provided in Table 2. The integrated fire management option embraces all possible treatments as listed in the table (fire exclusion, integration of uncontrolled but tolerable or desired wildfires, and application of prescribed fire).5 Fire Exclusion: Equatorial rain forests, in general, are extremely fire sensitive and require the strict exclusion of fire if conservation or management objectives are not to be jeopardized. This also applies to forest plantations that are stocked by fire-sensitive tree species or tropical peat swamp forests. In these cases, fire management requires consequent fire prevention and control approaches and the availability of an efficient fire protection organization. Integrated Fire Management: The application of an integrated fire management approach requires a thorough understanding of the impacts of fire in a specific tropical forest type. It requires the capability to actively manage all fire situations, e.g., to prevent and suppress all undesirable fires, to take advantage of the benign effects of fire, to obtain resource management goals by prescribed burning, and to define and control the threshold between the desired and undesired effects of uncontrolled natural- and humancaused fires. In many regions of the tropics and subtropics, the effects of fire on ecosystem properties and stability, including carbon sequestration capacity, may vary depending on the seasonality of fires. For instance, fires burning at the peak or at the end of the dry season are generally more severe and destructive due to extreme fire weather and accumulated fuels, whereas fires burning in the early dry season may have less intensity and severity and thus cause less damage to the ecosystem. No Fire Management (Uncontrolled Wildfire Occurrence): There are vast areas of tropical and subtropical open deciduous and semi-deciduous forests, grass, bush, and tree savannas that are burning on a large-scale, annually, or in short-return intervals of 2 or more years. Burning patterns (timing of burning, burning frequency) follow traditional land treatment practices or are subjected to chance and in some regions are also caused by lightning. In many places there may be no alternatives but to let these fires burn due to a lack of fire management capabilities, access, infrastructure, and (suppression) funding. As mentioned before, the uncontrolled fire regimes of many fire-climax savanna and forest landscapes may be tolerable as long as no additional degradation factors interfere, e.g., excessive grazing. However, the introduction of integrated fire management in many places, based on the active participation of local rural communities, may increase the productivity and sustainability of the vegetation. For instance, progressive developments from savannized vegetation toward a higher tree cover or rehabilitation of forest cover could be reached by implementing the principles of integrated fire management. This also has implications on the sequestration of terrestrial carbon.

5

Due to lack of space in the Tropical Forestry Handbook, the reader is referred to comprehensive monographs and manuals that cover the basics in fire behavior, fire management, and fire suppression methods and technologies, e.g., Brown and Davis (1973), Luke and McArthur (1978), Chandler et al. (1983), Pyne et al. (1996), Goldammer and de Ronde 2004, and Heikkilä et al. (2007). A short glossary of fire management terms is found in Appendix 2. For online glossaries, see GFMC web page: http://www.fire.uni-freiburg.de/literature/glossary.htm. Page 19 of 42

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Table 2 Ecological, economic, and management aspects of integrated fire management options in various tropical forest and other sub-forest types (Source: Goldammer (1993), modified)

Fire exclusion

Ecological and economic aspects of fire Ecological impacts

Economic and management implications

Uncontrolled wildfires

Ecological impacts

Economic and management implications

Deciduous broad-leaved forests (e.g., Tectona grandis, Shorea robusta) High diversity of species, habitats, and niches. High waterretaining and soil protection capability

Economic wood production difficult because of high diversity of species. Increase of non-wood forest products Selection of fire-resistant/ tolerant tree species. Opening of forest formation

Species composition and relevant management and marketing opportunities get out of control

Coniferous forests (e.g., Pinus spp.) Replacement of coniferous species by less fire-tolerant broad-leaved species. Pines only on dry shallow and disturbed sites. Overall increase of species diversity. High water-retaining and soilprotection capability Economic wood production difficult because of high species diversity

Retreat of firesensitive species and favoring of fire-resistant pines. Opening of forests. Stand replacement fires. Forest degradation Tendency to degradation and loss of productivity

Industrial plantations (e.g., Pinus and Eucalyptus spp.) High risk of uncontrolled high-intensity standreplacement wildfires due to fuel accumulation

Silvopastoral systems (e.g., open pine forests with grazing) Undesirable increase of species not suitable for grazing purposes. Replacement of grass stratum by succession

Grass savannas (e.g., extensively grazed wildlands) Progressive successional development toward brush/ tree savannas or forest. Promotion of less firetolerant species

Wood production feasible. Extreme high risk of destruction of plantations by wildfire

Only possible if intensively grazed and mechanically cleared

Not feasible

Standreplacement fires

Uncontrolled selective fire pressure. Maintenance of openness

Maintenance of a wildfire climax. Uncontrolled selection of fire-adapted plants

Management objectives jeopardized if no efficient fire prevention and control system available

Possible longterm degradation and loss of productivity

Productivity depends on savanna type and other degradation factors involved (continued)

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Table 2 (continued)

Prescribed fire (integrated fire management)

Ecological and economic aspects of fire Ecological impacts

Economic and management implications

Deciduous broad-leaved forests (e.g., Tectona grandis, Shorea robusta) Controlled selection of tree species

Coniferous forests (e.g., Pinus spp.) Controlled favoring of desired firetolerant species Reduction of standreplacement fire risk

Industrial plantations (e.g., Pinus and Eucalyptus spp.) Maintenance of desired monostructure of plantations. Reduction of standreplacement fire risk. Increase of vitality

Silvopastoral systems (e.g., open pine forests with grazing) Controlled promotion (stimulation) of desired tree and fodder plant species

Grass savannas (e.g., extensively grazed wildlands) Controlled promotion of desirable grassherb layer and tree-blush regeneration

Advantageous for stimulation and harvest of selected non-wood forest products An integrated fire management system requires availability of relevant ecological background knowledge, trained personnel, and infrastructural facilities to prevent and control undesired wildfires and conducting safe prescribed burning operations

Methods and technologies for implementing either the fire exclusion policy or an integrated fire management system are described in the following sections of fire prevention, fire suppression, prescribed burning, fire management organization, legislation, and policies.

Fire Prevention

The prevention of forest fires and other wildland fires embraces a wide range of measures that either modify the fuels present – or within the fire-threatened resources – so that spread and intensity of fires are hampered. Thereby, fires can be controlled by the technical means available (fuel management), or the human-caused ignition sources can be reduced. Fuel Management The most important fuels in forests, which need to be treated, are the surface fuels. Surface fuels – the grass-herb stratum, shrubs – are the main carriers of the horizontal spread of fire. Fuels comprising understory trees and “aerial fuels” determine the potential for building up the vertical development of a surface fire, i.e., a crown fire. Aerial fuels are defined as all combustibles not in direct contact with the ground, e.g., foliage, twigs, and understory tree crowns, which may carry a surface fire up to the crowns (“ladder fuels”). The treatment of these fuels either concentrates on buffer zones (firebreaks or fuelbreaks designed to break up large continuous forested areas) or is practiced inside of the forest stands to be protected. Firebreaks The construction of firebreaks and fuelbreaks around and inside of a forest complex is a common method of separating fuels (interruption of fuel continuity). A firebreak is a line of a width up to several meters on which all combustibles are removed and the mineral soil is exposed. The objective of firebreak construction is to segregate, stop, and control the spread of a wildfire. The width of the firebreak varies with fuel loads and expected spotting behavior (fires jumping over the firebreak). Since fires may easily cross over Page 21 of 42

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firebreaks of up to several dozen meters, it is often extremely uneconomical to establish and to maintain such large and unproductive strips of land. Furthermore firebreaks in steep terrain are subjected to erosion during the rainy season. Fuelbreaks with Agricultural Crops The concept of a fuelbreak is different: Fuelbreaks are generally wide (up to several hundred meters) strips of land on which flammable vegetation is modified so that fires burning into them can be more readily controlled. In the tropics, it has been demonstrated successfully that fuelbreaks can be maintained economically by agricultural or agro-silvopastoral land uses. Agricultural and pastoral land uses usually involve intensive soil treatment and the removal of aboveground biomass so that less flammable ground cover is available. A general recommendation for species to be planted on agricultural fuelbreaks cannot be given because of the specific site and climate conditions required. However, some basic principles should be observed. The design of agricultural fuelbreaks should be according to the suitability of sites for growing agricultural crops. The selection, treatment, and harvest of crops should observe the seasonality of fire danger, e.g., the removal of flammable plant debris prior to a period of high fire danger. The integration of millet cultivation (e.g., Pennisetum glaucum, a millet species largely planted as staple food throughout Africa and Asia) on fuelbreak strips may serve as an example for specific harvest planning. The edible parts of millet are usually harvested at the beginning of the dry season, and the remaining biomass (highly flammable stem with leaves) is left on the site until the end of the dry season. In this case it would be required, by contracting the farmer, so that the removal of all aboveground biomass has to be finalized before the beginning of the fire season. If sites are suitable, it is preferable to grow creeping plants such as various legumes or groundnuts, which will not carry any surface fire due to intensive soil treatment and low and/or spaced growth. Pastoral and Silvopastoral Fuelbreaks The integration of grazing is another method of reducing the flammability of the surface fuels on treeless strips and on “shaded fuelbreaks” (grazing under wide-spaced tree overstory). The grazing resources on the treeless fuelbreaks may occur naturally or may need to be seeded if suitable grass species are not available locally. The impact of “prescribed grazing” (Goldammer 1988) and the browsing of brush and tree succession keeps the total fuel loading down. If grazing and/or browsing is selective, e.g., by leaving certain grass and brush species unaffected, additional mechanical treatment or the use of prescribed burning is necessary in order to further reduce the surface fuel loads. Pastoral fuelbreaks may include firebreaks, for example, small strips along each side of the fuelbreak; these firebreaks are mandatory if prescribed fire is applied for fuelbreak maintenance (see below). The spatial concept of open (treeless) rangeland strips follows the same basic patterns as provided in Fig. 14. Shaded fuelbreaks in principle are similar to the concept of silvopastoral systems. The idea of shaded fuelbreaks is to avoid the complete opening of a forest either by firebreaks or by treeless fuelbreaks. It involves a combination of timber production and animal husbandry management. Timber production is restricted to a relatively low amount of trees and depends on the species used, as well as the topography; low-density spacing produces solitary-type trees. Depending on the species involved and the timber production goals, these solitary trees may need to be pruned regularly (e.g., Pinus sp.). This spatial concept results in breaking the continuity of surface and aerial fuels, both vertically and horizontally. Shaded fuelbreaks offer a variety of benefits both for pasture and forest management. For example, they reduce the heat stress of grazing animals or plant water stress due to wide spacing and reduced competition. The selection of tree and animal species to be used in an integrated silvopastoral system must be investigated carefully in order to avoid incompatibility of both uses, such as possible tree Page 22 of 42

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30

30

m

m

60m 50+% slopes

m

Clear all low, woody fuel; thin-prune

30

50m

50% slope 20-50% slope Clear all low, woody fuel; thin-prune

0-20%

pe

% slo

0-20

slope

100m Thin edge overstory more severely; understory if funds permit

10m tree spacing

6m tree spacing

10m tree spacing

60m 100m Clear all low, woody fuel; thin-prune

80m

Steep canyon wall

80m

Fig. 14 Generalized spatial concept of fuelbreak design in dependence of topography. This scheme has been developed for mixed conifer forests in Sierra Nevada, California, but can be applied in other forest types and under different bioclimatic conditions (Source: Courtesy US Forest Service (Green and Schimke 1971))

damages caused by animals, etc. In Figs. 15 and 16, examples are given of what such shaded fuelbreaks inside of pine and eucalyptus plantations could look like. Fuelbreaks Without any Other Land Use Fuelbreaks that are not utilized for agricultural land uses need to be structured in the same way as silvopastoral fuelbreaks. The removal of slash (thinning and pruning) requires mechanical treatment, by hand or by using shredding devices to cut the slash to small particles (chipping). These particles remain on

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Fig. 15 This photo shows a silvopastoral system (sheep grazing under Pinus radiata). Intensive pruning and removal of slash are required to provide sufficient light for grass growth and access for animals (Photo: GFMC)

Fig. 16 Open stand of Eucalyptus globulus in the north of Argentina. The effects of prescribed grazing and prescribed fire keep the stand clean from fuel accumulation and considerably reduce the high-intensity wildfire risk (Photo: GFMC)

site for the improvement of the humus layer formation. A compact layer of chipped fuels is generally less flammable. Surface fires creeping on such compact layers are generally easy to control. The slash can also be removed from the fuelbreaks and burned in piles. The use of prescribed fire on fuelbreaks follows the general concepts as described in section “prescribed burning”.

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Fuel Management Inside of the Standing Forest to Be Protected The treatment of surface and aerial fuels inside a standing forest requires careful economic planning. Fuel reduction by mechanical means such as pruning, thinning, removal of understory vegetation and other surface fuels, and slash thinning is very labor and cost intensive. Costs can be reduced if the biomass, which is to be removed, is utilized by the local population (e.g., for fuelwood). Fuels inside of those forest and sub-forest types, which are adapted to low-intensity surface fires, can be treated by prescribed fire. Extensive information on techniques is available for conducting safe underburning of plantations in order to reduce the accumulation of fuels (cf. section “Prescribed Burning”). Integration and Cooperation with the Rural Population Tropical forest fires and other wildland fires are primarily caused by rural populations. An efficient fire prevention strategy, therefore, requires an initial understanding of the cultural and socioeconomic background of the tropical fire scene. Socioeconomic and cultural surveys on fire causes reveal that the most important reason for the careless use of fire is related to the fact that the rural population does not realize the economic and ecological benefits from forests and forest protection. Additionally, it is often recognized that rivalries and conflicts between forestry and agricultural land users provoke the intentional and careless setting of forest fires. The tropical forest fire manager relies heavily on a positive relationship between the people in the rural space and his forest. Mutual confidence and public support can be created by participatory approaches, e.g., by employing people in the forestry sector, especially in fire prevention work (establishing and maintaining firebreaks and fuelbreaks, other fuel treatment). The integration of agricultural and grazing land use into the fuelbreak system, as described before, can also create a high degree of confidence and even dependence (e.g., through a cost-free leasing of fuelbreak land). Other measures that may stimulate cooperation in fire prevention are “non-fire bonus incentives.” Such an incentive provides funding for villages (or other types of communities), if no fire occurs on specific lands and during specific times. Such programs, however, must be accompanied by public information campaigns (e.g., through mass media, schools, churches). Since the use of fire remains to be a vital factor in tropical land use systems, it is recommended that fire management extension services be offered. The extension service should provide information and training in safe and controllable burning techniques. With these techniques it would be possible to retain the fire within the intended area of application and to reduce the risk of human fatalities. Figures 17, 18, and 19 show examples of community involvement: prevention messages, fire prevention planning at the community level, and cooperation of local farmers in the safe application of prescribed fire. Concepts of participatory, local community-based fire management are increasingly being applied in many countries. Background information, case studies, and outreach materials from all continents are available on a web portal.6 These materials also include the “Guidelines on Defence of Villages, Farms and Other Rural Assets against Wildfires (Guidelines for Rural Populations, Local Communities and Municipality Leaders).” The guidelines, which were developed for the Balkan Region, provide easy-toread advice for rural communities to prevent, be prepared for, and defend against wildfires threatening rural assets, human health, and lives. The guidelines can be modified for the use in other regions.7

Community-based fire management web portal of the Global Fire Monitoring Center (GFMC): http://www.fire.uni-freiburg. de/Manag/CBFiM.htm 7 http://www.fire.uni-freiburg.de/Manag/CBFiM_11.htm 6

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Fig. 17 Fire prevention message involving local art in Namibia (Source: M. Jurvélius, former Namibia-Finland Forestry Programme)

Fire Suppression

Most of the modern technologies for forest and other wildland fire suppression approaches have been developed in the industrialized countries. In many tropical countries, the lack of infrastructure, trained personnel, and financial resources constitutes the major impediments for purchasing technologies. These more advanced approaches include but are not limited to aerial firefighting assets (e.g., fixed-wing aircraft and helicopters for fire suppression and deployment of personnel by parachutes, helicopter attack crews), advanced extinguishants (chemical fire retardants and foam), and modern ground tankers (four-wheel drive multiple-purpose vehicles for rapid fire attack). It has been recognized, however, that most of the average fire situations in many vegetation types of the world can be managed successfully simply by experienced professional and volunteer firefighters, or adequately trained rural community members. The success of ground crews depends on the availability of appropriate hand tools and personal protective equipment and the provision of basic training in fire suppression and firefighter safety (Figs. 20 and 21). The most important fire suppression hand tools are those for creating fire lines (principally the same concept as firebreaks) and for extinguishing a surface fire front or fires jumping (spotting) over the control lines with fire swatters or small amounts of water (e.g., by using backpack pumps). Tools designed for cutting (removal of grass, brushes, and small trees), hacking (removal of grass swards and brushes), and scraping/digging/raking (removal of litter layer and other debris for creating a mineral soil strip) are the main hand tools for fire line construction. Page 26 of 42

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Fig. 18 Fire prevention planning in a local community in Mozambique (Photo: GFMC)

Fig. 19 A prescribed slash-and-burn fire realized by a farmer in Jalapao, Brazil, with the assistance of the local fire crew, to ensure that the fire will not escape to the surrounding land (Photo: GFMC)

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Fig. 20 Local community members equipped with personal protective equipment and backpack pumps fighting a surface fire in a sal (Shorea robusta) forest in Terai, Nepal (Photo: GFMC, Sundar P. Sharma)

Fig. 21 Local community members setting a backfire (counter fire) in a sal (Shorea robusta) forest in the Terai, Nepal (Photo: GFMC, Sundar P. Sharma)

The simplest and most portable water-pumping device is the backpack pump. It consists of a collapsible bag or tank (plastic, rubber) that contains up to 20 l of extinguishants (usually water, but also chemical retardants or a foaming agent). A hand-operated pumping device with a nozzle (adjustable for straight stream or spray) allows an extremely economic use of the liquid. Backpack pumps, operated by a skilled firefighter, are the most simple, efficient, flexible, and economical of all the water-pumping options – especially suitable for extinguishing fires spotting over fire lines and low-intensity surface fires. Drip torches or other local ignition devices are often used for setting prescribed fires in open-land systems or under canopies or for setting backfires, which are “counter fires,” intentionally set to halt an approaching wildfire by starving the main fire of fuel. The use of backfires is a technique successfully applied by experienced fire teams throughout the world, but may be dangerous and detrimental when used

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Fig. 22 Example of EuroFire training materials (I): Illustration of safe backfiring (counter firing) technique (Source: GFMC, EuroFire)

by inexperienced personnel. In the rural societies of the tropics, many agriculturists have considerable empirical knowledge in backfire application. Fire safety training, however, in the use of backfiring and prescribed burning techniques (cf. following section) is a mandatory part of extension programs for the rural population involved in any fire use and fire management activities. For details on fire suppression tactics, the reader is kindly referred to the fire management training handbooks, which are quoted above.8 Meanwhile, some online resources for the training of wildland firefighters have become available. The EuroFire Competency Standards and Training Materials, which were developed by the Global Fire Monitoring Center (GFMC) originally for the training of European fire and rescue service personnel, are now available in more than ten languages.9 Figures 22, 23, and 24 provide examples and illustrations for the safe use of prescribed fire (see section “Prescribed Burning”) and backfiring.

Prescribed Burning

The characteristics of some tropical fire-climax forests and sub-forest formations, coupled with the pressure of uncontrolled fires on most tropical vegetation types, require a careful approach in integrated fire management. The introduction of prescribed fire in many cases is mandatory if the productivity of these ecosystems were to be endangered by fire exclusion or by the occurrence of detrimental uncontrolled fires. Prescribed burning is the controlled application of fire to wildland fuels in either their natural or modified state, under specific environmental conditions, which allow the fire to produce the fire line intensity and rate of spread required to attain planned resource management objectives. The principles of integrated fire management (Fig. 13) and the ecological, economic, and management aspects of fire management options in tropical vegetation types (Table 2) show the broad variety of management objectives to be attained through prescribed burning. In tropical countries, the methods of prescribed burning are often referred to as “early burning,” This term somewhat expresses the fact that a fire is 8 9

See footnote 5. EuroFire website: http://www.euro-fire.eu/ Page 29 of 42

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Fig. 23 Example of EuroFire training materials (II): Illustration of safe backfiring (counter firing) technique (Source: GFMC, EuroFire)

Fig. 24 Example of EuroFire training materials (III): Illustration of safe prescribed burning. Source: GFMC, EuroFire

intentionally set by the forest manager in the early dry season because its effects are to prevent the comparatively more serious effects of a fire occurring uncontrolled during the peak dry season. It is impossible to cover in detail the possible prescribed burning principles, the objectives, and the relevant techniques for all tropical sub-forest and forest types. More detailed information on prescribed burning in grasslands and savannas can be further assessed in syntheses by van Wilgen et al. (1990) and Trollope (1999). Extensive expertise is available on prescribed burning in forest management in industrial pine plantations (e.g., the comprehensive summary by de Ronde et al. 1990). The objectives of prescribed burning in pine plantations are summarized in Table 3 in which information is given in addition to Fig. 2 and Table 2. In the context of this chapter, the most important is the use of prescribed fire in underburning forests to temporarily reduce the hazardous buildup of dead fuels on the forest floor. This, in turn, reduces the risk of more damaging high-intensity wildfires. Low-intensity prescribed fires do not only reduce the surface fuels but also speed up the recycling of nutrients into a form usable by the trees. The interval between fuel reduction burns depends on several factors including species, fuel accumulation rates, values at risk, and wildfire risk. Page 30 of 42

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Table 3 Potential objectives for the use of prescribed fire in management of industrial pine plantations (Source: Goldammer (1993), modified)

Objectives Wildfire hazard reduction

Site preparation for natural regeneration or planting Improve accessibility Increase growth/yield

Target Thinning or postharvest slash, forest floor (raw humus), aerial fuels, rank understory Forest floor, postharvest slash, undesired vegetation

Desired effects Reduce potential wildfire intensity and severity, remove surface and ladder fuels, reduce understory stature Expose mineral soil (improve germination), increase seed fall

Thinning of postharvest slash, rank understory Raw humus layer (forest floor), understory plants

Improve access for silvicultural operations, esthetics (recreation) Enhance nutrient availability; reduce competition for moisture, sun, and nutrients Promote desired species

Alter plant species composition

Weeds and other undesirable vegetation

Pest management

Pests and diseases and their habitats

Eliminate spores, eggs, individuals, and breeding material

Silvopastoral land use

Slash; forest floor; mature, unpalatable growth; competing vegetation Surrounding buffer zone, fuel breaks, and fire breaks

Create/improve conditions for desired ground cover

Improve fire protection

Undesired effects or potential hazards Stand/tree damage (crown, bole, or roots)

Encroachment, sprouting, or germination of undesired plants

Possible substitution Partial (mechanical treatment/removal by hand, shredding, piling and burning outside of stand, pruning) Partial (herbicides to kill undesired vegetation)

Reduction of understory stature Loss of nutrients (leaching), erosion

Partial (herbicides to kill undesired understory)

Increase in weed germination/ production of undesirable seeds Fire-induced tree stress, increased susceptibility to secondary pests

Herbicides

Fertilization and herbicides

Pesticides

Mechanical removal of dead fuels and vegetation

Reduce spread and intensity of wildfires (outside of stands)

The safest technique for underburning plantations is using a backing fire.10 A backing fire must be started along a downwind baseline such as a road or a plowline and allowed to back into the wind or downslope. Wind keeps the flames bent over and cools the air on top of the flaming front, thus reducing the danger of crown scorch or the development of a crowning fire. The preferred prescribed burning wind speed ranges between 2 and 5 km
h 1. The preferred relative humidity (RH) for prescribed burning varies from 30 % to 50 %. RH strongly influences the fine-fuel moisture content, which is the most important parameter affecting prescribed fire behavior. For a successful burn, the fuel moisture content of the litter layer should not be below 7 % and above ca. 30–35 % (de Ronde et al. 1990).

10

Detailed information and description of other burning techniques are given by Wade and Lunsford (1989) and de Ronde et al. (1990). Page 31 of 42

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Fig. 25 Prescribed underburning of understorey ground vegetation and accumulated debris in an pine plantation (Pinus radiata) in South Africa with a fire backing into the wind (Photo: GFMC)

Fig. 26 Prescribed underburning of pine plantations in a 9-year-old Pinus taeda stand in the State of Paraná, Brazil. Note that draped fuels (dead branches with hanging dead needles) have been removed up to a height of ca. 2 m (Photo: GFMC)

Most expertise in prescribed underburning is available for natural and man-made pine and eucalyptus forests (Figs. 25 and 26). Much of this expertise can also be transferred to the conditions of the tropical deciduous and semi-deciduous forest formations (see section “Fire in Seasonal Forests”). Extensive knowledge is available in the use of prescribed fire to maintain or restore open savanna “fire ecosystems” (see literature quoted in section “Savannas and Open Woodlands”). Figs. 27 and 28 show the use of traditional local ignition methods for setting a prescribed fire in a tree-grass savanna in East Africa Page 32 of 42

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Fig. 27 Start of a prescribed fire in an Eastern African (Kenya) tree-grass savanna using traditional ignition device (Photo: GFMC)

Fig. 28 Prescribed fire in a tree-grass savanna in Kenya taking advantage of safe burning techniques, utilization of roads as firebreaks/control lines, and fixed-wing aircraft for aerial safety patrol (Photo: GFMC)

(Kenya) and the systematic application of fire in a fire management unit, where the fire is controlled by unit boundaries (natural boundaries or roads) and monitored from the air. Logging-Debris Burning and Smoke Management Another application of prescribed fire in the tropics is burning logging debris from clear-cuts of degraded natural vegetation, which are prepared for either planting or converted for other land uses. Burning logging slash on open clear-cuts also requires less experience because there is no overstory that needs to be protected. However, the amount of aboveground biomass burned in forest conversion or clear-cut fires Page 33 of 42

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is considerably higher than the amount of biomass combusted by underburning.11 Precautions are needed in order to avoid (1) uncontrolled spread of fire (escaping fires) into areas not intended to be burned and (2) formation of hazardous near-ground smoke concentrations. Both safety hazards can be controlled by burning techniques (ignition and burning patterns) and by observation of other factors that influence fire behavior, such as the spatial arrangement of fuels, fuel moisture, fire weather, etc. Two basic burning patterns are available for logging-debris disposal by fire, broadcast burning (use of the ring fire pattern), and pile or windrow burning. The problem of escaping fires can be solved largely by constructing firebreaks around the area to be burned (beforehand) and to use ignition patterns (e.g., the ring fire technique) that would drive the fire into the center of the burned area. The ring fire technique (also referred to as center or circular firing) is useful on clear-cut areas where a hot fire is desired to reduce the logging debris as completely as possible and to kill any unwanted vegetation prior to planting. As with the backing fire technique, the downwind control line is the first line to be ignited. Once the baseline is secured, the entire perimeter of the area is ignited so the flame fronts will all converge toward the center of the plot. One or more “dotting” fires are often ignited in the center of the area and allowed to develop before the perimeter of the burning block is ignited. The convection generated by these interior fires creates indrafts that help pull the outer circle of fire toward the center, thereby reducing the threat of slop-overs or heat damage to adjacent stands. This technique is very important from the smoke management point of view. In the past years forestconversion fires have created considerable problems in near-surface air pollution. This was mainly due to stable atmospheric conditions and poor burning techniques, e.g., pile and windrow burning.12 The objective of piling logging debris before burning is to prolong fire residence time thereby increasing the consumption of large materials. In practice, however, the piling of heavy fuels tends to mix up large amounts of topsoil (usually due to use of heavy machinery), which creates a moist pile/windrow interior, where fuels hardly dry at all and oxygen for complete combustion is consequently lacking. The result is a fire that continues to smolder for days and weeks and creates considerable problems in near-ground air quality. It is therefore recommended to generate a strong convection column by using the ring fire technique in order to inject the smoke column into higher altitudes. However, attention must be given to the potential problem of generating spot fires in the adjacent fire-prone terrain. Strong convective columns can carry aloft burning or glowing materials and generate new fire starts after they fall out downwind. Prescribed Burning Plans Although detailed burning prescriptions for tropical forests are not yet available, many of the principles and considerations of prescribed burning in industrial pine and eucalyptus plantations can be used for planning. A successful prescribed fire is one that is executed safely and is confined to the planned area, burns with the desired intensity, accomplishes the prescribed treatment, and is compatible with resource management objectives. Prescribed fire planning should be based on the following factors (de Ronde et al. 1990): – Physical and biological characteristics of the site to be treated – Land and resource management objectives for the site to be treated

11

Total fuel loads after clear-cut of tropical rain forests may amount as much as 150 t ha 1 and needs to be burned as complete as possible by high-intensity fires, whereas the surface fuels inside of standing forests range between 2 and 10 t ha 1 and need to be burned with low-intensity fires in order to avoid damages of the standing trees. 12 Logging slash in many cases is piled and windrowed before burning because of problems in igniting and completely burning large fuels (heavy logs) in discontinuous fuel beds. This technique also offers safety for conducting the burn. Page 34 of 42

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– Known relationships between pre-burn environmental factors, expected fire behavior, and foreseeable fire effects – The existing art and science of applying fire to a site – Previous experience from similar treatments on similar sites – Smoke impact from health and safety standpoint

Fire Safety on Contaminated Terrain

Aside from fire management personnel safety (cf. section “Fire Suppression”) and the safety of prescribed burning operations (cf. section “Prescribed Burning”), the tropical fire manager must also observe safety problems arising from fires burning on terrain contaminated by industrial/chemical deposits and remnants of armed conflicts (i.e., land mines and unexploded ordnance). These problems are common in many tropical countries of Asia and Africa and in other regions, notably Europe, where numerous injuries and fatalities have been recorded as consequence of explosions triggered by wildland fires (Goldammer 2013b). Competent authorities should request special advice for fire management on dangerous terrain.

Fire Management Policy and Organization The development of a national fire management policy and relevant legislation and regulations constitute important prerequisites for informed and coordinated fire management activities in a country and for to which the fire manager should refer. A fire management policy needs to address all vegetation types: – – – – – – – –

Natural vegetation including forests and non-forest ecosystems Plantation forests Protected areas Wetlands (peatlands) Agricultural lands Pasture lands (rangelands) Abandoned (formerly cultivated) lands Vegetated lands contaminated by industrial and chemical waste and other pollutants

For the development of a cross-sectoral, consent-based fire management policy, some countries have established National Interagency Fire Management committees or advisory boards in which the main line ministries, other public administrations, and civil society organizations are represented. These may include: – Ministry of Environment (responsible for all environmental issues potentially affected by fire, including atmospheric and transboundary impacts of fire emissions, climate change) – Ministry responsible for forestry (or national forest agency) – Ministry of Agriculture (with regard to fire use in the agricultural and/or rangeland management) – Ministry of Interior (or Emergency Situations or Civil Protection) (responsible for the fire and rescue services and emergency situations) – Ministry of Public Health (protection of population from adverse effects of smoke pollution) – Ministry of Foreign Affairs (cross-boundary fires, international protocols) – Ministry of Defense (assistance in wildfire emergency situations) – Civil society organizations (NGOs, representatives of local communities, agricultural associations, land/forest owners, etc.) Page 35 of 42

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Main themes to be addressed in a national policy may include, but are not limited to: – Research, information, and analysis: Establishment of a national unit of competence in fire management that will assist all participating agencies and other stakeholders in joint implementation of the policy, e.g., by creating the position of a “National Rural Fire Management Cell” (or Officer). – Legal framework and institutional responsibility: Review and update of the legislative and regulatory framework to define responsibilities and obligations of government agencies, stakeholders, of civil society, particularly local communities and individual land owners and land users, in fire management planning, capacity building, fire prevention, preparedness, and response. – Reduction of fire hazard, risk and vulnerability, and prevention of fires: Implement systematically technical fire prevention measures in forests and other lands, notably agricultural, pastoral, and abandoned lands. Public awareness on the negative consequences of forest fires and the need for active participation in fire prevention, notably at the level of local rural communities located in fire-prone regions and for the defense of rural assets against fires, must be prioritized. – Preparedness – provisions to improve fire response and safety: Provide appropriate training of firefighters and other personnel of agencies responsible for forest fire suppression, including volunteers. This will ensure competency and efficiency of actors responsible for firefighting. The establishment of wildfire early warning systems will provide and disseminate warnings of periods of high fire danger and thus allow preparedness and early alerts at national and local levels. – Response – fire suppression: Ensure that specialized forest fire suppression units/subunits are available in regions of high fire risk and that they be equipped appropriately. Land management authorities (e.g., agencies responsible for forestry, protected areas, and agricultural lands) must provide budgets for training and equipping specialized fire management teams in areas of high fire risk. – Post-fire measures: Reduce the threats and consequences of secondary effects of wildfires (e.g., site impoverishment due to erosion or lack of regeneration potential, reduction of water-holding capacity, increase of surface runoff and risk of flash floods, mudslides/landslides, or rock fall). – International cooperation in fire management: Sharing of knowledge in fire science and management and active participation in regional and global networks will ensure that countries take advantage of the state-of-the-art expertise available at international level.

Concluding Remarks In this chapter, the complexity and ambiguity of phenomena and problems associated with fire use and wildfires affecting tropical forests, other tropical ecosystems, and land-use systems have been highlighted. The socioeconomic and cultural conditions in the tropical forest environment are decisive for shaping tropical fire regimes. Forest managers and other land resource managers all around the tropics are facing tremendous pressures posed by humans and fire. This chapter recognizes the need to better understand fire-induced processes and to develop adequate strategies for harmonizing both the benefits of fire, as well as for addressing the detrimental impacts of many of these fires. Finally, this chapter has highlighted basic processes, phenomena, and solutions and poses a number of challenging tasks for fire managers to undertake. The complexity of interactions between land use and other human activities, tropical vegetation characteristics, climate, and climate change may require expert assistance in capacity building in fire management at national and local level. Apart from the quoted fire management guidelines and textbooks, the Global Wildland Fire Network through the participating 14 Regional Wildland Fire Networks may offer opportunities to draw of the experience of countries in

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the tropics that have been more advanced than others.13 The International Wildfire Preparedness Mechanism (IWPM) facilitates the exchange of knowledge and expertise in fire management globally.14

Appendix: Wildland Fire Management Terminology Most of the wildland fire management terms defined in the following are taken from the United Nations Wildland Fire Management Terminology (FAO 1986). Aerial fuels Backfire

Broadcast burning Bump-up method

Center firing Control a fire Counter fire Crown fire

Drip torch

Early burning Firebreak Fire danger rating Fire hazard Fire management

The standing and supported forest combustibles not in direct contact with the ground and consisting mainly of foliage, twigs, branches, stems, bark, and vines A fire set along the inner edge of a control line to consume the fuel in the path of a forest fire and/or change the direction of force of the fire's convection column. Note: Doing this on a small scale and with closer control, in order to consume patches of unburned fuel and aid control-line construction (as in mopping-up), is distinguished as burning out = firing out, clean burning Allowing a prescribed fire to burn over a designated area within well-defined boundaries for reduction of fuel hazard, as a silvicultural treatment, or both (= move up, step up, functional) A progressive system of building a fire line on a wildfire without changing relative positions in the line. Work is begun with a suitable space between workers such as 5 m. Whenever one worker overtakes another, all of those ahead move one space forward and resume work on the uncompleted part of the line. The last worker does not move ahead until the work is complete in his space. Forward progress of the crew is coordinated by a crew leader A method of broadcast burning in which fires are set in the center of the area to create a strong draft; additional fires are then set progressively nearer the outer control lines as indraft builds up so as to draw them in toward the center To complete a control line around a fire, any spot fires there from, and any interior islands to be saved; the control lines; and cooldown all hot spots that are immediate threats to the control line, until the line can reasonably be expected to hold under foreseeable conditions Fire set between main fire and backfire to hasten spread of backfire. Also called draft fire. The act of setting counter fires is sometimes called front firing or strip firing. In European forestry synonymous with backfire A fire that advances from top to top of trees or shrubs more or less independently of the surface fire. Sometimes crown fires are classed as either running or dependent, to distinguish the degree of independence from the surface fire A hand-held apparatus for igniting prescribed fires by dripping flaming fuel on the materials to be burned. The device consists of a fuel fount, burner arm, and igniter. The fuel used is generally diesel or stove oil with gasoline added Prescribed burning early in the dry season before the leaves and undergrowth are completely dry or before the leaves are shed, as an insurance against more severe fire damage later on Any natural or constructed discontinuity in a fuel bed utilized to segregate, stop, and control the spread of fire or to provide a control line from which to suppress a fire A fire management system that integrated the effects of selected fire danger factors into one or more qualitative or numerical indices of current protection needs A fuel complex, defined by volume, type condition, arrangement, and location, that determines the degree both of ease of ignition and of fire suppression difficulty All activities required for the protection of burnable forest values from fire and the use of fire to meet land management goals and objectives (continued)

13

The Global Fire Monitoring Center (GFMC) (http://www.fire.uni-freiburg.de/) acts as secretariat of the Global Wildland Fire Network, which can be accessed on the Internet: http://www.fire.uni-freiburg.de/GlobalNetworks/globalNet.html 14 IWPM website: http://www.fire.uni-freiburg.de/iwpm/index.htm Page 37 of 42

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Fire retardant

Forest residue Fuelbreak

Ladder fuels

Mass fire Mopping up One lick method

Preattack planning

Prescribed burning

Prescribed fire Shaded fuelbreak

Smoke management Surface fire Values at risk Wildfire Wildland/residential interface

Any substance except plain water that by chemical or physical action reduces the flammability of fuels or slows their rate of combustion, e.g., a liquid or slurry applied aerially or from the ground during a fire suppression operation The accumulation in the forest of living or dead mostly woody material that is added to and rearranged by human activities such as forest harvest, cultural operations, and land clearing Generally wide (20–300 m) strips of land on which the native vegetation has been permanently modified so that fires burning into them can be more readily controlled. Some fuelbreaks contain narrow firebreaks which may be roads or narrower hand-constructed lines. During fires, these firebreaks can quickly be widened either with hand tools or by firing out. Fuelbreaks have the advantages of preventing erosion, offering a safe place for firefighters to work, low maintenance, and a pleasing appearance Fuels which provide vertical continuity between strata. Fire is able to carry from surface fuels into the crowns of trees or shrubs with relative ease and help assure initiation and continuation of crowning A fire resulting from many simultaneous ignitions that generate a high level of energy output (= Mop up) making a fire safe after it has been controlled, by extinguishing or removing burning material along or near the control line, felling snags, trenching logs to prevent rolling, etc. A progressive system of building a fire line on a wildfire without changing relative positions in the line. Each worker does one to several “licks,” or specified distance to make room for the worker behind Within designated blocks of land, planning the locations of fire lines, base camps, water supply, sources, helispots, etc.; planning transportation systems, probable rates of travel, and constraints of travel on various types of attack units; and determining construct particular fire lines, their probable rate of line construction, topographic constraints on line construction, etc. Controlled application of fire to wildland fuels in either their natural or modified state, under specified environmental conditions which allow the fire to be confined to a predetermined area and at the same time to produce the intensity of heat and rate of spread required to attain planned resource management objectives A fire burning within prescription. The fire may result from either planned or unplanned ignitions Fuelbreaks built in timbered areas where the trees on the break are thinned and pruned to reduce the fire potential yet retain enough crown canopy to make a less favorable microclimate for surface fires The application of knowledge of fire behavior and meteorological processes to minimize air quality degradation during prescribed fires Fire that burns only surface litter, other loose debris of the forest floor, and small vegetation Any or all of the natural resources or improvements which may be jeopardized if a fire occurs Any fire occurring on wildland except a fire under prescription That line, area, or zone where structures and other human development meets or intermingles with undeveloped wildland or vegetative fuels

References Absy ML (1982) Quaternary palynological studies in the Amazon Basin. In: Prance GT (ed) Biological diversification in the tropics: Proceedings of the fifth international symposium of the association for tropical biology, held at Macuto Beach, Caracas, Venezuela, 8–13 Feb 1979, vol 5. Columbia University Press, p 67 Andreae MO (2013) Magnitude and impacts of vegetation fire emissions on the atmosphere. In: Goldammer JG (ed) Vegetation fires and global change: challenges for concerted international action.

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Levine JS (ed) (1991) Global biomass burning. MIT Press, Cambridge, MA Levine JS (ed) (1996) Biomass burning and global change, vol I and II. MIT Press, Cambridge, MA Luke RA, McArthur AG (1978) Bushfires in Australia. CSIRO Division of Forest Research. Aust. Gov. Publ. Service, Canberra Malingreau JP, Tucker CJ (1988) Large scale deforestation in the Southeastern Amazon Basin of Brazil. Ambio 17:49–55 Menaut JC, Abbadie L, Lavenu F, Loudjani P, Podaire A (1991) Biomass burning in West African savannas. In: Levine JL (ed) Global biomass burning. MIT Press, Cambridge, MA, pp 133–142 Mouillot F, Field CB (2005) Fire history and the global carbon budget: a 1 1 fire history reconstruction for the 20th century. Glob Chang Biol 11:398–420 Mueller-Dombois D, Goldammer JG (1990) Fire in tropical ecosystems and global environmental change: an introduction. In: Goldammer JG (ed) Fire in the tropical biota. Ecosystem processes and global challenges, vol 84, Ecological studies. Springer, Berlin, pp 1–10 Nye PH, Greenland DJ (1960) The soil under shifting cultivation. Tech Comm 51, Commonwealth Bureau of Soils. Harpenden Page S, Rieley J, Hoscilo A, Spessa A, Weber U (2013) Current fire regimes, impacts and the likely changes – IV: tropical Southeast Asia. In: Goldammer JG (ed) Vegetation fires and global change: challenges for concerted international action. A white paper directed to the United Nations and International Organizations. A publication of the Global Fire Monitoring Center (GFMC). Kessel, Remagen, pp 89–99 Pancel L, Wiebecke C (1981) “Controlled Burning” in subtropischen Kiefernwäldern und seine auswirkungen auf erosion und artenminderung im Staate Uttar Pradesh. Forstarchiv 52:61–63 Peters WJ, Neuenschwander LF (1988) Slash and burn: farming in the third world forest. University of Idaho Press, Moscow Phillips J (1965) Fire as master and servant: its influence in the bioclimatic regions of Trans-Sahara Africa. Proc. Tall Timbers Fire Ecol. Conf. 4, pp 7–109 Prance GT (ed) (1982) Biological diversification in the tropics. Columbia University Press, New York Pyne SJ (1990) Fire conservancy: the origins of wildland fire protection in British India, America and Australia. In: Goldammer JG (ed) Fire in the tropical biota. Ecosystem processes and global challenges, vol 84, Ecological studies. Springer, Berlin, pp 319–336 Pyne SJ, Andrews PJ, Laven RD (1996) Introduction to wildland fire, 2nd edn. Wiley, New York/ Chichester Saldarriaga JG, West DC (1986) Holocene fires in the northern Amazon basin. Quat Res 26:358–366 Sanford RL, Saldarriaga J, Clark KE, Uhl C et al (1985) Amazon rain forest fires. Science 227:53–55 Sch€ ule W (1990) Landscape and climate in prehistory: interactions of wildlife, man, and fire. In: Goldammer JG (ed) Fire in the tropical biota. Ecosystem processes and global challenges, vol 84, Ecological studies. Springer, Berlin, pp 272–318 Setzer AW, Pereira MC (1991) Amazonia biomass burnings in 1987 and an estimate of their tropospheric emissions. Ambio 20(1):19–22 Siegert F, Ruecker G, Hinrichs A et al (2001) Increased damage from fires in logged forests during droughts caused by El Niño. Nature 414:437–440 Steensberg A (1993) Fire-clearance husbandry. The Royal Dutch Academy of Sciences and Letters, commission for research of the history of agricultural implements and field structures, Publication No. 9. Poul Kristensen, Herning Stott P, Goldammer JG, Werner WL (1990) The role of fire in the tropical lowland deciduous forests of Asia. In: Goldammer JG (ed) Fire in the tropical biota. Ecosystem processes and global challenges, vol 84, Ecological studies. Springer, Berlin, pp 21–44 Page 41 of 42

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Tall Timbers Research Station (ed) (1972) Fire in Africa, vol 11, Proc. Ann. Tall Timbers Fire Ecol. Conf. Tall Timbers Research Station, Tallahassee Trollope WSW (1999) The use of fire as a management tool. In: Tainton NM (ed) Veld management in South Africa. University of Natal Press, Pietermaritzburg, pp 240–242 van der Hammen T (1983) The paleoecology and paleogeography of savannas. In: Bourlière F (ed) Tropical savannas. Elsevier, Amsterdam, pp 19–35 van Wilgen BW, Everson CS, Trollope WSW (1990) Fire management in southern Africa: some examples of current objectives, practices, and problems. In: Goldammer JG (ed) Fire in the tropical biota. Ecosystem processes and global challenges, vol 84, Ecological studies. Springer, Berlin, pp 179–215 van Wilgen BW, Andreae MO, Goldammer JG et al (eds) (1997) Fire in Southern African savannas. Ecological and atmospheric perspectives. The University of Witwatersrand Press, Johannesburg Verma SK (1972) Observations sur l’écologie des forêts d’Anogeissus pendula Edgew. Bois et Forêts des Tropiques No 144 Wade DD, Lunsford JD (1989) A guide for prescribed fire in southern forests. USDA For. Serv. Tech. Publ. R8-TP 11. Atlanta Wanthongchai K, Goldammer JG, Bauhus J (2011) Effects of fire frequency on prescribed fire behaviour and soil temperatures in dry dipterocarp forests. Int J Wildland Fire 20:35–45 Watters RF (1971) Shifting cultivation in Latin America. FAO For. Dev. Pap. 17. Rome

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From Lifelines to Livelihoods: Non-timber Forest Products into the Twenty-First Century Patricia Shanley, Alan R. Pierce, Sarah A. Laird, Citlalli Lo´pez €ist, and Manuel R. Guariguata Binnqu

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . What Are NTFPs? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Reemergence of NTFPs onto the Global Forestry and Conservation Stage . . . . . . . . . . . The Value and Use of NTFPS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Economic Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Subsistence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Local Livelihoods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . International Trade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sociocultural and Nutritional Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ecological Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sustainable Management of NTFPs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Status of NTFPs: Gaps in Knowledge and Loss of Habitat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Gradient of Management Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methods to Improve Forest Management and Conserve NTFPs . . . . . . . . . . . . . . . . . . . . . . . . . . . . Economic Botany: The Various Classes of NTFPs and Their Uses . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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P. Shanley (*) Woods & Wayside International, Hopewell, NJ, USA e-mail: [email protected] A.R. Pierce People and Plants International, Duxbury VT, USA S.A. Laird People and Plants International, Bristol VT, USA C.L. Binnq€uist Center for Latin American Studies, University of Florida, Gainesville, FL, USA M.R. Guariguata CIFOR C/O Centro Internacional de la Papa (CIP), La Molina, Lima, Peru # Springer-Verlag Berlin Heidelberg 2015 L. Pancel, M. Ko¨hl (eds.), Tropical Forestry Handbook, DOI 10.1007/978-3-642-41554-8_209-1

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Food . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Medicines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Gums, Resins, and Latexes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dyes and Tannins . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Construction and Fiber . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Governance of NTFPs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Laws and Policies that Impact NTFPs: Direct and Indirect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Incorporation of NTFPs into Forestry Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . NTFP Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Training, Education, and Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Training and Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A Biocultural Approach: Indigenous Educational Training Initiatives . . . . . . . . . . . . . . . . . . . . . Closing Gaps in Knowledge and Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Data Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Communication and Information Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Globally, 1.5 billion people use or trade non-timber forest products (NTFPs) with the majority of NTFP use and trade occurring at local and regional scales, generally invisible to researchers and policy makers. NTFPs cannot be measured by monetary estimations alone, as they have significant subsistence and sociocultural importance and are commonly one part of multifaceted, adaptive livelihood strategies. In spite of low-cost substitutes, both rural and urban people continue to use select forest resources for medicine, crafts, rituals, and food. And as drought, disease, famine, and conflict escalate globally, growing numbers of displaced and marginalized people depend upon forest resources for survival. In general, forests managed for timber and NTFPs retain more biodiversity and resilience than forest plantations or forests managed for industrial timber. Forests that harbor NTFPs also protect ecosystem services such as hydrological functions and soil retention and act as a buffer against climate variability. Land use change through logging, fire, and agribusiness is contributing to the degradation of forests, resulting in declining access to NTFPs for local communities. Land stewards can mitigate detrimental impacts to NTFPs by employing multiple-use management practices that emphasize ecosystem services and community needs in addition to traditional forestry outputs (timber and non-timber). For multiple-use forestry to be applied broadly, forest policies need to be cross-sectoral and scale sensitive to lessen regulatory obstacles for small holders and for common pool/property systems. In addition, forestry training needs to include a stronger social focus and improved understanding of the ecology, use, and societal and ecosystem service values of NTFPs.

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Keywords

Non-timber forest products • Forest management • Forest policy • Economic botany • Rural livelihoods • Subsistence • Forest value

Introduction For millennia, forests have provided humankind with a wide range of crucial goods and services: as agricultural land, climate regulator, timber, sacred grove, and the primary raw materials used in household economies. Although timber has assumed a dominant position among forest resources over the last century, for most of human history, forest goods other than timber fed, clothed, and sheltered our ancestors. These included aromatic spices, fruits, roots, seeds, nuts, barks, fungi, resins, feathers, bushmeat, fibers, and leaves. Today, even as a vast global trade of industrialized goods, including processed foods, artificial flavors, synthetic pharmaceuticals, and plastic wares, briskly circumnavigates the globe, the trade and value of tropical forest resources remains significant. In addition to feeding, healing, and providing homes to billions of people in the tropics, forests supply an expanding global market for traditional medicine and health-care products, specialty foods, and ethnic crafts, some of which have no mass-produced alternative. Non-timber forest products (NTFPs) also offer phytonutrients and nutritional diversity lacking in contemporary diets. Consumed and traded by rural and urban people of all classes, forest foods, resins, gums, fuel, fiber, and medicines are available to those most in need: low-income populations, women, children, and increasingly families weakened by famine, disease, or drought; migrants beset by natural disasters; and refugees in conflict-ridden zones (Shackleton and Shackleton 2004; Pierce and Emery 2005). The traditional knowledge surrounding forests and the multiple-use management systems in which they exist are also vital to ecosystem processes and livelihoods. NTFPs are drawn from diverse habitats and management systems, along a gradient from cultivation on farms to wild harvest in forests. Many NTFPs, particularly those which reach international markets, have become cultivated as farm crops. Others, for local and regional trade, are managed within home gardens, fallows, and forests. Indigenous management systems frequently optimize diversity, embodying an essential adaptation strategy, the significance of which will increase with resource scarcity and climate variability (Shackleton 2014). During the last century, forests have been managed principally for their timber, with scant recognition of the role that forests and traditional knowledge systems play in supplying crucial goods and ecosystem services to the industrialized world as well as to the world’s poorest and most vulnerable communities. Shortsightedness and lack of compliance with basic laws is contributing to an erosion of the forest resources upon which humankind depends. Approaching forests holistically, not reducing them to carbon, lumber, farm, fiber, or fruit, but taking account of their complexity, diversity and the far-reaching consequences of our actions, could lead

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Fig. 1 NTFPs comprise a wide range of products including roots, leaves, seeds, resins, and fruit harvested from forests, fallow, and/or home gardens (Photo: P. Shanley)

to more responsible stewardship. Ancestral veneration of forests reveals a profound comprehension that humankind is wholly dependent upon flora and fauna for the necessities of life. Forest leaves, fruits, roots, and resins awaken one’s senses, evoking a sense of place, a connection to community, and an affirmation of one’s cultural landscape. Forests and their goods may offer a key to recalling this bond and renewing a cognizant and respectful interaction with woodlands.

What Are NTFPs? The term non-timber forest product is used to describe a wide range of biological resources that originate from forests, but which are neither timber nor industrial wood fibers. NTFPs are drawn from very different ecological, economic, and cultural contexts and include globally traded commodities like wild-harvested rubber, rattan, Brazil nuts, and medicinal plants. NTFPs also encompass thousands of species traded or consumed locally with a wide range of uses that include medicines, foods, building materials, game attractants, household products, baskets, and crafts. Some definitions of NTFPs include bushmeat, while others exclude bushmeat but include insects; other definitions include fuel wood, and some only include products derived from plants (de Beer and McDermott 1989; Falconer 1990; Ruiz-Pe´rez and Arnold 1996; Neumann and Hirsch 2000; Shackleton et al. 2011) (Fig. 1).

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The absence of a fixed definition for NTFPs illustrates its origins as a description of what it is not: industrial roundwood and wood fiber processed as lumber, wood chips, particle board, pulp for paper, cardboard, and other products (Wickens 1991; Neumann and Hirsch 2000). This means that a vast range of products, goods, and services are included in the category of NTFPs and that the term – and related terms like natural products, biological resources, environmental income, non-wood forest products, and secondary forest products – is used and understood in very different ways. To address the scientific, policy, and practical implications of this imprecision and resulting confusion, the FAO promoted use of the term NWFPs – non-wood forest products – in recent decades, defined as “goods of biological origin other than wood, derived from forests, other wooded land and trees outside forests.” Despite these efforts to harmonize the language of forest products other than timber, “non-timber forest products” persist as the most widely used term. Used first by de Beer and McDermott (1989), “non-timber forest products” were intended as a replacement for the term “minor forest products” which implied that the majority of useful species present in forests, and other ecosystem services and benefits, lacked value compared with industrial forms of wood. This was clearly not the case on a cash and commercial basis in areas that produced rattan, Brazil nuts, and other high-value NTFPs in international trade. Moreover, it also failed to account for the substantial subsistence and local trade values of NTFPs in much of the world (Falconer 1990; Scoones et al. 1992; Emery and Pierce 2005; Laird et al. 2011). After several decades of debate over what products (e.g., crafts, fuel wood, fodder, stones), habitats (e.g., forests, plantations, home gardens, farm trees), nature and scale of management (e.g., wild harvest, domestication, industrial agriculture), and end use (e.g., subsistence, local trade, international trade) define an NTFP, the term remains ambiguous. As Peters (2011) put it, greater understanding has led to greater appreciation of the “differences rather than similarities in the ways that communities collect, manage, and market NTFPs.” What is clear is that the category of NTFPs is so large and diverse that umbrella forest management and policy recommendations do not easily attach to this group of products. Research over the last few decades has pointed out that NTFPs must be understood as part of broader and diverse ecological, social, economic, and cultural contexts and practices (e.g., Padoch and Pinedo-Vasquez 1996; Arnold and Ruiz-Pe´rez 1998; Neumann and Hirsch 2000; Emery and Pierce 2005; Laird et al. 2010). Although the definition of this category will no doubt continue to evolve, a recent effort by Shackleton et al. (2011) develops a working definition of NTFPs that addresses many of the questions identified above (Box 1).

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Box 1: A Working Definition of NTFPs

– Biological products (i.e., not abiotic products or ecosystem services). – Wild species (indigenous, naturalized, or alien) which means that the bulk of the total species population is self-replicating without human agency. A small proportion of the total species population may be only recently cultivated or domesticated at a local level or self-reproducing within human-dominated systems. – Harvested by humans, and thus fodder consumed by free-ranging animals would be excluded (as it would be accounted for under benefits from agriculture rather than NTFPs), unless it was harvested by humans and transported to the animals to consume. – Consumptive and nonconsumptive uses. – Available from any landscape or ecosystem (including human dominated). – The broad scale management objectives are set, monitored, and regulated by those on whose land the NTFP occurs. – Most, if not all, of the benefits from the direct or indirect use accrue to local livelihoods and well-being. – The benefits accruing can act as an incentive to conserve the species or site if the necessary enabling factors and institutions are in place. Source: Shackleton et al. (2011)

The Reemergence of NTFPs onto the Global Forestry and Conservation Stage Unlike timber, NTFPs were not understood as a distinct category until relatively recently, when the term was developed to draw the attention of foresters and governments to important but “invisible” values and uses of forests. Integral to rural and forest livelihoods, interwoven with agriculture and wood harvesting, NTFPs were not seen as a separate category of products or area of management and only became understood as such when the scale, beneficiaries, and ecological impact of the international tropical timber trade broke free of traditional forest management and uses. For centuries, NTFPs were a far more valuable product of tropical forests than timber. Colonial governments moved species like rubber, quinine, oil palm, and cocoa into cultivation around the world and harvested NTFP species such as Brazil nuts and rattan on an industrial scale. However, over the last century, the enormous value of the thousands of wild, semidomesticated, and domesticated forest species to forest-dwelling people was increasingly eclipsed in the global research and policy arena by industrial tropical timber. NTFPs harvested from the forest became a poorly understood and increasingly marginalized part of forest management (Scoones et al. 1992; Belcher et al. 2005; Shackleton et al. 2011).

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Fig. 2 The gravesite of Rainforest Crunch, indicative of the promise and challenges associated with the international marketing of forest goods at Ben & Jerry’s ice cream factory, Waterbury, Vermont (Photo: A.R. Pierce)

In the 1980s, NTFPs emerged from their relative obscurity due to a convergence of interests, including global concern over tropical forests and the development of new conservation approaches that incorporated sustainable use and social justice. Commercial NTFP harvesting, it was thought, could generate income for local groups, while proving less destructive to the forest than timber harvesting or industrial agriculture, thereby creating incentives for the conservation of tropical forests. Beginning in the 1980s, a surge of research interest led to better understanding of the uses and values of NTFPs, and donors, NGOS, and socially responsible businesses sought to sustainably source and market them (Peters et al. 1989; Nepstad and Schwartzman 1992; Clay and Clement 1993; Plotkin and Famolare 1992; Clay 1996). The enthusiasm of this approach did not last long because the conservation and development gains from commercializing NTFPs were limited. A process of reevaluation soon ensued (Godoy et al. 1993; Arnold and Ruiz-Pe´rez 1998; Neumann and Hirsch 2000; Ros-Tonen and Wiersum 2003; Alexiades and Shanley 2005). In a particularly cogent critique, Homma (1992) drew upon historical data from the Amazon and posited that expanded commercialization of NTFPs results in one of the following fates: overexploitation and a decline in the resource population, a shift from wild production to intensive cultivation, or product substitution. Dove (1994) foresaw that as soon as an NTFP became profitable, it would move from the realm of smallholders and become appropriated by central economic and political elites, as has happened in the case of numerous products including sandalwood in east Timor, clove in Indonesia, and ac¸ai in Brazil. Other scholars raised additional issues, including the highly perishable nature of some products,

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Fig. 3 Children’s harvest of wild foods contributes significant vitamins, minerals, and protein to their diets (Photo: P. Shanley)

difficulties in marketing products at both the local and international levels (Pendelton 1992), inappropriate pricing estimations and failures to predict annual yields of products (Godoy et al. 1993), general unfamiliarity with the market economy on the part of many local communities (Shanley 1999), the high-qualitycontrol standards of importing countries, and the whimsical (boom-bust) nature of international markets (de Beer and McDermott 1996) (Fig. 2). After two decades of experience, experts recognize that non-timber forest products are used on a vast scale for subsistence and traded widely in local and regional markets, and this is where their real and sustained value lies (Shackleton et al. 2007b; Sills et al. 2011). Commercialization for international markets holds promise in some cases, but it also requires a number of critical preconditions, including a favorable law and policy environment, well-developed and accessible markets, secure tenure, and a well-managed resource base (Marshall et al. 2006; Laird et al. 2010; Laird and Wynberg 2013). A more effective approach has emerged in recent years in which NTFPs and other forest products and services are viewed as part of an integrated approach to livelihoods and forest management, and forest and natural ecosystems are seen as critical elements in sustaining human populations and biological diversity (Shackleton et al. 2007b; Ros-Tonen 2012). Goods from the forest are now routinely folded into new conservation and development strategies as well as environmental accounting schemes such as payment for ecosystem services and valuation of ecosystems and biodiversity (TEEB 2010). The dialogue surrounding “NTFPs” has expanded to view these products as part of larger and diverse management and livelihood systems in which agriculture, wild harvesting, timber production, and other practices are interdependent parts of livelihood systems and biological and cultural diversity are intertwined (e.g., Pretty et al. 2009; Cocks et al. 2011; Laird et al. 2011; Maffi and Woodley 2012).

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The Value and Use of NTFPs NTFPs are difficult to quantify or observe casually, and scientific study of their value is inconsistent and limited in scope, and government record-keeping very limited. What studies have been done demonstrate that throughout tropical forest regions, NTFPs are a central component of local economies and subsistence and for most rural people a far more significant part of livelihoods than timber. Even NTFPs in export trade are difficult to value, and records are patchy. The FAO undertook a study on the value of the forestry sector between 1999-2011 in which it determined all global exports of forest products total around $421 billion, with around 5% of this being NTFPs and roundwood. However, the study acknowledged the likelihood of underestimation resulting from poor availability of any records on NTFPs (FAO 2014). New sweeteners, botanicals, food, beverages, cosmetic ingredients, and other products continue to emerge onto national and international markets, driven by consumer demand for the novelty and bioactivity found in tropical forests.

Economic Values The economic significance of non-timber forest products is vast and far reaching, particularly for some of the world’s poorest citizens. Globally, 1.4–1.6 billion people are estimated to use, consume, or trade NTFPs (FAO 2001). Estimating the local, regional, and global significance of NTFPs is daunting because they are traded in both formal and informal markets. Below, we indicate their relative economic importance at various scales, based on available statistics and studies.

Subsistence Tropical forests provide a host of environmental services and goods, including NTFPs, to the poor. Terminology describing such goods and services, such as “the subsidy from nature” (Hecht et al. 1988) or “the GDP of the poor” (TEEB 2010), succinctly encapsulates the critical role forests play as sources of food, fuel wood, and building materials for daily sustenance. NTFPs are accessible to a range of users as they are, generally, readily available, open-access goods found in proximity to rural communities which require low levels of skill and technology to harvest and process. NTFP use crosses, gender, age, occupation, and other boundaries within communities, with different groups relying on NTFPs in distinct ways. For example, children regularly harvest NTFPs and obtain valuable protein and vitamins by gathering and consuming wild forest fruits or animals (Colfer et al. 1997) (Fig. 3). In a survey of 8,000 households across the developing world, subsistence reliance on forests was highest among households with income levels in the bottom 40 % (Anglesen et al. 2014). In a study of NTFP usage in northern Laos, NTFPs are

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Table 1 Estimated income contribution from traded NTFPs as reported in case studies from across the tropics Species/ products NTFPs NTFPs Uchi fruits Endopleura uchi NTFPs NTFPs Mushrooms Var. species Weaver ants Oecophylla smaragdina

Country/ region Benin Northern Laos PDR Eastern Brazil Orissa State, India Central Vietnam Tanzania

Northeastern Thailand

Income contribution 39 % of annual income 40–50 % of annual income 20 % of annual income

Reference Heubach et al. (2011) Foppes and Ketphanh (2004) Shanley and Gaia (2004); Shackleton et al. (2007a)

19 % of annual income

Mahapatra et al. (2005)

4–22 % of annual income

Polesny et al. (2014)

$400-900/yr. (greater than the gross national income of $340/ yr) 30 % of annual income (or 1.5–2.6 times the minimum wage)

Tibuhwa (2013)

Sribandit et al. (2008)

estimated to contribute as much as 50 % of food consumed by poor households, leading Foppes and Ketphanh (2004) to conclude that “NTFPs are therefore the most important safety net or coping strategy for the rural poor in Lao PDR.” In his study of a Karen ethnic group in western Thailand, Delang (2006) observed that subsistence farmers gathered wild forest foods because it was a more efficient way of obtaining food than engaging in the formal economy. Around Mt Cameroon, Laird et al. (2011, 2007) found that wild collections of NTFPs contribute around 41% to local livelihoods, and native species contribute 45 %. The study also demonstrated that all households, wealthy and poor, participate in NTFP collections since NTFPs contribute not only nutritionally and for survival, but also provide high quality seasonal wild greens, fruits, mushrooms and spices, a wide variety of effective traditional medicines, and many other products that enhance well-being and quality of life in ways that do not result primarily from financial considerations. The World Bank (2001) estimated that nearly 60 million indigenous people are “wholly dependent” on forests, while an additional 350 million people, mostly living in the tropics within or adjacent to forests, were highly reliant on forests for “subsistence and income.” Recent studies have found that forests provide an average annual income of $440, equivalent to more than a fifth of total income in households surveyed (Anglesen et al. 2014). Considering that the World Bank (www.worldbank.org) estimated that more than 20 % of the developing world’s population lived on less than $1.25 per day in 2010, the significance of forest goods and services to the poor is overwhelming. Recently, new populations are increasingly thrust into subsistence use of wild resources due to environmental and political upheaval (Pierce and Emery 2005). According to the USAID, international water and weather-related disasters doubled

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Table 2 Estimated number of people engaged in NTFP harvest and sale from various parts of the tropics Species/ product(s) Rattan Var. species NTFPs Tendu/kendu leaf Diospyros melanoxylon Sal seed Shorea robusta Lac NTFPs Natural rubber Hevea brasiliensis Brazil nut Bertholletia excelsa

Country/region Southeast Asia/Africa

Number of people employed 700 million

India India

100 million 11.9 million

Reference Dransfield and Manokaran (1994) Saxena (2003) Lal (2012)

India

20–30 million

Patnaik (2008)

India Cameroon and Democratic Republic of Congo Brazil

3 million 350,000

Sharma et al. (2006) Awono et al. (2013)

100,000

Shanley et al. (2011)

30,000 and 22,000 respectively

Collinson et al. (2000); Bojanic (2001)

Peru and Bolivia

in the 1990s resulting in exploding populations of refugees seeking water, food, and shelter. As natural disasters, drought, famine, and conflict escalate, dependence on wild plant and animal resources and the traditional knowledge of how to identify and use them becomes one of the few means of survival for millions of displaced persons worldwide (Pierce and Emery 2005).

Local Livelihoods The bulk of NTFP trade takes place at the local and regional scale where local people engage with the market on a part-time, seasonal, or full-time basis as their livelihoods require (Shackleton et al. 2007a). With regional variation, income derived from the gathering and sale of NTFPs can be particularly important to women (Awono et al. 2002; Ahenkan and Boon 2011; Tibuhwa 2013; Sunderland et al. 2014). NTFP gathering and sale as a livelihood strategy is not solely restricted to forest dwellers; peri-urban and even urban dwellers in the tropics also take part in NTFP trade (Stoian 2005; Schlesinger et al. 2015). NTFP trade does not in itself lift most households out of poverty, but it contributes to a portfolio of livelihood strategies employed by rural communities (Neumann and Hirsch 2000; Shackleton et al. 2007a, b). Income from NTFPs can contribute significantly to a households’ cash needs (e.g., to pay for school fees,

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medicines, clothing, and other needs) and acts as a safety net in times of crisis. In the Indian state of Orissa, 95 % of surveyed households obtained some cash from NTFPs annually (Mahapatra et al. 2005). Income from NTFPs can be equivalent to or exceed the minimum wage and provides many tropical households with a fifth or more of their annual income (Table 1). Yet, as in the case of subsistence, reliance on NTFPs for income is highly variable within and across villages due to economic and social contexts, availability of alternative employment, proximity of markets and forests, extent of forest degradation, family traditions, and a host of other factors. The few published “guesstimates” of numbers of people employed in various NTFP sectors reveal vast numbers (Table 2). While figures in Table 2 estimate the number of harvesters, they do not reflect the broader impact of NTFP employment on families or to the national economy. For example, the BBC, citing Sudan’s Gum Arabic Board, reported that, when accounting for the often large families of tappers, more than five million people rely on gum arabic income (Copnall 2010). In Cameroon, 45 high-value NTFPs, including bushmeat, fuel wood, and various plants, are estimated to generate over $1 billion annually (Awono et al. 2013). Most tellingly, the number of people employed by the NTFP sectors in Cameroon and the Democratic Republic of Congo is double the number employed by the forestry industry (Awono et al. 2013). The ITTO (2007) estimates the contribution from NTFPs to be worth about $27 billion per year to the Indian economy, compared to $17 billion from timber products. In Bolivia, Brazil nuts earn more than double the export revenues of raw and semi-processed timber (Cronkleton and Pacheco 2010).

International Trade Internationally traded tropical NTFPs include bamboo, rattan, rubber, gum arabic, Brazil nuts, and medicinal plants, with the total number of products likely in the hundreds. FAO (2010) estimated that the global harvest of NTFPs was equivalent to $ 18.5 billion dollars in 2005, with the caveat that this estimate failed to account for the value of subsistence and likely represented “only a fraction of the true total value of harvested non-wood products.” Iqbal (1995) estimated the value of internationally traded NTFPs to be worth $11 billion; what share was comprised of tropical NTFPs is unknown. Few scholars have attempted to update Iqbal’s figures because of poor trade data and aggregated commodity categories (e.g., “plants”) which make it close to impossible to separate by species or origin (i.e., from wild or cultivated stocks). In addition, some NTFPs may be traded in raw form and then re-traded (sometimes after further processing). For example, according to UN Comtrade (comtrade.un.org), Indonesia and Mexico are the world’s largest suppliers of balata, gutta-percha, guayule, chicle, and similar natural gums, yet Singapore is the largest exporter of the exudates. Most medicinal plants in the $85 billion global botanicals market today make the journey from country of harvest, to India or China for processing, and are then exported back to

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consuming countries for sale by marketing and manufacturing companies (Laird and Wynberg 2013). Global demand for novel NTFPs has grown in recent decades. Burgeoning travel to tropical regions expanded disposable incomes in developed and developing countries, and popular interest in ethnic crafts, cuisines, and health care, among other factors, has stimulated an increase in the use and trade of non-timber forest products within urban areas around the world. These include baskets from Bali, bamboo flooring from the Philippines, yohimbe from Cameroon, and ac¸ai from the Amazon for energy drinks. Although traditional products are often substituted for inexpensive alternatives in rural communities (e.g., baskets for plastic pails), many forest-derived goods such as fruits, fungi, and medicines have no substitutes on a local level, and international markets for select tropical forest goods have increased (Sills et al. 2011; Laird and Wynberg 2013).

Sociocultural and Nutritional Values NTFPs are part of complex cultural, social, and political relationships with tropical forests. Social and cultural relationships with forests include shared notions of kinship, marriage, prohibitions, cosmology and ritual, as well as traditional ecological knowledge on flora and fauna, edible and inedible foods, medicinal plants, and the functions of the forest ecosystem (Bale´e 2013). Traditional ecological knowledge guides the seasonality, location, and techniques employed in harvesting NTFPs and processing them for use or trade. Social and political aspects of NTFP use, management, and trade include issues of social justice, social welfare, gender, land tenure, the relationship between statutory and customary law, rural poverty, and political empowerment (Neumann and Hirsch 2000; Pierce 2002b; Laird et al. 2010). Research conducted over the last three decades has demonstrated that the value of NTFPs and forests is far greater than that captured by monetary valuations (Bennett 1992, Cocks and Dold 2004, Laird et al. 2011; Pierce 2014). In spite of globalization, urbanization, and accessible alternatives, people continue to use NTFPs on a vast scale for a wide range of reasons including the taste, nutrition, health benefits, well-being, and tradition that informs all household use of medicines, foods, building materials, crafts, and other products around the world (Stoian 2005; Padoch et al. 2008; de Beer 2011). Immigrants to urban areas as far flung as Shanghai, Paris, Nairobi, and New York continue to seek out leafy greens, fruits, fibers, medicinal plants, and ritual products from their home forests, maintaining strong cultural ties to their communities and place of origin (Xu et al. 2005; Padoch et al. 2008; Cocks et al. 2011). NTFPs have been shown to provide nutritional diversity and phytonutrients unavailable in supermarkets (Dounias et al. 2007; Vicenti et al. 2013; Johns and Sthapit 2014). For generations, rural people have selected specific germplasm from forests, fostering nutrient-dense foodstuffs that are not sweet, but composed of starches, oils, and phytonutrients with relatively low concentrations of sugar (Clement et al. 2008) and that enhance family and societal

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well-being (Johns and Sthapit 2014). An unanticipated consequence of processed foodstuffs has been the proliferation of nutrient deficiencies. These can be ameliorated through dietary diversity and intake of forest species rich in nutrients and compounds such as carotenoids that act as antioxidants and prevent damage to cells (de Beer 2011; Johns and Sthapit 2014). Thus, traditional ecological knowledge may embody physiological knowledge and memory, internally orienting families as to which foods are nutrient rich and which curb illness. The cultural and social values of NTFPs are difficult to capture in the short-term, questionnaire-, and workshop-based methods common in this field. Longer-term, multidisciplinary research less focused on a decisive quantitative outcome and argument is required to understand the role of NTFPs in local livelihoods and forest management and conservation. These types of studies have led to increasing awareness of the powerful links between culture and place and the profound connections between cultural diversity and biological diversity (Posey 1999; Dounias et al. 2007; Cocks et al. 2011; Laird et al. 2011; Pierce 2014).

Ecological Values In addition to their economic, sociocultural, and nutritional functions, forests serve to protect ecosystem services, including carbon sequestration, hydrological functions, and soil retention, as well as mitigate climate change. Forests maintain biological integrity through their primary role in renewal processes including the formation of soil, recycling of nutrients, sedimentation and flood control, regulation of microclimate, suppression of undesirable organisms, and detoxification of noxious chemicals (Altieri 1999). When forests are properly managed for timber and NTFPs, taking into account their sociocultural and environmental complexity, less biotic degradation results. NTFPs are commonly, but not always, part of small holder management systems that include management of a wide range of forest types for multiple uses and which can maintain high species diversity while supporting local livelihoods (Wiersum 2004). The complex and sophisticated forest management systems that small holders practice generate dietary variety and reduce environmental risks and as such represent a key adaptation strategy in the face of climate change (Go´mezBaggethun et al. 2013). How timber is managed and harvested has a significant impact on non-timber forest products. For local communities, timber and non-timber forest product harvestings are integrated parts of a whole (Pierce 2002a; Padoch and PinedoVasquez 1996). However, NTFPs are often invisible to commercial timber producers, which can lead to destruction and depletion of species with high value for local communities and eradication of valuable germplasm necessary for regeneration of forests and species (Shackleton and Shackleton 2004; Rist et al. 2012). Wild-crop relatives provide advantageous traits for crop improvement such as biotic and abiotic resistances, leading to enhanced stability and yield (Maxted et al. 2012; Vincenta et al. 2013).

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Fig. 4 The gradient of intensity of NTFP management (Adapted from Wiersum 1997; Shackleton et al. 2011)

Sustainable Management of NTFPs Within tropical forest areas around the world, extremely complex management systems are used by local groups that include a range of ecosystems and management practices, including agriculture, semidomestication and management of fallows, secondary forests, and home gardens (Clement 1999). NTFPs are drawn from diverse management systems and habitats, existing along a gradient from domestication to wild harvest from primary forest (Homma 2012) (Fig. 4). When commercial demand increases, harvesting rates intensify and resource overexploitation can occur, particularly in open-access conditions. In some instances, intensively managed NTFP production systems displace the natural vegetation and are grown as monocultures, for example, guarana (Paullinia cupana) in South America, tea (Camellia sinensis and other species), rubber (Hevea brasiliensis) in Indonesia (Homma 1992), and bamboo (various spp.) in China (Fu and Yang 2004). In other situations, enrichment planting to promote a given qualitative trait of the NTFP, may provide incentives to conserve forests (Marshall et al. 2006).

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Gradient of Management Practices The sheer variety of NTFPs comprise a continuum from those that are traded internationally and regionally to those traded locally and/or consumed directly by households. Within this wide range of use, there exists a corresponding variety of habitats and management systems in which NTFPs occur (Ticktin and Shackleton 2011). On the extractive end of the spectrum, NTFPs are sourced from extensive areas of forests, wetlands, and mountains. Examples include Brazil nut from the Amazon and bird’s nests and honey from the cliffs of Kalimantan and India. Forest resources are also sourced from intermediate management systems such as secondary forests and fallows in which semi-cultivated species and forest resources intermingle in ways that maintain the complexity of the natural ecosystem while enriching the diversity of useful forest resources (Wiersum 2004). Areas of intermediate management may contain hundreds of NTFP species for subsistence use (Michon et al. 2007) with often higher yields than either primary forest or actively managed pasture (Pulido and Caballero 2006). At the intensive end of the spectrum, NTFPs may be sourced from gardens, cultivated fields, and vacant lots in and near towns and cities (Ticktin and Shackleton 2011). The degree of management depends on numerous factors, including availability and proximity of forest, land use policies, soil conditions, state of forest resources, distance to market, tenure, access, and the cultural and experiential background of collectors. Small holders generally experiment with enrichment plantings, selection of germplasm, and other techniques to enhance the growth of preferred species within their forests, fallows, and farms (Leakey et al. 2012; Menezes et al. 2012; Dawson et al. 2014). Such management systems are based on generations of experimentation and observation and can result in complex indigenous silvicultural practices that are, however, not widely understood or documented within western science and are often invisible to researchers, policy makers, and extensionists (Wiersum 2004; Homma 2012).

Status of NTFPs: Gaps in Knowledge and Loss of Habitat Over the past two decades, research has demonstrated the critical importance of biodiversity and NTFPs to the livelihoods of people worldwide (Cavendish 1999; Shackleton et al. 2011; Luckert and Campbell 2012). However, the influence of factors such as livelihood dependency, proximity to markets, and local ecological knowledge on the harvest of NTFPs remains poorly understood (Steele et al. 2015, Duchelle et al. 2014). Notably, meager information is also available regarding the phenology, production, distribution, or density of even widely used and traded forest products in most of the tropical lowland forests (Jimoh et al. 2013). Previous ecological studies have focused on how to sustainably extract NTFPs or analyzed the impact of NTFP harvest on plant and population vigor (Ticktin 2004). Yet, research often overlooks the major cause of the decline in NTFP populations. The vast majority of detrimental impact to NTFP populations has

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Fig. 5 Joint planning between timber companies and communities can minimize damage and conserve valuable species (Photo: P. Shanley)

not been direct harvest of the NTFP species by users but rather the destruction of the habitats in which they occur by agribusiness, logging, and development (Dove 1994). Agricultural expansion was the single largest driver of deforestation in the tropics from 2000 to 2010, accounting for 73 % of tropical deforestation, with 40 % driven by commercial agriculture and 33 % by local and subsistence farmers (Hosonuma et al. 2012). Furthermore, over 70 % of forest degradation in tropical forests of Latin America and Asia is driven by commercial timber extraction and logging (Hosonuma et al. 2012). Selective logging, implemented in some regions as a less damaging forestry practice than clear cutting, has instead become an initial step in a trajectory of deforestation leading to forest conversion (Asner et al. 2009).

Methods to Improve Forest Management and Conserve NTFPs Research and practice are demonstrating that through implementation of improved logging techniques, fire management, control of invasive alien species, regulation of wildlife harvest, and sound agricultural, forestry, and development policies, non-timber forest products can be conserved. In addition to sustaining rural and urban families’ nutrition and life ways, such steps can also help to reduce carbon

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emissions, contributing to the mitigation of climate change, conservation of watersheds, and preservation of ecosystem functions.

Multiple Use The last two decades have witnessed a trend in logging from a single purpose approach – extraction of timber – to integrated uses, specifically multiple use, with the purpose of enhancing social, economic, and ecological outcomes. Multiple-use forestry entails considering the needs of local communities and managing forests for not only forest products (both timber and non-timber) but also ecosystem and human services: i.e., recreation, carbon storage, climate regulation, and watershed protection (Guariguata et al. 2012). In the specific case of integrated management of timber and non-timber species, methods cannot be generalized because of the diversity of forest types and NTFPs. In some cases, NTFP harvest may complement timber management. Valuable medicinal or edible, shade-reliant species can grow in conjunction with timber species, providing managers with several economic outputs over time. In other cases, valuable timber trees may also serve as nutritious fruit and/or medicinal oil species. In integrated operations, the costs and benefits of logging particular species are weighed, and the planning, timing, and avoidance of collateral damage to either the NTFP or timber species are of critical importance (Laird 1995; Pierce 2002a; Guille´n et al. 2002; Guariguata et al. 2009). Integrating Timber and Non-timber Resources To ensure NTFPs are taken into account in long-term timber management plans, one initial step is to include NTFPs in forest inventories. Timber inventories are relatively rapid and straightforward, collecting limited information such as height, DBH, and species. By contrast, for each NTFP, a range of information as to natural history, production/yield, seasonality, interaction with wildlife, market and subsistence value, management, and belief systems is of interest (Laird 1995). Additional time, new methods, identification techniques, and specifically trained personnel are helpful to accomplish this. Community members, familiar with locally useful fruit, fiber, medicinal, and game-attracting species, can serve as highly knowledgeable members of the forest inventory team (Guille´n et al. 2002). Harvesters have a wealth of empirical information that can provide practical guidance to timber operations (Fig. 5). The benefit in collecting information with local communities is that immediate value is given to what is often an “invisible income.” Once this information is collected, communities and timber industries can better negotiate which NTFP species should be protected and how. Community monitoring of logging operations is generally needed to ensure that favored fruit and/or medicinal species are protected from removal and/or collateral damage. In some areas of Amazonia, organized communities have influenced forest management operations, by protecting valuable latex and/or fruit trees to ensure they are conserved (Shanley et al. 2012).

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Fig. 6 The top 12, locally prized fruit, medicine, and game attracting trees are extracted for their timber along the Capim River, Pará, Brazil (Photo: P. Shanley)

Reduced Impact Logging (RIL) Over the past two decades, best practices to harvest timber and minimize damage to the forest and other tree and understory species have been developed (Putz et al. 2008). Good practice and reduced impact logging norms (RIL) may, in some cases, facilitate NTFP management objectives (Guariguata et al. 2010). For example, a given NTFP species may benefit from the occurrence of logging gaps (Salick et al. 1995). Lianas in tree crowns can reduce tree fruiting (Wright et al. 2005); hence, liana cutting while applied to minimize logging damage to residual trees (Putz et al. 2008) could be extended to enhance fruit production in NTFP-bearing trees (Kainer et al. 2014). The application of RIL norms may also help in sustaining yields of NTFPs as suggested for the Brazil nut tree, which coexists with valuable timber species across the Western Amazon (Duchelle et al. 2012). Silvicultural treatments such as “liberation thinning” of future crop trees (Wadsworth and Zweede 2006) and stand refinement and soil scarification in logging gaps (Pen˜a-Claros et al. 2008) may enhance the regeneration of light-demanding NTFPs. Harvest systems typically applied in Asian dipterocarp forest such as shelterwood cutting which remove or reduce canopy cover are also amenable for concurrent management of timber and light-demanding NTFPs (Ashton et al. 2001). However, existing silvicultural norms for timber may need refinement in order to minimize tradeoffs. For example, in Indonesia, the current timber cutting regulation requires companies to slash all undergrowth and climbers every year for 5 years in logging concessions after timber harvesting to promote the regeneration of timber

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species. Yet locally important NTFPs (rattans, food, and medicinal plants) are usually slashed (Sheil et al. 2006), a practice that has been perceived as questionable (Meijaard 2005). In contrast to the above examples, little is known about how silviculture of NTFPs affects timber values. In Mexico, Trauernicht and Ticktin (2005) showed how planting the understory (xate) palm Chamaedorea hooperiana under natural forest cover led to a reduction of the density of saplings of timber species, possibly due to slashing during site preparation. Another example is the planting and tending of saplings of benzoin trees (Styrax spp., tapped for trunk resin) in the understory of montane forests in Sumatra which leads to species-poor tree canopies over time (Garcı´a-Fernández et al. 2003).

Reduce Conflict of Use An important mode of interaction between selective logging and NTFP sustainability arises when the same tree species provides both timber and NTFP values. In Central Africa and South America, conventional and predatory logging has resulted in harvest of not only valuable timber species but many which are also nutritious fruit and medicinal tree species, often occurring in low densities (Shanley and Luz 2003; Tieguhong and Ndoye 2007; Herrero-Jáuregui et al. 2009). For remaining individuals, decreasing rates of regeneration as well as lower pollinator frequency and reliability can lead to a reduction of genetic diversity through loss of vigor, decreased fruit set, and mortality (Dawson et al. 2014). In the Brazilian state of Pará, 47 % of the timber species currently traded have non-timber use (Herrero-Jáuregui et al. 2009). For forest-reliant rural communities, the impact of logging on food, game attracting, and medicinally used species can be deleterious; of the 15 most highly valued trees in the Capim region of Pará, all are targeted by the timber industry (Shanley et al. 2002). In the particular cases of Tabebuia impetiginosa and Hymenaea courbaril, which are collected for their medicinal barks, conflict of use is acute because both species regenerate poorly due to their very high light requirements, low population densities, and low growth rates (Schulze 2008). In this case, silvicultural practice is needed in addition to the effect generated by logging gaps alone. In Cameroon, out of the 23 top timber species being exported, over half also have NTFP value. The three most exploited timber species Triplochiton scleroxylon, Entandrophragma cylindricum, and Milicia excelsa are also sources of medicine and food (Tieguhong and Ndoye 2007) (Fig. 6). One intervention for minimizing conflict of use is the application of legal protections from logging in cases where an NTFP’s economic and social value equals or exceeds its timber value. However, the extent of conflict of use is often culturally and geographically specific, thus complicating potential steps towards legal protection at broad spatial scales or even within a single country (Herrero-Jáuregui et al. 2013). Another option is the spatial separation of management units, or zoning, for either timber or NTFPs. For example, the locally valuable, multipurpose tree Carapa guianensis presents higher adult densities in seasonally flooded forests than in terra firme forests in the southwestern Brazilian Amazon. Here, gazetting

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flooded forest for seed collection is proposed as a multiple-use management alternative (Klimas et al. 2012). Implementing multiple-use forest plans that include NTFPs is inherently loaded with social, regulatory, ecological, and economic tradeoffs (Guariguata et al. 2012); thus, management outcomes are contingent on a deep knowledge on how to minimize these (Duchelle et al. 2012).

Sustainable Harvest of NTFPs Sustainable harvest of NTFPs is a function of the plant part harvested, the plant’s degree of habitat specificity, population and individual growth rates and individual longevity, reproductive mode, and extent and relationships with other biodiversity components such as seed dispersers and pollinators (Peters 1994). In addition to the plant’s natural history, the seasonal timing, nature, frequency, and intensity of harvest as well as the larger socioeconomic, political, and environmental context in which the products are gathered need to be taken into account (Shackleton and Pandey 2014; Cunningham 2001). At the individual level, the harvesting of fruits, seeds, and dead wood shows the highest potential for sustainability. Similarly, long-lived species (e.g., Brazil nut, Bertholletia excelsa; Zuidema and Boot 2002) and those with fast growth rates and large populations are more amenable to withstand repeated harvest of fruits and/or nuts than those without these attributes. NTFP species with abiotic dispersal modes and/or dependent on a generalist pollinators as well as seed dispersers are also more resilient to repeated harvest. On the contrary, the harvesting of whole individuals, NTFP species with restricted habitats and/or low population and individual growth rates, low adult population densities, and those with specialist biotic relationships generally show low potential for sustainable harvest (Cunningham 2001). The plant part harvested usually determines the focus of management and monitoring. Restricting harvesting to specific size classes of the population can be an important determinant of sustainability (Ticktin 2004). For reproductive propagules, it is important to take note of the ability of target species to regenerate and the potential impact on wildlife postharvest. For vegetative structures such as root, bark, or stem, short- and long-term observations need to be made regarding plant vigor and the species’ response to harvest. For exudates, evaluation needs to be made of the tapping procedures, extent of injuries, physiological impacts of tapping, harvester skill, and techniques (Plowden 2003; Murugesan et al. 2011; Watkinson and Peres 2011). Of plant parts harvested, least is known about the ecological impacts and sustainable harvesting methods for bark, roots, and resins on a commercial scale (Ticktin and Shackleton 2011). Communities generally harvest NTFPs based on adaptive management techniques in which harvest levels are adjusted by observation and practical experience (Dawson et al. 2014). Matrix and mechanistic modeling may be used to predict changes in population and ecosystem structure (Wong 2000); however, few forestry operations have the technical expertise, time, and resources to do this for NTFPs (Peters 1994). Based on monitoring the yield of the product, and the population demographics of the target species, harvest levels are adjusted (Ticktin 2004). In tropical forests, ecological functions such as any changes in pollinators, seed

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Fig. 7 Cultivated and semidomesticated fruits on sale in Bele´m, Brazil, including pupunha (Bactris gasipaes), cacao (Theobroma cacao), and cupuac¸u (Theobroma grandiflorum) (Photo: P. Shanley)

dispersers, genetic diversity, and wildlife diversity should also be noted (Pierce 2002a, Guille´n et al. 2002).

Economic Botany: The Various Classes of NTFPs and Their Uses Over millennia, humankind has amassed a wealth of knowledge regarding the habits and uses of various plants, fungi, and animals that live within tropical forests. Forests serve as food larder and medicine cabinet for billions of people in the tropics, and are also a source of fodder for livestock. A recent pantropical survey of 8,000 households, found the most dominant use of forests was for fuel wood (35.2 %), followed by food (30.3 %), and fibers/construction material (24.9 %) (Anglesen et al. 2014). Through trial and error, humans have learned that the exudates of various trees yield an astonishing array of useful products, including antiseptics, insecticides, food emulsifiers, electrical insulation, dyes, marine caulking, rubber, incense, and perfumes. A variety of tropical plants and lichens yield natural dyes – some only available after complex fermentation and oxidation processes – that literally colored our world for generations before the advent of synthetic dyes. Tropical plants also beautify our lives, as attested to by the global trade in tropical house plants and cut flowers which is valued in the billions. Below, we review the various classes of NTFPs and their diverse uses. Some plant parts have multiple uses; for example, turmeric (Curcuma longa) roots are used as medicine, as a cooking spice, and as a textile dye. Other species yield a

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number of useful plant parts. In Africa, the bark of the baobab (Adansonia digitata) tree is used for weaving and cordage, while the leaves and fruits are eaten as food and used medicinally. Space constraints prohibit a comprehensive overview of tropical NTFPs. Rather, the purpose of this section is to portray the breadth and scope of NTFPs used, and in cases where data is available, to give an indication of their importance or value.

Food Tropical forests can sustain human dietary needs with a mix of proteins, vitamins, starch, and minerals. In natural forests, the distribution of food is patchy and seasonally variable. Production of many tropical forest foods has been increased through management, ranging from subtle manipulation of species to domestication and cultivation in plantations. In food-scarce areas, food from tropical forests offers significant benefits to local communities and can act as a buffer against malnutrition.

Fruits and Nuts Tropical forests are the original seed sources for many fruits in trade, such as bananas, mangos, cocoa, lychees, papayas, coconuts, rambutans, and various species of citrus trees. While these popular species are now cultivated on a wide scale across the tropics, people continue to harvest a variety of fruits from natural as well as managed forests. Some locally important but lesser known African tropical fruits include Mobola plum (Parinari curatellifolia), native to West African savannas as well as miombo woodlands in central and southern Africa, and bush mango (Irvingia gabonensis and I. wombolu) used as a spice and thickener in Central Africa. Amla fruits (Phyllanthus emblica) are rich in vitamin C and are widely collected in India for fresh consumption as well as for use in Ayurvedic medicine. Bacuri (Platonia insignis), piquiá (Caryocar villosum), and uchi (Endopleura uchi) are nutritious and popular wild fruits in the Brazilian Amazon (Shanley et al. 2011) (Fig. 7). One of the most well-known tropical nuts is the Brazil nut (Bertholletia excelsa), which is still collected from natural stands in the Amazon Basin. According to UN Comtrade, Bolivia, Brazil, and Peru exported more than 35 million kilos of nuts worth $190 million in 2012. Shea nuts (Vitellaria paradoxa) are an import item of commerce in Western Africa. The fruits are eaten by locals, and the oily seeds are also processed into shea butter which is exported for use in the cosmetics industry. In 2003, combined exports of shea nuts from Ghana, Burkina Faso, Togo, Mali, Cote d’ Ivoire, and Benin totaled more than 140 million kilos, with an estimated worth of $24 million (UN Comtrade). Cooking oils are derived from illipe nuts (Shorea spp.) in Southeast Asian dipterocarp forests and from sal nuts (Shorea robusta) in India. The betel nut (Areca catechu) – technically a drupe rather than a true nut – is chewed with betel leaves and lime to produce a mild psychoactive effect and has customarily been used by a number of cultures in southern Asia and Oceania for thousands of years. The okari nut (Terminalia kaernbachii), native to

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Papua New Guinea and the Solomon Islands, but cultivated elsewhere in the tropics, is esteemed for its flavor and holds potential as a future crop.

Edible Leaves, Roots, and Shoots Forest vegetables are key ingredients to local diets. In East Kalimantan, the Dayak make use of a variety of wild forest vegetables, including ferns (e.g., Stenochlaena palustris, Ceratopteris thalictroides, Cyathea contaminans) as well as various plants in the Zingiberaceae family (Chotimah et al. 2013). Bamboo shoots (various spp.) have been a staple of temperate and tropical Asian cuisines for centuries. In Central Africa, Gnetum leaves (Gnetum africanum and G. buchholzianum) are widely consumed as food; Ingram et al. (2012) estimated the annual trade in the liana’s leaves in southwestern Cameroon and the Democratic Republic of Congo alone exceeded 4,000 tons with a value of more than $5 million. Palm hearts from various species, including Bactris gasipaes and Euterpe oleracea, are harvested from natural stands and plantations across the tropical Americas for local consumption as well as for export. In 2011, combined exports of palm hearts from Ecuador, Costa Rica, Bolivia, Brazil, and Peru exceeded 50 million kilos with an estimated value of USD $115 million (UN Comtrade). Mushrooms The global trade in wild mushrooms is estimated to be worth more than $2 billion annually (Hall et al. 2003), and much of it is dominated by four genera that are widely consumed in temperate countries, namely, boletes (Boletus spp.), chanterelles (Cantharellus spp.), matsutakes (Tricholoma spp.), and truffles (Tuber spp.). Wild mushrooms from tropical forests, although less studied by scholars than temperate fungi, are important sources of food and income. One tropical hot spot of mushroom production is the vast miombo woodlands of central and southern Africa where scores of mushrooms, including species from the genera Agaricus, Amanita, Boletus, Cantharellus, Lactarius, Pleurotus, Russula, Schizophyllum, and Termitomyces, are harvested by local communities (Ha¨rko¨nen et al. 1994; Ngulube 1999; Tibuhwa 2013). In the Machinga District of Malawi, mushrooms provide income and food before agricultural crops are ready for harvest and account for 73 % of all NTFPs sold at local markets (Ngulube 1999). The poorest mushroom gatherers in Malawi eke out a living by selling mushrooms for money to buy staples such as maize, while more prosperous traders can obtain a good income from buying mushrooms in rural markets and reselling them in cities (Lowore 2006). In a survey asking rural women in Ghana to rank 16 NTFPs from most important to least important as sources of food and income, the majority (76 %) ranked mushrooms as a “most important” resource (Ahenkan and Boon 2011). Foppes and Ketphanh (2004) classify mushrooms as an important NTFP in Lao PDR, reporting that 100 % of households in Sombpoi village collect an average of 100 kg of wild fungi per year. Indigenous groups including tribes of the Southern Highlands in New Guinea (Sillitoe 1995), the Dayaks of Kalimantan (Chotimah et al. 2013), the Bagyeli (pygmies) in southern Cameroon (van Dijk et al. 2003), the Sanema of the Amazon

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(Fidalgo and Prance 1976), and the Jotı¨ of Venezuela (Zent 2008) collect and eat mushrooms. Mushrooms are an integral part of Jotı¨ cosmology, featuring in myths and life cycle rituals, and are used by the tribe as mediums for restoring hunting skills and as protection against sorcery (Zent 2008). Wild mushrooms are good sources of proteins, carbohydrates, and minerals and can be important dietary supplements (Boa 2011). As Zent (2008) points out, mushrooms are therefore likely to be important to indigenous forest dwellers who experience seasonal food scarcity.

Bushmeat Hundreds of tropical species of ungulates, primates, birds, rodents, reptiles, and amphibians are hunted for their meat, termed “bushmeat.” Bushmeat is a crucial source of protein and income for people living in the tropics and is particularly important in the Congo Basin where inexpensive alternative sources of protein are scarce and cultural preferences for bushmeat are strong (Van Vliet et al. 2012). For indigenous groups and remote forest dwellers, bushmeat is a primary source of protein and consumption rates per person, in both the Amazon and Congo Basins, typically ranging from 40 to 70 k per year, sometimes much higher, depending on location (see Nasi et al. 2011). The scale of the annual harvest of bushmeat is staggering; in 2010, it is estimated that six million tons of animals were taken in the Congo and Amazon Basins alone (Nasi et al. 2011). The value of the bushmeat trade is likely in the billons of US dollars (Brashares et al. 2004). Fargeot (2012: 130) estimates that the total value of bushmeat consumed each year in Bangui, capital of the Central African Republic, is worth $ 16 million, equivalent to more than 1 % of the country’s GDP. Market demand for bushmeat in the cities of Equatorial Guinea, Gabon, and Cameroon, where the product is viewed as a luxury good, has spurred demand, increased prices paid to rural hunters, and thus intensified hunting pressure (Nasi et al. 2011). Demand for bushmeat among urbanized Africans is not restricted to the continent. The amount of illegal bushmeat smuggled through Charles de Gaulle airport in France is estimated to be equivalent to 270 tons per year (Chaber et al. 2010). The authors further report that a 4 kg monkey sells for as much as 100 Euros in France, more than 20 times its price in Cameroon (Chaber et al. 2010). Although some species appear to adapt to hunting pressure, the harvest of bushmeat poses a dire conservation threat, particularly to large primates and large carnivores (Van Vliet et al. 2012). The removal of animals from tropical forests is also likely to broadly impact ecosystem processes and floral composition because animals are integral parts of food webs and serve critical functions as seed dispersers, seed predators, pollinators (in the case of bats), and herbivores (Van Vliet et al. 2012). Many tropical animals are also hunted for their skins, horns, antlers, and feathers, and some, particularly birds in the Americas, are also captured live for sale in the exotic pet trade, or in the case of beetles and other charismatic insects, killed, mounted, and sold to collectors.

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Fig. 8 The medicinal bark of Endopleura uchi harvested in Amazonia, Brazil (Photo: P. Shanley)

Insects More than 1,700 species of insects are eaten as food by some two billion people globally, mostly in the tropics (Durst et al. 2010; van Huis et al. 2013). Insects are an excellent source of protein, and their cultivation for food and feed is currently being explored as a strategy to address future food security issues (van Huis et al. 2013). Edible species are taken from many well-known insect orders including Coleoptera (beetles), Lepidoptera (butterfly and moth caterpillars), Hymenoptera (bees, wasps, and ants), Orthoptera (grasshoppers, locusts, and crickets), Hemiptera (cicadas, leafhoppers, scale insects, and true bugs), Isoptera (termites), Odonata (dragonflies), and Diptera (flies) (Durst et al. 2010; van Huis et al. 2013). In the Americas, 679 insects are consumed as food. Africa ranks second with 524 edible species and Asia is third with 349 species (Johnson 2010). A 2010 national survey in Laos PDR (Barennes 2010) determined that 95 % of Laotians consume insects, the most preferred being ant eggs, crickets, and grasshoppers. Caterpillars are a source of food and income for many in central and southern Africa. Latham (2003) estimates that in the Democratic Republic of Congo, caterpillars account for 40 % of all animal protein eaten. According to van Huis et al. (2013), commercialization of caterpillars, particularly the mopane caterpillar (Imbrasia belina), has led to overharvest, a situation which poses a serious conservation and food security issue for the region. One insect harvested across the tropics is the palm weevil (Rhynchophorus spp.), a species high in fat that is enjoyed in the Americas, Africa, Asia, and the Pacific islands (Johnson 2010). An important pantropical insect by-product is wild forest honey.

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Table 3 Select tropical forest medicinal species in the international botanicals trade Common name Cat’s claw

Scientific name Uncaria guianensis, U. tomentosa

Pygeum

Cultivated/wild harvested Wild harvested with some cultivation trials underway

Origin Central and South America (most trade from S.A., part. Peru)

Habit Vine

Prunus africana

East, Central, and West Africa, Madagascar

Tree

Majority wild harvested; some efforts to cultivate are coming on line

Rosewood

Aniba spp.

South America

Tree

Wild harvested

Red sandalwood

Pterocarpus santalinus

India

Tree

Sangre de drago

Croton lechleri

South America

Tree

Wild harvested and some cultivation (rare through overexploitation in wild) Wild harvested and cultivated

Yohimbe

Pausinystalia yohimbe

WestCentral Africa

Tree

Adapted from: Pierce and Laird 2003.

Wild harvested

Trade data Exports from Peru in 2010, FOB value $ 1,376,000 (ITC 2012). Bark powder traded at $ 9.50/kg (BTC 2014). Cameroon exported 658.6 tons in 2012, valued at more than $3.9 million, and accounting for 72.6% of the global export market (Cunningham et al. 2014) 92.3 MT exported from Brazil, 1985 worth $938,000 (FAO 2002) 287.8 tons exported 20042005 (Mulliken and Crofton 2008) 26 tons of latex exported to US in 1998 (Alexiades 2002) 2013 sales of yohimbe products in mainstream outlets in the US totaled $67,393,961 (Lindstrom et al. 2014)

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Fig. 9 Resin tapping in the Nilgiris, India (Photo: J. de Beer)

Medicines Medicinal plants are one of the most widely studied groups of NTFPs coming from tropical forests. In recent decades, the “medicinal riches” of tropical forests were a popular argument for conservation. The ecological, species, and genetic diversity of these regions has created novel chemical compounds and genes of interest to researchers in the pharmaceutical industry, as well as providing important botanical medicines for local and international markets (Laird and Wynberg 2005). Tropical forests also produce thousands of invaluable medicines used in traditional medical systems around the world. Traditional medicine provides the vast majority of primary health care in many regions, including 80 % in Africa according to the World Health Organization (Fig. 8). The global botanicals market is growing more than 7 % annually, with annual sales of roughly $85 billion. Natural personal care and cosmetics generate $31 billion in sales each year, and the market is expected to reach $46 billion by 2018 (Laird and Wynberg 2013). Only a small portion of these sales represent species from tropical forest regions, but there are many high-value tropical forest species in the botanical trade, and companies continue to search for novel products (Table 3). The pharmaceutical industry is magnitudes larger than the botanicals industry, with annual sales of around $1 trillion. R&D approaches have changed in recent years, natural products research is largely outsourced to smaller companies, and large-scale collections of plant and other materials from tropical forests are reduced in scale and number. However, interest in novel genetic material continues, particularly that of microorganisms, including those found in forests (Laird 2013).

Exudate type Gums

Tires, latex, various manufacturing uses

Insulation, manufacturing, golf ball covering, dentistry, chewing gum base

Balata (Manilkara bidentata), guttapercha (Palaquium gutta), guayule (Parthenium argentatum), chicle (Manilkara zapota/ Achras zapota), and similar gums

Use Food emulsifier, stabilizer, and thickener; also used in the art, printing, and pharmaceutical industries Colostomy bag fixings, laxative, dental adhesive, food stabilizer, various other industrial uses Antiseptic, antiinflammatory; also used in soaps and cosmetics and as a source of biodiesel Varnishes, paints, floor wax; locally used as lamp fuel or mosquito smudge

Natural rubber (Hevea brasiliensis)

Almaciga/Manila copal (Agathis philippinensis)

Copaı´ba (Copaifera spp.)

Gum karaya (Sterculia spp.)

Common name and species name Gum arabic (Acacia senegal, A. seyal)

Plantations in Asia, Africa, and Pacific island nations; production from natural forests in Brazil Central and South America, Southern Asia

Indonesia, Philippines

South America; most common in the Brazilian Amazon

Origin Sub-Saharan Africa from Senegal to Somalia (largest producers are Sudan, Chad, and Nigeria) Asia and Africa (India; Senegal, Sudan, and Pakistan also export karaya)

Table 4 The use, origin, and trade of select tropical gums, resins, and latexes

2011 Philippine production: 678,000 kg (Philippine Forestry Statistics 2012) 2012 global production 11.6 million tons (International Rubber Study Group – www.rubberstudy.com) 2012 Indonesian and Mexican exports combined: 1.3 million kg (UN Comtrade)

N/A

5,500 tons (Vantomme et al. 2002 - although annual supply has reportedly been in decline since) 2009 production in Brazil: 538 metric tons (Newton et al. 2012)

2011 Philippine export (123,00 kg) value: $226,000 (Philippine Forestry Statistics 2012) Thailand, Indonesia, Malaysia, and Vietnam 2012 exports combined: $16.4 billion (UN Comtrade) 2012 Indonesian and Mexican exports combined: $4 million (UN Comtrade)

2009 value: $2.2 million (Newton et al. 2012)

Estimated annual value (USD) (source) 2010 global trade: $490 million (UNCTAD)

Estimated amount produced (source) 2010 global production: 142, 123 tons (UNCTAD – unctad.org)

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Table 5 Tropical plants used as dyes and tannins Common name Cutch, catechu, sa-che, seesiat Annatto

Botanical name Acacia catechu

Family Fabaceae/ Leguminosae

Bixa orellana

Dilleniidae

Caesalpinia spp.

Fabaceae/ Leguminosae

Brazilwood, Pau de Pernambuco, sappanwood, tara

Chlorophora tinctoria/ Morus tinctoria Curcuma longa

Moraceae

Zingiberaceae

Old fustic, dyer’s mulberry Turmeric

Indigofera tinctoria

Fabaceae/ Leguminosae

True indigo

Haematoxylum campechianum

Fabaceae/ Leguminosae

Logwood

Pterocarpus santalinus

Fabaceae/ Leguminosae

Relbunium spp.

Rubiaceae

Roccella spp.

Roccellaceae

Red sandalwood, red sanders, santalin Chamiri, antaco Orchil

Occurrence India, Myanmar, Thailand Central America and tropical South America South America, India, and S.E. Asia

Tropical Americas Southern India (now widely cultivated) Southern Asia

Central America and tropical South America Southern India

South America South America, Angola, Madagascar, the Mediterranean

Uses Tanning agent, brown dye, and preservative for canvas and fishing nets The fruit’s red seeds are used as a food colorant/flavoring The wood of several species produces a red dye called brazilin; the tannin-rich seed pods of C. spinosa produce a light-colored leather The wood produces a yellow or khaki dye The rhizomes are used as a cooking spice and as a yellow dye The fermented leaves produce the blue dye indigotin The heartwood produces a dark pigment used for textiles and in inks The powdered heartwood is both a dye and food additive Roots make an orange or red dye The fermented lichen makes a red-purple dye; also used in litmus paper

Sources: Green (1995), Ferreira et al. (2004)

Natural products also continue to contribute significantly to industry bottom lines, particularly in areas like anti-infectives and cancer, where 48.6 % of all drugs are natural products or derived therefrom (Newman and Cragg 2012).

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Gums, Resins, and Latexes Several hundred species of tropical trees produce useful gums, resins, and latexes (Coppen 1995a, Coppen 1995b). Internationally, a number of these tree exudates are widely used in the food, pharmaceutical, and fragrance industries, as well as in a variety of manufacturing processes. Once traded in large volumes, many wildsourced gums, resins, and latexes have lost market share to inexpensively produced synthetic substitutes. Examples of products that have lost markets to substitution effect include chicle (latex from Manilkara zapota), once used as a natural base for chewing gum; balata (latex from Manilkara bidentata), formerly used to coat submarine and telephone cables, as well as golf balls; and damar (resin principally collected from Shorea spp.), an ingredient used in varnishes and lacquers (Fig. 9). The income generated from the sale of tropical forest exudates supports rural livelihoods – such as those of the rubber tappers living in extractive reserves in Brazil as well as almaciga (Agathis philippinensis) resin tappers in the Philippines – but also generates significant hard currency for national economies, hundreds of millions of dollars in the case of gum arabic (Acacia spp.), and billions of dollars for plantation-grown natural rubber (Hevea brasiliensis) (Table 4). While internationally traded exudates often end up being used in industrial applications, local communities use these substances for pragmatic as well as spiritual purposes. In Brazil, resin from Copaı´ba (Copaifera spp.), known as “the antibiotic of the forest,” is used to treat wounds, but also serves as lamp oil (Shanley et al. 2011). Almaciga resin serves as a torch fuel in the Philippines, but is also used to caulk boats and is burned as incense in religious ceremonies. In similar fashion, benzoin (Styrax spp.) resin is ritually burned in Indonesia during rice-harvesting ceremonies, as an offering to the dead, and as protection from bad spirits.

Dyes and Tannins Humans have dyed textiles for thousands of years, and until the advent of synthetic dyes 150 years ago, dyes were produced from natural sources, including roots, leaves, barks, fruits, and lichens (Ferreira et al. 2004). One of the most famous tropical dyes is indigo, a deep blue obtained from Indigofera tinctoria, a plant native to tropical Asia. Indigo was a significant item of commerce between Europe and Asia in the sixteenth century. During the seventeenth century, the plant was introduced to the West Indies and the Americas as a plantation crop to supply the European dye industry (Ferreira et al. 2004). Plant tannins, derived from bark, wood, fruits, and other plant parts, are used for tanning leather as well as for dyes and inks. Examples of tropical plants used as sources of dyes and tannins are given in Table 5. A noteworthy insect-derived dye is lac, the scarlet-colored, resinous secretions of various genera of scale insects including Kerria, Laccifer, Metatachardia, and others. Lac cultivation occurs across Asia in natural forests. Lac is also processed into shellac, varnishes, and waxes. India is the world’s leading

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Fig. 10 Palms and hemiepiphytes are widely used in basketry and broom construction (Photo: M. Cymerys)

producer of lac. According to UN Comtrade, India, Thailand, and Indonesia exported a total of 13 million kg. of lac in 2006, worth an estimated $50 million.

Construction and Fiber Since the dawn of civilization, humans have used a variety of forest fibers and construction materials to make their homes, thatch their roofs, fashion their tools, and weave cordage, baskets, and mats. The most important tropical forest fibers in international trade are bamboo and rattan. Woody and herbaceous bamboos (var. spp.) are members of the grass family and are found across the tropics, as well as in temperate forests. Noted for their tensile strength, the woody bamboos have a deep history of use in Asia where they have been used to make dwellings, tools, paper, and musical instruments. Rattans (various genera including Calamus, Daemonorops, Eremospatha, and Laccosperma) are spiny, climbing palms whose strong stems (“canes”) can be woven into furniture, baskets, handicrafts, and fish traps. Rattans are almost exclusively harvested from natural forests in Africa, Asia, and parts of the South Pacific. Southeast Asia is the hub of the global rattan trade. International trade in rattan and bamboo products was worth $2.5 billion in 2012 (Wu 2014). Domestic and subsistence use of bamboo and rattan in the tropics is substantial. For example, the domestic market for bamboo in China was valued at $19.5 billion in 2012 (Wu 2014). The bamboo sectors in China and India alone are

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estimated to employ more than 16 million people (Wu 2014). In addition to their use in construction, young bamboo shoots are edible and some rattans produce edible fruits and palm hearts as well. In South America, palm fibers are widely used for home construction, basketry, tools, and ceremonial purposes. Important genera include Attalea, Astrocaryum, Leopoldina, and Syagrus. Kapok fibers from the seed pods of Ceiba pentandra, native to Central and South America, have long been used as insulation as well as stuffing for pillows, mattresses, and, due to their buoyancy, life preservers. In Brazil, the roots of the hemi-epiphytic vine titica (Heteropsis spp.) are used to bind housing frames and to make a variety of household products such as brooms, bags, and baskets (Fig. 10).

Governance of NTFPs As we have seen, NTFPs include a broad range of species with extremely different ecological, livelihood, and market niches and equally diverse management and trade practices, end products, and consumers. It is very difficult to regulate such a wide range of related but different products and activities under one body of law, and very few governments have succeeded. Common problems with NTFP regulation around the world include lack of clarity over what is being regulated and why; inconsistent and poorly coordinated bodies of law drafted in reactive and opportunistic, rather than strategic, ways; and an absence of consultations with harvesters, producers, local communities and other stakeholders (Wynberg and Laird 2007; Laird et al. 2010). NTFP laws are also often poorly implemented because government resources and capacity are rarely allocated for what are still perceived as “minor” products (Shackleton and Pandey 2014; Tomich 1996). In addition, ambiguity in government institutional responsibilities creates conflict and confusion, with local, provincial, and national authorities often competing for jurisdiction over products when they become commercially valuable. In some countries, legal ambiguity creates opportunities for corruption. Bureaucratic and confusing NTFP laws in the Philippines and Cameroon, for example, have been shown to make “unofficial payments” to government officials for paperwork or “informal taxation” along trade routes an expected requirement of participating in the NTFP trade (Arquiza et al. 2010; Ndoye and Awono 2010). Another central problem with NTFP law and policy around the world is that what could be important and complementary customary laws and institutions are sidelined and even undermined by statutory systems of law (Alexiades and Shanley 2005; Laird et al. 2010, Blackman and Rivera 2011). In many tropical forest countries, including Brazil, Cameroon, Fiji, India, and the Philippines, “less is often more” when it comes to statutory NTFP regulation; existing customary structures can prove far more effective at regulating such locally and culturally specific products (Wynberg and Laird 2007; Arquiza et al. 2010; Lele et al. 2010; Novellino 2010).

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Fig. 11 National legislation in Brazil protects the Brazil nut tree from timber extraction (Photo: P. Shanley)

Laws and Policies that Impact NTFPs: Direct and Indirect Laws and policies impacting NTFPs include those that directly regulate these products and those that indirectly but significantly do so. Direct regulation is usually for species in commercial trade, and regulatory frameworks are part of national or international efforts (generally under CITES) to protect endangered or endemic species or to generate revenues for governments. For example, in India, tendu (Diospyros melanoxylon) provided as much as 74 % of Orissa state’s total earnings from forests, and as a result, the state established direct regulation of this species through nationalization (Lele et al. 2010). Policies that directly regulate NTFPs include quotas and permitting, as part of forestry and natural resource laws; quality, safety, and efficacy standards and measures; transportation; trade restrictions; and taxation (Laird et al. 2010). Laws and policies that indirectly impact NTFP management, use, and trade can often have as great, or greater, impact on these species as those drafted to regulate them (Dewees and Scherr 1996). These include agricultural policies that discourage or promote farming practices linked to NTFPs and local livelihoods such as restrictions on swidden agriculture (Novellino 2010), incentives to cultivate NTFPs, or agricultural policies that create changes in land and resource rights with significant impacts on NTFP management and the livelihoods of small-scale producers and harvesters (Cronkleton and Pacheco 2010). Land tenure and resource

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rights are fundamental to the achievement of equity and sustainability in NTFP management, use, and trade, but their central role is often overlooked. NTFPs are harvested under a wide range of land ownership regimes including communal, private, and various tiers of state control, as well as different access regimes, from strict prohibitions on use through to open access (Laird et al. 2010).

Incorporation of NTFPs into Forestry Laws In most countries, forestry laws historically focused almost exclusively on timber production and paid little attention to NTFPs. However, in recent decades, efforts have been made to incorporate NTFPs into national forestry laws as part of trends discussed earlier towards a wider and more inclusive view of the values, goods, and services provided by forests. In most countries, this meant tagging NTFPs onto existing timber-centric policy processes or laws in the 1980s and 1990s. The result was lack of clarity on definitions and scope, with many governments uncertain of the products and activities they were regulating. The actions prescribed often focused on permits, quotas, management plans, and royalties or taxes – an approach lifted directly from the timber sector and entirely inappropriate for NTFPs (Laird et al. 2010). In a positive development, however, some of these revised forestry laws included recognition of NTFP values in timber management plans and logging operations in order to minimize negative impacts on these locally valuable species (Fig. 11).

NTFP Certification Certification has emerged as a voluntary policy tool for promoting sustainability and equity in the use and trade of NTFPs. It can complement statutory and customary laws by using a market-based instrument to further raise awareness of the ways NTFPs are sourced and the interrelationship between timber and non-timber production. NTFP certification is far more limited in scope than timber certification and is made more expensive and difficult due to the complexity and diversity of the products found within this category and the smaller revenues generated by each product. Certification schemes and standards addressing NTFPs vary and include organic, fair trade, and forest/ecological (Shanley et al. 2002; Market Insider 2014).

Training, Education, and Research Professional forestry careers and training programs are suffering reduced enrollment in many countries, with individuals seeking a degree in forestry down by 30 % since the 1990s (Van Lierop 2003; Temu and Kiwia 2008). One of the reasons identified by potential students for reduced enrollment was a perception that rather

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than promoting stewardship and looking at the broad social as well as ecological values of forests, forestry was narrowly focused on the extraction of timber (Temu and Kiwia 2008).

Training and Education Repeated calls for interdisciplinary training in forestry have been made for graduate and undergraduate training (Zarin et al. 2003; Innes 2010). Advances have been made and many promising initiatives and training programs exist, but NTFPs and local perspectives on the value and use of forests continue to be taught separately from timber management (Lawrence 2003). In cases where NTFPs have been integrated into the curriculum, positive results have followed whereby systems thinking, critical analysis, and an interdisciplinary approach help prepare foresters to design and manage multiple-use forest systems. NTFP courses have been integrated into university curriculum at forestry and agricultural training schools in the Brazilian States of Acre, Para, Amazonas, and Amapa (Guedes Pinto et al. 2008; Shanley et al. 2012), into postgraduate natural resources management programs in the Universidad Veracruzana (Guariguata and Evans 2010), and NTFP subjects have been included in the syllabi of two faculties of the National University of Laos (Ingles et al. 2006). However, as Morris and Van (2002) note in Vietnam, no University or college faculty has specialized in NTFP training, and where NTFPs are taught, the focus is often on a few products in trade (Guariguata and Evans 2010). A large number of NTFP educational programs and curricula development exist outside formal education settings, which are largely developed by communities or NGOs. These tend to be more practical and applied and thus respond more immediately to the socioeconomic and ecologic challenges faced by communities (Shanley et al. 2011). By affirming the local knowledge and management practices forestry students have grown up with, and listening and using case studies from farmers’ life contexts (Dove 1992), forestry extension and teaching at the village level can affirm student’s cultural and ecological heritage at all school levels (Quave 2014).

A Biocultural Approach: Indigenous Educational Training Initiatives A trend occurring in the educational sector in various regions is tailored educational and training initiatives for indigenous communities. Such programs range from bilingual education providing literacy, community health, community forestry, and marketing skills (Thomas 2002) to formal education institutions focused on the integration and implementation of intercultural education models (Alexiades et al. 2013). Examples such as the Intercultural University of Veracruz and Iwokrama in Guyana illustrate how intercultural education seeks to understand and enhance the sum of ideas, practices, and values that marginalized societal

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groups generate from within, creating a path for endogenous development. By including the practices, values, and uses of NTFPs, these educational models establish inclusive and respectful dialogues and contribute to the conservation and defense of indigenous territories and resources (Haverkort and Rist 2007; Pedota 2011). Since the aim of intercultural programs is to create opportunities for intergenerational transmission of knowledge, this could become a promising path for maintaining and conserving forests in various areas of the world. Indigenous NTFP approaches constitute a framework closer to the views, practices, and values of indigenous communities who manage their forest resources for multiple uses and not just wood.

Closing Gaps in Knowledge and Practice Data Needs During the past 20 years, gains have been made in recognizing the value of non-timber forest resources at the global and local scales, and NTFPs have taken a firm place in international policy discussions. And yet, basic field research on the ecology, use, and management of NTFPs remains scant, as well as initiatives to generate key information and/or put into practice what is known about NTFPs – joint timber and NTFP inventories and production studies, documentation of complex management systems, policies which support NTFP gatherers, and global initiatives to capture the still invisible trade in and cultural importance of forest products. Below is a partial list of areas in need of attention.

National and International • Modify national agricultural and labor census to capture trade and employment in NTFPs. • Generate regional and national statistics documenting trade in a wide range of NTFPs. • Make trade categories more distinct to capture species-specific trade, regionally and internationally. • Train data collection agencies that monitor local, regional, and national markets and agricultural trade to augment their list of crops to include forest resources. • Generate rigorous data on forest resources to feed into Food and Agricultural Organization’s (FAO’s) annual global forest resources report (Zhu and Waller 2003). • Use satellite remote-sensing tools for national monitoring of deforestation and forest degradation to discern drivers (Hosunoma et al. 2013). Regional • Conduct longitudinal analyses of management, use, trade, and impacts of land use change on forest products and the people who rely upon them. • Develop and share methods to streamline the monitoring of NTFP harvest.

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Fig. 12 Annual Negrito Cultural Revival and Forest Food Festival, Agta Tribal Council, Philippines (Photo: G. Cruz)

• Promote exchanges between small holders to share use, processing, and management techniques. • Investigate the range of motivations of gatherers and the cultural and personal connection of people to place with attention to the intangible benefits and cultural opportunities and challenges of NTFPs.

Forest Resources: Site and Species Specific • Initiate ongoing ecological studies: phenology, distribution, density, production/ yield, dispersers, pollinators, etc. of locally and regionally important NTFPs. • Identify NTFPs which are valuable to local populations and vulnerable to land use change and document associated small holder management practices. • Conduct studies to determine sustainable extraction of understudied but widely utilized classes of NTFPs, including barks, roots, and exudates. • Integrate local and scientific knowledge to identify best practices and resources monitoring systems. • Offer technical assistance for improved preserving/processing of NTFPs for market/value addition. • Undertake studies on the subsistence use of the full range of species in a large number of forest communities so NTFP discussions can move beyond anecdote to real analysis. • Support communities in intergenerational transfer of traditional ecological knowledge through research, workshops, and technical and cultural exchanges between indigenous communities (de Beer 2011).

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Methods Forest inventories, forest management courses, university curricula, and field research on natural resources are often timber oriented, restricting understanding of the vast range of forest products and services. Interdisciplinary methods are needed that provide practical, low-cost, participatory means for communities to assist in conducting and monitoring sustainable forest management: • Develop methods for improved integration of timber and NTFP inventories, management, monitoring, and harvest. • Improve research design and methods by fostering improved communication and understanding between rural communities, extensionists, and scientists (Sunderland et al. 2009). • Test various monitoring methods for sustainable extraction of NTFPs across regions and NTFP classes. • Advance RIL techniques and train foresters in RIL and integration of NTFPs and timber. • Develop participatory methods by which communities monitor phenology, production/yield, and sustainable offtake of NTFPs.

Policy • Promote cross-sectoral communication (i.e., agriculture, forestry, land and resource rights, education, transportation, culture) to mitigate detrimental impacts of policies on land use, NTFPs, and livelihoods, and enhance the effectiveness of laws. • Undertake careful and thorough consultations with the wide range of affected stakeholders (communities, traders, harvesters, companies, exporters, etc.) before embarking on legislation. • Provide adequate resources to develop and implement laws and ensure institutional responsibilities that are clear and well-resourced. • Respect and incorporate the important role of customary laws and institutions in regulating such a diverse group of products. • Learn lessons from former NTFP projects and conservation and development initiatives (i.e. community based forest management (CBFM), payment for environmental services (PES), and others) in order to learn from past experiences and avoid repeating mistakes. • Examine the interface between NTFPs and climate change including adaptation and mitigation, and the potential role of REDD+ in national NTFP strategies and laws. • Approach policy in a more holistic manner that promotes management of forests for a broad spectrum of products and beneficial services that seek to concurrently mitigate climate change, biodiversity loss, and species extinction.

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Communication and Information Access The majority of data generated about NTFPs is available to scientists with access to international journals rather than foresters, practitioners, national scientists, and people who rely upon NTFPs. Equitable sharing of science through extension and outreach has improved outcomes in the agricultural and health-care sectors but is in vast need of improvement in the forest resources sector: • Synthesize existing knowledge from long-term and rigorous site-specific studies – specifically ecology, trade, processing, use, nutrition, and management. • Expand information access through production of radio programs, films, and illustrated, accessible reference works. • Employ popular media outlets to share relevant and timely forest resource information on nutrition, processing, management, trade, and legends regarding forest resources. • Promote education about NTFPs by fostering exchange between civil society, policy makers, and gatherers, through forest food and cultural festivals – celebrating the connection between people and forests (de Beer 2011) (Fig. 12).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

The Principles of Wood Characteristic Formation Christoph Richter* Tharandt, Germany

Abstract The way a tree looks on the surface and its internal features are in fact determined by a set of specific characteristics. These characteristics form during the tree’s natural growth cycle. They include stem shape, branch formation, bark features, and the anatomical structure and color of the wood. As the seasons come and go, external events such as temperature variations, rain, snow, wind, and lightning also have an impact on the tree. In addition, biotic influences attributed to fungal and insect attack, animals, plants, and human activities also play a role. Surface and internal features make each tree unique. These characteristics are not necessarily defects. Whether they are viewed as (neutral) characteristics or defects is simply a matter of perspective: From a “tree’s perspective,” a characteristic is only a wood defect if it significantly influences the tree’s natural life expectancy. Rot can weaken a tree’s stability or impair vital functions. A low stem break can result in an abrupt loss of crown and foliage, eventually killing the tree. On the other hand, an oddly shaped trunk, a knot, or obviously the tree’s own branches, an indispensable part of its assimilation process, would not be considered defects. From a wood processor’s perspective, the characteristics are only wood defects if they make the wood difficult or impossible to use for a specific purpose. Therefore, a wood characteristic is not a defect if it does not interfere with the wood’s intended purpose or if it renders the wood useful for a specific purpose. Happy are the ecologists and aesthetes. Where others see wood defects, they see wood characteristics, special traits, unique to a tree and reflecting a synergy among biozones. They accept them as an expression of nature: diversity of shape, originality, vitality, the passage of time.

Keywords Wood Characteristics; Wood Defects; Wood Quality; Natural Tree-Growth

Introduction and Definitions (Richter 2010, 2015) The way a tree looks on the surface and its internal features are in fact determined by a set of specific characteristics. These characteristics form during the tree’s natural growth cycle. They include stem shape, branch formation, bark features, and the anatomical structure and color of the wood. As the seasons come and go, external events such as temperature variations, rain, snow, wind, and lightning also have an impact on the tree. In addition, biotic influences attributed to fungal and insect attack, animals, plants, and human activities also play a role.

*Email: [email protected] Page 1 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

Surface and internal features make each tree unique. These characteristics are not necessarily defects. Whether they are viewed as (neutral) characteristics or defects is simply a matter of perspective: From a “tree’s perspective,” a characteristic is only a wood defect if it significantly influences the tree’s natural life expectancy. Rot can weaken a tree’s stability or impair vital functions. A low stem break can result in an abrupt loss of crown and foliage, eventually killing the tree. On the other hand, an oddly shaped trunk, a knot, or obviously the tree’s own branches, an indispensable part of its assimilation process, would not be considered defects. From a wood processor’s perspective, the characteristics are only wood defects if they make the wood difficult or impossible to use for a specific purpose. Therefore, a wood characteristic is not a defect if it does not interfere with the wood’s intended purpose or if it renders the wood useful for a specific purpose. Happy are the ecologists and aesthetes. Where others see wood defects, they see wood characteristics, special traits, unique to a tree and reflecting a synergy among biozones. They accept them as an expression of nature: diversity of shape, originality, vitality, the passage of time. The following discusses wood characteristics from the viewpoint of the wood processor. For the most part, the neutral term “wood characteristic” is used. Only when a specific feature interferes with an intended purpose will the negative term “defect” be used. Since time immemorial, people have determined the ideal shapes and properties of a tree stem or a piece of wood based on the ultimate end product. In the Stone Ages, wood used to make a spear had to be straight, slender, and elastic, while wood intended for the handle of a flint ax needed to be solid with a hook shape. Carpenters of the Middle Ages preferred oak for beams because wide tree rings made the wood more resistant to bending. In Lapland, people made sturdy sled runners from sickle-shaped root crowns. And well into the nineteenth century, tree parts selected for their naturally formed shapes were highly prized in shipbuilding. In modern times, given the constant improvements in manufacturing, solid, straight-stemmed, branch-free trees have become the preferred standard. Demands on stem quality are greatest in furniture and cabinet making. The wood’s specific end purpose, therefore, determines whether a wood characteristic is considered a defect, minor variation, or even a desired feature. Wood has quality when it is suitable for a specific end purpose. Thus, it is essential that a wood processor have a good understanding of the basic wood characteristics. Some wood characteristics are either directly visible or indirectly apparent on a living tree and therefore are given special attention. This is partly necessary because, on the one hand, early identification saves time and energy spent processing unsuitable wood. And on the other hand, recognizing a desirable wood characteristic early can result in the wood being graded for a much higher quality product. Timber experts and wood technologists have been searching for effective ways to accurately predict the quality of the processed wood based on the quality of the standing timber (grade standing timber). Basic guidelines, such as the Swiss OPS or the Swiss Timber Industry Standards, rate stem quality in the lower portion of standing trees (near 8 m high) in three groups, optimal, satisfactory, and poor, and are capable of identifying 10–30 % of the defects found in the processed logs (Stepien et al. 1998). More detailed quality classification procedures currently exist which, while quite time consuming (such as laser scanning), also provide a more accurate quality appraisal for veneer or log grade timber (Schute 1972a, b, Richter 2000, Willmann et al. 2001). Stepien et al. (1998) used a multiple regression model to grade standing timber with an accuracy of about 60 % for beech (Fagus sylvatica), spruce (Picea abies), fir (Abies alba ), and pine (Pinus sylvestris) and about 45 % for larch (Larix decidua). The assessment included the 10 superficial tree features: branches, suckers, branch scars, bumps, sweep, crook, spiral growth, cracks, necrosis, and cankers. Only the first 9 m of the stem were assessed in the study, because this section of the stem makes up 50–70 % of the value of softwood and 80–95 % of the value of hardwood, especially beech (Bachmann 1970). See Fig. 1 for Page 2 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

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Fig. 1 Relationship between volume and value distribution of mature soft- and hardwood trees depending on relative tree height (Richter 2000 after Bachmann 1970)

comparison. There is no extensive research available for standing assessments of tropical timber. Nevertheless, it is generally believed that the same principle relationships exist in the humid tropics. Log ends and branch stubs reveal additional, otherwise hidden characteristics, useful for grading felled timber, such as random color variations, decay, pith flecks, growth-ring anomalies, reaction wood, and resin ducts. Including as many surface characteristics as possible, the quality of the raw timber can be used to predict, with a relatively high degree of accuracy (estimated at around 60–80 %), the quality of the future sawn timber or higher-end product (Richter 2010, p. 17–18). While the cost and expenditure of conducting a quality assessment increases exponentially with the breadth of the survey, failure to conduct a precise quality assessment results in lost revenue. The only way really to mitigate this contradiction is by knowing how to assess wood characteristics. Timber-grading practices vary significantly around the world according to: – – – –

Tree species/species group Dimension (diameter and length) Quality Intended purpose

The most simplistic method grades logs solely based on length and the average diameter. Today this method is only used in countries with (alleged) timber surplus and simultaneously low harvest yields. As demand for timber rises, grading standards pay increasingly more attention to features that naturally Page 3 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

develop during the course of a tree’s life, biotic and abiotic characteristics, and crack formations. These grading systems consider characteristics that adversely affect the wood’s end purpose as defects. Characteristics which allow special usage are considered beneficial. This leads to a differentiated pricing on the international timber market. In many countries, the requirements for dimension, quality, and end use of commercial timber are set forth in official standards or regulations. There are also bilaterally accepted grading standards established between timber buyers and timber companies that regulate the timber market. It is impossible to list all the quantitative descriptions given to define individual wood characteristics by the many international grading standards. Therefore, quantified statements are used as examples from the grading standards followed in Germany, namely, the HKS (2002), CEN (DIN 1997, 1998), and the Rahmenvereinbarung f€ ur den Rohholzhandel in Deutschland (RVR) (2014). This seems justified for timber from the temperate latitudes, because Germany’s quality standards, established to address a continuously decline in timber supply, date back to the fifteenth century (Willing 1989). There are three general standards recommended for grading tropical timber (Lohmann 2005, pp. 87–89): 1. The French standards based on a point system set forth by the Association Technique Internationale des Bois Tropicaux (ATIBT) 2. The French standards based on the “fair merchantable goods” principal (Loyale et Marchande [L&M]) 3. The English standards based on the “fair average quality” (FAQ) principal

The Principles of Wood Characteristic Formation With such variety among wood characteristics, one would think there would also be many different factors leading to their formation. Actually, however, there are only five main “triggers.” The two main “internal” triggers are: – Genetic predispositions and genetic alterations in the tree (mutation, genetic defects) – Alterations in the tree’s internal physiological processes (assimilation, nutrient supply, material transport, chemical reactions) The three main “external” triggers are: – Light/radiation (heliotropism) – Mechanical stress (geotropism, wind, lopsided crown) – Injuries/infections In nature, the effects of these five factors often overlap, making a simple cause–effect relationship difficult to identify. Nevertheless, it is important to try to describe how trees mainly react to these five triggering factors before further discussing the individual wood characteristics (formed in response to this “trigger”). These five factors apply, in principle, for trees in the boreal, temperate, and tropical zones.

Genetic Predispositions, Genetic Alterations All trees grow according to a genetically predetermined design. Hereditary information determines a tree’s outward appearance and its internal biochemical processes (Fig. 2). If a tree grows under normal site Page 4 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

AT C G C G

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A tree’s hereditary information is fixed in its genes, deoxyribonucleic acid molecules (DNA). During replication, the double helix typically divides into two new, identical strands.

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Fig. 2 DNA replication (a section of a DNA double-helix structure model) (Buchner 2008)

conditions (climate and soil), then wood processors will usually be satisfied with its morphology. Genetic alterations, however, can cause single individuals, or provenances, to deviate from their tree species’ “normal form.” For example, external characteristics such as the forking tendency among freestanding mahogany stems (Swietenia macrophylla) or the extreme tapering tendency of Engelmann spruce (Picea engelmannii) are genetic. The same applies to fluting in zwart parelhout (Aspidosperma excelsum), the formation of flanges in djadidja (Sclerobium melinonii), or hazel growth in basralocus (Dicorynia guianensis). Abrupt changes in a tree’s morphology and physiology can also be the result of a mutation. A well-known example of a recent, potentially lasting mutation is the corkscrew-shaped growth found in dwarf beech trees (Fagus sylvatica, var. tortuosa) or also the abnormal cell development in spruce (Picea abies), called bird step. Conclusion: Trees are bound to their genetic specifications. Wood processors, therefore, must live with their genetic diversity and accept genetic variations in every conceivable form – unless they specifically breed trees to fit their particular needs through artificial selection or a controlled modification of the genetic material.

Impact of Physiological Processes Occurring Within the Tree A tree’s vital functions are significantly influenced by the location (climate, soil), on which it grows. The availability of water, nutrients, and light, in particular, determines its internal biochemical processes. A tree responds to deficiency symptoms by altering its growth. For example, if a branch uses up the assimilates it produces itself, instead of exporting them to the stem for radial growth, a moulding will form in the stem section directly below the shade branch (Fig. 3). Air penetration into the stem’s interior (branch breakage, internal stem dehydration) can result in oxidative processes that lead to facultative heartwood formation. Red heartwood formation is common in beech (Fagus sylvatica) or in baboon (Virola surinamensis). Climatic influences can prevent cell components from depositing that are needed for pith formation. In such cases, incomplete pith formations (double sapwood) or “moon-rings” develop which are notably lighter than the darker heartwood. Microorganisms can also redirect growth processes in trees to their favor, as easily seen on galls, burls, and witches’ brooms. Conclusion: A tree can only influence conditions on its growing site over the long term and has no effect on the impact of microorganisms. Thus, a tree is incapable of preventing any characteristics that they may cause.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

assimilation flow

hunger branch

Fig. 3 Moulding under a shade branch (hunger branch) on a beech (Fagus sylvatica)

Humans can favorably influence a tree’s site conditions by improving the soil and through forestry management measures and thereby can gradually alter the physiologically triggered wood characteristics.

Light/Radiation The most important influence on tree growth is the photosynthetic effect of direct and diffused radiation at wavelengths between 400 and 700 nm (Promis 2009). A tree is designed to ensure that its assimilation organs, needles or leaves, receive the maximum amount of sunlight. This constant quest for light is called heliotropism. It affects trees in several ways: 1. Leaves and nonwoody shoots react to light variations throughout the day with growth movements or changes in turgor pressure in the leaf stems. 2. Young, woody shoots can adjust to changes in radiation by reorienting themselves through growth movements. 3. “Stronger” branches form reaction wood in response to permanent changes in light, appearing as compression wood on the underside of softwood branches and tension wood on the upper side of hardwood branches. 4. The stem reacts to permanent changes in sunlight exposure by forming reaction wood in its sapwood over the long term. Tree rings or increment zones widen on the compressed side of the stem in softwoods or on the tensile stressed side of the stem in hardwoods (Knigge 1958; Mette 1984) (schematic diagrams Fig. 4). If competition from neighboring trees decreases as a tree ages, the tree’s terminal shoot will respond with a growth spurt, extending either upwards or sideways to fill the gap created in the canopy. In this case, phototropism (orientation of branches and stem towards the brightest light source) suppresses the negative geotropism (effort to shift the stem’s center of gravity) (Strasburger et al. 1978). Heavily shaded branches will remain thin and eventually die from insufficient of sunlight. The more sunlight the branches receive, the thicker they grow. As a result, the stem experiences unequal levels of pressure, causing it to build reaction wood and leading to asymmetric tree rings.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015 sunlight

sunlight

A tilted softwood stem (due to soil movement) is pushed upright by compression wood. Compression wood forms in the newly developed growth rings. This leads to an asymmetric stem cross section.

A tilted hardwood stem (due to soil movement) is pulled upright again by tension wood.

Tension wood forms in the newly developed growth rings. This leads to an asymmetric stem cross section.

Fig. 4 Principle of direction change in the stand: reaction wood formation appears in softwoods (left) as compression wood and in hardwoods (right) as tension wood with simultaneous modifications to the stem cross section

A tree growing free from crown competition will experience optimal branch growth and reduced growth in height. It will develop heavy branches and relatively wide, symmetric tree rings, and its stem will taper (low height–diameter ratio). This is how the tree optimizes its vital functions with limited energy expenditure. In tropical primary forests, evergreen tree crowns are subjected year round to sunlight with a steep vertical radiation angle. This leads to strong competition within the canopy. Although the energy sum from global radiation is 60–75 %, in relation to the cloud-free subtropics (Hatzianastassiou et al. 2005), it only barely penetrates the dense, multilayered canopy, preventing shade branches and suckers from developing. This phenomenon does not occur in geometrically arranged tree plantations. In such forests enough lateral sunlight usually penetrates the canopy to delay the natural pruning processes, thereby increasing the potential need for artificial thinning measures. Depending on the geographical proximity to the equator, the steady 12 h of sunshine, the steep vertical angles, and the relatively small horizontal angle of radiation prevent shade branches and epicormic shoots from living long in dense tropical forests with significant canopy competition. Trees that manage to reduce wood in favor of increased height growth may gain an advantage. They achieve this by decreasing their stem diameter and increasing stem length (large height–diameter ratio). However, to achieve the necessary tensile strength, four different “design principles” have evolved with regard to the trees’ anatomical construction: 1. Prestressing of the trunk (mantle) The outside of the tree trunk is held in tension, the inside is held in compression. When the tree is bent, this prestressing usually keeps it from breaking or bulging (principle of prestressed concrete construction). If the stem axis needs to change direction, newly formed tension wood zones along the corresponding section of the trunk make the correction possible (Fig. 5). 2. Bandaging the trunk As the tree grows in diameter, the fiber directions periodically vary in relation to the stem axis. This alternating spiral effect increases the bending stiffness of the trunk (principle of the crisscrossing bandage) (Fig. 6). Direction changes in the stem axis are caused by tension wood. 3. Segmentation of the stem cross section The stem is reduced to a “construction” of round, positively connected strands of (fluted) wood (principle of timber frame construction). Tension wood can build on each wood strand in order to correct the direction of the stem axis (Fig. 7). Page 7 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

Top section Tension release (excess) Held in tension

Held in compression

Tension release (excess) Break line

Fig. 5 Growth stresses in hardwood, tensile stress in the sapwood, compression stress in the stem core. When a tree is felled and topped, the internal tension is equalized. The resulting decompression inside the stem can lead to stress cracks (shakes)

Fig. 6 Periodically alternating spiral grain. The overlapping fiber structure makes the stem difficult to split after it is felled

4. Stabilization of the stem base Wide spreading buttress roots form at the base of the stem (principle of foundation enlargement) improving the stability of the trunk (Fig. 8). These four “design principles” are often combined. They can also be found to a lesser degree in trees from temperate climates. Page 8 of 19

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

Fig. 7 The stem is formed from interlinked, bar-shaped strands

Fig. 8 Buttress roots improve the stability of this solid wood stem

Conclusion on the Impact of Light/Radiation: Trees react to changes in light and radiation by forming reaction wood. This explains many of the different wood characteristics, especially those affecting stem contour (crookedness, out-of-roundness). Depending on the amount of crown competition and the geographic latitude, sunlight as well as vertical and horizontal radiation influence branch growth and the formation of epicormic shoots. Over the course of their evolutionary history, trees have adjusted to heavy canopy and light competition by developing material-saving stem constructions that benefit crown growth.

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Mechanical Stress When external forces impact the side of a tree, or tilt the stem from its vertical position (wind exposure, soil movement, lopsided crowning), the tree responds by forming reaction wood. Reaction wood counteracts the external pressures and enables the tree to orientate its stem back to the light (phototropism) source or against gravity (negative geotropism) and to better distribute the mechanical stress on the stem or branch (Knigge 1958; Mette 1984). Extreme mechanical stress applied horizontally is capable of superseding the forces of negative geotropism and partly outweighing the influence of heliotropism. According to Rosenthal (2009) and Rosenthal and B€aucker (2012), the alignment of microfibrils in the cell wall is key to the formation of both compression and tension wood. In accordance with the lignin swelling theory, lignin molecules fill the available spaces between the already existing microfibril. As a result, compression stress occurs at a right angle to the direction of the microfibrils. If the microfibril angle – as typical for compressed wood – lies between 30 and 50 , based on the cell’s longitudinal direction, then the compression stress caused by the lignin swelling will lead to an extension of the cell wall; compression wood forms (Fig. 9). If, however, the microfibrils are not, or only slightly, angled in the longitudinal direction of the cell, then the compressive stress caused by the swelling of the lignin will lead the cell walls to thicken. In addition, a highly soluble gelatinous substance deposited in the wood fibers shortens the cell walls during swelling (Matyssek et al. 2010). This leads the cellulose to contract (Wagenf€ uhr 1966) and tension wood forms (Fig. 10). Longitudinal direction cell elongation

Secondary wall S2 with slanted microfibrils Secondary wall S1 almost vertically aligned microfibrils Primary wall Middle lamella Inter cellular Adjacent cell wall secttion

normal tracheids

Compression wood tracheids expand during lignin swelling (Wagenführ1966). Lignin swelling causes compression stress exceeding 3000 N/cm2 (Münch1937) .

cell wall section: Microfibrils in thhe secondary wall are aligned at an angle to the longitudinal direction of the cell S 2.

longitudinal direction 30…50°

component in the direction of cell wall thickening swell direction of the microfibrils pressure component in direction of cell elongation

Fig. 9 Principle of length variation in the compression wood in softwoods

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

cell shortening

Cellulose contraction, particularly in the gelatinous tertiary cell walls causes tension

normal fiber treachied

Tension wood tracheids shrink during lignin swelling and cellulose contraction (Dadswell and Wardrop 1955).

Fig. 10 Principle of length variation in tension wood in hardwoods

Fig. 11 Tension wood flutes in a kopi stem (Goupia glabra)

Softwoods form compression wood on the lower, compressed side of leaning branches, root collars, and stems. Tracheids in compression wood are relatively short and rounded with significantly thicker cell walls. A high level of lignin gives the growth rings on the compressed side a reddish brown color, making it difficult to identify the transition from early to latewood tracheids. The tendency to form compression wood differs between softwood species. Hardwoods form tension wood on the upper side of the lean. Tension wood is difficult to identify. In manufacturing, tension wood often produces wood with a “woolly” surface. Tension wood can be identified chemically based on its high cellulose content with astra blue. Tropical hardwoods also form tension wood on sections of the stem that rely on short-term reinforcements in cases of gravitational crown shifts, particularly in primary forests with intense crown competition (Fig. 11).

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normal stem surface

C

Alternating, pronounced increment zones linked to tension effects in Aspidosperma:

Fluted increment zones (IZ) (1= youngest, 11= oldest IZ)

D

E

B

A

1-5

B

2-4

C

5-6

D

5–8

E

10 – 11

C

C

A

Fig. 12 The tropical tree Witte parelhout (Aspidosperma marcgravianum) forms tension wood folds to promote a geo- and phototropically optimal position for the stem and its crown

Reaction wood in phylogenetically older softwoods places the wood fibers under compressive stress and places phylogenetically younger hardwoods under tension. Because the compressive strength of wood fibers is only about half of its tensile strength, about twice as much compression wood forms compared to tension wood under the same amount of stress. The difference in levels of reaction wood formation between a less stressed hardwood stem and a softwood stem can be seen in the stem cross sections. Hardwoods are capable of reorienting themselves with less material expenditure than softwoods. For example, this ability is extremely pronounced in the tropical tree species zwart parelhout (Aspidosperma excelsum): the typically round- to oval-shaped stems become fluted. Given the rapid changes in tensile stress, increment zones are only able to form in certain sections of the stem (Fig. 12). Conclusion on the impact of mechanical stress: Trees are capable of actively reacting to mechanical stress by forming reaction wood. This explains many wood characteristics, especially those which can be identified from the tree’s outward appearance (sweep, out-of-roundness, cracking).

Injury Trees react to stem injuries in the short term by producing wound closure material. These exudates appear as water-insoluble resin in softwoods as well as in tropical species. Tropical trees are particularly adept in protecting wound surfaces with water-soluble or water-retaining gums, resin-based kinos, or polyterpenebased lattices (Lange 1998a, b, c). At the same time, trees respond internally to a stem injury or a broken branch by walling off the healthy tissue (compartmentalization) as follows (Dujesiefken and Liese 2006): Phase 1: Air penetrates into the injured tissue and dries it out. Accessory components (chemical substances) deposit in the wood boundary layer of the dried tissue. Wound periderm forms to protect the water-conducting cells. In hardwoods, peripheral vessels with tyloses form. In softwoods, boarder pits close off any tracheids that are still intact. Softwoods with resin ducts respond by accumulating resin. A callus forms around the wound in an effort to seal off the area. Page 12 of 19

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Levels of compartmentalization in different directions 2

3 4

1 2 3 4

longitudinal weakest wall tangential, along the growth rings second weakest wall radial, along the rays, strong wall wound wood between wound and callus, strongest wall

Border area walled off to the outside Stem at time of injury Stem four years after injury Original injury area

1

injury area after four years

Fig. 13 Wound wood walls off an injury to different degrees at the various steps of compartmentalization (Shigo 1990)

Phase 2: Wound periderm and wood boundary layers prevent harmful pathogens from further penetration. Phase 3: Pathogens spread through the wood. If a wood boundary layer is penetrated, more boundary layers can form in which accessory components are again deposited. Phase 4: The wound is fully covered from the vertical wound boarder with wound wood; the pathogens are encapsulated. Wound wood differs anatomically from normal wood in that it generally lacks wood fibers, libriform fibers, and tracheids. Instead, it forms thickened parenchyma cells. As a result, the wound wood is not as hard (Sinn 2009). The healthy tissue initially walls itself off from air and later from microorganisms to different degrees in the longitudinal, tangential, and radial direction, as well as along the boundary of the newly formed wound wood (Fig. 13). According to the CODIT-Model (Compartmentalization of Damage in Trees) by Shigo (1990), compartmentalization progresses as follows: Zone1: Minimal vertical compartmentalization occurs along the vascular system or tracheids (a few protective transversal cell walls). Zone 2: Moderate tangential compartmentalization internally, along the growth rings (many pit transitions to adjacent cells). Zone 3: Good radial compartmentalization (relatively few wood rays). Zone 4: Very good tangential compartmentalization externally. This barrier protects the new tissue that developed after the wound from fungi. The effectiveness of the compartmentalization process varies from tree species and depends on the season in which the injury occurs. Compartmentalization is generally more successful in the spring and late summer than in a tree’s dormant periods. Optimally, the wood in the wounded area is simply discolored, while the fiber tissue remains mostly intact. Under tropical climatic conditions, stem injuries and branch breaks caused by consistently high rate of infection often have serious consequences. In the worst-case scenario, the wound can lead to such extensive decay that the tree is unable to compartmentalize (Dujesiefken and Liese 2011).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

Wulstholz

Fiber compression after storm stress

Fig. 14 Wulstholz walls off fiber compression following external abiotic stress

A special type of wood wound with a similar anatomical structure is the so-called bead wood (“Wulstholz”). “Wulstholz” (bead wood) forms after compression failure, when the stem fibers are compressed beyond their limits (Fig. 14). Like compression wood, the cell walls of Wulstholz have a very wide microfibril angle, associated with reduced stiffness (Trendelenburg 1941; Rosenthal 2009). Compression failure and fiber fractures appear in trees from the temperate zones as well as in the tropics. Conclusion on the Impact Stem Injury: Trees are able to respond actively to stem injuries by producing resinous exudates and forming wound wood or Wulstholz. Internally, the injuries are walled off through compartmentalization. This explains many wood characteristics, especially those visible in the trees such as changes to the stem contour (out-of-roundness, bulge), discoloration, and decay. Summary to the general factors leading to the formation of wood characteristics: Trees cannot actively respond to the two “internal” factors that create wood characteristics, genetic predisposition and genetic alteration, nor to the physiological conditions to which they are subjected. Therefore, the wood characteristics these factors trigger are unavoidable. Trees do, however, have two effective means of actively responding to the three “external” factors: light, mechanical stress, and injuries. They react to light and stress factors by forming reaction wood. They react to injuries by walling them off externally with exudates and wound wood or Wulstholz and internally through compartmentalization.

Overview of Wood Characteristics Wood characteristics appear – albeit to varying degrees – on trees from every climate zone. The following groups them into three main categories and summarizes the different types of wood cracks and their causes: 1. The first section covers wood characteristics that occur as part of a tree’s natural growth. These characteristics are either genetically fixed or physiologically determined and develop naturally as a tree grows. For example, as every tree forms branches to transport assimilates, it also responds to light stimuli, site and climate influences, modified nutrient supply, external forces, injuries and stress. The

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

tree stem adapts by deviating from its normal form. Branches respond by either growing stronger or dying off. Changes may also occur in the direction of the fiber, tree ring structure or increment zone formation, and color of the wood. Wood characteristics inherent to a tree’s natural growth Stem contour modifications Taper ** Crookedness ** Forking ** Fused stem True forking Out-of-roundness ** Ovality Eccentric growth Mouldings Fluting / flanges Limbiness Branches ** Living branches Dead branches Suckers / epicormic shoots Branch scars ** “Roses” (coarsely barked tree species) “Chinese’s mustaches” (smooth barked tree species) Branch bump Anatomical structure Irregular growth ring formation ** Fiber orientation ** Spiral growth Wavy growth Fiddleback Hazel growth Reaction wood ** Compression wood in softwoods Tension wood in hardwoods Wounds / Wulstholz ** Ingrowths Resin pockets * Bark pockets * Mineral pockets Growth stresses / stress cracks * Color changes True heartwood * Facultative heartwood * Red / grey / olive / brown heart * Irregularly formed heartwood * **Important

wood characteristics, particulary those visible on standing timber or felled logs, will be highlighted in this chapter with two stars *Wood characteristics not specifically covered in this chapter, but still mentioned in the descriptions, have one star

2. The second group of characteristics comprises biotically induced wood characteristics. These include microorganisms and animals that use tree parts as a food source or for nesting. Human

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influences include injuries due to forestry or logging operations, as well as damage caused by warfare, carelessness, malicious intent, or special interest groups. In the tropics, parasitic or saprophytic plants and plants which use the tree for climbing support have the greatest impact. With appropriate intervention, humans can minimize and sometimes even prevent the harmful influences of microbes, insects, and animals on the wood. Education and a sound understanding of effective forest management practices can limit the threats posed by humans. In tropical primary and secondary forests, human “corrective” influence on the vulnerable ecosystems is always problematic. Biotically induced wood characteristics Effect of Viruses, Bacteria, Fungi Soft rot * Blue stain Red striped White rot * Red rot in spruce Tinder fungus Brown rot * Pine tree rot Honeycombing Honey fungus Rust fungi * Necroses ** Cancer ** Burls / bark burls Galls Witches’ brooms Effect of animals / humans Molluscs Insectdamage * Damage by bark nesters Damage by wood nesters Vertebrates ** Birds Browsing Rubbing Peeling Gnawing Forestry operations ** Felling Hauling Resin extraction Stem injuries Warfare Carelessness/ malicious intent Sports clubs / hunting Special interest groups / nature conservation Effect of plants (Semi-) parasites ** Climbers/ twines / root climbers **

3. The third group includes abiotically induced wood characteristics of inanimate nature. Temperature, precipitation, lightning, wind, and snow cannot be easily influenced. Humans can, however, minimize

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_215-2 # Springer-Verlag Berlin Heidelberg 2015

some of their potential damage through preemptive forest management practices that include selecting tree species suitable for a specific site and planting stands and individual trees with appropriate spacing. In tropical rainforests, abiotic injuries are usually the result of heavy rainfall associated with strong storms. Abiotically induced wood characteristics Temperature-humidity-effect Bark scorch ** Dry crack * Suction tension crack * Lightning ** Lightning moulding Lightning hole Forest fire Frost crack / frost scar ** Frost heart * Moon ring * Hail Water damage Wind and snow effects Compression failure / fiber fractures ** Shear stress crack ** Branch demolition Stem break * Rock fall *

4. The descriptions of the cracks can sometimes be relatively imprecise because there is no exact distinction between the actual crack forms and the underlying crack causes. On the one hand, some crack forms can have several different causes. For example, a cross crack could be caused by dehydration or by growth stresses. On the other hand, the same causes can lead to several different crack forms. Growth stresses, for example, may lead to cracks in the cross-section area, cross cracks, or star shakes. These connections will be clearly illustrated in the summary on crack forms. Crack forms with varied causes ** Heart shake, cross crack star shake Traversing shake Ring shake “Spider” cracks Radial shake Tangential crack / schilfer shake Fiber fracture

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References Bachmann P (1970) Wirtschaftliche Überlegungen zur Waldpflege. HESPA Mitt 1:1–24 Buchner E (2008) Zukunft im Dialog zwischen Theologie und Naturwissenschaft. Kurzreferat im Theologischen Forum, Lehrstuhl f. Genetik, Universit€at W€ urzburg Dadswell HE, Wardrop AB (1955) The structure and properties of tension wood. Holzforschung 9:97 DIN (1997) Laub-Rundholz Qualit€atssortierung. EN 1316-1; 1316-2; 1316-3. DIN Deutsches Institut f€ur Normung eV, Berlin DIN (1998) Rund- und Schnittholz Verfahren zur Messung der Maße. Teil 1: Schnittholz. EN 1309-1. DIN Deutsches Institut f€ ur Normung eV, Berlin Dujesiefken D, Liese W (2006) Die Wundreaktionen von B€aumen. CODIT heute. In: Jahrb. Baumpfl. 2006. Haymarket Media, Braunschweig, pp 21–40 Dujesiefken D, Liese W (2011) The CODIT principle. New results about wound reactions of trees. Arborist News 20(2):28–30 Hatzianastassiou N, Matsoukas C, Fotiadi A, Pavlakis KG, Drakakis E, Hatzidimitriou D, Vardavas I (2005) Global distribution of earth’s surface shortwave radiation budget. Atmos Chem Phys 5:2847–2867 HKS (2002) Die Rohholzsortierung in Deutschland. Richtlinie der EWG. Anhang zur Richtlinie, 5th. edn. Euting Knigge W (1958) Das Ph€anomen der Reaktionsholzbildung und seine Bedeutung f€ur die Holzverwendung. Forstarchiv 29:4–10 Lange W (1998a) Exsudate von B€aumen – Erzeugnisse der forstlichen Nebennutzung (1). Die Gummen – eine Gruppe wasserlöslicher oder wasserquellbarer Exsudate. Holz-Zentralbl 22:334 Lange W (1998b) Exsudate von B€aumen – Erzeugnisse der forstlichen Nebennutzung (2). Die Kinos – eine Gruppe gerbstoffhaltiger Exsudate. Holz-Zentralbl 23:343 Lange W (1998c) Exsudate von B€aumen – Erzeugnisse der forstlichen Nebennutzung (3). Die Latices –Exsudate mit polyterpenoiden Coagula. Holz-Zentralbl 31:450 Lohmann U (2005) Holzhandbuch, 6th updated edn. DRW Weinbrenner, Leinfelden-Echterdingen Matyssek R, Fromm J, Renneberg H, Roloff A (2010) Biologie der B€aume. Ulmer, Stuttgart Mette H-J (1984) Holzkundliche Grundlagen der Forstnutzung. Deutscher Landwirtschaftsverlag, Berlin M€unch E (1937) Entstehungsursachen und Wirkung des Druck- und Zugholzes der B€aume. Silva 25(337):345 Promis A (2009) Natural small-scale disturbance and below-canopy solar radiation effects on the regeneration patterns in a Nothofagus betuloides forest – a case study from Tierra del Fuego, Chile. Dissertation, Albert-Ludwigs-University, Freiburg/Brsg Richter C (2000) Stehendsortierung wertvoller Einzelst€amme – eine Möglichkeit zur Verbesserung des Betriebsergebnisses. GIS Aktuell, Belling Richter C (2010) Holzmerkmale. 3th extended edn. DRW-Verl. Weinbrenner, Leinfelden-Echterdingen Richter C (2015) Wood characteristics. Springer Cham Heidelberg New York Dordrecht London Rosenthal M (2009) Entwicklung eines biologisch inspirierten, dreidimensional verformbaren Furniers aus Druckholz. Dissertation, Lehrstuhl f€ ur Holz- und Faserwerkstofftechnik, Technische Universit€at Dresden Rosenthal M, B€aucker E (2012) Druckholz – Reaktionsholz der Nadelhölzer. Ausgew€ahlte Eigenschaften und wesentliche Unterschiede zum normalen Holzgewebe. Holz- Zentralbl 43:1104–1107 RVR (2014) Rahmenvereinbarung f€ ur den Rohholzhandel in Deutschland (RVR). Hrsg: Dt. Forstwirtschaftsrat eV (DFWR) und Dt. Holzwirtschaftsrat eV (DHWR) Koordinator: FVA Baden-W€urttemberg, Abt. Waldnutzung. Freiburg/Brsg, 11.12.2014 Page 18 of 19

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Schute R (1972a) F€aule als Folge von Beschuss an Buche und Fichte. Forst- und Holzwirt 5:108–113 Schute R (1972b) Was kosten Fremdkörper im Holz? Holz- Zentralbl 19:279 Shigo A (1990) Die neue Baumbiologie. Haymarket Media, Braunschweig Sinn T (2009) Baumkontrollen. Das Modell des Ingenieurbaumes und der biologische Baum. http://www. baumstatik.de/pages/baumkont_sub//zur_wundholzb.html.17.3.09 Stepien E, Gadola C, Lenz O, Sch€ar E, Schmid-Haas P (1998) Die Taxierung der Holzqualit€at am stehenden Baum. Berichte der Eidgenössischen Forschungsanstalt f€ ur Wald, Schnee und Landschaft Nr. 344, Birmensdorf Strasburger E, Noll F, Schenck H, Schimper AFW (1978) Lehrbuch der Botanik, 31st edn. Fischer, Stuttgart/New York Trendelenburg R (1941) Über innere Sch€aden (Faserstauchungen und abnorme Sprödigkeit) an einheimischen und tropischen Hölzern. Z f€ ur Weltforstwirtsch 8:93–107 Wagenf€ uhr R (1966) Anatomie des Holzes. Fachbuchverl, Leipzig Willing M (1989) Grundlagen der Rohholzsortierung. Wissenschaftsbereich Forstnutzung, Technische Universit€at Dresden Willmann U, Mahler G, Wurster M (2001) G€ uteanspr€ uche am stehenden Stamm im Rahmen der Bundeswaldinventur II. AFZ-Der Wald 56:1024–1026

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Wood Characteristics Inherent in a Tree’s Natural Growth Christoph Richter* Opitzer Weg 20, Tharandt, Germany

Abstract Wood characteristics that occur as part of a tree’s natural growth are covered in this chapter. These characteristics are either genetically fixed or physiologically determined and develop naturally as a tree grows. For example, as every tree forms branches to transport assimilates, it also responds to light stimuli, site and climate influences, modified nutrient supply, external forces, and stress. The tree stem adapts by deviating from its normal form. Branches respond by either growing stronger or dying off. Changes may also occur in the direction of the fiber, tree ring structure or increment zone formation, and color of the wood. The Description of Characteristics Follows the Structure Description (Anamnesis on Tree) Causes (Diagnosis) Prevention (Prophylaxis) Impact on Use (Anamneses on Product) Technological Adaptation (Therapy)

Keywords Wood characteristics; Wood defects; Taper; Crookedness; Forking; Ovality; Eccentric Growth; Mouldings; Flutes; Flanges; Limbiness; Limb Scars; Blind Conks; Irregular Tree Rings; Increment Zones; Grain Orientation; Spiral Grain; Curly; Fiddleback; Hazel Growth

Stem Contour Modifications Taper Description Taper refers to a progressive reduction in a stem’s diameter from base to tip (Richter 2010; 2015). The height–diameter relationship (H/D ratio) significantly influences wood volume recovery. Timber is classified as heavily tapered if the diameter of the stem decreases more than 1 cm for each meter (Fig. 1). Causes Certain tree species, for example, yew (Taxus baccata) and swamp cypress (Taxodium ssp.), are predisposed to stem taper. Typically, trees growing without canopy competition develop broad crowns. Instead of growing taller, the trees increase their cambial growth thereby improving their stability. However, as the stand *Email: [email protected] Page 1 of 48

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 1 Swamp cypress (Taxodium) on boggy soil. External forces and site conditions affect the H/D ratio

density increases, crown competition rises, and the individual trees strive to overcome the competition by growing taller and breaking through the canopy. This growth in height takes place at the expense of growth in diameter and stand stability. On unfavorable sites, highly influenced by wind or unstable soil conditions (cliffs, mountain ridges, stand edges, or bogs), trees improve their stability by increasing cambial increment growth in their lower stem (low H/D ratio). As a general rule: the younger and more stable the tree, the greater the crown competition and the more narrow the stem (H/D > 80). The older and less stable the tree, the lower the crown competition and the thicker the stem (H/D < 50) (Rust et al. 2011). Physically, stem taper can be understood as an increase in the stem base diameter of a tree resulting in a decrease in its bending tension to the 3rd power over trees of the same height (Mattheck 1997): s¼

4M : p  R3

Legend: s = bending stress M = bending moment (F * L) F = force on the crown L = load (stem length) R = diameter at stem base That means, for example, if a stem exposed to steady wind pressure doubles its diameter, it simultaneously reduces its bending stress by 1/8. Consequently, the tree increases its chances of survival. The formation of buttress roots follows this physical principle. In tropical primary and secondary forests, trees normally have only slight tapering (H/D > 80). As growth in height accelerates to overcome crown competition, the stem diameters and crown widths progressively decline. Over time, various “design principles” have evolved to ensure stability of the trees (see “The Principles of Wood Characteristic Formation”).

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Main product

Secondary product

Fig. 2 Flitch cut from a highly tapered log: Loss in volume recovery from tapered logs. Wide and thin ends with missing fiber

Slab Scrap Main product

Fig. 3 Conical cut diagram using a band saw. Wide end of board parallel to fiber, narrow end with missing fiber

Prevention Forest management practices such as suitable species selection and appropriate spacing can influence a tree’s H/D ratio. In plantations with geometric tree spacing, the height–diameter ratio can be systematically controlled. Impact on Use The wood volume yield from tapered logs is reduced because the taper leads to shorter board lengths or widths. The amount of slab and edge wood (offcuts) increases (Fig. 2). Missing fiber in the sawn timber reduces the strengthening properties. A variance in fiber of 5 to the surface of a board reduces the bending strength by 20 %. At a 10 fiber angle, bending strength is reduced to a critical 40 % (Pope et al. 2005). The surface quality declines when the wood is planed against the missing fiber. Technological Adaptation Modern band saw technology has optimized the way tapered logs are processed. The wood is cut parallel to the stem surface in the direction of the fibers, conical profile (Fig. 3). Round cut boards can be trimmed parallel to the wane. These trimmings eliminate waste and are sufficient for veneering wood (Fig. 4). Forest measurements collected manually can be time consuming and inaccurate. Therefore, most sawmills today sort timber using (semi)automated optoelectronic scanners. These systems are able

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 4 Boards are cut from a tapered stem and trimmed parallel to the wane

Straight

Sweep

Crook

Fig. 5 Variations in stem crookedness

to scan the stem contours – dependant on the desired log length – in many evenly distributed sections. The scanners are calibrated and ensure measurements in line with accepted grading rules.

Crookedness Description Crookedness refers to stem deviation from a straight line along the longitudinal axis. A straight stem is called “double lined,” a stem curving to one side “single lined or sweep,” and a stem curving at different stem heights “unlined or crook” (Fig. 5). The term “lined” comes from the plumb line. When a plumb bob is suspended down the length of a standing tree, the plumb line either falls in line with the stem (lined), or out of line (unlined), or across the crooked stem section. Causes Certain tree species and their provenances have a genetic predisposition to crook (Darmstadt pines [Pinus sylvestris]) or to sweep (various larch provenances [Larix decidua]). In the nineteenth century, the severely twisted growth of the dwarf beech (Fagus sylvatica var. tortuosa), a mutation of the common beech (Fagus sylvatica), from the S€ untel hills of Lower Saxony, Germany, caused a huge sensation. Page 4 of 48

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Stem diameter at full Maturity

Timber age

Young seedling in understory Pith

Fig. 6 Crooked stems can straighten as the tree grows in width

Trees which grow out from the lower and secondary stories under crown competition are forced to orientate their main shoot toward a gap in the canopy with the most sunlight. The crooked stem can continue to grow, but will produce tension internally (Fig. 6). Particularly, in the tropical primary and secondary forests, this internal defect in the fiber can have a significant impact on future processing (warping, cracking) (Harzmann 1988). Trees tilted from their vertical position by external forces (soil creep on hillsides, wind and snow pressure) straighten themselves as a result of heliotropism and geotropism. In doing so, the stem axis bends. A tree’s ability to bend its stem and branches through the formation of reaction wood is vital to its survival. If a tree loses its terminal shoot, a side branch will take over the leader function. Boring insects such as the pine shoot moth (Rhyacionia buoliana) cause deformed tree shapes (post horn). Animal fraying and rubbing or browsing can lead to stem deformations especially in young trees. Prevention Strict adherence to seed and stock selection guidelines during artificial stand formation can prevent providences prone to stem crookedness from passing on their genetic potential. Spacing guidelines and selective thinning measures promote stand members predisposed to good growth and well-formed stems. Formation pruning of seedlings or immature hardwood that stands in an effort to prevent future stem crookedness is no longer commonly practiced because in most cases, despite pruning, the terminal shoot will eventually end up differentiating itself from the other shoots. Trees with crooked stems in younger stands straighten themselves as the stand matures and the canopy opens up. Trees with sufficient crown space develop wide tree rings, particularly in the concave side of the curvature, which can considerably improve stem quality by the time of harvest maturity. An excellent example of this is found in studies on oak (Quercus robur) saplings dispersed by blue jay under old pine stands (Pinus sylvestris) (Bues and Weiß 2002).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Veneer roll (scap wood in red)

Transport direction

Fig. 7 Scrap wood in peeled veneer from a crooked veneer roll

Fig. 8 Scrap wood (red) from two planks milled from a crooked log

Impact on Use In general, stem crookedness is always associated with the formation of reaction wood (compression wood in softwoods, tension wood in hardwoods). This has an unfavorable effect on processing and the dimensional stability of the wood products. Crooked stem pieces used to produce figured veneer have a lower yield. Using crooked wood to make peeled veneer produces a significant amount of waste, even though the peeling rollers are automatically centered on the wood (Fig. 7). The wood fibers are cut diagonally. This reduces the strength and dimensional stability of the veneer. In the production of sawn timber, the large proportion of slab and end cuts reduces the volume yield (Fig. 8). Boards bend and warp. The section of missing fiber reduces the strength of the wood and increases the surface roughness. Paints and varnishes are absorbed differently, depending on the direction of the wood fiber. If an object can be made by maintaining the natural curve of the wood, it will increase the strength of the end product (e.g., boat frames, sled runners, ice hockey sticks). Although it is sometimes possible through forest management practices to prevent stem crookedness, the many diverse biotic and abiotic impacts influencing tree growth are generally so significant that it is rare to find a tree stem that has maintained perfect rotationally symmetry throughout its often long life.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Cross cut at point of curve

Point of greatest crookedness (measurement point)

Surface measurement Centerline measurement (electronic):

Fig. 9 Crosscut of heavily curved stem

Technological Adaptation Trees are purposely felled in a manner that allows logs with simple sweep to still be effectively milled. Usually, the crosscut is made at the point where the stem begins to curve (Fig. 9). Today, crooked stems can be processed using log breakdown systems with hydraulic controls that guide the logs through the gate or band saw. However, as the board or plank strength increases, it becomes more difficult to avoid producing scrap wood. During drying, the wood pile must be fixed flat. Following the principle “If you can’t fix it, use it to your advantage,” sawmills in Switzerland have developed a new technology programmed to cut boards following the logs’ natural contours. These curve saws not only limit waste but also create more homogeneous products with greater commercial value (Fig. 10). Stem crookedness and stem taper make measuring wood volume difficult for industrial mills. To overcome this problem, processors rely on (semi) automated measurements. The measurements are never exact, but close enough to provide a working basis.

Forking Description Forked stem growth is grouped in two categories: false and true forks. False forks, also called fused trunks, develop when two stems grow together at their base during radial growth and begin forming mutual growth rings. A true fused trunk is only possible between trees of the same species. Different species develop mutually deformed stems, but no fused trunks. Trees with several stems growing together are called multi-trunk trees (Fig. 11). True forks, also called codominant stems or bifurcations, develop when at least two stems of similar dimension grow out of the same tree bole. Before the forking, the bole has only one pith (Fig. 12). If the angle of the fork is wide enough to permit continued radial growth in the fork’s crotch, the tensile force from the weight of the crown will be equally distributed between the stems thereby making them stronger. The result is a U-shaped crotch, also called a tension fork (Mattheck 1997). True forks that develop into U-shaped crotches have long been considered valuable building materials. The fork’s naturally reinforced fiber forms a strong union between each part of the crotch. Forked stems are often used in shipbuilding and for agricultural purposes. When the fork angle is narrow, there is danger that the stem’s radial growth will progress faster than the vertical growth in the crotch. In this case, the bark in the increasingly expanding intersection wedges together and becomes enclosed. As a result, the union between the stems is weak and prone

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 10 Crooked walnut planks (Juglans regia) are appropriately Computerized Numerical Control (CNC) milled on the narrow side and made into boards

Fig. 11 False fork/fused trunk (multi-trunk stem)

to splitting. The V-shaped fork is also called a compression fork because the successive growth in the crotch area leads to an increase in compression force (Mattheck 1997). As radial growth continues in the stems, swelling or compression folds, also called elephant ears or noses, form in the crotch area. The danger of breakage increases as the compression folds become more prominent and stronger, even if they once again form mutual growth rings. The transition from tension fork to compression fork is illustrated in Fig. 13. Causes False forks are often caused by bunch planting, thinning (coppice system), or unmaintained natural regenerations. Seeds germinating from an animal’s food stash can also eventually lead to false forking.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Bifurcated stem angle

Fig. 12 True fork/codominant stems (pith channel in red)

Enclosed bark in the area of a compression fork Tensile fork area

Cross section

Surface view

Longitudinal section

Fig. 13 Various views of a fork crotch

True forks are usually genotypically induced. As a result, certain types of hardwoods are prone to forking. If a terminal bud or young terminal shoot is destroyed, several side branches will generally take over the function of the terminal shoot. Browsing, fraying, and rubbing damage from antlered game leads to low forked stems. Tree species with opposite budding tend to grow side shoots that become forks. Tree species with alternate budding are less prone. Given the intense sociological competition in tropical primary and secondary forests, forking is only possible in the lower sections of the stem. As solitary trees, however, tropical species tend to fork similarly to hardwoods in temperate zones. Prevention Forking is best prevented in reforestations and plantations by planting site-appropriate and wellformed tree thinnings (negative selection).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 14 Ship frame from a replica of a Viking ship in Roskilde, Denmark

Fig. 15 Location of pyramid inlay from rosewood (Dalbergia decipularis) in a fork

It is usually not worthwhile to prune hardwoods against forking because the lead shoot will eventually differentiate itself. However, for opposite branching species, pruning can be effective. Impact on Use False forks are wood defects, because they significantly affect the use of the wood. They are only considered not to be defects if they are intentionally kept to protect a log from splitting and not included as part of the log’s length measurement. False forks usually require a scaling deduction. The risk of breaking during storms and under snow pressure is higher for forked stems, and they are prone to splinter and crack during logging. Forked timber has shorter effective length for high-quality sawing or veneer wood and an increased share of industrial wood/plywood and lumber of inferior quality. Enclosed bark or “waterpots” in the crotch devaluate the wood (decay). Small forked stems are often unround and crooked at their basis and form reaction woods. Technological Adaptation Higher-valued logs are crosscut through the fork base. The fork base is kept until further processing to protect the end of the stem from splintering. Forks have traditionally been used as building materials, especially in shipbuilding as natural junctions and connecting elements (frames, sternpost) and for farming equipment (forks, mounts, grips, tool handles) (Fig. 14).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Pith

Fig. 16 Oval stem cross section with centered pith

Pith

Fig. 17 Oval stem cross section with eccentric pith

Today, skilled woodworkers use forked wood to create artistically sophisticated objects. Despite the considerable disadvantages, forks are used in a few special applications. A strong, well-formed fork can be cut to create interesting wood figure, as, for example, the coveted pyramid texture veneer (Hoadley 1990) (Fig. 15). Noteworthy are the South American swietenia mahogany (Swietenia macrophylla) and African khaya mahogany (Khaya ivorensis). Rare forked growths of more than 2 m can occur in the latter (Veneer Magazine 2003).

Out-of-Roundness Ovality, Eccentric Growth Description Ovality refers to a tree stem cross section with a significantly noncircular shape. The pith, however, is still located in the center of the cross-sectional disk (Fig. 16). In stems with eccentric growth, on the other hand, the pith is located off-center in the crosssectional disk (Fig. 17). An oval cross section does not necessarily have an off-centered pith. Conversely, a cross section with an off-centered pith does not necessarily have an oval shape. Ovality and eccentric growth are always associated with variances in tree ring width and usually with reaction wood, particularly compression wood in softwoods. Especially in hardwoods from tropical primary and secondary forests, pronounced tension wood folds often lead to misshaped cross sections (Fig. 18). Causes Tree species growing in tropical primary and secondary forests need to be able to respond quickly to changes in the canopy. They form folds of tension wood that lead to extremely noncircular cross sections. The out-of-roundness is often hidden once the tree assumes a dominate position in the canopy, but revealed when the tree is felled (Harzmann 1988). Oval stem cross sections with centered piths are likely to occur if a tree is crowed by adjacent tree crowns over a longer period of time. The reduced foliage in the affected crown area produces less assimilates, thereby restricting radial growth in the lower part of the stem.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 18 Cross section from a kopi stem (Goupia glabra) with hollow pith and tension wood folds

Fig. 19 Peel with varied figures

On hillsides, stand borders, and steep (selection gaps), a constantly one-sided supply of sunlight (heliotropism) results in asymmetric crowns. Prevailing wind pressure or snow load can bring trees out of their vertical position. In such cases, hardwoods form tension wood and softwoods form compression wood in an effort to counterbalance the compression or tensile stress. Enlarged diameters are observed in many tree species in the prevailing wind direction (Mette 1984). A tree reacts to stress coming from a prevailing direction by acquiring a more or less eccentric stem shape. The moment of inertia area (I) increases in the elliptic cross section as the greater diameter (b) exceeds the smaller diameter (a), because b to the third power is added to the calculation (Mattheck 1997) I¼

p  a  b3 : 4

According to Mette and Boss (1964), as the stem diameter increases, so does the absolute diameter deviation. Unilateral stress has a particularly strong effect on branches and root wood. This is due to their specific physical demands.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Piths

A

B1

Different board sizes in correlation to the cut direction

B2

Eccentric pith and asymmetric growth ring pattern

B1 A

B2

Fig. 20 Impact of cut on the growth ring pattern and sawn timber dimensions A, B1 and B2=different cutting planes

Pith (off center)

Peel Industrial roll

Scrap roll

Fig. 21 Optimal positioning of an oval veneer roll using laser technology

Prevention In the tropics, growth dynamics in primary and secondary forests often lead to eccentric tree shapes. Tree plantations can limit out-of-roundness through systematic geometric planting. Ovality can generally be prevented through suitable spacing and regular crown maintenance over a stand’s lifespan. To eliminate eccentric growth as much as possible, good stand management requires that a tree’s main crown section lies within the center of the stem. Protection and appropriate spacing for the stand are also necessary. Impact on Use “Peelers” during rotary cutting are associated with different degrees of figure, lower yields, and veneer quality (Fig. 19). Stems with sliced veneer quality are degraded because of the extreme pith eccentricity. Eccentric pith in sawn timber results in varied tree ring widths. The actual board widths deviate from the grade of the cut stem (Fig. 20). Because eccentric piths commonly correlate with the reaction wood formation, they are also associated with variances in the swelling and shrinkage properties of the sawn timber.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 22 Round cut, flat edge, with eccentric pith

Fig. 23 Preliminary cut, vertical with following model cut in a stem with eccentric pith

Fig. 24 Preferred cutting direction of an oval stem with centered pith using band saw technology

Technological Adaptation Rotary cut veneer processing automatically centers the cutting jig at the center of the cross-sectional face veneer sheet in order to achieve a maximum yield (Fig. 21). Meanwhile, computerized XY alignment using laser beam is common. Stems with eccentric piths are cut by guiding the flat edge with the horizontally greater diameter through the saw so that boards can be produced with symmetric growth rings (Fig. 22). In the following model cut, the log is guided upright through the saw (Lohmann 2005, Fig. 23). In band saw technology, rotating blades are able to cut boards with symmetrical growth rings, if attention is given to ensure that the pith in the increasingly thinner model is centrically positioned and remains in the (residual) squared timber (Fig. 24).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 25 Beech stem cross section (Fagus sylvatica) left (1) and right (2) a moulding

Fig. 26 Fluted hornbeam stem cross section (Carpinus betulus) with ingrown bark

Mouldings, Flutes, Flanges Description Mouldings, flutes, and flanges belong, along with ovality and eccentricity, to the group of wood characteristics known as stem contour irregularities. They are usually either excluded or only briefly mentioned in international timber grading standards. Nevertheless, they are particularly interesting because their specific causes and impact on end use vary significantly. Mouldings are channel-like depressions or grooves running with the fiber along the length of the stem. They generally start below a suppressed branch (shade branch) and usually continue down to the base of the tree. Mouldings associated with shade branches are particularly easy to identify in smooth-barked tree species such as beech (Fagus sylvatica) (Fig. 25), birch (Betula pendula), and yew (Taxus baccata). Mouldings only occur in tropical species in cases where shade branches have been able to grow despite the lack of sunlight. Flutes refer to deep, wave-shaped grooves in the stem surface running parallel to the stem axis. Correspondingly, the tree rings or increment zones are also grooved. The flutes can narrow to thin pleats or folds. They usually include enclosed bark near the stem base, especially in hornbeam (Carpinus betulus) (Fig. 26), cypress (Taxodium), and in tropical species such as zwart parelhout (Aspidosperma excelsum) (Fig. 27). Flanges are buttress-like formations protruding from the stem base. They create mouldings and folds in the stem surface extending several meters up the stem. They are particularly common in elms (Ulmus laevis), cypress (Taxodium ssp.), and birch (Betula pendulata) as well as tropical species such as witte pinto locus (Martiodendron parviflorum) (Fig. 28).

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Fig. 27 Extreme fluting in a witte parelhout cross section (Aspidosperma marcgrafianum)

Fig. 28 Flanging in a witte pinto locus (Martiodendron parviflorum)

In tropical primary and secondary forests, mouldings are rarely found under shade branches because these branches usually do not live long under the heavy canopy. Flutes and flanges, however, are very common and often found in the form of buttress roots. Causes Although flutes and flanges often look like a series of mouldings, they actually have very different causes and far-reaching implications on the wood’s potential use. Mouldings are frequently caused by a shortage in growth stimulants below a shaded, suppressed branch. The branches, so-called shade or hunger branches, use the assimilates for themselves thereby depriving the xylem in the stem below (Gr€ uner and Metzler 2003; Rubner 1910). The assimilate flow from higher parts of the tree is redirected around the branch collar. The resulting irregular stem shape is limited to the area directly below the branch. Flutes are genetic and characterized anatomically by wide wood rays, bundled wood ray parenchyma (e.g., in beech [Fagus sylvatica]), or false wood rays (e.g., in hornbeam [Carpinus betulus]). The result is a confined transport system that locally limits the nutrient supply and radial growth and asymmetric growth rings across the entire stem area. Studies by Schweingruber (2007) showed that cells and groups of cells can differentiate autonomously during their growth, the cambium can become locally inactive, or cork bands can interrupt diameter growth in specific areas.

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Pressure beam

Spindle

Peeling blade Useable roll Peeler section

Moulding

Fig. 29 Peelers occurring on a veneer roll from beech (Fagus sylvatica)

Some tropical species are genetically predisposed to fluting. In extreme cases, their stem develops into a series of individual, interdependent wood segments that are perfectly matched statically. By economizing on material and increasing stability, these species gain a competitive advantage: they reduce stem volume for the sake of height growth (e.g., zwart parelhout [Aspidosperma excelsum], East Indian marking nut tree [Semecarpus anacardium]). Flanges often have static causes. Increased radial growth at the stem butt (e.g., fluttering elm [Ulmus laevis], birch [Betula pendula], swamp cypress [Taxodium ssp.]) and especially in tropical species (e.g., ingipipa [Couratari guianensis], witte pinto locus [Martiodendron parviflorum], kapoktree [Ceiba pentandra]) provides trees growing on the soft ground greater stability. The deeply grooved and asymmetric rings affect the entire stem base. Genetics also determines the severity of the flanges. In the tropical rain forest, nutrients are quickly washed out of the soil. Therefore, trees use their fine root system to draw nutrients from the ground directly surrounding them. They spread their roots out close to the soil surface without any deep roots to anchor them. To make up for this lack of stability, they develop buttress roots. Research on the anatomy of buttress roots remains limited (Comvalius 2012). It would be important from an anatomical and botanical perspective to determine how the buttress root cells are “constructed” and what gives the band of cells such stability. While mouldings primarily result from nutrient restrictions, flutes normally have genetic origins and flanges are linked to physical causes and genetic predisposition. Prevention In commercial forests, trees with low-branching mouldings are often removed through selective thinning. Forest management practices involving stem maintenance through underwood and canopy formation promote self-pruning and reduce the number of shade branches. Flutes cannot be manipulated. The only way to prevent flutes in a stand is by preemptively planting species less predisposed to fluting or by selectively removing unsuitable phenotypes. Flanges are only prevented through appropriate site selection or by removing trees prone to buttress root formation. Impact on Use Mouldings usually result in lower wood volume recovery in most types of manufacturing. Rotary cutting produces the so-called peelers (Fig. 29). Plane sawing results in a high amount of waste. In addition, the grain orientation around the moulding is disrupted (Fig. 30). Page 17 of 48

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Waste

Fig. 30 Reduced wood recovery due to high amount of slab wood

Portion of slab wood breakdown cutting

Fig. 31 Fluted birch stem (Betula pendula) with reduced wood recovery due to high level of slab wood

A moulding does not affect the otherwise superior qualities of a veneer log if the moulding is positioned at blade level. Fluted stems are unsuitable as veneer. A large amount of slabs and splinters in plane sawing reduces the wood recovery volume (Fig. 31). The asymmetric tree rings can cause the sawn timber to bend and warp, and fluted logs do not split straight. Flanges considerably disrupt tree ring patterns at the stem base. This causes the sawn timber to warp and crack. Flanges are not suitable for veneer due to their irregular tree rings. Technological Adaptation A moulding does not affect the otherwise superior qualities of a sliced veneer log if the moulding is positioned at blade level. Crosscuts are made close to the branch collar above a moulding (Fig. 32). The stem should be cut using the breakdown method to ensure that the full board width is utilized. For the same reason, fluted logs should also be cut using the breakdown method. Careful stacking and drying of the sawn timber reduce the chances of warping or cracking. Flanges need to be cut off on site or removed at the mill.

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Fig. 32 Positioning the cut just above the branch collar with moulding

Green branch

Dead branch / solid black knot with “parting collar” Scarred solid knot / also unsound knot Pith

Fig. 33 Hardwood tree with live, dying, and scarred primary branches

Limbiness Live and Dead Limbs, Epicormic Shoots and Branches Description Limbiness refers to all visible primary and secondary limbs on the surface of a stem, as well as all knots in the underlying wood (Fig. 33; Richter 2010, 2015). Limbs are vital parts of the tree, originating from the stem, yet distinguished from the stem wood by their own cell structure (reaction wood, pithiness, color, and density), grain orientation, and tree rings. Depending on where they originate, limbs are categorized as primary or secondary limbs: Primary limbs originate as buds from the pith. Secondary limbs (epicormic shoots/branches) are not connected to the pith. Instead, they develop from dormant or adventitious buds. The age of the secondary limb is determined based on the tree rings at the point of origin on the stem. Larger epicormic shoots (>2 cm) develop into epicormic branches (Fig. 34). Limbs are indexed according to their health and vitality:

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3 year old epidormic branch 3rd growth ring 1 year old epidormic shoot Pith

Fig. 34 Poplar (Populus ssp.) with epicormic branches and shoots (secondary limb)

Fig. 35 Healthy limb in a ring porous oak tree (Quercus robur)

Green limbs are living side shoots with a continuous connection to the stem’s cell tissue (sound limbs) (Fig. 35) or partially isolated (dying limbs). Dead limbs or knots are deceased limbs, no longer connected to the stem tissue. Knots are indexed according to the degree of rot as follows: Sound black knots: Dark-colored or black-rimmed knots without any recognizable signs of rot (Fig. 36) Decayed knots: Rot in less than 1/3 of the branch cross section area (Fig. 37) Unsound knots: Rot in more than 1/3 of the branch cross section area (Figs. 38 and 39) Deeply ingrown, unsound knots: Rot penetration into the stem consisting of 20 % of the stem diameter at the point of measurement (Fig. 40) Callused limbs: Limb stubs callused over by the stem bark, visible as knots comprised of branch seals and bark folds (see section “Limb Scars, Blind Conks”) While a sound black knot consists of dead, discolored, but still sound wood (lignin turns brown, cellulose gray), the wood of an unsound knot has been fully decomposed by microorganisms and is only of limited firmness. Although most grading standards normally classify both knot types equally, from a biological perspective, they are remarkably different. Page 20 of 48

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Fig. 36 Solid black knot in a semiring porous cherry tree (Prunus avium)

Fig. 37 Decayed knot: rot 1/3 in the cross section area of a diffused porous tree, sycamore maple (Acer pseudoplatanus)

The descriptions given above refer to trees from temperate zones. In principle, they also apply for tropical and subtropical species. However, given the climatic conditions in these regions, they occur with much greater diversity (Richter 2012). Harzmann (1988, p. 43) notes in this context that “. . .these most common quality characteristics . . . usually receive little attention or no information is given about

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 39 Rotten knot in a diffused porous beech (Fagus sylvatica)

Fig. 40 Deeply ingrown unsound knot of a ring porous ash (Fraxinus excelsior)

the different characteristics associated with limbiness for individual species. . . little is known about the species specific processes of limb decline on the stem, limb breakage and eventual callusing. . . .” Causes Limbs support the assimilations organs, leaves, and needles. Thus, they are vital elements of the tree. Starting as buds, they shoot out at varying angles from the tree stem. They form a reaction wood that enables them to reposition themselves so that their leaves or needles receive optimal light exposure (heliotropism). As a tree’s crown grows, living limbs become increasingly shaded and die. The dead limbs rot away and break leaving behind a stub. The stub becomes a portal for fungi, potentially leading, most notably in hardwoods and pines, to unsound knots. Eventually, the area is sealed off from the stem. The time needed for this callusing to take place depends on the size of the area left exposed after the limb broke off and the vitality of the tree. These processes are accelerated in tropical primary and secondary forests, because under crown (light) competition, the shaded limbs quickly die. Dead limbs fall off, and the knot is quickly sealed to prevent infection from spreading (Fig. 41). Hardwoods – with the exception of wild cherry (Prunus avium) and poplar (Populus ssp.) – tend to shed dead limbs, while conifers usually retain them, even if they are fine limbed. Tree species in the humid tropics and subtropics generally shed their limbs. Given the high potential for infection, they quickly callus over the knot area often leaving a significant protrusion or bump on the stem surface.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 41 Walaba (Eperua ssp.) with newly broken branch. The area becomes infected and later walled off leaving a bump on the stem

The main stages of limb growth, pruning, scarring, and internal knot development are illustrated in Fig. 42. Prevention Limbiness cannot be prevented, only minimized. For the tree, having many limbs means having a large area of assimilation. How these limbs are distributed along the stem and whether they are thick or thin depends on the growth dynamics of the tree. In commercial forests, silvicultural practices can influence branch distribution and thickness – A high-density stand at the planting and seedling stages results in fine limbs in the brush stage and early self-pruning. – Silvicultural practices for stem maintenance such as understory planting and species diversity promote self-pruned, high-quality stems and deter epicormic shoots from developing. – Finely branched phenotypes are preferable for stand formation and should be promoted during stand maintenance. In the tropics, primary and secondary forests are naturally dense, and the trees regularly shed (selfprune) their limbs. Pruning should occur when the time for natural self-pruning has passed (at the latest when one third of the target diameter is reached). Pruning is particularly recommended when wide spacing between trees leads to heavy limbiness which, left unpruned, would detract from the quality of the wood. This is often the case in tree plantations. In temperate climates, selected softwoods should be pruned green (e.g., Douglas fir [Pseudotsuga menziesii] and larch [Larix decidua]). Among hardwoods, only poplars (Populus ssp.) and aspens (Populus tremula) require pruning. Examples in tropical plantations are eucalyptus (Eucalyptus ssp.), teak (Tectona grandis), mahogany (Swietenia macrophylla), and bangkirai (Shorea laevis). To ensure healthy scarring, limbs should be cut in front of the branch collar, preferably stumped, and then cut again later.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Green limb zone

Dead branch Node

Dead branch stump

Branch scar (nodes in pine)

Limb scar

Dead branch zone (red) Zone free from branch scars

Fig. 42 The main stages of limb growth, pruning, scarring, and internal knot development for hardwoods (left) and softwoods (right)

Impact on Use A limb is a combination of features. It consists of the following basic characteristics that may affect the use of its wood: – Variations in the chemical composition of wood (high lignin content, “black-score” coefficient) reduce the pulp yield and quality. – Variations in the anatomical structure (tree rings/increment zones, reaction wood) reduce the strength of wood products. – Variations in the fiber orientation complicate surface processing (rough wood surface around the branch area). – Surface roughness causes variations in color and finish absorption. – Isolation from the surrounding wood can turn a dead branch into a loose knot thereby reducing the practical value of the sawn timber. As construction wood, a branch quickly reaches breaking point. – Limbs have varied swelling and shrinkage properties based on the higher density. This leads to cracks during drying. – Ingrown bark, especially bark folds in the collar, reduces timber yield and quality. – Resin accumulation (compression wood zone in softwoods) affects durability of paints. – Fungal infection further reduces branch stability and discolors the branch wood. – Discoloring (reaction wood, amount of latewood) can detract or add to the wood’s appearance. Branches represent natural and unique wood characteristics often used to create distinctive wood pieces such as the knotty wood furniture made from common pine (Pinus sylvestris) or Swiss pine (Pinus cembra).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Technological Adaptation There are various ways to minimize the negative effects of limbs on wood products or even to take advantage of the limbiness. Our prehistoric ancestors used branches as handles for their flint and bronze axes, and woodcutters have long known the benefits of branch whorls when splitting logs. It is advantageous to divide a veneer log (figuratively) into sections. Branches and limb scars should be positioned as closely as possible to the blade or in sections C and D in order to achieve the highest recovery from sections A and B (Fig. 43). Epicormic shoot scars are common in some tree species such as yew (Taxus baccata) and poplars (Populus ssp.). They produce highly figured veneer. Construction wood should be mechanically tested for strength to determine the weakening effect of any limbs. In the production of composite lumber, the varying strengths of the individual wood particles are balanced by gluing them together. Unwanted limbs in the sawn timber can be removed with a drill and filled with a plug.

Limb Scars, Blind Conks Description Of all the wood characteristics, limbiness causes the most quality downgrades in timber assessments. As early as 1954, Taffé found that the impact of branches on quality grade and market value had an 87.5 % influence on spruce (Picea abies) timber, and Schulz (1961) found a 68.2 % influence for beech (Fagus sylvatica) (Grammel 1989). Knots in the underlying wood typically have significant consequences for the wood’s technical properties (Rast 1982). It is therefore important through the use of specific diagnostic procedures to determine the depth and size of the knot along with the angle of the living limb to the stem. For this purpose, limb scars are an excellent diagnostic tool. This applies to trees in temperate as well as tropical zones. A limb scar is a callused branch or a twig stub left behind on the stem. It is identified by the structural changes of the bark in the scarred area. Each limb scar consists of a collar and a ridge (in contrast to bark injuries). In species with smooth bark, such as Fagus sylvatica, Acer ssp., Carpinus betulus, Tilia ssp., Betula pendula, and Alnus ssp., ridges often run down both sides of the limb stub resembling a beard, thus earning the nickname, “Chinese’s mustache” (Fig. 44). Ridges and collars can take on different shapes, depending on the angle of the former living limb to the stem. Bark ridges are also found among smooth-barked species in a tropical primary forest. They can be steeply angled depending on the original angle of the branch which usually competes heavily for light (e.g., pintobolletri [Pouteria ssp.], Fig. 45). The shorter a branch lives, the less pronounced the bark ridges become. The branch stub is quickly scarred over to prevent infection. On roughly textured bark species, as, for example, oak (Quercus ssp.), a more or less circularshaped ridge forms around the branch stub often called a “rose” (Fig. 46). Roughly barked trees in a tropical primary forest wall off broken limbs so quickly that larger bark deformations are rare (e.g., zwarte riemhout [Micropholis guyanensis], Fig. 47). Limb scars on rough-barked softwoods such as certain pine species (Pinus ssp.) and larch (Larix ssp.) are similar to those found on rough-barked hardwoods (Fig. 48). Limb scars on smooth-barked softwoods such as fir (Abies ssp.), as well as most young softwoods, are similar to those found on smooth-barked hardwoods. A blind conk is a pronounced swelling of the stem over a scarred stub, usually an unsound knot. Given the slower rate of infection in temperate forests, the bumps form more slowly but with greater

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Sections 1/4 1/2 Blade position

B A

1/4

D B

C C

120°

D B

D A 30°

D Green branch B Branch scars

Legend: Sector A: most valuable part of a veneer bolt Sector B: exterior of a veneer block. Sector C: log interior Sector D: log exterior

Fig. 43 Determining blade position and cutting scheme for a veneer log based on branch knots and scars. Legend: Sector A most valuable part of a veneer bolt, Sector B exterior of a veneer block, Sector C log interior, Sector D log exterior

Branch collar Branch ridge (Chinese´s mustache)

Fig. 44 Limb scar on a smooth-barked tree from a temperate forest (beech [Fagus sylvatica])

structure than in the tropics (Fig. 49). Tropical trees typically require more time to wall off the unsound knot both externally and internally (Fig. 50). Dead epicormic shoots leave behind small limb scars the size of nail heads in the bark and often remain attached to the stem as “twigs” (larch [Larix ssp.], oak [Quercus ssp.]). They are also called “nails” (Fig. 51). In the tropics, solitary trees or trees growing in plantations develop limb scars similar in appearance with trees from temperate regions. Assessing Limb Scars on Stems: A limb scar is simply a bark feature indicating the presence of a knot in the underlying wood. Therefore, its impact on wood processing is rather insignificant. Branch collars and branch ridges, however, particularly in smooth barked, the so-called “honest” tree species, provide a good indication of how deeply the knot is embedded in the wood, the size of the living limb, and the angle of the limb to the stem. This diagnosis is also possible in rough-barked species and species from tropical primary forests, but subject to greater uncertainty.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Branch collar Branch ridge (Chinese´s mustache)

Fig. 45 Limb scar on a smooth-barked tree from a tropical primary forest (zwarte pintobolletri [Pouteria ssp.]). The sharp angle of the old branch (phototropism) led to long bark ridges (Chinese’s mustache)

Bark ridge (rose) Branch collar

Fig. 46 Limb scar on a rough-barked tree from a temperate forest (oak [Quercus robur]). A pronounced bark ridge develops after many years of cambial growth

Fig. 47 Limb scar on a rough-barked tree from a tropical primary forest (zwarte riemhout [Micropholis guyanensis]). The branch died after a few years, leaving behind a faint branch ridge

Probably, the first quantified studies between limb scars and limb geometry were conducted by Wakin et al. (1969) and included in the 1972 Soviet GOST timber grading standards (GOST

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Branch ridge Branch collar

Fig. 48 Typical limb scar on a softwood (larch [Larix decidua])

Rose Scarred branch stump “Parting” collar

Fig. 49 Blind conk on a tree from the temperate zone (ash [Fraxinus excelsior]). The relatively long scarring period created a rose, branch collar and scar fold

Sapwood Heartwood

Scarred knot

Fig. 50 Cross section of a blind conk in a tree from a tropical primary forest (walaba [Eperua ssp.]). Given the high risk of infection, the tree quickly sealed off the branch stump. Any branch ridges or collars are very faint. The sharp angle is due to the impact of heliotropism

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

“Parting” twig collar

Sprouting spot of a dead epicormic shoot Beginning of a rose

Fig. 51 Scar from an epicormic shoot (nail) on an oak (Quercus ssp.)

Front view

Side view

B

Branch stump

H

BSt

h

Branch collar Branch ridge Pith with beginning of a branch (budding)

r R

Top view

Δr

Fig. 52 Various views of scarred knot in a beech stem (Fagus sylvatica)

2140–71, 1972). These guidelines permitted the depth of knots in birch (Betula ssp.) to be determined based on the angle of the Chinese’s mustache. Rast (1982) quantified the depth of the knots based on the shape of the branch collar in red oak (Quercus rubra). Nevertheless, the view continues to persist in current forestry practice and various grading standards that the most effective way to determine the amount of clear wood in a stem is to measure the ratio of height to width of Chinese’s mustaches (Erteld and Achterberg 1954; König 1957; Wagenf€ uhr and Scheiber 1989). The depth of the knot in the underlying wood is measured as follows: the height of the branch collar (H) has the same relationship to the diameter of the stem at the time when the limb died off (2r) as the width of the branch collar (B) has to the current stem diameter (2R). This proportion is based on the supposition that the limb (collar) height and the limb (collar) width are equal at the time when the limb died. On the basis of radiation set, it is possible to determine the radius of the stem at the time the limb broke off (r) to the stem with the current radius (R) through the relationship of height (H) to width (B) of the branch collar (Bosshard 1984; Knigge and Schulz 1966): (Fig. 52, frontal and top views)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

r

H  R : B

The size of the limb at the knot BSt is about half of the branch collar H (Erteld and Achterberg 1954, Fig. 52, side view.) This is generally valid for stem diameters of 24–28 cm (measured near the branch) width and branch collar height of 10 cm: BSt 

H : 2

Subsequently, the limb size increased disproportionately with an increase in stem diameter and branch collar height. That means, for example, that a 40-cm thick stem with a branch collar height of 16 cm would correlate to a probable branch size of 12 cm, equal to 75 % of the branch collar height (GOST 2140–71, 1972). The angle of the limb is determined from the height of the bark ridge h. The measuring point lies on the line between the ends of the Chinese’s mustache and the top of the branch collar. The stem cylinder is penetrated by the ingrown knot (Fig. 52, side view). Causes As a limb grows, it forms a branch ridge. This ridge continues to increase in size as long as the branch continues to grow in diameter. If the branch dies and breaks off, it is encircled by a “parting collar.” This collar eventually grows over the stump of the dead branch. This overgrowth is called a branch collar. In smooth-barked trees, the living limb pushes the branch ridge (Chinese’s mustache) higher as it grows out of a horizontal position. This is common among birch (Betula pendula). The bark ridge expands as the stem diameter increases, but maintains the same height as it had when the dead limb broke off (Fig. 53).

Living limb grows wider Pith

Knot keeps orginal width

Branch collar spreads horizontly as the stem diameter increases Branch collar at current point in time of diameter growth The height of the branch collar remains the same, but the width expands

Bark ridge height increases as the branch grows in width

Direction of cambial growth

Bark ridge height stops increaing when the branch breaks. The branch collar height and width are still the same.

Fig. 53 Schematic diagram of a growing, dying, broken off, and scarred branch and the resulting changes in the bark ridge and branch collar expansion

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

In rough-barked trees, the bark ridge encircles the swollen branch stub. The bark turns into a small rose-shaped protrusion. The rose completely surrounds the branch collar. In tropical primary and secondary forests, most limbs do not live long. Crown competition, irradiation angle, and angle of sunlight combined with insufficient light exposure rapidly kill off side branches. The area left behind is quickly sealed without any obvious scarring. On the other hand, heavy branches that break after withstanding long periods of crown competition usually leave behind an area too large for the tree to immediately seal off resulting in a high risk of infection and often leading to decayed knots that leave behind significant protrusions or bumps on the tree stem. Prevention Limb scars cannot be prevented, only limited in number and size. Dense spacing is recommended during the planting and seedling stages and should be maintained until the clear stem bole achieves a desired length. In commercial forests, management practices, such as understory planting and tree species diversity, promote natural self-pruning resulting in fewer limb scars. Finely limbed phenotypes should be promoted. When possible, selected trees should be pruned green or dry so that the limb will die off quickly and with less scarring. Trees in tropical primary and secondary forests experience heavy shading in the lower stem sections resulting in a process of “natural pruning” – a main reason for the above-average quality of the wood from these regions with regard to the knottiness. In plantations, however, additional pruning measures beyond the natural processes are often necessary due mainly to the geometric spacing of the planted trees. Impact on Use Limb scars are important external diagnostic features. The limb scars themselves do not affect wood processing. Depending on the intended use of the barked timber, scars can be viewed either as decorative features or wood defects. Knots hidden in the wood are the most problematic. Technological Adaptations In wood processing, it is often important to know the thickness of the limbless wood (Dr). With peeled veneer, this information helps determine the amount of knot wood in the scrap roll. With sliced veneer, knowing the amount of knot wood allows for a more effective cut thereby ensuring maximum yield. The same applies to the processing of sawn timber. The following is an example for calculating the amount of limbless wood (Fig. 54). The equation is Dr ¼ R 

H  R : B

Anatomical Structure Irregular Tree Rings/Increment Zones Description A tree ring (also called growth ring) represents the portion of new wood formed in the cambium each year during the vegetation period. In climates with seasons, trees experience alternating periods of growth (summer) and dormancy (winter) (Richter 2010, 2015). As a result, tree rings form with varied degrees of color and wood density (Fig. 55a–c).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Pith

Branch break

H

Δr B

R

Fig. 54 The branch collar on this beech (Fagus sylvatica) stem is almost double as wide (B) as it is high (H) (left). That means that the limbless section of the trunk (Dr) is about half as wide as its radius (R). See crosscut (right)

In contrast to temperate regions, trees from the evergreen rainforest form increment zones. Without changes in season, tropical trees continuously form even layers of xylem. Growth in these layers or zones is mark only by density variations or narrow parenchyma bands (Fig. 56a–d). In temperate climates, variations in tree ring patterns characterize the tree’s growth process over the course of its lifespan (Fig. 57). Increment zones found in tropical trees from evergreen rainforests or from regions with periods of rainfall and drought are only of limited use in reconstructing a tree’s growth processes (Fig. 58). Irregular tree ring structures can be easily identified in trees from temperate climates based on significant width variations within individual rings or between the tree ring widths of the stem cross section (Fig. 59). At their northern limit, for example, pine (Pinus ssp.), juniper (Juniperus ssp.), and birch (Betula ssp.) can have tree ring widths of less than 0.1 mm. Under optimal growing conditions, ring widths of 20 mm are not uncommon. In temperate climates, a tree’s age can be determined by studying its annual tree rings. The rings also record the effects of drought and extreme events, temperature fluctuations, sunlight exposure, and varied nutrient supply (Hartig 1856; Knuchel 1934, 1954). The exact year a tree ring was formed can be determined through dendrochronology. This is done by synchronizing or cross dating the chronological sequences of tree ring features from a tree species within a larger growing region. The data can be used, for example, to precisely date wood objects (Delorme 1973; Douglass 1919; Heussner 1994; Huber 1941; Polge 1963; Schweingruber and Isler 1991; Schweingruber and Kaennel 1995; Schweingruber 2012). Using a method called dendro-archeo-morphology, a multivariate cross correlation involving tree ring analysis, dendrochronology, and tree morphological studies based on internal and external tree characteristics, it is possible to derive complex conclusions regarding a tree’s growth history and how the wood was handled and processed before becoming a finished object (Richter 2008a, b). Unfortunately, it is still not possible to precisely determine the age of subtropical and tropical trees based on their increment zones. Depending on a year’s cycle of rainfall and drought, trees can form a single increment zone or several, often contrasting in color, with varying widths, frequency, and configurations (Fig. 60) (Sachsse 1991). Recent research on dating tropical trees was conducted on Cedrela odorata and seven other tree species in the Amazon Basin. It correlated the concentration of the oxygen isotope (d180) and of the carbon isotope (d13C) in the increment zones with total annual precipitation levels. The results showed that increment zones are still not precisely datable by 20 years. Reasonably, exact values were only derived from growth periods of approximately 40 years (Brienen et al. 2012; Brienen 2013).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

a

b

latewood latewood tree ring tree ring earlywood earlywood

c

latewood tree ring earlywood

Fig. 55 Cross section of a ring porous hardwood (a) Ash (Fraxinus excelsior), a diffused porous hardwood (b) Birch (Betula pendula), and a softwood (c) Pine (Pinus sylvestris). Enlarged: 1:4 (Photos: E. B€aucker).

Causes The growing site (climate, soil, and sociological status of the trees) affects the widths of both tree rings and increment zones. While tree ring formation is linked to the periodic change between the summer growing season and winter dormancy, increment zones can continuously form throughout the year or in periodic growth spurts. Typically, juvenile wood near the pith has wider tree rings or increment zones. As the tree grows older and wider and as competition in the canopy increases, the tree rings or increment zones become narrower. Forest thinnings or sudden changes in stand density as well as extreme weather and events can result in irregular or missing tree rings or increment zones. Prevention The forest management practice of thinning trees “frequently, but in moderation,” keeps stand spacing consistent and can have a positive influence on tree ring formation (Burschel and Huss 1997). In commercial forests, however, the contrary economic axiom “seldomly, but intense” prevails. Typically, the following applies: the greater the value increment of a stand, the more cautious the thinning (Mette 1984).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

a

b

Cumarú (Dipteryx odorata) IZB nonexistent or undefined (not to be confused with dark brown stripes!).

Massaranduba (Manilkara bidentata) IZB undefined, only implied by density variations in the tissue.

c

d

IZB

IZB

Sapeli (Entandrophragma cylindricum) IZB marked by narrow parenchyma bands.

Teak (Tectona grandis), one of the few ring porous tropical woods; IZB clearly marked by larger pore sizes in the earlywood.

Fig. 56 Cross section of tropical wood with increment zone boundaries (IZB) of varied distinctions, enlarged: 1:10 (Photos: Richter and Oelker 2003). (a) Massaranduba (Manilkara bidentata) IZB undefined, only implied by density variations in the tissue. (b) Cumarú (Dipteryx odorata) IZB nonexistent or undefined (not to be confused with dark brown stripes!). (c) Sapeli (Entandrophragma cylindricum) IZB marked by narrow parenchyma bands. (d) Teak (Tectona grandis), one of the few ring porous tropical woods, IZB clearly marked by larger pore sizes in the earlywood

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 57 Irregular ring structure on the cross section of a 170-year-old ring porous sessile oak (Quercus petraea), Germany

Fig. 58 Cross section of algarrobo (Prosopis ssp.) with increment zones marked only by dark parenchyma bands, Argentina

Commercial plantations space trees geometrically and target maintenance to reduce crown, water, and nutrient competition. This positively affects the formation of uniform annual tree rings or increment zones. In both temperate and tropical forests, fluctuations in the annual tree ring widths or increment zones are ultimately always dictated by the local growing conditions. Impact on Use Tropical trees form increment zones with relatively limited variations throughout the year in density and structure. As a result, the homogeneous structure of tropical wood differs greatly from trees that form annual tree rings. Tree ring width variations influences wood density differently in softwoods than in hardwoods. Softwoods with wide tree rings have a relatively low wood density due to their wide-lumined earlywood tracheids, while softwoods with narrow tree rings have a higher density because of their

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 59 Extreme variations in ring widths within and between different tree rings of a pine stem (Picea abies) from an afforestation, Germany

Fig. 60 Increment zones in a stem segment of witte parelhout (Aspidosperma marcgrafianum). There are annually two dry seasons, Surinam

lignin-rich latewood tracheids. In diffuse porous hardwoods, on the other hand, tree ring width variations have little effect on wood density. Ring porous hardwoods form only a few wide-lumined cell rows, and as the tree rings grow wider, so does the portion of narrow-lumined latewood. This leads to higher density (Schweingruber and Isler 1991; Wagenf€ uhr and Scheiber 1989). Variations in tree ring width can cause cracks in standing trees and particularly in dry timber. In dried boards, extreme differences in density between wide and narrow tree rings can lead to increased cracking and warping.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Sliced and rotary cut veneer with irregular tree ring patterns create busy, unsettled figure. Contrary to earlier opinion, no discernible correlation exists between tree ring structures and the tone quality of string instruments (Baltrusch 2003; Ziegenhals 2009). Technological Adaptation Wood with extremely unsettled tree ring patterns and marked variations in ring width cannot be used for higher quality purposes (veneer, cutting wood, decorative pieces). There are no restrictions for mechanical or chemical wood pulping for chip or fiber board, paper, and pulp. Tropical wood with increment zones do not have these restrictions.

Grain Orientation Spiral Grain Description The wood fibers in trees with spiral grain rotate around the pith either to the right, from lower left to upper right, or to the left, from lower right to upper left (Fig. 61). Spiral grain is evident externally from a tree’s bark, mouldings, and fluted stem sections. In debarked round wood, dry cracks on the surface are an indication of spiral grain. The direction of the spiral grain visible on the bark surface, however, does not necessarily reflect the direction of the spiral grain in the youngest tree rings or increment zones. The direction of the grain can change long before it becomes visible on the bark (Knigge and Schulz 1966). Interlocked spiral can be determined at felling when the initial face cut is made in the stem (Fig. 62). Spiral grain can be positively identified in the radial split piece of wedge wood. Many species spiral in a preferred direction (Harris 1989; Schmid 1998): Right spiral: Common in temperate zones among horse chestnut (Aesculus hippocastanum), beech (Fagus sylvatica), English oak (Quercus robur), pear (Pyrus communis), holly (Ilex ssp.), and various junipers (Juniperus communis). Left spiral: Common in gingko (Gingko biloba), the juniper species (Juniperus rigida), and plum (Prunus domestica) (Durst 1955). Left spiral is less common than right spiral. Spiral with a single change in direction: Many softwoods, especially spruce (Picea ssp.), exhibit left spiral near the pith, then change direction, and spiral to the right as they age. Abrupt changes in grain orientation can be found at different stem heights as well as within a single tree ring (Schmelzer 1977; Wanninger 1989). Interlocked spiral with periodical changes in direction: Many tropical trees, especially upper story trees, periodically alternate the direction of their grain even between the early- and latewood of a increment zone (Thinley et al. 2005). In research involving 18 tropical tree species in Surinam, initial studies revealed 12 (66 %) with interlocked spiral (Niemeier 2013). Spiral grain appears, to a lesser or greater degree, in almost all older trees. In general, spiral grain becomes more pronounced as a tree increases in size. Causes Probable causes of spiral grain are genetically predisposed alterations in cambial cell formation (Fig. 63) along with increasing age (Mayer-Wegelin 1956), increasing dimensions (Burger 1941), site conditions, and prevailing wind (Harris 1989; Hartig 1901; Krahl-Urban 1953).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 61 Dead, severely right spiraling “scrub pine” (Pinus sylvestris), on a rock formation

Fig. 62 Basralocus (Dicorynia guianensis) with jagged initial cracks at face cut as first signs of interlocked grain

From a “tree’s perspective,” spiral grain means greater bending strength, turgor pressure, and tensile strength in response to predominately unilateral pressure. As a result, spiral grain increases the tree’s chances of survival (Mattheck 1997; Schweingruber and Isler 1991). Calculations show that at a grain slope of 15–30 , a tree’s maximum pressure tolerance increases by about 1.5 %, because the pressure is distributed equally in a longitudinal and lateral direction (Richter and Hennig 2001). It is possible that this effect could, over the course of evolution, have given spiral trees an advantage by increasing their chances of survival.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

1 2 b b

1

1 2 b b

1 2 a a

1 2 a a

2

1 2

Fig. 63 Anatomical causes, parallel cambial cell division (left) leading to spiral grain and opposed cell division leading to straight growth (right). Cell division starts with cell 1; cell 2b is the last cell formed (in reference to Harris 1989)

Spiral grain has an even greater impact on wood’s tensile strength. Studies on wood cylinders with non-spiraling and interlocked grain showed that the bending strength of the interlocked grain cylinders was more than double (223 %) than that of the cylinder with the axis parallel grain orientation (Hansen 2004). These results corresponded with earlier findings from Thunell (1951), showing the benefits of spiral grain in stem and branch wood. In tropical trees, spiral grain works like a reinforcement, stabilizing the trees with narrow stems and crowns as they compete for sunlight. In an exploratory study of 33 randomly selected wooden boards each from different South American tropical species, 18 exhibited spiral grain. Tropical trees without spiral grain (e.g., wiswiskwari [Vochysia guianensis]) often crack after being felled due to the release of tension, because the interlocking effect of spiral grain is missing in the radial direction. In temperate forests, dominate trees without spiral grain often exhibit shear stress cracks in the lower stem sections, particularly on windy sites. The stem base cracks under the tension on the windward side and under compression stress on the leeward side. This is rarely observed in spiraling trees because the spiral grain neutralizes the shear and pressure stress (Mayer-Wegelin 1956). A spiral stem results in greater bending strength, compression, and torsion stability by applying predominately unilateral pressure (Fig. 64) (Richter 2008b). Prevention In commercial forests, spiral trees should be removed as part of sound stand maintenance practices. Spiral grain is undesired in crop trees. Because spiral grain increases with age, all spiral grain trees should be harvested before natural regeneration occurs to prevent any economically adverse genetic properties from transferring to the next generation. That is why, for example, old, well-maintained beech stands (Fagus sylvatica) have less spiral grain trees than unmanaged stands (Burger 1941). Recognized seed stocks should not contain any spiral grain trees. Individual spiral grain trees should not be used for seed collection. The common occurrence of interlocked grain in wood from primary and secondary forests must be accepted.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Bending stress

Compression stress along the grain and tensile stress on the opposite stem side

Crompression zone at risk of fracture Shear stress zone at risk of cracking Tension

Compression

Fig. 64 Effect of shear pressure under bending stress in trees without spiral grain (left) and with spiral grain (right)

Fig. 65 Growth cracks in a beech (Fagus sylvatica) along the spiral grain

Impact on Use Spiral grain logs dried below a fiber saturation level of 30 % can crack along the spiral (Fig. 65). These logs are not suitable for construction lumber, but the wood can still be used for pulp and particle board. Beams with spiral grain can be used in buildings, but only if they are not fixed to the structure. Sawn timber from spiral grain stems tends to warp in the direction of the grain. Sawn timber looses strength the more the grain direction deviates from the parallel. A slope in grain of 15 can result in a 40 % decline in bending strength (Niemz 1993). Wooden shingle makers avoid using spiral wood. They identify unsuitable wood by radially splitting a small piece of the stem. If the split wood is twisted, then the wood cannot be used as a shingle wood (Fig. 66). On the other hand, in tropical wood, spiral grain has an aesthetical value due to the unique figure it produces in veneer wood. Scheiber (1965) only assesses interlocking spiral as a defect if the grain orientation on the stem surface twists more than 30 % to the stem axis. Technological Adaptation In the production of sliced veneer, saws are used which allow the veneer block to be positioned at the blade so a single cut can be made diagonal to the direction of the fiber.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Cleavage planes with different slope angles

Fig. 66 Spiral grain tropical wood with uneven cleavage planes

Cut timber must be stacked immediately using piling sticks and extra pressure added if needed so that the boards do not warp as they season. In the manufacturing of planed lumber, it is necessary to ensure that the wood is planed in the direction of the grain. The adverse effect of the slope of grain on sawn timber strength can be identified with the help of machine grading (Pope et al. 2005). The principle of spiral grain has been proposed as a practical model for constructing statically stressed buildings such as towers, silos, and large pipes (Richter and Hennig 2001). As a characteristic, spiral grain vividly illustrates how opinions can vary depending on the individual perspectives, be it of a wood processor, a bionic scientist, or an aesthetically oriented dendrologist.

Curly, Fiddleback, Hazel Growth Description Wavy grain orientation or tree ring patterns generally occur in a tree’s bole or buttress, running either transverse or perpendicular to the axis, and in tropical trees are often associated with interlocked grain. Depending on the direction of the waves, the grain is called either curly, fiddleback, or hazel growth. Since many authors confusingly use “curly” as a generic term for the more specific terms longitudinal and transverse curl, curly grain, fiddleback, hazel growth, and bird step, the following attempts to offer a sufficiently precise definition of each term: Curly grain refers to wavy lateral contortions in the tree rings running transverse to the stem axis and is visible on the stem surface. The wood fiber undulates with the tree rings (Fig. 67, red arrow). In temperate regions, curly grain is relatively common in beech (Fagus sylvatica) and sycamore (Platanus orientalis) and less frequent in maple (Acer ssp.), horse chestnut (Aesculus hippocastanum), chestnut (Castanea sativa), pear (Pyrus pyraster), linden (Tilia ssp.), birch (Betula ssp.), aspen (Populus tremula), oak (Quercus ssp.), spruce (Picea abies), and larch (Larix decidua) (Mette 1984). In beech (Fagus sylvatica) and sycamore (Platanus orientalis), the wide waves are also called “elephant skin” figure, and the shorter, buckled waves in maples (Acer ssp.) are called “washboard” figure. Page 41 of 48

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 67 Curly grain beech (Fagus sylvatica)

In tropical trees, curly grain is sometimes found in combination with interlocked grain creating a moire´ or pommele´ pattern. Fiddleback (e.g., in certain maples [Acer ssp.]) refers to wavy grain that runs transverse to the axis of the stem in a radial direction and is not visible on the stem surface. Fiddleback can only be determined on live trees by removing a piece of dry bark and identifying fine wavy marks left behind on the inside of the bark (Fig. 68, red arrow). Fiddleback is readily apparent on the radial face cut before felling. It creates a washboard effect in the radial section. In a radial cut, the fibers are intersected at different angles. This leads to an optically interesting pattern of light and dark stripes (Hoadley 1990). Fiddleback figure is also found in douka (Tieghemella africana), makoré (Tieghemella heckelii), limba (Terminalia superba), and ash (Fraxinus excelsior) (Wagenf€ uhr 2007). Studies in Surinam examined 300 stored logs of various species from primary forests and found fiddleback figure in about 20 % (!) of the Bergi gronfolo (Qualea rosea) and 5 % of the bolletri (Manilkara bidentata) (Niemeier 2013). Fiddleback figure is sometimes found combined with curly grain creating a flame pattern or with interlocked grain in a moiré pattern or a combination of the two as pommelé or shell figure. Hazel growth in spruce (Picea abies), and sometimes in fir (Abies alba), refers to wavy, undulating grain or indented tree rings running parallel to the stem axis in a radial direction (Fig. 69, red arrow). The only rather unreliable external feature of hazel growth is a series of longitudinal dents in the bark. In debarked wood, hazel growth is visible in the elongated dents in the stem surface. The term hazel growth comes from its similarity with the anatomical structure found in hazel wood cross sections (Corylus avellana). Hazel growth is also found in alerce (Fitzroya cupressoides) and yew (Taxus baccata) as well as in mansonia (Mansonia altissima), ash (Fraxinus excelsior) (Wagenf€ uhr 2007), basralocus (Dicorynia guianensis) and limba (Terminalia superba). Causes Curly grain is generally considered to have physiological causes. Bosshard (1984) writes about “functional tropism,” in which the function of the cells formed in the cambium outweighs their

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 68 Fiddleback wood in a sycamore maple (Acer pseudoplatanus)

Fig. 69 Wavy grain and tree ring orientation on a hazel growth pruce (Picea abies)

structural purpose. In this case, the water supply system is affected for the benefit of the storage system (increase in wood ray parenchyma). In the affected regions, this leads to reduced radial growth. Mette (1984) suggested that curly figure occurs as a result of unilateral stress to the stem which increases with age. Another cause could also be the greater elasticity associated with the wavy grain orientation. This assumption is supported by observations on beech (Fagus sylvatica) in Thuringia, Germany, growing on a wind-exposed slope at 700-m elevation. There, curly grain always appears on the leeward side of the trunk. A genetic predisposition may lead wind influences to stimulate growth and produce curly grain. Schweingruber and Isler (1991) also suspect cambium compression in stem curvatures and branch collars. Genetic disposition is widely believed to be the cause of fiddleback figure. Growth stimulation is also suspected, which could be caused by wind-induced stress. As cause for hazel growth figure, Bosshard (1984), Mette (1984), and R€ uegsegger (1962) all point to a localized shortage of cambium in the area of wood rays (similar to fluting). Greyerz (1919) claims the increase in pith rays to be the main cause of the anomalous growth.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

The causes for the particularly wavy grain in “bird step” spruce are unknown (Schweingruber and Isler 1991). The term “hail spruce” reflects the assumption that heavy hail storms are the cause of cambium injuries that bring about hazel growth. The patterns visible in radial sections look similar to bird footprints – hence, the name bird step figure. Curly, fiddleback, and hazel growth figure are the most common types of grain patterns. Combined with interlocked grain, they can produce strikingly beautiful wood. Table 1 illustrates several of these combinations. Prevention Curly, fiddleback, and hazel growth figure cannot be influenced. Affected trees should be removed if they negatively impact the intended use. They should be maintained if they can be used for a specific purpose. In hardly any other characteristic group does the intended purpose determine so significantly whether the characteristic is seen as a defect or a desired special feature that greatly increases the wood’s value. For the most part, too little attention is paid during timber selection to “unconventional” grain and tree ring orientation. Impact on Use In general, the strength properties of sawn lumber, especially slats and laths, decline in wavy grain wood. Planing against the wavy grain produces a rough surface and the wood is difficult to split. Curly grain is typically considered a wood defect because the coarse tree ring pattern makes the wood surface difficult to process and the decorative effect of the figure is limited. On the other hand, fiddleback and hazel growth, or the combination of the two with spiral grain, is a highly sought-after characteristic in wood because when properly processed, it can significantly improve the utility value of the wood. Veneer with curly grain wood is difficult to straighten and prone to break. Fiddleback wood, however, is valuable as face veneer and as soundboards or frames for musical instruments (violin and guitar). The same applies for the rare hazel growth spruce (Picea abies), and in particular “bird step” figure is prized for making violin and guitar backs, harpsichords, etc. Many people claim the wavy grain has superior acoustical properties. Technological Adaptation Well-sharpened tools ensure a smooth surface also in small areas with contorted wood fibers. Special attention should be given not to overbend fiddleback and hazel growth wood used for veneer and musical instruments. Hazel growth spruce (Picea abies) and fir (Abies alba) are often used as shingle wood because the increased proportion of wood rays makes the wood easier to split.

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Hazel growth (bird step)

Fiddleback

Curly

Interlocked

Grain deviations

Moiré

R

R

Australian white birch (Schizomeria ovata)

Feather

1) Preferred cutting directions: R= radial, T= tangential, C = cross section. Yellow fields: basic deviations in the fiber orientation; white fields: combinations of different fiber orientations

Boletrie (Manilkara bidentata)

(slanted stripes)

Moiré

Olive (Olea europaea)

(slanted stripes)

R 1)

Afrormosa (Pericopis elata)

Interlocked

Sapele-mahagony (Entandrophragma cylindricum)

Striped

Redwood (Sequoia sempervirens)

Flamed

Beech (Fagus sylvatica)

Curly

T

T

Oak (Quercus crysolepsis)

T

R

R

Sapele-mahagony (Entandrophragma cylindricum)

(swirling)

Frost patter

Fiddleback

Maple (Acer pseudo- Yellow buckeye platanus) (Aesculus octandra)

Fiddleback

Australian white birch (Schizomeria ovata)

Pommelé

Yellow buckeye (Aesculus octandra)

Maple (Acer pseudoplatanus)

“Shelled“ T 1)

Curly

Table 1 Possible wood textures from combinations of different deviations in fiber orientation Hazel growth

R

C 1)

Spruce (Picea abies)

Hazel

Wanakwari (Vochysia tomentosa)

T

T

Limba (Terminalia superba)

C

Salikwari (Tetragastris ssp.)

figure running longitudinal to stem axis

Dents on the stem surface:

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_216-3 # Springer-Verlag Berlin Heidelberg 2015

References Baltrusch M (2003) Ermittlung von Auswahlkriterien f€ ur Resonanzholz f€ ur Streichinstrumente. Forschungsbericht. Inst f Musikinstrumentenbau Zwota an der Technischen Universit€at Dresden Bosshard HH (1984) Aspekte der Holzbearbeitung und Holzverwertung, 2nd rev edn. Birkh€auser, Basel/Boston/Stuttgart Brienen RJW (2013) Jaarringen in de tropen. Vortrag CELOS, Paramaribo 15. M€arz 2013 Brienen RJW, Helle G, Pons TL, Guyot J-L, Gloor M (2012) Oxygen isotopes in tree rings are a good proxy for Amazon precipitation and El Niño-Southern Oscillation variability. www.pnas. org/lookup/suppl/doi:10.1073/pnas.1205977109/-/DCSupplemental. Accessed 16 Mar 2013 Bues C-T, Weiß M (2002) Zur Holzqualit€at unterst€andiger H€aher-Eichen in s€achsischen Kiefernbest€anden. In: Proceedings: Waldumbau im globalen Wandel. Forstwiss Tagung Göttingen, pp 220–221 Burger H (1941) Der Drehwuchs bei den Holzarten. Drehwuchs bei Fichte und Tanne. Bd. XX Heft 1 Mitt Schweiz Anst Versuchsw Burschel P, Huss J (1997) Grundriss des Waldbaus: Ein Leitfaden f€ ur Studium und Praxis. 2nd rev and extended edn. Parey, Berlin Comvalius B (2012) Oral communication information. Centre for Agricultural Research in Suriname, Paramaribo Delorme A (1973) Über die Reichweite von Jahrringchronologien unter besonderer Ber€ucksichtigung mitteleurop€aischer Eichenchronologien. PZ 48:133–143 Douglass AE (1919) Climatic cycles and tree-growth. A study of the annual rings of trees in relation to climate and solar activity. Carnegie Institution of Washington, Washington 1:1–127 Durst J (1955) Taschenbuch der Fehler und Sch€aden des Holzes. Fachbuchverl. Leipzig Erteld W, Achterberg W (1954) Narbenbildung, Qualit€atsdiagnose und Ausformung bei der Rotbuche. Archiv Forstwes 3(7/8), 611pp GOST (1972) Drevesina Poroki. GOST 2140–71. Gosudarstvenni Komitet Standardov Soveta Ministrov SSSR Grammel R (1989) Forstbenutzung. Technologie, Verwertung und Verwendung des Holzes. Parey, Hamburg/Berlin Greyerz H (1919) Das Hagel-, Ton- oder M€andliholz. Schweiz Z Forstwes 75(5–8):113 Gr€uner J, Metzler B (2003) Nectria-Arten an Buchenrinde mit Phloemnekrosen. Poster. AlbertLudwigs-Universit€at Freiburg, Forstl. Versuchsanst. Baden-W€ urttemberg/Freiburg/Brsg Hansen H (2004) Überpr€ ufung der Festigkeitseigenschaften drehw€ uchsiger B€aume durch Modellsimulation. Bachelor thesis Lehrstuhl Forstnutzung, Technische Universit€at Dresden Harris JM (1989) Spiral grain and wave phenomena in wood formation. Springer, Berlin/Heidelberg/New York Hartig T (1856) Beitr€age zur physiologischen Forstbotanik. Über die Vegetationsperioden der Waldb€aume und deren Produkte. Allgem. Forst- u. Jagdztg, pp 281–296 Hartig R (1901) Über den Drehwuchs der Kiefer. Forstl.-naturwiss. Z 1895, 8.-Holzuntersuchungen, Berlin Harzmann LJ (1988) Kurzer Grundriss der allgemeinen Tropenholzkunde. S Hirzel Verlag, Leipzig Heussner K-U (1994) Zum Stand der Dendrochronologie in Mecklenburg-Vorpommern. In: Arch€aologische Berichte aus Mecklenburg-Vorpommern. Deutsches Arch€aologisches Institut Berlin (DAI), pp 24–30 Hoadley RB (1990) Holz als Werkstoff, vol 1. Maier, Ravensburg

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Huber B (1941) Aufbau einer mitteleurop€aischen Jahrring-Chronologie. Mitt der Akademie der Deutschen Forstwissenschaft 1:110–125 Knigge W, Schulz H (1966) Grundriss der Forstbenutzung. Parey, Hamburg/Berlin Knuchel H (1934) Holzfehler. Reprint by Sch€afer, Hannover 1995 Knuchel H (1954) Das Holz. Entstehung und Bau, physikalische und gewerbliche Eigenschaften, Verwendung. Sauerl€ander, Aarau/Frankfurt M König E (1957) Fehler des Holzes. Holz-Zentralbl Verlags-GMBH, Stuttgart Krahl-Urban J (1953) Drehwuchs bei Eichen und Buchen. Allgem Forstzeitschr VIII:540–542 Lohmann U (2005) Holzhandbuch, 6th updated edn. DRW Weinbrenner, Leinfelden-Echterdingen Mattheck C (1997) Design in der Natur: Der Baum als Lehrmeister. 3rd rev and extended edn. Freiburg/Brsg, Rombach Mayer-Wegelin H (1956) Die biologische, technologische und forstliche Bedeutung des Drehwuchses der Waldb€aume. Forstarchiv 27(12):265–271 Mette H-J (1984) Holzkundliche Grundlagen der Forstnutzung. Deutscher Landwirtschaftsverlag, Berlin Mette H-J, Boss W (1964) Zur Unrundigkeit von Buchenfurnierholz. Holzindustrie 17:83–85 Niemeier L (2013) Optimierung der Holzverwendung in Surinam unter besonderer Betrachtung der Holzmerkmale der wichtigsten surinamesischen Holzarten. Master thesis Universit€at Hamburg, Inst. f. Weltforstwirtschaft Niemz P (1993) Physik des Holzes und der Holzwerkstoffe. DRW Weinbrenner, LeinfeldenEchterdingen Polge H (1963) A new method for determining the texture of wood. The densitometric analysis of radiographic films. Annales de l’Ecole Nationale des Eaux et Forest de la Recherches et Experiences XX(4):533–581 Pope DJ, Marcroft JP, Whale LRJ (2005) The effect of global slope of grain on the bending strength of scaffold boards. Holz Roh- Werkst 63:321–326 Rast ED (1982) Photographic guide of selected external defect indicators and associated internal defects in northern Red Oak. United States Department of Agriculture, Northeastern Forest Experiment Station, Broomall Richter C (2008a) Eine alte Eichentruhe erz€ahlt. Holz- Zentralbl 5:126–127 Richter C (2008b) Drehwuchs im Ingenieurholzbau nutzbar. Holz- Zentralbl 9:235 Richter C (2010) Holzmerkmale. 3, extended Edn. DRW-Verlag Weinbrenner, LeinfeldenEchterdingen Richter C (2012) Studie zur Qualit€atsbeurteilung von Wirtschaftsbaumarten aus Prim€arw€aldern in Suriname. Inst. f. Weltforstwirtsch. Universit€at Hamburg 15 oct 2012 Richter C (2015) Wood characteristics. Springer Cham Heidelberg, New York, Dordrecht London Richter C, Hennig R (2001) Mantel f€ ur Holzkonstruktionen mit einem runden Querschnitt. Offenlegungsschrift DE 1001 07 916 A1, AT: 14.2.01; OT: 22.8.02, Dt. Patent- und Markenamt, M€ unchen Richter HG, Oelker M (2003) MacroHOLZdata: descriptions, illustrations, identification and information retrieval. Version: Jan 2004. http;//delta-intkey.com/ Rubner K (1910) Das Hungern des Kambiums und das Aussetzen der Jahrringe. Naturw. Zeitschr. f€ ur Forst- u. Landw R€ uegsegger P (1962) Die Haselfichte. Eine Studie € uber ein bekanntes Tonholz. Das Musikinstrument 4:334–335

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Rust S, Roloff A, Sommer U (2011) Untersuchungen zur Eignung des h/d- Verh€altnisses zur Beurteilung der Sicherheit von B€aumen. In: Dujesiefken D (ed) Jahrbuch der Baumpflege. Thalacker, Braunschweig, pp 91–97 Sachsse H (1991) Exotische Nutzhölzer. Parey, Hamburg/Berlin Scheiber C (1965) Tropenhölzer. Fachbuchverlag, Leipzig Schmelzer K (1977) Zier-, Forst- und Wildgehölze. In: Klinkowski M Pflanzliche Virologie 4:276–405 Schmid A (1998) Drehwuchs an der Baumart Eiche. Diploma, Forstwiss. Fak. der LudwigMaximilians-Universit€at M€ unchen Schweingruber FH (2007) Wood structure and enviroment. Springer, Berlin/Heidelberg Schweingruber FH (2012) Der Jahrring. Standort, Methodik, Zeit und Klima in der Dendrochronologie. Kessel Remagen-Oberwinter Schweingruber FH, Isler A (1991) Konstruktionsmappe MASSIVHOLZ. Hrsg: Stiftung Arbeitskreis Schreinermeister. DRW Weinbrenner, Leinfelden-Echterdingen Schweingruber FH, Kaennel M (1995) Multilingual Glossery of Dendrochronology. Definitionen in Englisch, Deutsch, Französisch, Italienisch, Portugiesisch und Russisch. Paul Haupt Publishers, Bern/Stuttgart/Wien Thinley C, Palmer G, Vanclay JK, Henson M (2005) Spiral and interlocking grain in Eucalyptus dunnii. Holz Roh- Werkst 63:372–379 Thunell B (1951) Über die Drehw€ uchsigkeit. Holz Roh-Werkst 63:372–379 Veneer Magazine (2003) Mahagoni-Pyramiden haben bei Fritz Kohl eine lange Tradition. Furniermagazin Suppl. Holz-Zentralblatt und HK 14. JG Leinfelden-Echterdingen Wagenf€uhr R (2007) Holzatlas. 6th rev extended edn. Fachbuchverl. Leipzig im Carl Hanser Verl., M€ unchen Wagenf€ uhr R, Scheiber C (1989) Holzatlas, 3rd edn. Fachbuchverl, Leipzig Wakin AT, Polubojarinov OI, Solovjov WA (1969) Albom Porokow Drevesini. Izdatel’stvo “Lesnaja Promischlennost”, Moskva Wanninger J (1989) Untersuchungen € uber den Drehwuchs an Fichte, Tanne und Kiefer im Bayrischen Wald. Diploma. Forstwiss. Fak. der Ludwig-Maximilians-Universit€at M€ unchen Ziegenhals G (2009) Über den Zusammenhang zwischen Jahrringstruktur und akustischen Eigenschaften von Resonanzholz. part 2: Folge der Jahrringbreiten und elastomechanische Eigenschaften. Holztechnologie 50:2

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015

Biotically and Abiotically Induced Wood Characteristics; Cracks – Form and Causes Christoph Richter* Opitzer Weg 20, Tharandt, Germany

Abstract This chapter describes biotically and abiotically induced wood characteristics and gives an overview of crack/shake forms and causes. Biotically induced wood characteristics include microorganisms and animals that use tree parts as a food source or for nesting. Human influences include injuries due to forestry or logging operations, as well as damage caused by warfare, carelessness, malicious intent, or special interest groups. In the tropics, parasitic or saprophytic plants and plants which use the tree for climbing support have the greatest impact. With appropriate intervention, humans can minimize and sometimes even prevent the harmful influences of microbes, insects, and animals on the wood. Education and a sound understanding of effective forest management practices can limit the threats posed by humans. In tropical primary and secondary forests, human “corrective” influence on the vulnerable ecosystems is always problematic. Abiotically induced wood characteristics of inanimate nature such as temperature, precipitation, lightning wind, and snow cannot be easily influenced. Humans can, however, minimize some of their potential damage through preemptive forest management practices that include selecting tree species suitable for a specific site and planting stands and individual trees with appropriate spacing. In tropical rainforests abiotic injuries are usually the result of heavy rainfall associated with strong storms. The descriptions of the cracks can sometimes be relatively imprecise because there is no exact distinction between the actual crack forms and the underlying crack causes. On the one hand, some crack forms can have several different causes. For example, a cross crack could be caused by dehydration or by growth strains. On the other hand, the same causes can lead to several different crack forms. Growth stresses, for example, may lead to cracks in the cross-section area, cross cracks, or star shakes. These connections will be clearly illustrated in the summary on crack forms.

Keywords Wood characteristics; Biotically characteristics; Abiotically characteristics; Crack forms; Crack causes; Necroses; Galls; Burls; Witches’ brooms; Stem burls; Basal burls; Felling damage; Hauling damage; Plant exudates; Exudate extraction; Epiphytes; Vines (lianas); Hemiepiphytes; Root climbers; Twiners; Tendrils; Bark Scorch/Sunburn; Bark scorch; Sunburns; Fiber compressions;

*Email: [email protected] Page 1 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 1 Beech stem (Fagus sylvatica) with severe necrosis

Year of infection 4 years after infection the wound is fully healed. Necrotic bark scar

Fig. 2 Infection and callusing creating a T-mark in a beech stem (Fagus sylvatica)

Fiber fractures; Wulstholz; Stress grading; Heart shake; Dry crack; Schilfer shake; Pitch pockets; Traversing shake; Stress cracks; Ring shake; Ring rot; Hollow core; Spider shake; Ring shakes; Coat shake; Frost crack; Heat crack; Tangential shake; Shear stress cracks; Fiber crack; Radial shake; Suction cracks

Biotically Induced Wood Characteristics (Richter 2010; Richter 2015) Necroses, Galls, Burls, Witches’ Brooms Description Necroses are callused areas in hardwoods made of localized dead cambium and the bark above (Fig. 1). A dark slimy mixture of sap and microorganisms briefly oozes from the split bark giving the disease the name “slime flux.” In cross sections, these wounds appear as t-shaped markings (Fig. 2). In extreme cases the necrosis can become cancerous. On trees from the subtropics and tropics the high incidence of necrotic infection often results in large sections of dead bark. Galls are cell proliferations resulting from a single infection of the cambium or individual buds in the tree’s juvenile stage. Tree rings or increment zones in galls are much wider than in normally

Page 2 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 3 Spruce gall (Picea abies)

Fig. 4 Birch burl (Betula pendula)

developed stem wood. In benign tumors, the wood appears generally healthy. In malignant tumors the microbial degradation often leads to wood necrosis. Galls are relatively common among spruce (Picea abies) (Fig. 3) and birch (Betula pendula) but also found among many other softwood and hardwood species from the temperate and tropical zones, as, for example, hoogland mataki (Symphonia globulifera) and basralocus (Dicorynia guianensis). The rough exterior of a gall is caused by excessive bark development and not by epicormic shoots! Burls result when buds continuously develop into epicormic shoots in the stem bark or root area, also called bud proliferation (Fig. 4). The epicormic shoots regularly die away leaving behind attractive patterns in the wood grain, e.g., burls in walnut (Juglans regia), poplar (Populus ssp.), and sugar maple (Acer saccharum). In (sub)tropical trees they are common in madrones (Arbutus menziesii), makamong (Afzelia ssp.), myrtle (Myrtus communis), and padauk (Pterocarpus ssp.).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015

Fig. 5 Witches’ broom in a pine (Pinus sylvestris)

Witches’ brooms are early sprouting, negatively geotropic buds and shoots on branches (Fig. 5). They are particularly vital and can assume a significant part of a tree’s assimilation. Causes Bark fat often occur after periods of extreme winter cold spells, long periods of drought, or following bacterial and fungal infection (Altenkirch et al. 2002). Necroses in trees from all climate zones are probably best understood as the result of a chain of effects. Prerequisite for the infection is small (microscopic) bark injuries which serve as entryways for microorganisms. In most cases, insects are the main culprits. For example, the woolly beech scale (Cryptococcus fagisuga) bores into the bark creating portals for disease. A proven link also exists between bark beetle (Trypodendron domesticum) infestation and Nectria ditissima infection (Gr€ uner and Metzler 2003). The microorganisms damage or destroy the cambium cells. The tree protects itself from infection by building callus tissue and walling off the wounded area (Altenkirch et al. 2002; Bosshard 1984). As the infection spreads, the risk that the injury will degenerate into cancer increases. Research shows that galls and burls occur more frequently in cities, parks, and the open countryside than in forests. These trees are subject to a greater risk of injury and considerable stress (emissions, dryness, heat). In addition, cities and more frequented areas present a higher rate of infection. When buds and bark are injured by forestry operations, fire (Thuja), insects, or small growth cracks, the wounds often become entryways for parasites. Certain viruses, bacteria, and fungi are then able to stimulate tissue growth in order to create favorable living conditions for themselves (Altenkirch et al. 2002; Gottwald 1983). In the infected areas of the cambium and buds, nutrients or growth hormones are increasingly enriched. The subsequent excessive diameter growth causes pathological excrescences to develop that can develop into tumors (Wagenf€ uhr and Scheiber 1989). They can be benign tumors, as in spruce (Picea abies) or poplar (Populus ssp.) burls, or malignant as, for example, in fir, larch, or beech cancers (Abies alba, Larix decidua, Fagus sylvatica) or witches’ broom.

Page 4 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015

Scarred instect holes in the stem surface Sapwood

Hole in heartwood

Fig. 6 The nodes on this mawsikwari (Erisma unicatum) are scarred insect holes

Rippled structure Initial point of a small branch near the pith

Fig. 7 Spruce gall (Picea abies) cross section

Mites and insects can stimulate growth to their benefit, resulting in growth anomalies in the tree stem and branches. Mites are direct causes of witches’ broom in birch (Betula pendula) (Georgi 1965) and wasps are identified as causing various leaf galls. These cells have probably been genetically “reprogrammed,” because the gall continues to grow for the tree’s entire life span. The mechanisms of infections are often unclear, as, for example, in the tropical tree species hoogland mataki (Symphonia globulifera), which regularly forms curly figured galls. Studies on three tropical tree species – mountain gronfolo (Qualea rosea), hoogland gronfolo (Qualea albiflora), and mawsikwari (Erisma unicatum) – observed that insects (species unknown) permanently bored through the stem surface to the cambium. The trees then attempted to callus over the stem wound created by the bore hole. As the insects retreated for air, they created new wounds which tree again tried to seal off. The result is calluses occurring sporadically or throughout the stem (Fig. 6). Mistletoe plants (Viscum sp.), which are specific to certain host plants, can also trigger the growth of witches’ brooms. This was observed in North America among pines (Pinus contorta, P. flexilis) and Douglas fir (Pseudotsuga menziesii) and in the Mediterranean region among Mediterranean cypress (Cupressus sempervirens). Cross sections of benign galls, burls, and witches’ brooms have the following typical properties: Galls: The excessive growth starts from an initial occurrence early in the tree’s life (Fig. 7). As the gall grows, the infected area remains free of latent buds or water sprouts. Ripple-like marks appear in the radial section.

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Fig. 8 Birch burl (Betula pendula) cross section

Fig. 9 Witches’ broom in a birch (Betula pendula)

Burls: A cluster of shoots starts from an initial area on the stem bark (Fig. 8). These shoots regularly die off and are repeatedly sealed over with another growth layer. In tangential sections they appear as an arrangement of circular points like contour lines. Witches’ broom: A mass of buds and short shoots is stimulated to form a thicker bushy growth – known as a witches’ broom (Fig. 9). The affected twigs expand unevenly. Necroses, galls, burls, and witches’ brooms share the fact that they are initiated by microorganisms that cause damage to living tissue over entry portals (injuries). However, the microbial effects are different. They can be obvious pathogens (necroses, malignant tumors) but can also lead to a type of symbiosis with the host (galls, burls, witches’ brooms). Galls and burls are similar in appearance while burls and witches’ brooms have bud proliferation in common. Durst (1955) called bud proliferation “burl formation caused, by among other things, latent buds.” Schmelzer (1977) suggested the cause of this bud proliferation to be mycoplasma-like organisms. There is still no clear explanation for certain symptoms of infestation. Attention! The above pathological growth anomalies have nothing to do with clusters of new shoots that often sprout up after canopy openings (increased light) or canopy closures (anxiety suckers) or due to repeated removal of water sprouts (as often the case with linden trees (Tilia ssp.) lining a street) (Wagenf€ uhr and Scheiber 1989). In these cases, physiological processes cause buds to grow from the meristem around branch scars.

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Fig. 10 Unusable beech board (Fagus sylvatica) with severe necrosis. Pieces of bark are ingrown

Prevention Necroses, galls, burls, and witches’ brooms are difficult to avoid. Either too little is known about their causes to take specific preventative action, or it would require a disproportionate amount of effort to prevent the smallest wound. Necroses should be removed as part of good stand maintenance. They are sources of infection for further infestation. Added value is no longer to be expected as necrosis does not “grow out.” Witches’ brooms in a tree’s branches have little influence on the quality of its stem wood, making them irrelevant from the point of view of the wood processor. Galls and burls are a different matter. Quality burl wood is highly valued for its attractive figure. So much so, that birch (Betula pendula) burl wood has successfully been produced artificially by cross and vegetative breeding (König 1957). No such success has occurred using other tree species (Gottwald 1983). Impact on Use Necrotic wounds are undesirable in all types of wood manufacturing because the markings visible on the bark do not accurately reveal the depth of the injury, the amount of wood discoloring, the degree of insect infestation, and the extent of callusing in the damaged part of the stem. Necrotic wood can no longer be used as merchantable timber (Fig. 10). Knigge and Schulz (1962) categorize beech (Fagus sylvatica) wood into four quality levels depending on the size and duration of the disease: 1. Healthy, uniformly pale yellow- to pink-colored wood 2. Dark-colored protective wood with inlet area (tylosis) under the dead cambium, gray-colored when dried 3. Discolored wood with heavy beetle damage (Xyloterus domesticus or Hylecoetus dermestoides) 4. Wood completely destroyed by rot Galls and burls are undesirable if their small size, irregular surface, enclosed bark, or rotted areas prohibit the wood from being used for a specific purpose. This includes all malignant tumors. Although burls occur in many species, only high-quality burl wood is prized for its unique color, structure, and texture. Conditions for high-quality burl wood are: 1. Contained, compact exterior form 2. No ingrown bark or mineral galls

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Fig. 11 Veneer with latent buds, bird’s eye maple (Acer saccharum)

Fig. 12 Walnut burl veneer (Juglans regia) (radial section)

3. No rotting 4. No major branch penetration 5. A minimum size that enables the wood to be used for a specific purpose The most important hardwoods from temperate regions with attractive burl are maple (Acer saccharum) (bird’s eye maple, Fig. 11); ash (Fraxinus ssp.), especially olive ash; poplar (Populus ssp.); oak (Quercus); and elm (Ulmus glabra). In softwoods burls occur in yew (Taxus baccata), thuja (Thuja occidentalis), and redwood (Sequoia sempervirens, Sequoiadendron giganteum) (Vavona). Prized among (sub)tropical woods is burl wood from madrone (Arbutus menziesii), makamong (Afzelia xylocarpa), myrtle (Umbellularia californica), walnut root (Juglans regia) (Fig. 12), and Page 8 of 31

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Fig. 13 Bark scar on a beech (Fagus sylvatica) used as a (weak) diagnostic feature to determine the depth of a necrotic wound. Left 5 years after infection with callus seam, right 20 years after

Fig. 14 Centric peeling of a bird’s eye maple (Acer saccharum)

padauk (Pterocarpus ssp.) (Wagenf€ uhr 2007). Small galls from the tree heather (Erica arborea) are used to make the famous Bruyére pipes. It is important not to be overly optimistic about the possible proceeds earned from selling gall and burl wood. “Normal” galls and burls are rarely so perfect that a veneer manufacturer would be willing to pay an exorbitant price for their wood, as may be the case, for example, with a special walnut burl (Juglans regia). Given the hidden risks in galls and burls, the wood typically only yields a moderate price. Witches’ brooms are economically insignificant as they impact the trees’ branches and not the valuable stem. Technological Adaptation The bark scar can be used as a (weak) diagnostic feature for determining the depth of the necrosis in the stem (Fig. 13). Veneer with necrotic areas must either be trimmed off or centered in the middle of the sheet. Necrotic wood has areas with tylosis. Therefore, it cannot be fully impregnated and is, for example, no longer suitable for use as railroad ties.

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Fig. 15 Felling damage to three trees

Fig. 16 Old, unhealed hauling injury on a hardwood tree

Stem burls such as bird’s eye maple (Acer saccharum), elm (Ulmus ssp.), ash (Fraxinus excelsior), poplar (Populus ssp.), and to a certain extent also walnut root burls (Juglans regia) are centrically peeled, in order to optimally reveal the decorative effect of the figure (Fig. 14). Basal burls are typically divided into segments and sliced or peeled (eccentric). The quality of the burl only becomes apparent during processing. The segment breakdown requires a great deal of experience in order to take full advantage of the burl wood and maximize yield. The irregular grain orientation can cause warping and fissures in the drying veneer. To avoid cracks and breaks, the fresh veneer is dried very gently (ironed). The tendency to warp during storage increases with higher moisture levels.

Felling and Hauling Injuries, Exudates Description Felling damage refers to mechanical injuries caused by humans during timber harvest to the branches, bark, and wood of standing trees, with long-term impact on wood quality as well as to the felled logs (breakage, split stems, wood fissures) (Fig. 15).

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Hauling damage refers to mechanical injuries caused by humans during timber harvest to the bark and wood in the lower (most valuable) bole section of standing trees by logging equipment as well as to logs being hauled out of the forest with long-term impact on quality (Fig. 16). Commercial forests require repeated maintenance interventions to remove poor-quality trees and promote trees in optimal condition (stem and crown care). Yet, when improperly conducted, these interventions can cause significant stem damage to standing trees and felled logs. Over the long term, felling and hauling injuries can cause even greater harm to the quality of a forest stand than natural biotic influences (rot, insect infestation, stripping, and rubbing damage caused by animals). Despite “best practices,” felling and hauling injuries in temperate forests can significantly affect the quality of the remaining trees in a stand and the harvested timber. General factors include: 1. Maintenance frequency: From a forestry yield science perspective, relatively frequent but low-level maintenance interventions are most beneficial. Frequent maintenance, however, also increases the risk of injuries to the trees remaining in the stand. From a forestry operations perspective, the best approach is as few interventions as possible with large harvests (unit mass law). The risk of stem injury is reduced. However, growth loss is still likely due to the less than optimal maintenance of the trees’ basal area. 2. Principle of selective harvesting: Selective harvesting (removal of individual trees with sufficient diameters) is increasingly becoming standard practice in Central Europe, replacing other timber harvest practices (clear cutting and compartment shelter wood systems). However, selective harvesting increases the risk of hauling injuries to the remaining trees. 3. Stand structure: As the mix of tree species, vertical density and number of individual trees in a stand increase, so does the risk of damage to standing trees during forest thinning operations. 4. Timber harvesting: Today trees are harvested using powerful logging equipment, i.e., harvesters, hauling winches, and forwarders. And yet, each logging operation must be tailored to the specific site conditions of the individual stand (steep slope, boulders, very different tree dimensions . . .). The above factors have a particularly significant impact in primary and secondary forests of the tropics with their high stand density and great variety of tree species. For example, an estimated 800 different tree species grow in the primary forests of Surinam. Only about 350 have had their anatomical, physical, and technical properties documented. Around 30 of these are actually used, of which there are five main types of wood (Comvalius 2010). There is currently no in-depth research available on accepted levels of intervention and maintenance that does not affect biodiversity. Plant exudates refer to resinous wound sealants produced by trees. Extracting the resin inevitably injures the affected trees. The resin in certain pine species (pine crude balsam), consisting of 22 % turpentine oil and 70 % rosin, is harvested worldwide as a forest by-product and widely used in the chemical and pharmaceutical industries. Pine trees from temperate regions (Pinus sylvestris, P. peuce, P. leucodermis, P. nigra, P. halepensis) yield only 25 % of the resin available from tropical pine species in Central America and the Caribbean (Pinus elliottii) (Stephan 2012). Tropical trees produce wound sealants as water-insoluble resins, water-soluble or water-insoluble gums, tannin containing kinos, or polyterpene-based latices (Lange (1998a, b, c). Depending on the method used, the trees are either torn, tapped, or notched in order to extract the forest by-product.

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Fig. 17 Softwood stem with split fiber and cracked sapwood a result of a missing sapwood cut and a missing hinge

Causes Felling and hauling injuries occur: – When maintenance operations are undertaken without previously conducting a thorough stand inventory. The absence of established skid trails and logging roads makes it difficult to determine in which direction the trees should be felled and trees end up being hauled through the middle of the remaining stand. – When the skills and know-how required for timber harvesting are lacking (knowledge of the idiosyncrasies of the species, ability to judge weather conditions, skills to operate chainsaws (Fig. 17) and other logging equipment). – When to minimize effort back cuts are incorrectly made through the (buttress) roots, the root collar is not kept intact to prevent stress cracking, and any initial cracks are left unbraced. – When the harvesting methods are not tailored to the stand (average distance between trees, strength class, terrain, etc.). – When logging contracts do not sufficiently state the sanctions for failure to comply with quality requirements for felling, hauling, and storing trees along forest roads. – When local officials do not provide comprehensive planning or clear instructions. Logging practices in the primary rainforests of the tropics naturally differs from logging in temperate forests. Tropical timber must be harvested in the year-round growing season. Especially the bark of smooth-barked trees is vulnerable to mechanical influences (Fig. 18). In the rare case of selective single-stem harvests, usually the strongest and highest-quality stems are logged without taking into account the balance of tree species in the area. Closely neighboring tree crowns and the network of lianas are damaged in the process. The tree is typically topped under the first main branch. The usually long, branch-free stems of more than 20 m are difficult to move. Standing trees used as pulley supports during hauling experience lasting damage to their trunks (Fig. 19). Prevention Felling and hauling damage: In commercial forests as well as in primary forests, it is important to take a stand inventory before the start of any logging operation to insure that the harvesting equipment can maneuver freely without permanently damaging the roots of unharvested trees. Skid trails must be permanently marked, deck plots clearly designated, and buffer trees should be left standing to shield other trees from hauling and storage damage.

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Fig. 18 Felling damage with bark injury on a smooth-barked stem

Fig. 19 Severe bark injury caused by a logging cable tied around the stem base

Since harvesting damage is typically due to human error, particular emphasis should be placed on education. Felling and hauling work should only be conducted by well-trained personnel. The felling and hauling methods used must be tailored to the size of the trees, the stand density, and the soil conditions. In high-density stands (tropical primary forests!), logs should be bucked on site to prevent hauling damage. Summer harvesting in temperate forests should be avoided when possible because even the slightest stem contact could lead to bark injuries. Timber harvest contracts need to include sanctions for quality loss. Impact on Use Felling and hauling damage to trees left unharvested in the long term usually reduces wood quality because the injuries often lead to fungal infection with subsequent wood discoloration and decay.

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Fig. 20 Band saw position on a veneer stem with deeply split fiber

In optimal cases, the wound area is discolored and the wound’s fiber orientation is disrupted. This type of damage causes quality defects in veneer wood and sawn goods. Depending on the size of the wound, tree species, season the injury occurred, and microclimatic conditions, it is possible for the decay to be so extensive that it cannot be compartmentalized. This type of damage prevents any wood of value from forming. Especially in tropical conditions, the significant amount of infection leads to the devaluation of the damaged stems. Mechanical damage to harvested timber (stem cracks, fiber tears, rot) results in lower quality wood or volume recovery. Exudate extraction (resin tapping): Resin tapping is not detrimental to the health and growth of pines (Pinus sylvestris) (Stephan 2012) but does affect the quality of wood. The stem cross section forms in the direction of the living wood. The area on the stem around the groove becomes saturated with resin: Wood recovery losses occur particularly on the valuable butt log sections. In primary and secondary forests of the tropics, trees are torn, notched, or sliced to obtain exudates (rubber, latex milk, etc.). In most cases the trees are left standing and their injuries callused over. The hidden damage only becomes visible once the tree is logged and processed leading to a degrading of the wood. Technological Adaptation For wood damaged primarily down the length of the stem, the standard methods of wood sectioning are recommended: – Veneer logs should be cut so that the damaged area remains part of the dog board (Fig. 20). – With band and gate saws, the blades should be positioned so that the damaged stem section is completely cut off (Fig. 21). – With chipper canters, damaged stem sections are usually chipped away. If that is unsuccessful, then the wood should be sectioned using a circular sawlog sectioning model.

Epiphytes and Vines Description (Strasburger et al. 1978; Kehl 2013; Lilienthal 2004) Epiphytes and vines (lianas) mainly grow in tropical rain forests, but some important species are also found in temperate climates. They either grow on the tree or in the ground and use the host tree for support employing various climbing techniques to spread through the crown in search of sunlight.

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Fig. 21 Optimal sectioning of decayed stem (old hauling injury)

Fig. 22 Mistletoe (Viscum album) with berries

Epiphytes grow on the host tree and rely on it for climbing support. They are widespread, from the tropics to the coastal rain forests of the temperate zone. Epiphytes germinate in tree branches, bumps, and bark in an effort to take advantage of the light penetrating the forest canopy. These include among others bromeliads (Bromeliaceae), orchids (Orchidaceae), and succulents (also cacti). Given the right growing conditions, epiphytes can become so dense they cause an entire tree to collapse under their load. Some epiphytes live hemiparasitically by attaching their aerial roots (haustoria) to the branches of the host trees. In the tropics the flower plant family Loranthaceae is most notable. They are related to the European mistletoe (Viscum album), an evergreen plant commonly found growing in hardwood trees, i.e., fir (Abies) and pine (Pinus) in temperate climates. The plant’s sticky white berries contain seeds which are dispersed by birds (digestive dissemination). They typically grow in branches. The mistletoe competes for nutrients and sunlight with the assimilation organs of the host tree (Fig. 22). Hemiepiphytes in the tropics are also epiphytes, whose seeds germinate from undigested bird feces on host branches. They, however, develop aerial roots which grow downwards eventually connecting to the ground. As the roots become stronger, more aerial roots develop and fuse together.

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Fig. 23 Strangler fig (Ficus ssp.) encircles a host tree

Fig. 24 Rattan palm (Calamus adspersus) (photo: Gilg and Schumann 1900)

The roots encircle the host tree and can eventually strangle it to death (Fig. 23). One notable example is the strangler fig (Ficus ssp.). Vines (lianas) include over 2,500 species belonging to different plant genera, of which approximately 90 % grow in the tropics. They germinate in the soil and use trees only for support in their rapid ascent towards the light and airy canopy. Depending on their climbing technique, they are subcategorized as scramblers, root climbers, twiners, and tendril climbers: Tropical scramblers include the many species of rattan palms (Calameae), which use spines and prickles to spread through the host canopy (Fig. 24). Rich in foliage, they quickly compete for Page 16 of 31

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Fig. 25 Wild grape (Clematis vitalba) with berries

sunlight. In the temperate latitudes scramblers include black berry (Rubus sectio Rubus) and various climbing wild roses (Rosa). Root climbers develop sucker roots to help them climb up through the host tree towards the sunlight. The sucker roots do not damage the tree bark, but the plant competes for sunlight and nutrients. In the tropics and subtropics, root climbers include among others strangler figs (Ficus ssp.), black pepper (Piper nigrum), vanilla (Vanilla planifolia), and climbing hydrangea (Hydrangea petiolaris). The main root climber in temperate forests is the evergreen ivy (Hedera helix). It grows with the help of sucker roots up into the tree canopy. Widespread, but not of major significance to forestry, is the wild grape (Parthenocissus ssp.). Twiners include the many species in the legume (Fabaceae) family. They spread their long internodes out in a circle motion (circumnutation), until they find a support to coil around and rapidly climb up to the sunlight. In temperate zones the wild hops (Humulus lupulus) is particularly common. It is a left coiling annual plant typically found growing wild competing for sunlight along stand boarders. Tendrils are sprouts, roots, or leaves that turn into thin coiling twines. On their quest for nutrients, the tendrils seek out a climbing support. When they touch an object, they become irritated and coil themselves up (thigmonasty) then stabilize themselves again by climbing further. The wild grape (Vitis vinifera subsp. sylvestris) is one of many types of vines commonly found in the temperate climate zones. In forestry one of the main vine species is clematis (Clematis vitalba). Clematis plants with their 6 cm thick stem often spread through the crowns of multiple trees (Fig. 25). Like other tropical lianas clematis is able to coil so tightly around a tree that it deforms their stems and eventually strangles them to death. Causes Plants grow on trees in an effort to efficiently and effectively reach sunlight for assimilation. In the process they cause varying degrees of damage to the host trees. Epiphytes affect their host as they climb by creating their own growing environments of humus and water retention which can increase the host tree’s risk of infection. They also block the tree’s leaves from sunlight. Hemiparasitic climbers are even more invasive. They use their haustorial roots to draw nourishment and water from the host tree (Fig. 26) and compete for sunlight in the crown area. Heavy mistletoe infestation can kill a host tree. Some (dwarf) mistletoe species (Arceuthobium

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Fig. 26 Traces of mistletoe (Viscum album ssp. abietis) haustoria on a branch

Fig. 27 Dying tree enveloped by clematis (Clematis vitalba)

sp.) target specific host trees causing a proliferation of witches’ broom in, for example, North American pine species (Pinus ssp.), junipers (Juniperus ssp.), Douglas fir (Pseudotsuga menziesii), and cypress (Cupressus ssp.). The growth “strategy” of hemiepiphytes is to use the host tree for support until its own network of aerial roots becomes self-sustaining. If the host tree dies in the process, it becomes the nutrient supplier for the hemiepiphyte. Vines (lianas) which germinate in the soil use thorns, spines, sucker roots, tendrils, and coiling motions to climb up the host tree towards the sun. While the scramblers, root climbers, and twiners do not usually cause damage to the host tree, other than competing for light and nourishment, tendril climbers impact the tree’s cambial growth. The suffocating tendrils do not grow along with the tree but rather constrict growth by coiling around the stem. Lianas such as rattan (Calameae) can significantly impact a host tree’s growth. They can become so dense, enveloping the host canopy with up to 300 m long vines, that they quickly suffocate the tree from sunlight. In warmer regions of the temperate zones, wild grape and to a lesser extent the wild hops are particularly influential (Fig. 27).

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Fig. 28 Sapele drape veneer (Entandrophragma cylindricum) caused by a vine

Prevention Epiphytes and hemiepiphytes are nearly impossible to prevent; doing so would require either eliminating all the birds that act as seed carriers or mechanically removing all the air plants. Vines (lianas) can theoretically be cut off at the stem base. Sound forest management practices should be used to prevent vines from taken over areas exposed on standing trees after harvesting. In principle, the question should always be asked whether the presence of this species in an intact biogeographical region is not of higher value than the possible damage to the affected trees. Impact on Use The hemiparasites among the epiphytes (mistletoe (Viscaceae)) typically only impact the wood structure of the host tree’s branches and thus do not threaten the stem. Heavy mistletoe infestations, however, can be extremely damaging if while competing for nutrients they end up killing the host tree (poplar plantations (Populus ssp.)), fruit and park trees, and entire softwood stands (USA, CAN)). Mistletoes are highly sought after as holiday decorations. Studies show mistletoe can be used as an indicator for heavy metal pollution in soils. Heavy metals reduce the resistance of mistletoe infestation among poplars (Non Nomen 2009). Vines can wrap so tightly around a host tree that they deform the stem and ultimately kill it. For this reason vines are usually removed from commercial forests (Clematis). With wild hops (Humulus lupulus), the question is whether its negative impact, particularly along forest boarders, outweighs its attractive appearance. It also contains psychoactive substances that are pharmaceutically interesting as a hemp crop. Ivy (Hedera helix) in trees is a welcome “decoration.” It blooms late and is an important honey plant; the fruits are consumed by many different bird species. Ivy leaves contain saponin, a drug used to sooth bronchitis. Tightly coiling tropical vines can also change the shape of a stem so dramatically that it creates beautiful textures that appear when the wood is processed into veneer. This is referred to as drapé (Fig. 28).

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Exposed wood tissue

Extensive bark peel

Patches of dead bark

Deep rot and insect infestation

Lateral scarring

Healthy stem section continues to grow in diameter

Fig. 29 Scorch damage on a beech (Fagus sylvatica)

Technological Adaptation In commercial forests, trees with heavy mistletoe infestation should be harvested before they die. During harvest operations in tropical primary and secondary forests, vines should be cut off before the trees are felled so that they do not damage or even pull out other trees when they fall.

Abiotically Induced Wood Characteristics (Richter 2010, 2015) Bark Scorch/Sunburn Description The bark of thin barked trees in temperate climate regions such as beech (Fagus sylvatica) and spruce (Picea abies), but also in the tropics, is prone to crack under intense solar radiation, either in long strips or patches (Fig. 29). The dying bark changes color, peels away from the trunk, and subsequently exposes the wood tissue. Wood discoloration and fungal and insect infestations reduce the wood’s value. Attention! This damaging abiotic factor should not be confused with the symptoms of bark disease caused by fungal infection, such as the poplar bark disease caused by Cryptodiaporthe populea. Causes When trees with thin bark are suddenly exposed to the sun on the south or southwest side, the intense summer sun can scorch the bark and dry out the cambium until it ultimately dies. Usually, such sudden exposure is the result of an opening caused by the loss of neighboring tree branches due to wind or snow or instability in dense primary forests of openings cut for road and power lines. But bark scorch can also be the result of poor forest management practices, such as logging forests from the south to southwest, removing boarder trees, suddenly exposing trees to sunlight which for decades had been protected from sunlight, as well as neglecting proper spacing requirements at planting or during stand maintenance. Many tropical tree species typically grow in dense primary forests. Their bark does not need protection from direct sunlight. The trees use their limited recourses primarily to expand their crowns not to grow thicker bark. When these thin barked trees are suddenly exposed, it can lead to sunburns.

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Stem section fully devalue by rot Cross cut

Fig. 30 Suggested way to process a log damaged by bark scorch (Fagus sylvatica)

Prevention Openings in sunlight-exposed directions (felling face, gap cuts, road lines) are to be avoided. A protective boarder of trees must be maintained. If an abrupt boarder occurs due to natural events (windthrow, snow pressure), then any trees damaged by bark scorch should be left to shield the remaining trees from further damage. Stand boarders should consist primarily of coarse-barked trees and shrubs. Openings should be immediately replanted so that exposed trees are shaded again. Free standing trees (urban trees) require some form of sun protection when they are first planted to prevent burns and evaporation. Impact on Use As the amount of damage to the bark increases, the value of the wood decreases. Stem dryness and fungal and insect infestation prevent any higher use and can lead to degrading of the wood to D quality. Bark burn on young trees is usually callused over but later often leads to heart rot in the stem. In urban areas such trees are often cut down for safety reasons. Technological Adaptation Undamaged stem parts can be strategically cut for further processing (Fig. 30). Often, however, this is done due to a lack of technical skill or because it would require too much effort.

Fiber Compressions, Fiber Fractures Description Fiber compressions refer to wood fiber that has been compressed perpendicular to the course of the grain. Fiber fractures refer to wood fiber that has fractured perpendicular to the course of the grain due to a tree’s exposure to mechanical stress which exceeds the compressive strength of the wood (Fig. 31). Fiber compressions or fiber fractures typically run in lines or fan out vertically up to an angle of about 60 to the stem axis. They can extend across several tree rings or over as much as 50 % of the

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Fig. 31 A thin zwarte riemhout stem (Micropholis guyanensis) has a fiber fracture in the buttress root area (left), a sign of bending stress. On the right a scanning electron micrograph of extreme compressed cell walls (Photo: E. B€aucker)

“Wulstholz”

Compression folds

Fig. 32 Spruce (Picea abies) stem section with compression folds and “Wulstholz”

stem cross-sectional area (Bues and Stein 1999). Fiber compressions and fractures mainly occur in the heavily stressed lower third section of the stem. Each fiber compression is covered on the stem by particularly short-fibered, lignin-rich callus tissue called “Wulstholz” (Fig. 32). The cells of this special type of wound wood have cell walls with microfibrils that tend to lean heavily in the longitudinal direction (30 . . . 50 ). This makes the “Wulstholz” more flexible (Rosenthal 2009). Larger fiber fractures can only callus over laterally because the wood at the fracture is no longer vital. It takes considerable skill to be able to distinguish “Wulstholz” from branch scars. Trendelenburg (1940, 1941) found fiber compressions in 35 species of trees, of which 26 were from tropical and subtropical regions. Fiber compressions and fractures can be identified several years after the wood failure by the formation of “Wulstholz” on the compressed side of the stem. As the tree grows in diameter, the callus area disappears, so that eventually trees with fiber compressions and fractures can only be indirectly diagnosed. The likelihood of fiber compressions is high when trees are left growing in stands heavily damaged by wind and snow pressure or isolated on windy sites. Page 22 of 31

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Causes Extreme wind, snow, and ice pressure can force a tree crown to grow towards one side causing the entire stem to bend over. Because the tensile strength of the wood fibers is about twice as large as the compressive strength, an extreme bending stress can cause fiber compressions extending beyond the compressive strength zone (Delorme 1974). The stem is compressed even though it is already under tension, for which the compression stress first has to compensate (K€ ubler 1959). This principle is illustrated, for example, in concrete construction which preloads steel reinforcements. If the tree is made to swing back and forth in the wind by constantly changing pressure loads, the fiber bands will be pulled and pushed until they finally split apart. A compression fracture develops that is visible on the stem surface. Initial starting points for fiber compressions and fractures are the branch whorls. The irregular fiber course found at these spots in the tree presents physically weak areas in the wood (Trendelenburg 1940). The cambium reacts to the stress by increasing cell growth associated with very wide “Wulstholz” tree rings. Because the “Wulstholz” tracheids are significantly shorter and richer in lignin, they have greater stability. Despite having a higher density than normal wood, “Wulstholz” has a lower modulus of elasticity and compressive strength. “Wulstholz” can be considerably deformed without fracturing but can only withstand limited maximum pressure (Koch 1999). In high-density tropical rainforests intense crown competition forces trees to grow rapidly in height. This occurs at the expense of radial growth. The height/diameter ratios are often over 100:1. Therefore, strong winds can exceed the tree’s bending limits resulting in compression fractures. Prevention Aside from damaging events such as hurricane gusts, fiber compressions are also commonly caused by forest management practices. Taking the following measures can reduce the risk of compression crack damage: In regions prone to wind and snow breakage, individual trees should from the early stages of stand development (D1,3 < 19 cm) be given enough growing space to develop a sufficiently broad crown, connected with a height-diameter ratio of under 80:1, which can withstand the extreme bending stresses (Burschel and Huss 1997). Given the naturally high density of tropical forest, their such growing space requirements can only be met in geometric plantation stands. The spatial arrangement of the trees must be carefully managed so that the stand’s protective cover remains intact. Impact on Use Fiber compressions that are already visible on the outer bark of the stem and compression fractures significantly affect the strength of the wood (Fig. 33) Sawn timber with such damages should not be used for constructive purposes or for load-bearing functions (EMPA 1990). Fiber compressions that are only visible once the wood has been planed are considered safe (Fig. 34). The same applies to smaller pieces of wood used, for example, for roof battens or telephone poles. It is not uncommon for impregnated telephone poles, which may at first sight appear perfectly sound, to split apart during installation. The injured spot was obtuse and shell shaped – a sure sign of an extensive fiber compression that went unnoticed during the initial stem diagnosis. Therefore, if callusing on the stem surface reveals fiber compressions and fiber fractures in the wood, it is important that these factors be taken into account during grading. Nevertheless, because it is possible that wood could accidentally be use for construction purposes, it is best classified as industrial wood (e.g., pulpwood). Page 23 of 31

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Fig. 33 Fiber breaks on a pillar of walaba (Eperua ssp.). The fiber breaks significantly reduce the residual strength of the pillar’s cross section

Fig. 34 Uncritical fiber compression on a planed kwatapatu (Lecythis ssp.) board

Technological Adaptation Under visual diagnosis, wood with fiber compressions which are only visible on planed wood are considered safe to use. These fiber compressions occur at a bending stress of about 50 % of the breaking load. However, macroscopically visible fiber compressions can also occur at a bending stress of about 75 % of the breaking load (Kisser and Steininger 1952). In this case, the wood should no longer be used for static purposes. It is possible using strength measuring instruments (stress grading) to easily detect compression fractures in lumber as they usually appear as the “weakest section.” The elastic modulus of the wood is calculated from the test set, dimensions, proof load, and deflection of the lumber. This correlates with the bending strength, which is a measure of the strength of the sawn timber (DIN 2001) (Fig. 35). Page 24 of 31

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015 Test load

Deflection

Lumber load

Fig. 35 Principle of stress grading

Ultrasound tests for detecting compression fractures in squared timber are still inconclusive (Kessel 1990).

Overview of Crack/Shake Forms and Causes (Richter 2010; Richter 2015) Description of crack/shake based on form Heart shake/pith shake: appears as a single shake, T-shake, Y-shake, cross shake, or star shake running through the pith Crack extending radially from the pith, but not to the stem surface In old spruces (Picea abies), larches (Larix ssp.), pines (Pinus), and firs (Abies ssp.), heart shake can extend several meters up from the stem base Trees from tropical rain forests often crack after felling due heavy growth stress. Heart shake usually only occurs during the short transition to the cross-section surface crack

Description of crack/shake based on cause 1. Dry crack: occurs when wood dries out below the fiber saturation point of approximately 30 %. This can happen in heartwood or sapwood shortly after felling in the drier core of the stem (initial cracking) 2. Schilfer shake: occurs mainly in mature softwoods. Wind pressure bends the trees so severely that tangential cracks form in the drier core area of the living tree. These cracks are only visible in sawn timber 3. Pitch pockets: shear stress (wind pressure) applied to living larch (Larix ssp.) trees with bole sweep can cause shakes to form on the concave side of the stem that eventually fill up with pitch (see shear stress cracks)

Illustration of cracks/shakes

Heart shake appearing as cross shake in a gele kabbes (Vatairea guianensis)

Heart shake appearing as schilfer shake in a fir board (Abies alba)

Heart shake appearing as pitch pocket with eccentric pith in a larch (Larix decidua) (continued)

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Description of crack/shake based on form Traversing shake: appears as single shake, T-shake, Y-shake, cross shake, or star shake running through the pith Crack in a felled tree running from the pith of the stem base to the stem surface (also called cross or star shake) In trees from tropical primary and secondary forests growth stress often cause traversing shake, especially if there is no interlocking grain in place to hold the wood fibers in place

Seasoning crack: appears as a combination of single shake, T-shake, Y-shake, cross shake, star shake, radial shake, and ring shake Thin radial cracks extending across the entire cross-sectional area of a felled tree stem or stem section that begin to penetrate deeper into the wood as it dries

Ring shake A crack in the wood parallel the tree rings, especially between the rings that contrast significantly in size. Common in suddenly exposed very old spruce (Picea abies), fir (Abies ssp.), and oak (Quercus ssp.). In tropical trees ring cracks typically occur during the transition from the juvenile to the mature increment zones

Description of crack/shake based on cause 1. Stress cracks: growth stress cracks, which rupture after a felling cut is made to the stem base. They emerge from the swelling of the lignin and cellulose contraction in the cells of the youngest tree ring or growth ring. This leads to such a degree of tension stress in the stem surface and compression stress in the core that the wood cracks shortly after felling or during processing 2. Dry crack: occurs when the wood dries out below the fiber saturation point of approximately 30 %. Originates at the pith and extends to the stem surface (see seasoning crack) Note: stress cracks are not dry cracks! Dry crack: rapid drying of freshly cut, debarked wood (summer harvest) and dead wood far below the fiber saturation point of approximately 30 %. The anisotropy of wood causes it to shrink during drying longitudinal/ radial/tangential in the ratio of 1:10:20. This leads to radial shakes. Wood rays act as additional fissure lines. Dry cracks occur after being subjected to a longer period of air drying in all tree species Stress crack: varied degrees of swelling and shrinking with irregular tree ring formations and extreme differences in density (open stand increment, reaction wood) also in the boundary between juvenile and mature wood. This can cause a ring shake to form while a tree is still living. The shake only becomes visible after the tree is felled on the crosscut surface. Ring shake has physical causes

Illustration of cracks/shakes

Traversing shake appearing as stress crack in walaba (Eperua ssp.)

Stress crack in the form of a cross shake in a donceder stem (Cedrelinga cateniformis)

Dry cracks appearing as a combination of radial shakes, single, radial running cracks, a Y-heart shake and a ring shake in an ash (Fraxinus excelsior)

Ring shake in a section with extremely varied tree ring widths in pakuli (Platonia insignis) (continued)

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Description of crack/shake based on form Ring rot Pathological cracking parallel to the tree rings, particularly between the wide rings in oak (Quercus ssp.) and chestnut (Castanea sativa). One or several of these rings are structurally damaged by fungal infestation. Ring failure also occurs in the increment zones of tropical trees

Description of crack/shake based on cause Illustration of cracks/shakes Ring shake with fungal infestation/defective core: in tree rings with insufficient pithiness in ring porous trees from temperate climates or in increment zones from tropical trees wood becomes infested by damaging fungi. Thereby the xylem encircled by the ring failure separates from the rest Ring failure in oak (Quercus ssp.) caused by insect infestation of the stem wood along the damaged tree ring or increment zone Ring failure has pathological causes!

Larva tunnels in a ring failure in a pakuli (Platonia insignis) Hollow core Stem with and internal, high extending, from microorganisms infected, decayed, or “resorbed” heartwood

Ring shake with decayed heartwood: common especially in tropical tree species of the primary rainforest. Young trees try to use as little material as possible to outgrow light competitors by not storing any heartwood substances in Hollow core in a kopi (Goupia glabra) their juvenile wood. The heartwood only becomes durable when it is mature. The juvenile core becomes loose (physically) as a result of the changes in anatomical structure during the long period to maturity and is destroyed by microorganisms (pathological)

Longitudinal section of a groenhart (Tabebuia serratifolia) with hollow core Spider shake: appears as a combination of radial running star shakes and ring shakes parallel to the tree rings or increment zones in tropical tree species (see also seasoning crack and ring shake)

Dry crack: dehydration of adjacent tree rings with varied widths (ring shake) and the heartwood zone (radial shake). The crack originates in standing trees and becomes visible when the fiber saturation point drops below approximately 30 % after a long Oak (Quercus ssp.) with spider shake due to storage period uneven seasoning (continued)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015

Description of crack/shake based on form Coat shake Crack running with the course of the fiber on the stem surface. Can originate in standing trees (see also seasoning crack)

Description of crack/shake based on cause 1. Frost crack (not valid for tropical and subtropical species): occurs when the temperature suddenly falls below the freezing point. The shock-like cooling leads to nonuniform thermal contraction. The radial-tangential anisotropy of wood, as well as the effect of the freeze-drying process, increases the stress. The crack can extend to the pith 2. Heat crack: results from drought stress in living trees (flat-rooted softwoods) during periods of very hot and dry weather. This can decrease the moisture content of sapwood to below 30 % 3. Dry crack: occurs when dead wood dries to below the fiber saturation point of approximately 30 %. As the crack forms, wood rays act as fissure lines

Illustration of cracks/shakes

Cross section from a maple pith (Acer ssp.) stem with frost scar and frost crack extending to the pith

Maple (Acer ssp.) with repeatedly ruptured frost crack and frost scar Tangential shake: appears as traversing shakes that do not extend to the pith Traversing shake starting in the stem base and extending several meters up the stem

Shear stress cracks: wind pressure can force the tree to bend so far over that a tangential running crack forms Stress cracks: growth stress in tropical trees can cause the stem to crack open in sections also causing tangential cracks

Tangential shear stress crack in a larch (Larix decidua)

Tangential crack in jongo kabbes (Vataireopsis speciosa) (continued)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_217-3 # Springer-Verlag Berlin Heidelberg 2015

Description of crack/shake based on form Fiber crack: appears as radial shake Fiber cracks are separations in the wood fiber running with the course of the fiber in standing trees, often callused over with “Wulstholz.” Particularly common in spruce, less in other softwoods: also occur in tropical tree species

Description of crack/shake based on cause Illustration of cracks/shakes Fiber fractures: trees sway back and forth under alternating degrees of stress, pressing and pulling the wood fibers until they ultimately break. The resulting compression fracture is visible on the stem surface If tropical trees are exposed to bending, their usually large heightdiameter ratio leads to fiber fractures Compression fractures in a zwarte riemhout (Micropholis guyanensis). External view

Compression fracture in a spruce (Picea abies). Radial section Radial shake: normally one tree ring wide Spindle-shape crack running radially within a tree ring

Suction cracks: caused by suction tension brought on by spring transpiration and impeded water absorption due to aridity or ground frost (drought stress), especially in immature trees with wide tree rings and tree rings with low density (see also “pitch pockets”) Suction crack in spruce (Picea abies) (continued)

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Description of crack/shake based on form Ring shake within a confined section of a tree ring: Resin-filled cavities within the tree rings of species with resin canals (spruce (Picea abies), larch (Larix decidua), Douglas fir (Pseudotsuga menziesii), pines (Pinus ssp.) In tropical trees in addition to resins, cracks can be filled with gums, kinos, lattices

Description of crack/shake based on cause Illustration of cracks/shakes Pitch pockets/pitch shake: defect in the resin canal triggers a hydraulic effect, particularly in wide lumen early wood rings where the freed resin presses between two adjacent tree rings separating them from each other. This defect is attributed to increased suction tension (see also Suction crack). Why in some tropical species Spruce (Picea abies) with pitch pockets exudates flow between cracks and increment zones is not fully clear but likely linked the closure of internal injuries

Pitch pockets in a rode lokus (Hymenaea courbaril)

References Altenkirch W, Majunke C, Ohnesorge B (2002) Waldschutz auf ökologischer Grundlage. Ulmer, Stuttgart Bosshard HH (1984) Holzkunde, vol 2. Birkh€auser, Basel, Boston, Stuttgart Bues C-T, Stein A (1999) Erkennen und richtig handeln: Faserstauchungen und Faserbr€ uche im Holz von Fichten. AFZ-Der Wald 15:796–797 Burschel P, Huss J (1997) Grundriss des Waldbaus: Ein Leitfaden f€ ur Studium und Praxis. 2th rev ext edn. Parey, Berlin Comvalius LB (2010) Surinamese Timber Species, Characteristics and Utilization. 2th. edn. Celos, Paramaribo Delorme A (1974) Über das Auftreten von Faserstauchungen in Fichtenholz. Forstarchiv 45(7):121–128 DIN (2001) Sortierung von Holz nach der Tragf€ahigkeit. Teil 1: Nadelschnittholz, DIN 4074–1 Teil 3: Sortiermaschinen f€ ur Schnittholz, Anforderungen und Pr€ ufung, DIN 4074–3; Teil 4: Nachweis der Eignung zur maschinellen Schnittholzsortierung, DIN 4074–4. (Normenentwurf vom Mai 2001 als Ersatz f€ ur Ausgabe vom Sept. 1989). DIN Deutsches Institut f€ ur Normung eV, Berlin Durst J (1955) Taschenbuch der Fehler und Sch€aden des Holzes. Fachbuchverl. Leipzig EMPA (1990) Verdeckte mechanische Sch€aden bei Sturmholz? Int Holzmarkt 23:6 Georgi E (1965) Einige Bemerkungen zur Rindennekrose der Buche. Die sozialist. Forstwirtsch. 15(3): 80–87. Dt. Landwirtschaftsverl. Berlin Gottwald H (1983) Maserwuchs – eine pittoreske Laune der Natur. Holz aktuell 4, Danzer. Special printing Gr€uner J, Metzler B (2003) Nectria-Arten an Buchenrinde mit Phloemnekrosen. Poster. AlbertLudwigs-Universit€at Freiburg, Forstl. Versuchsanst. Baden-W€ urttemberg, Freiburg/Brsg

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Kehl H (2013) Vegetationsökologie tropischer & subtropischer Klimate/LV-TWK, vol 8. Technische Universit€at Berlin, Institut f€ ur Ökologie Kessel H (1990) Festigkeitssortierung von Fichtenkantholz aus Sturmbest€anden und Normalbest€anden mittels Ultraschall. Forschungsprojekt-Nr.: E90/28 Fachhochsch. Hildesheim. DGFH-Nachrichten 50:23–24 Kisser J, Steininger A (1952) Makroskopische und mikroskopische Struktur€anderungen bei der Biegebeanspruchung von Holz. Holz Roh- Werkst 10(11):414–421 Knigge W, Schulz H (1962) Die Holzeigenschaften schleimflussgesch€adigter Buchen. Allgem. Forstzeitschr. M€ unchen. Special printing 12-1962 Koch G (1999) Sekund€are Ver€anderungen im Holz dynamisch beanspruchter Fichten (Picea abies [L.] Karst.) aus immissionsbelasteten und windexponierten Hochlagenbest€anden. Bundesforschungsanstalt f€ ur Forst- und Holzwirtschaft Hamburg König E (1957) Fehler des Holzes. Holz-Zentralbl Verlags-GMBH, Stuttgart K€ ubler H (1959) Die Ursache von Wachstumsspannungen und die Spannungen quer zur Faserrichtung. Holz Roh- Werkst 1:1–9 Lange W (1998a) Exsudate von B€aumen – Erzeugnisse der forstlichen Nebennutzung (1). Die Gummen – eine Gruppe wasserlöslicher oder wasserquellbarer Exsudate. Holz-Zentralbl 22:334 Lange W (1998b) Exsudate von B€aumen – Erzeugnisse der forstlichen Nebennutzung (2). Die Kinos – eine Gruppe gerbstoffhaltiger Exsudate. Holz-Zentralbl 23:343 Lange W (1998c) Exsudate von B€aumen – Erzeugnisse der forstlichen Nebennutzung (3). Die Latices –Exsudate mit polyterpenoiden Coagula. Holz-Zentralbl 31:450 Lilienthal J (2004) Der tropische Wald als Lebensraum. Examensarbeit. www.GRIN.com Non Nomen (2009) Misteln deuten auf Schwermetalle hin. Holz-Zentralbl 3:46 Richter C (2010) Holzmerkmale. 3, extended edn. DRW-Verlag Weinbrenner, LeinfeldenEchterdingen Richter C (2015) Wood characteristics. Springer Cham Heidelberg, New York, Dordrecht, London Rosenthal M (2009) Entwicklung eines biologisch inspirierten, dreidimensional verformbaren Furniers aus Druckholz. Dissertation. Lehrstuhl f€ ur Holz- und Faserwerkstofftechnik, Technische Universit€at Dresden Schmelzer K (1977) Zier-, Forst- und Wildgehölze. In: Klinkowski M Pflanzliche Virologie 4:276–405 Stephan G (2012) Die Gewinnung des Harzes der Kiefer, 3th completely rev edn. Kessel, RemagenOberwinter Strasburger E, Noll F, Schenck H, Schimper AFW (1978) Lehrbuch der Botanik, 31st edn. Fischer, Stuttgart, New York Trendelenburg R (1940) Über Faserstauchungen in Holz und ihre Überwallung durch den Baum. Holz Roh- Werkst 3:209–221 Trendelenburg R (1941) Über innere Sch€aden (Faserstauchungen und abnorme Sprödigkeit) an ur Weltforstwirtsch 8:93–107 einheimischen und tropischen Hölzern. Z f€ Wagenf€ uhr R (2007) Holzatlas, 6th rev ext edn. Fachbuchverl. Leipzig im Carl Hanser, M€ unchen Wagenf€ uhr R, Scheiber C (1989) Holzatlas, 3rd edn. Fachbuchverl, Leipzig

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Financial Analysis of Community-Based Forest Enterprises with the Green Value Tool Shoana Humphriesa* and Thomas Holmesb a Earth Innovation Institute, San Francisco, CA, USA b USDA Forest Service, Research Triangle Park, NC, USA

Abstract The Green Value tool was developed in response to the need for simplified procedures that could be used in the field to conduct financial analysis for community-based forest enterprises (CFEs). Initially our efforts focused on a set of worksheets that could be used by both researchers and CFEs to monitor and analyze costs and income for one production period. The original worksheets were designed and tested for CFEs producing timber in Brazil. Since then, the worksheets have been further developed and incorporated into the Green Value tool, which includes a User’s Guide that leads users through a six-step financial analysis process and a facilitator’s guide for training workshops. In 2013, the tool was used to train 99 representatives of CFEs and organizations that support CFEs and to analyze a range of CFE products and production scales. The tool helps CFEs monitor and analyze costs by major productive activity as well as administrative activities, and the results provided include the subtotal cost per activity and per type of input (labor, materials, machinery), total cost, average cost per unit sold, net income, and rate of return. These results are useful in helping CFEs to understand their costs, to identify ways to reduce costs or improve efficiencies, to evaluate scenarios, to provide transparent financial reporting to communities and donors, and to potentially secure finance. In addition, the results help inform policy makers and others working to support CFEs on the financial challenges CFEs face as well as the financial benefits they provide local communities through wages and purchases of materials and services.

Keywords Community-based forest management; Community forestry; Community forest enterprise; Financial analysis; Cost-benefit analysis; Timber; Amazon; Brazil

Introduction The management and analysis of financial data can be difficult for any small enterprise but can be especially tough for community-based forest enterprises in developing countries. While these enterprises often learn quickly the technical aspects of forest management, many struggle in the process of becoming viable businesses. Specifically, few have the capacity or tools to monitor and manage their financial data, i.e., costs associated with production and income from sales, let alone to calculate total costs per activity, the depreciation value of machinery, net income, or rate of return. Similarly, rarely do the governmental or nongovernmental organizations that provide assistance to CFEs have this capacity or pertinent tools. Yet this information is critical to ensure the financial viability of these enterprises and the distribution of

*Email: [email protected] Page 1 of 15

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financial benefits to the communities involved, especially as community forestry becomes an increasingly important component of forest management around the globe. Some may be surprised to realize that communities in developing countries own or control approximately 31 % of forests (Rights and Resources Initiative 2012), and in some countries, the percentage of community ownership or control is quite high. For example, in Mexico, an estimated 60 to 70 % of forests are owned by ejidos (a form of community land ownership), and in Brazil, indigenous and traditional peoples have long-term use rights to approximately one-third of the Brazilian Amazon (Pereira et al. 2010). Many communities continue using these forest landscapes in traditional ways, combining small-scale slash and burn agriculture with the collection of forest products for subsistence and income. Increasingly, however, communities are demanding and being granted the rights and support to develop community-based forest enterprises (CFEs) for the commercial sale of forest products and/or services (Rights and Resources Initiative 2012). These enterprises may be comprised of individuals, family units, or community organizations that make a concerted effort to produce and/or sell forest products or services together. The products they produce vary greatly and may include timber and other types of forest products and services, such as Brazil nuts, natural rubber, carbon credits, etc. It has been estimated that in many countries up to 80 % or 90 % of forest-based enterprises are small and medium forest enterprises (Mayers 2006), many of which are assumed to be community-based forest enterprises (Rights and Resources Initiative 2012). The exact number of CFEs in each country varies and can be difficult to estimate, as not all governments keep or make available good data on the number of CFEs or the products they produce. An exception is Bolivia, for which government data indicate 149 communities have government-approved forest management plans for harvesting and selling timber products (ABT 2013), two-thirds of which are based in indigenous communities. In Mexico, there are 992 CFEs of different types that sell timber and non-timber forest products (Cubbage et al. 2013a). Community-based forest management for revenue generating purposes provides a very different economic paradigm from the traditional model of the firm as a private enterprise (Antinori 2005). While traditional microeconomic theory of the firm is built on a foundation of profit maximization for business owners (entrepreneurs), the goals of CFM are more likely to hinge on expanding the set of economic opportunities for community members, with a greater emphasis on job and income creation for families than on profits. However, despite a difference in the objectives associated with traditional versus community-based business enterprises, it has become apparent that fundamental concepts underlying the traditional analysis of financial and economic data, such as tabulation of costs and revenues, are equally useful for understanding the short-run and long-run financial viability of CFEs (e.g., Humphries et al. 2012). In particular, financial analyses of CFEs can be used to evaluate the current and potential future financial viability of a community forest enterprise, identify which activities are most costly or inefficient, and track changes in key variables over time. Some studies have evaluated the costs and financial benefits of CFEs. These studies have highlighted that CFEs can be financially viable (Medina and Pokorny 2008; Humphries et al. 2012), at least in the short run, and in some cases, they are able to earn substantial rates of return (Torres-Rojo et al. 2005; Medina and Pokorny 2008). However, one limitation of previous studies of CFE financial viability is that they frequently excluded costs that are subsidized, especially technical assistance and machinery costs (Pinho de Sa and de Assis Correa Silva 2004). Inconsistent methodologies within studies also make it difficult to compare study results. While it is too early to make broad generalizations about the financial viability of CFEs under alternative circumstances, there is evidence that economies of scale in production and cost-sharing among neighboring CFEs improve the likelihood of CFE financial viability (Humphries et al. 2012). These studies highlight the importance of applying standardized methods of financial and economic analysis so that research results can be compared across studies using tools such as metaanalysis. Page 2 of 15

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Objective Our goal was to develop a tool, which we have named Green Value, to allow CFEs and their partner organizations to manage and analyze CFE cost and income data, as well as to provide a methodology and tool to help researchers generate data and information about CFEs to inform forest policy decisionmaking and CFE support efforts. We found three other tools or resources for financial analysis that have been developed specifically for CFEs. One was developed for financial analysis of community forestry concessions in Guatemala (Gómez and Ramírez 1998), another was developed for financial and economic analysis of CFEs in Mexico and Latin America (Cubbage et al. 2013b), and the third is a handbook for several kinds of economic and financial analyses for “participatory forest management” developed for a broad set of users (Richards et al. 2003). We are also familiar with the Reduced-Impact Logging Simulator (RILSIM), which is designed for larger, industrial timber companies and involves a highly automated user interface (Blue Ox Forestry no date). What separates our Green Value tool from these other tools is that it focuses on financial analysis for one production period, strongly encourages the inclusion of all costs (even ones normally subsidized), includes a facilitator’s guide, and comes with illustrated step-by-step instructions with examples for how to use a series of preformatted spreadsheets to monitor and analyze financial data. It is also purposefully not highly automated so that users can double-check data and better understand and verify results. This chapter presents background information on the process of developing Green Value: a tool for simplified financial analysis of forest-based initiatives, an overview of the tool, the application of the tool to date, lessons learned, a case study on the use of the tool, and conclusions regarding how it could be used in the future both by CFEs and by others. We developed this tool with the input of many of the forestry professionals and staff working with CFEs in the Amazon basin from 2006 to the present.

Development of a Financial Analysis Tool In 2006, with the end of an extensive project (ProManejo) to fund pilot forest management projects for timber production in the Brazilian Amazon a few years away, there was interest on the part of researchers and government agencies in the future of the fledgling community-based forest enterprises (CFEs) that had been heavily supported. We identified two pilot projects interested in collaborating on CFE financial viability analysis. It was determined that the studies should include all of the costs and income for one harvest season, and costs that were subsidized for the enterprises would also be included in order to determine if the income generated through product sales would be sufficient to cover all of the CFEs’ operational costs. Subsidized items included machinery and equipment used in timber harvesting (e.g., chainsaws) and administrative activities (e.g., computers), technical staff support, infrastructure, training courses, and supplies (e.g., gasoline, office paper). The inclusion of all of these costs would enable the estimation and comparison of the true cost per unit of production (e.g., for a cubic meter of log) and price(s) received per unit.

Development Process We implemented a participatory research process in late 2007 and in early 2008 holding two 4-day workshops to train participants in financial analysis methods while also organizing and analyzing data with the staff of the two CFEs. The first day was dedicated to preparation of cost and income data for analysis and an introduction to basic financial concepts and the methodology to be used. The remaining time was spent compiling and entering the production and cost data by major productive activities, as well as compiling and entering all costs related to the administration of the CFE. These administrative costs Page 3 of 15

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Table 1 Six steps for financial analysis of forest-based initiatives Steps Step 1. Plan

Step 2. Collect data Step 3. Enter data Step 4. Compile data Step 5. Analyze data Step 6. Discuss results

Description Enter general information about the product, the producer, the period of time to be analyzed, the producer’s goals, the principal activities to be monitored, and the responsibilities for monitoring. Also note any assumptions used in the financial analysis Collect cost and income data and record it in written form using printed worksheets for each type of input (labor, materials and services, and machinery and equipment) Enter the collected data in digital form in worksheets using a computer Calculate and verify subtotals per type of input and per activity Present the costs per activity and per input type and calculate total income, net income, and rate of return. Illustrate results using graphs and charts Register the main points from the discussion of the results

Source: Green Value: a tool for simplified financial analysis of forest-based initiatives (Humphries and Holmes 2014)

included all of the infrastructure and services associated with administering the CFE, including technical staff salaries, vehicles, office rent, electricity, communications (i.e., telephone, Internet), etc. The CFE staff was usually a combination of local community members with advanced training and professional foresters or other technical staff brought in specifically to work on the CFE. The staff worked in small groups to enter and analyze the cost data by type of input (i.e., labor, materials and services, machinery and equipment). At the end of the workshop, all participants came together to review and discuss the overall results. These results were also combined with a collaborator’s recent study results into one paper and published in the journal Ecological Economics (see Humphries et al. 2012). In order to facilitate the use of the spreadsheets by CFEs and others, we developed a user’s guide to accompany the spreadsheets, as well as detailed instructions at the beginning of each spreadsheet. The guide and spreadsheets were validated at a training workshop in Brazil in late 2011 and then further revised based on feedback from participants. In addition, a facilitator’s guide is currently under development to assist users in training others in the Green Value tool.1

The Green Value Method and Tool

The Green Value method is comprised of six steps for completing the financial analysis of a forest-based initiative (Table 1). The steps take the user through the following process: development of a plan for monitoring and analyzing the production of a specific product during a specific period of time and for a specific producer (e.g., family, association, cooperative), the collection of the cost and income data in written form, the introduction of the data into preformatted worksheets using a computer, the compilation of the cost information into subtotals, the organization and analysis of all of the data into one summary worksheet and graphics, and discussion of the results (Table 1). The Green Value tool is comprised of a user’s guide, a series of preformatted worksheets, and a facilitator’s guide. There are one or more worksheets for each step. They are designed to help users both collect and record data in written form by hand and to enter the data in digital form using a computer. There are formulas to automatically calculate subtotals within worksheets and links to facilitate the copying of subtotals between worksheets, but most data entry is manual. The basis for monitoring the costs related to production of the product or service being analyzed (i.e., all activities that did not fit under “Administration”) is a list of the principal productive activities. These 1

This guide is being developed with the International Network for Bamboo and Rattan Latin America Office. Page 4 of 15

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are usually three to five main activities, each of which contains sub-activities; the number of main activities usually depends on the complexity of the operation. The costs for inputs (i.e., labor, materials, machinery) are organized and recorded by principal activity. The most complicated aspects of the six steps are related to machinery and equipment. First, machinery and equipment must be depreciated. We present a simplified method for calculating the annual depreciation cost of each item, which consists of dividing its value into equal parts based on its useful life in numbers of productive periods. This useful life, we suggest, should be based on the producers’ experience with each piece of machinery or equipment. For example, if a chainsaw costs $3,000 and usually lasts 3 years for a specific CFE, then the annual depreciation cost should be $1,000. Second, the annual depreciation cost for an item should be divided among the principal productive activities in which it is used. We suggest using the number of person days worked in each activity as the basis for calculating the relative proportion of the depreciation cost to assign to each activity. Continuing with the chainsaw example, let us assume the chainsaw is used in three activities as follows: activity A for 10 person days, activity B for 20 person days, and activity C for 20 person days. Therefore, the proportion of the depreciation cost ($1,000) assigned to each activity would be as follows: $200 for activity A, $400 for activity B, and $400 for activity C. The calculation is made as follows for activity A: annual depreciation cost x person days for activity A/total person days in which chainsaw was used for activities A, B, and C, which was $1,000  10 days/50 days = $200.

Potential Uses of Results The results can be used for many purposes by the CFEs and by others involved in discussions of and initiatives to support CFEs. For CFEs, the potential uses of the tool include (but are not limited to): 1. Clear picture of total costs per activity and type of input (labor, materials and services, machinery and equipment). Many CFE staff and family producers are surprised to see the total cost of production and the distribution of costs by activity and type of input. Often, for example, they had not thought of the value of the labor that goes into production or of the depreciation value for the machinery and equipment they use – it is common for machinery and equipment used by CFEs to have been subsidized completely or partially by donor funds. In addition, many CFEs do not include administrative costs in their own calculations and are surprised to see this activity category among the most expensive; it includes salaries for permanent/semipermanent workers and equipment that is utilized across many different activities (e.g., a truck, a computer). 2. Improved understanding of the cost per unit of production (e.g., the cost per cubic meter of standing timber or logs or per kilogram for Brazil nuts). This information is necessary to evaluate prices at which products should be sold and can be useful evidence in negotiating with buyers. 3. Improved transparency in financial analysis and reporting. This clear way of organizing, calculating, and displaying costs in spreadsheets and graphs is useful for communicating the financial aspects of the operation to community members. This can help avoid conflicts and misunderstandings, which are common when large sums of money are involved in collective activities. The clear organization of the data and results may also help CFEs obtain credit or funding from new sources and/or improve their reporting to current lenders or donors. 4. Financial planning. The results indicate how much capital the CFE needs to save each year to replace aging equipment. The tool can also be used to evaluate scenarios for decreasing costs (e.g., through increased efficiency) or increasing costs (e.g., through investments in additional machinery). Finally, the calculation of net income and rate of return help a CFE evaluate if it is meeting its financial goals.

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The results of CFE financial analysis are also of potential interest to CFE partners, donors, banks, politicians, and academics. The financial analysis results can be used as evidence of the financial viability of different types of models of CFEs, operating at different scales and producing different products. This information can help CFE partners, donors, and politicians improve strategies for supporting existing CFEs and replicating successful models. The results can also help identify the different types of benefits of CFEs, such as the number of jobs generated, amount of income that goes to wage laborers (ideally from the same community or region), and how much profit is generated for investment in community initiatives and/or distributed to families. Finally, academics can analyze the results of financial analysis of different CFEs and try to identify factors that affect the results (such as in the subchapter by Cubbage et al.) in order to explain differences (e.g., size of forest) and/or identify strategies that may improve results (e.g., monitoring, forest certification).

Application of the Green Value Tool to Date In August 2012,2 a capacity-building project in financial analysis based on the Green Value tool was launched in Bolivia, Brazil, Colombia, Ecuador, and Peru. The main goal of the project was to train trainers in the use of the tool in order to strengthen financial analysis capacity for CFEs and their partner organizations in the region. Ten trainers were chosen from civil society organizations that worked directly with CFEs in the provision of technical assistance. After an initial training of the trainers, the Green Value tool was utilized in six workshops to train CFE staff in Peru, Bolivia, and Brazil. The workshops spanned 3 days and involved training of 5–10 CFE staff and two to five staff of local civil society and government organizations. Two or three cases of CFE production were analyzed in each workshop, and usually one case of family-level production of a non-timber forest product was analyzed. The initiatives analyzed ranged from family-scale production of non-timber forest products, e.g., Brazil nuts, to larger timber operations managed by a cooperative. After each workshop, the handbook and worksheets were revised to provide more options for data collection and analysis and/or to make the worksheets more user-friendly. A total of 99 people received training, and 15 cases were analyzed. The financial viability results varied among the cases, from some small, family enterprises having negative net income when labor costs were included to larger operations receiving substantial return on investment (i.e., over 50 % rate of return). A case study was prepared for each case analyzed. The goals of preparing and distributing the case studies are to provide documentation of the studies to the CFEs analyzed, as well as to inform policy makers, academics, resource management professionals, and donors about the range of enterprise scales and products being managed, the financial contributions of CFEs to communities and families through wages and profits, and the challenges some CFEs face regarding expensive bureaucratic processes, financing, and obtaining fair prices. A second round of trainings will take place in late 2014 and 2015, with a focus on preparing trainers in Green Value. The Green Value tool and the case studies prepared for the initial workshops will also be made available on the Internet free of charge (see www.earthinnovation.org).

Discussion and Conclusions The Green Value tool is a useful innovation for helping forest-based initiatives analyze their financial information and to make strategic financial decisions. The main benefits that users have reported include 2

Funding was provided by the Office of International Programs of the USDA Forest Service and USAID. Page 6 of 15

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the following: it provides a way to tie all of an enterprise’s financial information together in one summary sheet; it clearly presents which activities are most expensive; it helps generate awareness of the value of annual depreciation of the enterprises’ machinery and equipment and therefore how much the enterprise needs to save each year to replace these items; and the results are transparent and more easily understandable than most legal, accountant-generated financial statements. At the same time, Green Value is a tool for decision-making and should not be considered a replacement for accounting systems. In fact, the results of financial analysis obtained through the use of the Green Value tool and a cash flow analysis for the same forest-based initiative will not be the same, for two main reasons: (1) costs that are subsidized are included as if the CFE were paying for them, and (2) the annual depreciation cost is a reflection of what should be saved to cover expenses when they occur and not a reflection of what has actually been spent each year to replace machinery or equipment. Most enterprises will need to work with an accountant to meet legal financial reporting requirements. Several limitations to the Green Value tool have also been identified. First, users must have a basic understanding of Excel, especially how to use the sum function and links between cells. It is easy for the formulas or links to fail if they are not carefully maintained throughout the data entry and analysis process, and this may lead to exclusion of some costs, double counting of others, or other mistakes. Second, it might take some effort to adjust the CFE’s accounting system data to be able to easily transfer data to the Green Value worksheets or vice versa. Third, administrative costs can be inflated, as the category is a catchall for expenses that are not easily divided among productive activities. Examples include technical staff that handle the day-to-day administration of CFEs, but who also dedicate much of their time to specific productive activities, and food for workers, which is difficult to monitor in terms of specific activities. However, users who would like to take the time to determine how to allocate the costs between activities are welcome to do so. As mentioned earlier, in addition to the potential benefits for CFEs, the results of financial analysis of CFEs should also be of interest to people outside of the forest-based initiatives and their partner organizations. Specific uses of the results suggested through discussion of results with the people trained with the tool and with others include: • Reflection by local and national governments on the true costs of compliance for forest-based initiatives with legal requirements (including technical assistance, fees, travel to government offices, etc.) • Consideration of price supports and/or other incentives for family and CFE-produced forest products in order to support sustainable and legal harvesting and forest-based employment, and to help make these initiatives financially viable • Justification by government and civil society organizations for providing low- or no-cost technical assistance to forest-based initiatives who want to sustainably and legally harvest and sell forest products but need assistance to do so • Consideration of financial analysis results by financial institutions in decisions regarding whether to provide access to credit to forest-based initiatives and perhaps create low-cost credit programs for them • Use of tool by government and civil society organizations and donors considering the development or replication of forest-based initiatives to develop projections for initial investments and annual cash flow needs. There are also some important considerations regarding the interpretation of financial analysis results. First, while the finding of a negative net income (or net losses) could be interpreted as indicating that the forest-based initiative is not a viable model and should be discontinued, this is not the intent. The intent of the tool is to help CFEs generate better information for decision-making in order to improve their financial viability CFE as necessary and to reflect on the context in which they operate. The tool may help identify Page 7 of 15

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aspects of the initiative that need to be changed; however, it may also help identify areas in which initiatives need more investment from the government or others, such as infrastructure for transporting products (e.g., poor roads can greatly increase costs of getting products to markets and/or reduce prices offered by buyers who receive the product in the community) and technical extension services (which can be among the most expensive administrative costs). Second, the forest-based initiatives that have positive results, and there were many in our cases to date, have typically benefitted from 5 or more years of financial and technical assistance. They have had the opportunity to refine their skills and learn about the business and markets in which they operate and to accumulate funds for operating capital. As the tool is applied with a greater diversity of initiatives, there will be more examples and lessons to draw from. In the future, we will continue to modify and improve the Green Value tool, to collaborate with users to distribute the results of the use of the tool, and to investigate how it could be useful to other types of producers and in other parts of the world. Follow-up with previously trained CFE staff and their partner organizations will indicate if and how they are using the tool, the modifications they have made and/or believe would be helpful, if the tool has been useful for continuous monitoring of financial costs and income, and if the use of the tool has been instrumental in any financial or management decisions. In addition, as the tool has been demonstrated to be useful to producers beyond the Brazilian timber CFEs for whom it was originally designed, we will continue to develop and test the tool with different collaborators and for different products and services as opportunities arise.

Case Study: Use of the Green Value Tool with the Mixed Cooperative of the Tapajós National Forest The Green Value tool has been used to conduct financial analysis of community forest enterprises in the Brazilian Amazon (Humphries et al. 2012). Here, we summarize findings from the Ambé CFE, an industrial-scale, upland forest (terra firme) logging operation in the Tapajós National Forest, located near the city of Santarém, Pará, Brazil, and implemented by the Mixed Cooperative of the Tapajós National Forest (Cooperativa Mista da Flona do Tapajós – Coomflona). The cooperative drew its members from 18 forest communities. The CFE initially received funding from a federal government sponsored program (ProManejo) providing support for sustainable forest management in the Amazon. The enterprise is now largely self-sustaining, though it still benefits from some subsidies from projects managed by nonprofit organizations, and has been certified by the Forest Stewardship Council. In late 2007, the Green Value tool were used to analyze data collected from the CFE’s reduced-impact logging operation in which 300 were harvested in the cooperative’s second timber harvest. Roughly 3,651 m3 of logs were removed at an intensity of 12.2 m3 per hectare (two to four trees per hectare). Forty temporary workers from local communities were employed in the operation along with seven permanent staff. Several participants had been previously trained in an International Tropical Timber Organization (ITTO) project in reduced-impact logging techniques. Workers received wages ranging from R$ 21 to R$ 30 per day. The overhead costs of the project were relatively high due to the expenses incurred by managing an office in Santarém and a field camp 83 km distant. Transport costs were also relatively expensive due to the costs associated with owning and operating two trucks used to carry staff and workers from the city to the field. Rather than purchase heavy logging equipment, the project hired the services of a local logging company for skidding and loading operations. Logs were sold to a local sawmill. Following the steps outlined in Green Value, labor, machinery, and material costs for the Ambé CFE were collected and organized by field activity as well as for office-related activities for the 2007–2008 production year and analyzed with the CFE staff during a 4-day workshop (Table 2). This categorization Page 8 of 15

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Table 2 Major productive activities for Ambé community forest enterprise Major productive activities Inventory and planning Harvest Skidding Product measurement & Loading Permanent plots

Name of Initiative:

STEPS (2, 3) ENTER: LABOR (TIME)

Coomflona

Instructions: Use this worksheet for the "Time" option to enter information about temporary workers for each major activity related to the product being analyzed (e.g., Inventory, Harvesting, etc.), as defined in Step 1. The data can first be collected in written form using printed (2,3) Enter: Labor (Time) worksheets (Step 2) and then entered into this worksheet using a computer (Step 3). The other option is to enter the data directly in this worksheet using a computer (Step 3). Use one table for each activity. First, enter the name of each major activity and the Supervisor for this activity at the beginning of a table provided below; tables may be added if necessary. The "Supervisor" is the person in charge of supervising the completion of the activity. Then enter information in the columns with an arrow (↓). To enter data for "Days Worked", in the columns for each day of the week (Monday to Sunday), enter if each person worked 1 complete day, a half day, or did not work. Continuing in the same line, in the column "Sum", the subtotal of days worked for each worker for the week will be automatically calculated. Next, for each worker, the subtotal of days worked from the column "Sum" should be entered again as follows: if the worker was the leader of the work group (or one of various work groups), enter the same subtotal of days worked in the column "Leader"; if the worker was not the leader of a work group, enter the subtotal of days worked in the column "Other". The columns without an arrow contain formulas that will automatically calculate values when data are entered using a computer. Reminders: Be sure to use a different table for each major activity. Be sure to also use a different row to record data for each worker that worked and for each week of work. Data should only be entered in this worksheet for temporary workers, not for permanent workers. Example data are provided in italics for two days of work below. * Subtotal of Wages: Subtotal of Days Worked x Daily Wage Activity: Inventory & Planning

Supervisor: Edivan

General Information First day of the week

Work location

Day Mo. Year ↓ ↓ ↓ 10 6 2011

↓

Name of Worker

↓ 1 Edivan S.

Position ↓ Compass operator / leader

Workers Days Worked (1 = one complete day, 0.5=half day, 0=did not work) M T W Th F Sat Sun ↓ ↓ ↓ ↓ ↓ ↓ ↓ 1.0 0.0 1.0 1.0 1.0 1.0 0.0

Subtotal of Days Worked Sum Leader Other ↓ ↓ 5.0 5.0

* Subtotal Daily of Wages Wage ($) ($) ↓ 30.0

150.0

10

6 2011

1 Paulo R.

Note taker

1.0 1.0 1.0 0.5 1.0 1.0 0.0

5.5

5.5

24.0

132.0

10

6 2007

1 Joao F.

Note taker 1

1.0 1.0 1.0 1.0 1.0 1.0 0.0

6.0

6.0

24.0

144.0

Note taker 2

10

6 2007

1 Elsa B.

10 …

6 2007 … …

1 Oswaldo D. Helper …………….. ………...……....

1.0 1.0 1.0 0.5 1.0 1.0 0.0

5.5

5.5

24.0

132.0

1.0 1.0 1.0 1.0 1.0 0.5 0.0

5.5 ..

5.5 …

24.0

132.0 …

Subtotals per activity Activity: Harvest

Work location

Day Mo. Year ↓ ↓ ↓ 28 6 2011

81.0

294.0

Data Entered On (Date)

↓ He left on Tues. to work on another activity

↓ Patricia Ruiz

↓ 11/06; 13/06, 16/06

He got sick on Thurs. in the afternoon.

Patricia Ruiz

11/06; 13/06, 16/06

$ 9,486.00

Supervisor: Floriano S.

General Information First day of the week

375.0

Data Entered By (Person)

Observations

↓

Name of Worker

↓ 1 Floriano S.

Position ↓ Chainsaw operator

Workers Days Worked (1 = one complete day, 0.5=half day, 0=did not work) M T W Th F Sat Sun ↓ ↓ ↓ ↓ ↓ ↓ ↓ 1.0 1.0 1.0 1.0 1.0 0.0 0.0

Subtotal of Days Worked Sum Leader Other ↓ ↓ 5.0 4.0

28

6 2011

1 Nilson R.

Assistant

1.0 1.0 1.0 1.0 1.0 0.0 0.0

5.0

28

6 2011

1 Tiago N.

Chainsaw operator

1.0 1.0 1.0 1.0 0.0 0.0 1.0

5.0

28 …

6 2011 .. .. ..

1 Elder O. …….

Assistant …….

1.0 1.0 1.0 1.0 0.0 0.0 1.0 .. .. .. .. .. .. ..

5.0 ..

Subtotals per activity 160.0

4.0 4.0 ..

4.0 ..

80.0

80.0

* Subtotal Daily of Wages Wage ($) ($) ↓ 30.0

Observations ↓

Data Entered By (Person)

Data Entered On (Date)

↓

↓ 28/06, 30/06, 02/07

150.0

Joao Sosa

24.0

120.0

Joao Sosa

28/06, 30/06, 02/07

30.0

150.0

Joao Sosa

28/06, 30/06, 02/07

120.0 ..

Joao Sosa

28/06, 30/06, 02/07

24.0 ..

$ 4,320.00

Fig. 1 Excerpt from the Green Value Labor worksheet for Ambé (Details have been changed to protect the CFE’s privacy)

of costs by activity helps the CFE understand which activities are most costly and how the revenues from product sales are distributed among labor and capital (machinery and materials) expenses. In addition, the inclusion of all costs, even those that had been subsidized in 2007 by the ProManejo project, helped estimate the true cost of log production. Figures 1, 2, 3, and 4 show excerpts of the Green Value worksheets with data for the Ambé project for two of the five main productive activities and for administrative activities. Please note the details of specific costs have been changed; however, the subtotal costs per input and per activity are accurate.. As can be seen in Figs. 5 and 6, fixed costs associated with the administration of the CFE were the most expensive cost category, accounting for more than 70 % of total costs. Further, office-related

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

STEPS (2,3) ENTER: MAT-SERVICES

Name of Initiative:

Coomflona

Instructions: Use this worksheet to enter data for Materials (e.g., aluminum tags, gasoline, oil) and Services (e.g., preparation of Annual Operating Plan, training) for each activity related to forest management (e.g., Inventory, Harvesting, etc.), as defined in Step 1. **Materials are items that last less than one year or harvest season.** The data can first be collected in written form using printed (2,3) Enter: Materials and Services worksheets (Step 2) and then entered into this worksheet using a computer (Step 3). Another possibility is to enter the data directly in this worksheet using a computer (Step 3). Use a different table for each major activity. First, enter the name of each major activity at the beginning of a table provided below; additional tables may be added if necessary. Then enter information in the columns with an arrow (↓). The columns without an arrow contain formulas that automatically calculate values when the data are entered using a computer. * Subtotal Cost = Quantity x Price / Unit Activity: Inventory & Planning

Supervisor: Edivan

Date Day Mo. ↓

↓

Cost Data Year

Item

↓

↓

12

6

2011 aluminum tags (.5 m)

12

6

12

6

12 1 ..

Unit

Quantity

Price / Unit ($)

↓

↓

↓

↓

↓

↓

13.00

13.00

Joao Sosa

12.06.2011

2011 erasers

individual

3

0.30

0.90

Joao Sosa

12.06.2011

2011 pencils

individual

3

0.50

1.50

Joao Sosa

12.06.2011

6

2011 nails

kilogram

20

6.00

120.00

Joao Sosa

12.06.2011

7

2011 fuel

liter

600

1.90

1,140.00

Joao Sosa

13.08.2011

….

…

….

….

…….

…..

….

….

Subtotal per activity

Day Mo. ↓

$

3,150.00

Supervisor: Floriano

Date

Cost Data Year

Item

Unit

Quantity

Price / Unit ($)

↓

↓

↓

↓

↓

16

9

2011 Chainsaw chain 066 Individual

16

9

2011 Fuel

….

4

* Subtotal Cost ($)

↓

↓ 18.09.2011

Joao Sosa

18.09.2011

229

2.70

618.30

50.00

50.00

Wax pencil

Individual

107

2.00

214.00

Knife for chain

Individual

4

8.00

….

↓ Joao Sosa

1.00

…..

Data entered by Data entered on (Name) (Date)

252.00

Liter

…….

Observations

63.00

Individual

Filter

..

Data entered by Data entered on (Name) (Date)

1

Activity: Harvest / Tree Felling

..

Observations

box

..

↓

* Subtotal Cost ($)

32.00

….

Subtotal per activity

…. $

…

….

2,087.00

Fig. 2 Excerpt from the Green Value Materials and Services worksheet for Ambé (Details have been changed to protect the CFE’s privacy)

administrative activities accounted for nearly 90 % of the total labor costs. The use of heavy equipment also incurred major expenses, especially rents paid for road construction (a component of the inventory and planning expenditures) and tree removal (skidding). Given estimates of total cost, it is simple to compute the average total cost of producing logs by dividing total cost by the volume produced: ATC = R$569,102/3,651 m3 = R$155.88 m

3

The average total cost of producing logs is a useful metric because it can be compared with the average total revenue obtained from selling logs. This comparison is helpful for understanding potential inefficiencies when the CFE is producing various classes of products for sale, each with a different market value, where the cost of producing outputs does not vary across the classes of products sold. To see this, we report the average (per unit) revenue associated with each product class sold, as well as the number of units sold and total revenue (Table 3). The most common products produced were class 2 logs (1,747 m3), receiving R$180 m 3 and accounting for nearly half of the total revenue. The production of class 1 logs was very lucrative, receiving R$280 m 3, accounting for roughly 20 % of the total volume produced while receiving nearly one-third of the total revenue. As is readily observable, the (average) revenue received per unit of class 1 and 2 logs exceeded the average cost (R$155.88 m 3) of producing those logs. However, the average cost of producing class 3 logs exceeded the average revenue received (R$100 m 3), thereby inducing a loss for each unit produced. Although there are often good

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

STEPS (2,3) ENTER: MACH-EQUIP PH. 3

Name of Initiative:

Coomflona

Instructions: Carefully follow these instructions. Use this worksheet for the third phase of monitoring costs for Machinery and Equipment, at the end of the period of analysis for data collected through either the "Simple" or "Complex" options in phases 1 and 2. Data on items purchased will now be transferred to this worksheet from the (2,3) Enter: Mach-Equip Ph. 2 worksheet, and organized and analyzed by activity; there should be one table per activity. Enter information in the columns with an arrow (↓). The columns without an arrow contain formulas that will automatically calculate values. The main steps are: (1) First, enter the name of each major activity at the beginning of a table provided below; additional tables may be added if necessary. (2) In each table, enter in the first column all of the items of Machinery and Equipment used in the corresponding activity; verify the items by reviewing the column that corresponds with each activity in the (2,3) Enter: Mach-Equip Ph. 2 worksheet used. (3) Next, for each item, enter the "Depreciation Cost" from the (2,3) Enter: Mach-Equip Ph. 2 worksheet used. (4) Then, for the same item, enter the "Subtotal of Days Worked for each Activity" for the corresponding activity from the (2,3) Enter: Mach-Equip Ph. 2 worksheet used. (5) Finally, enter the "Total Days Worked per Item", from the (2,3) Enter: Mach-Equip Ph. 2 worksheet used; this is the total number of days worked for all of the activities in which this item was used. The columns without an arrow contain formulas that automatically calculate values when data are entered with a computer. * Cost of the Item per Activity = Depreciation Cost x Subtotal of Days Worked for Each Activity / Total Days Worked per Item Activity:

Inventory

Machinery / Equipment ↓ Compass GPS Tape 30 meters Tape 50 meters Toyota truck …. Activity:

Depreciation Cost ($) ↓ 130.00 344.00 42.50 34.50 5,250.00 ….

Supervisor: Edivan Subtotal of Days Worked Total Days * Cost of the Observations Item per Worked per for Each Activity ($) Item Activity ↓ ↓ ↓ 81.0 81.0 130.00 81.0 81.0 344.00 81.0 168.8 20.40 81.0 137.3 20.36 81.0 279.3 1,523.00 …. … … Subtotal per activity 34,864.00

Data Introduced by (Name)

Data Introduced on (Date)

↓ Joao Sosa Joao Sosa Joao Sosa Joao Sosa Joao Sosa

↓ 04.11.2008 04.11.2008 04.11.2008 04.11.2008 04.11.2008

Data Introduced by (Name)

Data Introduced on (Date)

↓ Joao Sosa Joao Sosa Joao Sosa Joao Sosa Joao Sosa

↓ 04.11.2008 04.11.2008 04.11.2008 04.11.2008 04.11.2008

Harvest / Tree Felling Supervisor: Floriano

Machinery / Equipment

Depreciation Cost ($)

↓ Chainsaw Chainsaw operator pants Wedge Mallet Viser for helmet ….

↓ 4,000.00 90.00 44.00 22.00 17.00 ….

Subtotal of Days Worked Total Days * Cost of the Observations Item per Worked per for Each Activity ($) Item Activity ↓ ↓ 80.0 125.0 80.0 125.0 80.0 80.0 80.0 80.0 80.0 80.0 …. … Subtotal per activity

↓ 2,560.00 57.60 44.00 22.00 17.00 … 4,211.00

Fig. 3 Excerpt from the Green Value Machinery and Equipment worksheet for Ambé (Details have been changed to protect the CFE’s privacy)

silvicultural and/or commercial reasons for harvesting low-value species, it is important for the CFE to recognize that profits are being lost for each class 3 log produced. In addition to average cost and revenue, estimates of total cost and revenue are useful for evaluating the overall profitability of a CFE. Total revenue from the Ambé CFE is simply computed by multiplying the price received per unit times the quantity in each quality class and then summing across the quality classes: TR = (R$280 735) + (R$180 1747) + (R$100 1169) = R$637,175 Subtracting total cost ($569,102) from total revenue, the net revenue (or profit) from the 2008 timber harvest was $68,073 (Fig. 5). Similar to the computation of average total cost, average total revenue across all value classes can be computed by dividing total revenue by the volume produced: ATR = R$637,175/3,651 m3 = R$174.52/m3 The average net revenue (profit) is then computed by subtracting the average total cost from the average total revenue: ANR = R$174.52/m3

R$158.88/ m3 = R$15.64/m3

Page 11 of 15

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015 STEP (3) ENTER: ADMIN

Name of Initiative :

Coomflona

Instructions: Use this worksheet to enter data for Administrative costs, including Labor, Machinery and Equipment, and Materials and Services related to Administration. This data can first be collected in written form using printed (2,3) Enter : Admin worksheets, (Step 2), and then entered directly into this worksheet using a computer (Step 3). Another possibility is to enter the information directly into this worksheet with a computer (Step 3). Enter information in the columns with an arrow (↓). The columns without an arrow contain formulas that automatically calculate values when data are entered with a computer. * Total Monthly Compensation = Monthly Salary + Montly Benefits ** Total Annual Labor Cost = Total Monthly Compensation x Number of Months of Work Labor - Salaries

Position / Title

Monthly Salary ($)

↓ Forestry Engineer Administrator Cook …..

↓ 2,000.00 2,000.00 600.00 …

Date Day Mo. Year Name ↓ .

↓ ..

↓ ….

↓ Joanna Maria Jorge …..

Monthly Benefits ($)

* Subtotal Number of Monthly Months of Compensation ($) Work

↓ 400.00 400.00 120.00 …

↓ 2,400.00 2,400.00 720.00 …

Data entered on (Date)

** Subtotal Data Annual Observations entered by Labor Cost ($) (Name) ↓

12 12 6 … Subtotal Cost $

28,800.00 28,800.00 4,320.00 … 169,770.00

↓ Joao Sosa Joao Sosa Joao Sosa …

↓ 04.01.2008 04.01.2008 04.01.2008 …

* Subtotal Cost = Quantity x Price / Unit Materials and Services (e.g., diesel, oil, rent, electricity, telephone, water, internet, insurance, vehicle maintenance, training) Date Day Mo. Year ↓ 1 2 3 3 .

↓ 8 8 8 8 ..

↓ 2011 2011 2011 2011 ….

Item

Unit

Quantity

Price / Unit ($)

↓

↓

Utilities Vehicle maintenance (total) Training Office supplies …..

↓ per month per year per event per month …

1 1 1 1 …

* Subtotal Cost ($)

300.00 1,250.00 5,000.00 400.00 … Subtotal Cost $

300.00 1,250.00 5,000.00 400.00 … 16,190.00

Observations

Data entered by (Name)

↓ varies by month

Data entered on (Date)

↓ Joao Sosa Joao Sosa Joao Sosa Joao Sosa

varies by month …

↓ 01.08.2008 02.08.2008 03.08.2008 03.08.2008 …

* Total Cost = Quantity x Price / Unit ** Depreciation Cost = Total Cost / Useful Life Machinery and Equipment Date

Item ↓ Computer, printer, 1 6 2007 programs 1 6 2007 Flatbed Truck 1 6 2007 Air conditioner . .. …. …..

Day Mo. Year ↓ ↓ ↓

Price / Unit ($) Quantity ↓ ↓

Unit ↓ Packaged computers 4 Individual 1 Individual 1 ….. …

3,500.00 97,400.00 430.00 …

* Total Cost ($)

Useful Life (in # of years or Data Data productive entered by entered on ** Depreciation periods) (Name) (Date) Cost ($) Observations ↓ ↓ ↓ ↓

14,000.00 97,400.00 430.00 … …

3 3 4

Subtotal Depreciated Cost $

4,666.67 32,466.67 107.50 …

Joao Sosa Joao Sosa Joao Sosa …

04.08.2008 04.08.2008 04.08.2008 …

185,425.00

Fig. 4 Excerpt from the Green Value Administrative costs worksheet for Ambé (Details have been changed to protect the CFE’s privacy)

That is, for every cubic meter of logs produced, an average net revenue of R$15.64 was received. Thus, although we saw that class 3 logs reduced net revenues, the profitability of producing class 1 and class 2 logs more than compensated for the losses incurred in producing class 3 logs. Just as average net revenue can be computed for the entire logging operation, average net revenue can also be computed for each class of products. As would be expected, the ANR for the highest value class is large (R$280 – R$159 = R$121/m3). Although the ANR for the medium value class is positive (R$180 – R$159 = R$21/m3), the profit per unit produced is much smaller. As anticipated from the discussion above, the ANR received from class 3 logs (R$100/m3) was less than the cost of producing them (R$159/m3). However, it is important to recognize that the production of class 3 logs provided income to community members for the hours that they worked producing those logs. Of course, the labor income was subsidized by the positive ANR obtained from medium and high value class logs. Overall, the income from the sale of logs was found to be greater than the cost of production. This was based on a critical assumption that workers were paid on a daily basis for work performed, and not on a monthly basis, as the CFE was considering this change. In addition, the CFE had valuable baseline information for analyzing other scenarios, such as comparing net income based on purchasing versus renting a skidder (machinery used to transport logs from the forest to a central loading location) or the production of dimensional lumber with a sawmill versus logs. It also had important information regarding

Page 12 of 15

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015 STEP (5) ANALYZE: SUMMARY Instructions: Use this worksheet at the end of the period of analysis to summarize the total costs, organized by type and by activity, and total income related to the product or service being analyzed. First, enter information about the producer in the tables "Information about the Producer" and "Basic Operational Information". Then enter the major productive activities in the first column in the table "Cost by Activity and Cost Type"; the Administrative costs are always included after the list of major productive activities. Rows can be added to the table as necessary. There are links between this worksheet and each of the (4) Compile worksheets for cost data as well as the (2,3) Enter: Sales worksheet for income data. The rest of the columns do not have an arrow because they contain either data copied over with links from other worksheets or formulas that automatically calculate values. Information about the Producer

Basic Operational Information

↓

↓

Coomflona

Name of Initiative

Monetary Unit

Logs

Product or Service Analyzed

Harvest 2007-8

Period of Analysis

R$

Area of Production (ha)

300

Unit of Sale

m3

Quantity sold

3,651

Average Quantity Sold/Area

12.17

Costs by Activity and Input Type

Activity

Labor

Materials and Services

Machinery and Equipment

Subtotal Cost ($)

Percent

Average Cost per unit ($)

↓ Inventory & Planning

9 486

3 150

34 864

47,500

8%

Harvest

4 320

2 087

4 211

10,618

2%

3

Skidding

3 666

16 325

64 109

84,100

15%

23

Product measurement & loading

6 450

838

843

8,131

1%

2

Permanent plots

1 890

0

421

2,311

0%

1

Administration

169 770

185 425

61 247

416,442

73%

114

Subtotal Cost

195,582

207,825

165,695

569,102

34%

37%

29%

Percent

13

156

Revenue, Net Revenue, and Rate of Return Total Revenue

$637 175

Total Costs

$569 102 $68 073

Net Revenue (Profit)

12%

Rate of Return

Fig. 5 Green Value Summary worksheet for Ambé

STEP (5) ANALYZE: GRAPHS

Name of Initiative :

Coomflona

Instructions: Use this worksheet to present your results. Enter information in the columns with an arrow (↓). Two tables present the results of the financial analysis and are the basis for the graphs provided below: Figures 1-6. First, in the table "Total Cost by Activity", enter in the column "Activity" the list of major activities and "Administration", and then enter in the column "Cost Subtotal" the costs by activity. Next, in the table "Total Cost by Type", enter the cost subtotals by input type (Labor, Materials and Services, Machinery and Equipment). The data for the tables can be either entered manually from the (5) Analyze: Summary worksheet, or, if a computer is used to enter the data, the links that exist between this worksheet and the (5)Analyze: Summary worksheet can be used. Figures 1-6 are automatically generated based on the data in the two tables. Figures 1-4 present the costs by activity, and Figures 4 and 5 present the costs by type of input. The graphs may be adjusted and new graphs may be added as necessary. The columns without an arrow contain formulas that automatically calculate values if data are entered with a computer.

Permanent plots Administration Total Cost

2,311 0% 416,442 73% $ 569,102.00 100.00%

Figure 1. Total Cost by Activity

Cost in $

Total Cost by Activity (Data for Figures 1 - 4) Activity Cost Subtotal Cost ↓ ↓ Inventory & Planning 47,500 8% Harvest 10,618 2% Skidding 84,100 15% Product measurement & loading 8,131 1%

450,000 400,000 350,000 300,000 250,000 200,000 150,000 100,000 50,000 -

100% 80% 60% 50% 30% g

Pla

st

ing ading lots tion idd nt p nistra Sk & lo in ane ent rm Adm Pe rem asu

rve

Ha

e

tm

duc

Type of Cost

Skidding Harvest

20% 10%

Inventory & Planning

0%

Pro

Labor Materials and Services Machinery and Equipment Total Cost $

Product measurement & loading

40%

In

Cost Subtotal % of Total Cost ↓ 195,582.00 34% 207,825.00 37%

Permanent plots

70%

to ven

Cost by Input Type (The data for Figures 5 and 6)

Administration

90%

nnin

ry &

Figure 4. Proportion of Total Cost by Activity

Figure 5. Proportion of Total Cost by Input Type

Figure 6. Proportion of Total Cost by Input Type 100% 80%

Labor

29%

34%

60% Materials and Services

165,695.00 29% 569,102.00 100.00%

Machinery and Equipment

37%

Machinery and Equipment Materials and Services

40%

Labor

20% 0%

Fig. 6 Green Value Graphics worksheet for Ambé Page 13 of 15

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Table 3 Annual total revenue for Ambé community forest enterprise (R$, 2008, rounded values) Product Class 1 log Class 2 log Class 3 log Total

Price m 280 180 100 –

3

Volume (m3) 735 1,747 1,169 3,651

Revenue 205,872 314,429 116,874 637,175

the social benefits of the CFE, including that all of its labor costs for field activities and a good part of its administrative labor costs represented in fact income for local community members.

References ABT (2013) La Autoridad de Fiscalización y Control Social de Bosques y Tierras. 2013. List of annual forest operating plans approved for community associations in Bolivia, Santa Cruz Antinori C, Bray DB (2004) Community forest enterprises as entrepreneurial firms: Economic and institutional perspectives from Mexico. World Dev 33:1529–1543 Blue Ox Forestry (no date) Reduced-impact logging simulator (RILSIM). Blue Ox Forestry. http://www. blueoxforestry.com/rilsim/default.aspx. Accessed 1 Apr 2014 Cubbage F, Davis R, Rodriguez Parades D, Frey G, Millenhaeuer R, Kraus Elsin Y, González Hernandez IA, Albarrán Hurtado H, Salazar Cruz AM, Nacibe Chemor Salas D (2013a) Competitividad y Acceso a Mercados de Empresas Forestales Comunitarias en México. PROFOR & the World Bank, Latin America and the Caribbean Region. http://www.profor.info/knowledge/community-forestryenterprise-competitiveness-and-access-markets-mexico. Accessed 17 Apr 2014 Cubbage F, Davis R, Frey G, Chandrasekharan Behr D (2013b) Financial and economic evaluation guidelines for community forestry projects in Latin America. Program on Forests (PROFOR). http:// www.profor.info/knowledge/community-forestry-enterprise-competitiveness-and-access-markets-mexico. Accessed 1 Apr 2014 Gómez M, Ramírez O (1998) Metodología para el análisis financiero de concesiones forestales en la Reserva de la Biósfera Maya, Guatemala. Centro Agronómico Tropical de Investigación y Enseñanza (CATIE), Turrialba Humphries S, Holmes TP (2014) Green value: a tool for simplified financial analysis of forest-based initiatives. Earth Innovation Institute and USDA Forest Service, San Francisco Humphries S, Holmes T, Kainer K, Koury CGG, Cruz E, Roches RM (2012) Are community-based forest enterprises in the tropics financially viable? Case studies from the Brazilian Amazon. Ecol Econ 77:62–73 Mayers J (2006) Small and medium-sized forestry enterprises. ITTO Tropical Forest Update. ITTO, Yokohama, p 2 Medina G, Pokorny B (2008) Avaliação financeira de sistemas de manejo florestal por produtores familiares apoiadas pelo ProManejo. IBAMA, Brasilia Pereira D, Santos D, Vedoveto M, Guimarães J, Veríssimo A (2010) Fatos Florestais da Amazônia. IMAZON, Belém, Para, p 124

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_220-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Pinho de Sa C, de Assis Correa Silva F (2004) Aspectos Financeiros e Gerenciais do Manejo Florestal para Produção de Madeira Certificada em Áreas de Reserva Legal em Pequenas Propiedades, no Acre. Comunicado Técnico 161. Embrapa, Rio Branco, Acre, p 4 Richards M, Davies J, Yaron G (2003) Stakeholder incentives in participatory forest management: a manual for economic analysis. ITDG Publishing, London Rights and Resources Initiative (2012) What rights? A comparative analysis of developing countries’ national legislation on community and indigenous peoples’ forest tenure rights. Rights and Resources Initiative, Washington, DC, p 72 Torres-Rojo JM, Guevara-Sanginés A, Bray DB (2005) The managerial economics of sustainable community forestry in Mexico: a case study of El Balcón, Técpan, Guerrero. In: Bray DB, MerinoPérez L, Barry D (eds) The community forests of Mexico: managing for sustainable landscapes. University of Texas Press, Austin, pp 273–301

Page 15 of 15

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_221-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

Bioeconomic Approaches to Sustainable Management of Natural Tropical Forests Thomas Holmesa* and Erin Sillsb a USDA Forest Service, Southern Research Station, Research Triangle Park, NC, USA b Department of Forestry & Environmental Resources, North Carolina State University, Raleigh, NC, USA

Abstract Bioeconomic models are idealized representations of human-nature interactions used to describe how the decisions that people make regarding the harvest of biological resources affect the future condition of resource stocks and the flow of net economic benefits. This modeling approach posits an assumed goal or objective that a decision-maker seeks to optimize subject to a set of biological constraints. The power of this method derives from its ability to evaluate a wide array of alternative policy or management innovations over timescales that are radically longer than the timescales considered in many other approaches to economic analysis. In this chapter, we review techniques and applications of two complementary classes of bioeconomic models that have been used to analyze alternative strategies for sustainable use of tropical forests. First, continuous-time bioeconomic models have been used to derive dynamic policy prescriptions for optimally balancing tropical timber production and tropical forest conservation over very long time scales. Second, discrete-time bioeconomic models have been used to evaluate alternative on-the-ground timber harvesting strategies. Emerging threats associated with climate change could be addressed with bioeconomic models that consider the resilience of tropical forests to potentially catastrophic changes.

Keywords Ecosystem service benefits; Optimal control; Non-market values; Social welfare; Time preference; Tropical forest conservation

Introduction Sustainable management of tropical forests for timber, non-timber forest products, and other ecosystem services emerged as a global concern facing many of the world’s developing countries during the past quarter century (Buschbacher 1990; Rice et al. 1997; Chazdon 1998; Bawa and Seidler 1998; Laurance 1999). One reason for the concern is the expansive footprint of tropical timber harvesting. In ITTO countries, for example, more than one-half of tropical forest area in permanent forest estate is designated as production forest (Blaser et al. 2011), and only about 4 % of that area is thought to be sustainably managed. Other evidence indicates that, between 2000 and 2005, at least 20 % of the tropical forest biome was undergoing some level of timber harvesting (Asner et al. 2009). There is an active debate about the degree to which tropical forests should be managed for a dominant use, e.g., parks in some locations and

*Email: [email protected] Page 1 of 20

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_221-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

intensive timber production in other locations, versus multiple uses (Rice et al. 1997; Pearce et al. 2003; Putz 2004). Exploitative, non-sustainable logging practices result from underlying economic and ecological conditions that lead to enormous profitability of initial harvests in primary forests, collateral forest damage caused by careless and destructive logging techniques, and slow biological growth of residual forest stands (e.g., Fisher et al. 2011; Johns et al. 1996; Macpherson et al. 2012; Pinard and Putz 1996; Rice et al. 1997). Although a recent meta-analysis of more than 100 scientific publications revealed that selectively logged forests retain 85–100 % of plant and animal species after harvest, timber yields available for subsequent harvests decrease by nearly 50 % after the first harvest (Putz et al. 2012). Selective logging also reduces carbon storage in biomass and soils (Foley et al. 2007; Putz and Pinard 1993; Pinard et al. 2000), and careless logging practices, combined with continued deforestation and anticipated changes in climate, may lead to tipping points resulting in dramatic changes in tropical forest structure and function during the twenty-first century (e.g., Barlow and Peres 2008; Malhi et al. 2009; Nobre and Borma 2009). Recognizing the need to develop better regulations and management strategies to promote the sustainable use of tropical forests, economists have developed analytical models to help decision-makers evaluate the streams of future forest benefits resulting from alternative harvest regimes. Models that optimize public or private economic objectives (e.g., social welfare or profit maximization) subject to constraints describing dynamic biological processes (e.g., forest growth or land use change) are generally referred to as bioeconomic models. In general terms, these models are idealized representations of humannature interactions that describe how the decisions that people make today regarding the consumption of biological resources (e.g., timber) affect the future condition of resource stocks (e.g., timber, carbon, biodiversity) and the flow of net economic benefits. The power of bioeconomic modeling derives from its ability to evaluate a broad set of potential management or policy innovations over very long time scales.1 Although significant policy insights have been gained through empirical bioeconomic analysis, these models have generally not been implemented by on-the-ground management systems. To help develop intuition regarding the strengths and limitations of the bioeconomic modeling framework for management of tropical forests, we present a brief primer on the key characteristics of two complementary approaches. Continuous-time (C-T) bioeconomic models have been used to derive time-varying policies for optimally balancing tropical timber production and forest conservation. In contrast, discrete-time (D-T) bioeconomic models have been used to evaluate alternative on-the-ground timber harvesting strategies. In section “Continuous-Time Bioeconomic Models of Tropical Forests,” we describe how to construct a continuous-time optimal control model and derive the necessary conditions for maximizing social welfare derived from tropical forests over the very long run when both timber and non-timber forest outputs count. We also review specific tropical forestry applications using this modeling framework and provide an example in the Appendix. This is followed (in section “Discrete-Time Bioeconomic Models of Tropical Forests”) by a description of how to construct a discrete-time optimization model subject to constraints on tropical forest growth using matrix population models. We subsequently review literature that uses discrete-time analysis to characterize optimal management of tropical forests. In section “Conclusions and Emerging Research Directions,” we present our conclusions

1

Bioeconomic models for uneven-aged management of tropical forests are fundamentally different from the standard Faustmann model for determining the optimal rotation age of even-aged stands. This is because bioeconomic models optimize the entire path to a stationary solution, and each stage along the optimal path is characterized by a set of dynamic first-order (necessary) conditions. In contrast, the Faustmann model is characterized by a static first-order condition that prescribes optimal harvest timing. Page 2 of 20

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_221-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

and a list of ideas on how bioeconomic models may be adapted to improve the analysis of emerging issues in tropical forest sustainability.

Continuous-Time Bioeconomic Models of Tropical Forests C-T bioeconomic models of tropical forest use and conservation have been reported in the literature for nearly a quarter century. This approach to analyzing optimal intertemporal use and conservation of renewable resources was initially articulated by Clark (1976) using an advanced mathematical framework known as optimal control theory.2 To demonstrate the underlying logic of this approach, we describe the steps used to construct and interpret a model from the perspective of a social planner who cares about both timber and nonmarket ecosystem services produced by tropical forests.

Specify the Objective Function and Constraints The construction of a bioeconomic (optimal control) model for tropical forest applications begins by specifying the objective function to be optimized along with a set of biological constraints. The objective function depends on the specific issue under investigation. Here we consider a social welfare function that recognizes the importance of both commodity production and the provision of nonmarket ecosystem services from tropical forests. The specification of the constraint set likewise depends upon the issue under investigation. In the example we develop here, the constraint is the biological growth of tropical forests. The objective function for C-T dynamic optimization models is commonly the sum of a flow of (net) benefits from the present to the infinite future so that the behavior of the system over a very long time span can be considered. This time frame is appropriate for studying tropical forests because benefits such as biodiversity conservation or carbon sequestration will likely remain of critical importance to many generations in the future. However, a pragmatic issue stemming from the summation of (positive) net benefits over an infinite time span is that the simple summation of those net benefits will likewise be infinite. By convention, most economists have avoided this problem by ascribing a lower value to benefits occurring in the future through a constant exponential discount rate (d). However, a constant discount rate has the effect of trivializing potentially enormous economic impacts that could occur in the next one or two centuries, such as the effects of climate change on tropical forest structure and function. An alternative is to allow the discount rate to be a decreasing function of time, d(t), and to approach zero as time approaches infinity. This approach is consistent with a growing body of empirical evidence (e.g., Harvey 1994; Heal 2005). As discussed below, the use of a declining discount rate gives greater weight to future generations and therefore is often considered to improve intergenerational equity. The conventional “utilitarian” social welfare maximization problem can be written: 1 ð

maxW ¼

½ct ðht Þ þ bt ðxt Þedt dt

(1)

0

where social welfare (W ) is maximized from the present time (t = 0) to the infinite future (t = 1). The in situ tropical forest stock (xt) is the “state” variable, which could be disaggregated by timber species groups 2

A more recent treatment of this topic is found in Heal (2005) who also provides an excellent review of alternative approaches to studying intertemporal welfare economics. Page 3 of 20

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_221-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

h=0 Timber harvest (h)

+ – Utilitarian solution MSY Green Golden Rule

x=0

– +

– +

–

+ K In situ forest stocks (x)

Fig. 1 C-T bioeconomic model of tropical forest harvesting and conservation showing the long-run equilibrium values associated with a utilitarian solution and the Green Golden Rule. Curved arrows depict the dynamics of the system away from equilibrium

(Montgomery and Adams 1995; Kant and Shahi 2013). Consumption value (ct) is a function of the “control” variable ht, which is harvest of the in situ stock. Ecosystem service benefits (bt) are derived from the in situ forest stock. Social welfare is discounted at a constant rate d (d > 0). To simplify notation, we will henceforth drop the time (t) subscript. Social welfare is maximized subject to a biological constraint describing tropical forest growth. In the C-T bioeconomics literature, it has been common to specify a logistic growth function, although other functional forms could be used (e.g., Clark 1976, pp. 16–17). If G(x) is logistic, then forest stocks are limited by the ecosystem carrying capacity (K) and the maximum sustained yield (MSY) equals K/2 (Fig. 1). Because tropical forest growth conditions may change over time, due to factors such as climate change and the cumulative impact of forest harvesting, the underlying arguments of the biological growth function (such as K and MSY) may likewise change. However, we do not explicitly consider that level of complexity here. Rather, we simply require that G(0) = 0 and G(K) = 0 and represent the change in forest stock over time (ẋ) as a general function consisting of two arguments: x_ ¼ GðxÞ  h

(2)

where G(x) is the natural growth of the aggregate stock x, h is defined as above, and the dot notation refers to the derivative of that variable with respect to time.

Use the Maximum Principle to Find the First-Order Necessary Conditions The key result needed to develop an optimal control (bioeconomic) model is the maximum principle associated with the Russian mathematician L. S. Pontryagin (e.g., Chiang 1992). The maximum principle relies upon the specification of the Hamiltonian (H ) function which is used to find the first-order necessary conditions. The H function is composed of the integrand of the objective function, the constraint, and a new variable, l, which is known as the costate variable (or shadow price for in situ forest stocks): H ¼ edt ½cðhÞ þ bðxÞ þ ledt ðGðxÞ  hÞ

(3)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_221-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

The first-order conditions for this problem are obtained by taking the derivative of H with respect to the control variable (h) and the state variable (x), subject to the equation of motion of the state variable (Eq. 2). Assuming an interior solution, the necessary condition for optimal harvests is @H ¼ c0 ðhÞ  l ¼ 0 @h

(4)

where the prime (0 ) indicates the first derivative. This expression states that optimally, at every given time t, timber is harvested so that the consumption value from harvesting one more unit equals the value (shadow price) of maintaining one more unit in the ecosystem. It is important to recognize that the shadow price of the marginal unit of in situ forest stock (l) represents the contribution of that unit to (discounted) social welfare (W) arising from its future productivity. Given this interpretation of the shadow price of in situ forest stocks, it is straightforward to view the maximum principle from a capital theoretic perspective. In particular, we can now see that the Hamiltonian expression (Eq. 3) is composed of two sources of value contributing to W. First are the dividends arising from timber harvesting and the provision of ecosystem services in any time period t. Second is the value derived from investing in situ forest stocks that will provide dividends in the future. Consequently, the first-order necessary conditions describe how timber harvesting rates must be chosen to maximize the total capital value of tropical forests over time. The next first-order necessary condition describes the equation of motion for the shadow price variable: 

@H c ¼ l_  dl ¼  ðb0 ðxÞ þ lG0 ðxÞÞ @x

(5)

The Hamiltonian in this equation has been modified to reflect the current value (i.e., undiscounted value) of the Hamiltonian (Hc), which simplifies the process of taking derivatives (e.g., Chiang 1992, pp. 210–211). This transformation was not necessary in the derivation of Eq. 4, as the exponential term (edt ) canceled out of the expression (because it is a constant for any given t). The interpretation of Eq. 5 is made more intuitive by rearranging the expression to read l_ ¼ lðd  G0 ðxÞÞ  b0 ðxÞ

(6)

Now we see that the rate of change in the shadow price of in situ tropical forest stocks is equal to the difference between the opportunity cost of holding on to a marginal unit of stock (where the lost interest on other investments is compensated to a degree by biological growth) and the marginal social value of that unit (realized as nonmarket ecosystem services) (e.g., Barbier and Rauscher 1994). Finally, in addition to the conditions shown in Eqs. 4 and 5, optimal timber harvests must obey the equation of motion for the state variable, as given by Eq. 2 above.

Examine the Stationary Solution

Having obtained the first-order necessary conditions for optimal timber harvesting, the next step is to examine the long-run stationary solution. By definition, a stationary solution to the dynamic optimization problem is sustainable because the volume of timber harvested is equal to timber growth: GðxÞ ¼ h

(7)

Clearly, if harvest exceeded growth, then forest stocks would decline over time, eventually resulting in

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_221-1 # Springer-Verlag Berlin Heidelberg (outside the USA) 2015

deforestation (G(0) = 0). On the other hand, if growth exceeded harvest, then forest stocks would increase over time, eventually allowing greater harvest levels. A stationary solution occurs only when the shadow prices of in situ forest stocks are stable over time, l_ ¼ 0 in Eq. 5. Using the equality shown in Eq. 4, we can substitute c0 (h) for l. By rearranging the resulting expression, we find that b0 ðxÞ ¼ d  G0 ðxÞ 0 c ðhÞ

(8)

The expression on the left-hand side of Eq. 8 is the marginal rate of substitution between the utility derived from maintaining in situ forest stocks and the utility derived from the consumption of tropical timber. At the optimal stationary solution, this value is set equal to the discount rate minus the marginal growth rate of tropical forests. Particular attention has been given to configurations of the economy that maximize sustainable utility derived from renewable resources. By setting the discount rate to zero (d = 0), maximum sustainable utility is found where the marginal rate of substitution between forest stocks and timber consumption equals the marginal rate of transformation of forest stocks into timber consumption: b0 ðxÞ ¼ G0 ðxÞ 0 c ðhÞ

(9)

This point of tangency between b0 (x)/c0 (h) and G0 (x) is known as the Green Golden Rule (Chichilnisky et al. 1995) and occurs where in situ forest stocks are greater than the level required to produce the MSY (Fig. 1).3 However, when the opportunity cost of capital (d > 0) is included in Eq. 8, society needs to be compensated for that cost by a higher growth rate of tropical forests. This can be accomplished by reducing forest stocks toward the level required to produce the MSY. Further, if d > 0 and no weight is given to the value of standing forests in the objective function, then the optimal solution is described by d = G0 (x) and the optimal timber harvest will reduce stocks below the MSY level (e.g., Barbier and Rauscher 1994; Montgomery and Adams 1995). If the discount rate exceeds the marginal forest growth at all possible forest stock levels, then forest stocks may be entirely liquidated, even without considering the value of alternative land uses (e.g., Rice et al. 1997). Thus, we can see that the rationale for protecting tropical forests rests on both the value of in situ forest stocks for the production of timber and non-timber ecosystem services and a social discount rate that is less than the discount rate typically used by private enterprises. In the Appendix, we present a numerical example that illustrates the effect of alternative interest rates (d) on the optimal forest stocking using an example simulated for the Tapajós National Forest in the Brazilian Amazon.

3

The original formulation of this problem sought to maximize the weighted sum of the utilitarian problem (as described above) and a term representing long run utility as time approaches infinity (Chichilnisky et al. 1995). The difficulty with this formulation is that it is always possible to postpone the time at which the long run solution is attained. However, the problem does provide a path for attaining the Green Golden rule if the constant discount rate (d) of the utilitarian problem is replaced with a time-varying discount rate (d(t)) that approaches zero as time approaches infinity (e.g., Heal 2005). 4 For the interested reader, the general approach is to linearize the system around the stationary solution and then calculate the eigenvalues of the linearized system (e.g., Conrad and Clark 1987). Page 6 of 20

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Examine the Dynamics of the System

The final step in the analysis of a dynamic bioeconomic system is to examine the behavior of the system away from the stationary solution. The mathematics associated with a complete description of this step are rather advanced and cannot be adequately covered here.4 However, we provide a more intuitive explanation using what is known as a “phase diagram.” In our example, the axes of the phase diagram are timber harvest (on the vertical axis) and in situ forest stocks (on the horizontal axis). The two main curves shown in Fig. 1 represent the subset of points where the control variable and the state variable are each stationary. In our example, in situ forest stock is stationary (ẋ = 0) along the dome-shaped curve representing the logistic growth function. Along this curve, G(x) = h (see Eq. 2). Likewise, we plot a stationary curve for the level of timber harvest (ḣ = 0), which can be shown to have a positive slope in the plane (e.g., Barbier and Rauscher 1994; Heal 2005). The intersection of these two curves is the intertemporal equilibrium representing the utilitarian steadystate solution. The dynamics of the tropical forest system away from intertemporal equilibrium are investigated by examining what is known about the signs (+ or ) of ẋ and ḣ (which indicate the direction of change) and the size of those derivatives (which indicate the speed of change). Beginning with the tropical forest growth function (ẋ), we can see when timber harvest is less (more) than growth, timber stocks will increase (decrease) because growth exceeds (is less than) harvest. These movements are recorded in the diagram by including a “+” sign below and a “” sign above the ẋ = 0 curve. We have also drawn (small) rightward-pointing arrows below the curve and (small) leftward-pointing arrow above the curves to indicate the direction of movement. The direction of movement of timber harvests away from equilibrium is a bit more complicated to derive. Begin by differentiating the first-order condition shown in Eq. 4 with respect to time, and then substitute for the resulting l_ the expression shown in Eq. 5. Next, by substituting c0 (h) for l (also from Eq. 4) and rearranging the expression, we find that 0 0 0 _h ¼ c ðhÞ½d  r ðsÞ  b ðsÞ c00 ðhÞ c00 ðhÞ

(10)

where the double prime (00 ) represents the second derivative. When in situ stocks are low, we can expect that d  r0 (s) < 0 and small (because the marginal growth rate will exceed the discount rate by only a small amount) and the first expression in the numerator on the right-hand side of Eq. 10 will be positive. Because we expect the denominator of this expression to be negative (due to diminishing marginal utility), we likewise expect the ratio to be small and negative. Looking at the second expression on the right-hand side of Eq. 10, we expect b0 (s) to be large and positive when forest stocks are low (because marginal ecosystem service benefits are large and positive when those services are rare). Consequently, when forest stocks are low, we anticipate that the sum of these expressions will be positive. Similar logic can be used to determine that when forest stocks are large, the sum of the two expressions will be negative. Thus, these movements are recorded in the diagram (Fig. 1) by including a “+” sign to the left of ḣ = 0 and a “” sign to the right of the ḣ = 0 curve. We have also drawn (small) upward-pointing arrows to the left of the curve and (small) downward-pointing arrow to the right of the curve to indicate the direction of movement. Combining the movement of nonstationary points into two-dimensional “streamlines” (the curved arrows in Fig. 1), we can plot the trajectory of the system from any point in phase space (only a few of the streamlines are drawn). The tropical forestry system that we have described results in what is known as a saddle-point equilibrium in which two stable arms (or separatrices, shown in Fig. 1) move toward the intertemporal equilibrium. However, two stable arms (not shown, but implied by the streamlines) lead away from the intertemporal equilibrium, indicating that the stationary equilibrium is unstable in those Page 7 of 20

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Table 1 Continuous-time bioeconomic studies related to tropical forests Authors Ehui and Hertel (1989)

Subject Tropical deforestation

Barbier and Rauscher (1994)

International trade and tropical deforestation Forest technology and institutions Forest carbon sequestration

Kant (2000) Sohngen and Mendelsohn (2003) Potts and Vincent (2007) Kant and Shahi (2013)

Multispecies ecosystems Timber harvest and ecosystem services

Objective function Present value of profit from forestry and agriculture Present value of future social welfare Net social value Abatement cost + damages Net private timber value Long-run social utility

directions. The only way to arrive at the stationary equilibrium is to get on a stable arm (separatrix) moving toward the stationary equilibrium, observe changing conditions, and make necessary adjustments to stay on the stable arm. This is called a closed-loop control policy (e.g., Conrad and Clark 1987). In general, if the initial level of in situ forest stocks is less than (greater than) the optimal stocking level, then both forest growth and harvest are increased (decreased) until the stationary solution is attained.

Applications of the Continuous-Time Bioeconomic Model to Tropical Forests

Although the C-T bioeconomic model has seen many applications in other fields of renewable resource economics (e.g., fishing), there are relatively few applications specific to tropical forests (Table 1). Two early applications of an optimal control model applied to tropical forests considered the issue of deforestation. Ehui and Hertel (1989) evaluated factors reducing forest stock in the mixed forestagricultural landscape of Côte d’Ivoire. At the time, the original 16 million ha of tropical rainforest in the country had been reduced to about 3.4 million ha. The objective function was specified to maximize the present value of society’s welfare as a function of the profits available from forestry and agriculture and was subject to constraints on the profitability of these alternative land uses and on the rate of deforestation. Perhaps not surprisingly, the results showed that optimal forest stocks increase with increased returns to forest enterprises relative to those in agriculture. Further, the optimal forest stock was found to be most sensitive to the discount rate used in the optimization model. In a second application of optimal control theory, the impact of trade interventions on deforestation was evaluated using a general (i.e., not location specific) bioeconomic model in which a tropical forest country seeks to maximize the present value of utility specified as a function of tropical logs harvested (some portion of which provide direct consumption benefits and some portion of which are exported to finance the consumption of imported goods) and the in situ forest stock (Barbier and Rauscher 1994). The change in forest stocks was specified using a natural forest growth function and a fixed rate of deforestation per volume of timber harvested. Several of the results in this paper are consistent with the results we report above for the utilitarian model specification. The authors also found that trade interventions are clearly second-best policies and that a more effective way to reduce tropical deforestation and increase conservation is through direct international transfers. We note that although it has been demonstrated that people living in the northern hemisphere are willing to pay substantial amounts to protect tropical forests (Kramer and Mercer 1997; Horton et al. 2003), actual payments for preventing the degradation and loss of tropical forests have been much less than these willingness to pay studies suggest (Pearce 2007). The issue of forest carbon storage and sequestration has also been studied with C-T bioeconomic models. For example, Sohngen and Mendelsohn (2003) developed a model that sought to minimize the sum of carbon abatement costs and climate-related damages over time subject to a constraint on the rate of change of carbon stocks, including forest sequestration. A large empirical model was developed using

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inputs derived from other available global models of timber supply, carbon prices, and damages. They concluded that global forests could account for about one-third of total carbon abatement, with tropical forests responsible for two-thirds of that amount. However, they found that carbon sequestration in forests is more costly than generally appreciated due to systematic impacts on the prices of land and timber. Another key policy issue is the devolution of property rights from governments to local communities, who now own or control nearly one-third of forests in developing countries (Rights and Resources Initiative 2012). The standard bioeconomic model described in detail above focuses attention on the dynamics of the natural system but does not explicitly consider the dynamics of the social system. One way to incorporate socioeconomic dynamics into these models is by recognizing that forest regimes (i.e., institutional arrangements) are functions of evolving social forces. This perspective has been formally analyzed in an optimal control model in which a decision-maker seeks to optimize the net present value of timber and non-timber forest products produced in developing economies subject to constraints on the dynamic behavior of the biological-social system (Kant 2000). The choice of optimal forest regime (the control variable) is found to depend upon a suite of socioeconomic factors that continually evolve, such as the degree of local dependence upon forest resources and the heterogeneity of local communities. Thus, this paper suggests that forest planning and management decisions need to adapt to evolving socioeconomic factors as communities in developing economies move through different phases of economic growth. One limitation of the Green Golden Rule described above is that it does not differentiate between the multiple species that comprise renewable resource stocks. This shortcoming has been addressed by modeling the biological growth of multiple forest species interacting over time (Kant and Shahi 2013). In this approach, forest species are placed into species groups, and the Green Golden Rule (Eq. 9) is altered so that necessary conditions are expressed for each group. It is shown that the necessary conditions for each species group need to be adjusted so that the marginal rate of substitution between timber and non-timber benefits within each group equals the marginal rate of transformation of forest stocks into timber consumption adjusted for the interaction in biological growth rates between species groups. Although this enhancement adds complexity to the interpretation of the model, it recognizes that different forest species provide different social benefits (such as timber and non-timber forest products) and that the harvest of some species can enhance (or deter) the growth of other species. Although all C-T bioeconomic models specify the temporal dynamics of a biological system, these models can also be used to analyze dynamic relationships over both time and space. For example, Potts and Vincent (2008) considered how spatial harvesting patterns affect the persistence or extinction of tree species in multispecies ecosystems. By parameterizing the ability of trees to colonize a vacant site (e.g., number and spatial dispersion of propagules) and to compete with neighboring trees (e.g., shade tolerance), a spatiotemporal multispecies meta-population model was developed and used to establish the set of constraints faced by a logging firm seeking to maximize net present value of timber harvests over the very long run. The results of this model show that when commercially valuable trees are uniformly harvested across a species diverse forest matrix, the species at greatest risk of extinction are the non-harvested trees that do not compete well relative to the harvested species. This contrasts with the case where timber harvests are concentrated in specialized management areas. In this case, the greatest risk of extinction accrues to the non-harvested top competitor species (as they are considered to be poor dispersers). This is a significant risk only if the intensively managed area equals or exceeds the area occupied by the top competitor in the original, undisturbed forest habitat.

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Discrete-Time Bioeconomic Models of Tropical Forests In contrast to the C-T bioeconomic models in which the biological constraints and necessary conditions appear as systems of differential equations, D-T bioeconomic models are specified using systems of difference equations. This permits the models to be solved using numerical methods. This framework provides a distinct advantage when the problem at hand consists of several control variables or multiple constraints. Further, as this modeling approach requires empirical parameterization of the objective function and constraints, the results are reported in quantitative terms, in distinct contrast to the descriptive results that are typical of C-T bioeconomic models (but, for a counterexample, see Sohngen and Mendelsohn 2003). However, limitations on the availability or quality of data available for specifying either the economic or biological parameters of the model often limit interpretation and, specifically, prevent any generalizations beyond the immediate study area. In this section, we first describe the steps that are required to conduct a D-T bioeconomic analysis and then review studies that have used this approach to analyze specific management issues.

Specify the Objective Function As with C-T models, construction of a D-T bioeconomic model begins by specifying the objective that a decision-maker would like to optimize. Unlike C-T models that often frame the objective from the perspective of a social planner who is concerned with maximizing the combined benefits of timber production and non-timber ecosystem services provided by in situ forest stocks, D-T bioeconomic models generally specify the objective from the perspective of a decision-maker who is seeking to maximize a financial measure of the returns from timber harvesting. This is more compatible with the quantitative nature of D-T bioeconomic models and the general lack of reliable data that could be used to specify the economic value of non-timber ecosystem services. As described below, concerns regarding biodiversity or other ecological benefits of in situ forest stocks are included in D-T models via the constraints. A typical objective function could be specified as " # T X 1 t X ðPi  C Þhit  F (11) Max N PV ¼ ð 1 þ r Þ i t¼0 where r is the discrete (e.g., annual) discount rate, Pi is the market value of timber species group i, C is the variable cost of harvest, h is the harvest volume of species group i, F is the fixed cost of harvest, t is the time period, and T is the terminal time. Calculation of the net present value (or land expectation value over an infinite time horizon) derived from tropical timber harvesting requires the analyst to assign a value for the rate of time preference. Unlike in C-T models specified from the perspective of a social planner, who may use a low or declining social discount rate, a constant rate of time preference that reflects general business conditions is typically used in D-T bioeconomic models. We have specified the time period for analysis to extend from the present (t = 0) to some specified period in the future (T ). This specification is used if the analyst is concerned with economic returns from a few cutting cycles. Although it is possible to extend the analysis far into the future, a constant exponential discount rate will cause economic benefits received after several cutting cycles to become empirically trivial. We also note that it is possible to include anticipated changes in timber prices or costs in the model specification if information is available to guide that decision.

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Specify the Constraints A major difference between C-T and D-T bioeconomic models of tropical forests is the specification of the constraint set. In contrast to the very general (e.g., logistic functional form) models used to characterize the biological growth of tropical forests in C-T models, D-T models typically rely upon empirically driven specifications of “matrix models” of forest growth and yield. This powerful class of models was first described for animal populations (Leslie 1945, 1948) and later modified to describe growth and yield in managed forests (Usher 1966). Although these early model formulations were based on the untenable assumption that populations grow exponentially in an unbounded fashion, this problem was addressed by introducing density-dependent recruitment of seedlings which effectively set an upper limit on forest growth (Buongiorno and Michie 1980). This modeling framework has been subsequently used in many studies, and applications to tropical forest bioeconomic models are described below. The construction of a matrix model requires measurements of trees occupying specified size (diameter) classes – possibly in different species groups – at multiple points in time so that the growth of an entire forest stand can be projected into the future. The trees in each size class remain within that class, move to a larger size class, or die during the next period. This collective biological dynamic is projected based on the assumption that the transition probabilities only depend upon the current state of the system. A recruitment (the number of live trees growing into the smallest diameter class) function is also specified. The simplest method for computing transition probabilities between size classes is to estimate the average proportion of trees that move between size classes as represented in the sample data (Usher 1966; Buongiorno and Michie 1980). An alternative method, which treats the estimation of the transition probabilities between size classes as a stochastic process, is to use a statistical technique known as the multinomial logit model (e.g., Boltz and Carter 2006; Macpherson et al. 2012). In this method, each measured tree is considered a unit of observation, and maximum likelihood methods are used to estimate the probability of a tree remaining within a class, moving into another class, or dying. This procedure smoothes the distribution of transition probabilities relative to the use of proportional estimates and allows for either deterministic (using the estimated mean) or stochastic (using the standard error of the mean) projections of future stand growth and yield. Recruitment can be estimated using a linear (e.g., Boltz and Carter 2006) or Poisson (Macpherson et al. 2012) regression model. Using matrix notation, a general linear model of the growth of tropical forest stands can be represented as a system of linear difference equations either for one time period ntþ1 ¼ Ant

(12)

ntþk ¼ Ak nt

(13)

or for several (k) time periods

where n is a size abundance vector for the stand, whose elements are the numbers of trees in each size class, and A is an m  m matrix of transition rates between size classes, aij, i,j = 1,. . .,m. The dynamics embedded in Eqs. 12 and 13 depend upon the eigenvalues of A.5 For large t, the proportion of individuals in each stage become constant, similar to the stationary solution in the C-T bioeconomic model, and the asymptotic dynamics of the population are given by the value of the largest positive eigenvalue of A, lmax. Matrix population models are built on the assumption that the transition probabilities are stable over time, so these models cannot account for the effects of different sites, stand structures, competitive Eigenvalues are the values l that satisfy the equations An ¼ ln for some vector n and are found by solving the characteristic equation det½A  lI  ¼ 0 where det[∙] is the determinant (Usher 1966; Getz and Haight 1989; Vanclay 1995). 5

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relationships, or abiotic factors such as changes in climate. As such, matrix models are best suited to projections over a limited number of cutting cycles. Further, it may be useful to estimate the sensitivity of forest stand projections to slight changes in transition probabilities, particularly if research is concerned with the persistence of specific tree species (Ehrlen and Groendael 1998; Caswell 2000). Alternative timber harvesting strategies can be evaluated using matrix population models by removing different numbers of individuals from each diameter class and evaluating the impact on growth of the remaining stand. For example, letting hi represent the proportion of diameter class i trees surviving the harvest (accounting for harvesting related mortality to trees in the residual stand), the matrix model shown in Eq. 11 can be modified as ntþ1 ¼ HAnt

(14)

where H is a diagonal matrix (h1, . . ., hm) and m is the number of diameter classes. The dominant eigenvalue lmax of HA provides an estimate of the growth rate of the harvested population. To obtain the harvest providing the maximum sustainable yield, lmax must equal 1 (Caswell 2001, p. 642; Getz and Haight 1989, p. 47).6 In addition to biological growth and yield functions, additional restrictions are used to specify logical constraints, such as limiting the harvest volume to be less than or equal to the volume available for harvest, and specific management concerns, such as limiting harvests to trees that exceed a given diameter limit or that leave a diverse mix of species in the residual forest.

Find the Optimal Solution Once the objective function and constraint set have been specified, linear or nonlinear mathematical programming techniques are used to find an optimal solution (e.g., Getz and Haight 1989). When the problem consists of an objective function that is linear in the variables, and is subject to a set of linear constraints, the problem can be solved using the simplex method of linear programming (e.g., Chiang 1974). However, the objective function may be specified as a nonlinear function of economic variables (e.g., gross profit per unit may decrease as output increases), and the set of constraints may likewise be specified as nonlinear functions (e.g., competition may influence tree growth, mortality, and fecundity). In this case, nonlinear programming methods, based on the Kuhn-Tucker conditions, are required to find an optimal solution (e.g., Chiang 1974).

Applications of Discrete-Time Bioeconomic Model to Tropical Forests The use of matrix population models for modeling tropical forest dynamics became popular in the mid-1990s (e.g., Alvarez-Buylla 1994; Alvarez-Buylla et al. 1996), and among the first papers to recognize the utility of this modeling approach for designing sustainable timber harvesting systems was the paper by Boot and Gullison (1995) (Table 2). In this paper, the authors described how matrix models can be used to identify the maximum sustainable yield of timber or non-timber products. Managers can then decide whether and how much to harvest based on the economic returns and impacts on the forest ecosystem of different harvesting intensities up to that maximum.

6

Recognizing that timber harvesting can cause substantial damage to the residual stand, damage estimates can be specified as a function of harvest intensity (Macpherson et al. 2010; Indrajaya et al. 2014). In this case, the matrix model can be explicitly written ntþ1 ¼ HDAnt , where D is a diagonal matrix (d1, . . ., dm) describing the percentage of trees killed in each diameter class for each tree harvested. Some damaged trees may die several years after harvest, and it may be challenging to include these trees in the specification of D. Page 12 of 20

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Table 2 Discrete-time bioeconomic studies related to tropical forests Authors Boot and Gullison (1995) Ingram and Buongiorno (1996) Boscolo and Buongiorno (1997) Bach (1999) Boscolo and Vincent (2000) Namaalwa et al. (2007)) Macpherson et al. (2012)

Subject Timber harvest intensity Timber harvest intensity and biodiversity protection

Objective function Income to loggers Net present value to loggers

Timber harvest intensity, biodiversity protection and carbon sequestration Logging technology and timber damage Logging technology, timber damage, carbon storage and stand diversity Optimal forest/agricultural land use Logging technology and timber damage

Soil expectation value to landowners Net present value to loggers Net present value to loggers Net present value to loggers Net present value to loggers

Shortly after the Boot and Gullison (1995) study, Ingram and Buongiorno (1996) showed how linear programming, in combination with matrix population models, could be used to find optimal harvesting regimes for tropical forests. Using the Shannon-Weiner index to measure diversity of lowland tropical forest in Peninsular Malaysia, the authors concluded that focusing harvests on 30–40 cm dipterocarp and non-dipterocarp species every 10 years would maintain trees in every species and size class while providing economic returns that were similar to the highest yield under current management regimes. A damage matrix representing the effects of logging on the residual stand was added to a transition matrix of tropical forest growth and used to evaluate trade-offs between timber, carbon storage, and tree diversity in Peninsular Malaysia (Boscolo and Buongiorno 1997). The results of this study indicated that the goals of increasing carbon storage and tree diversity can only be met by sacrificing substantial amounts of income. Bach (1999) also incorporates damage to the residual stand into his model of four species groups in Ghana. He examines how profit-maximizing concession holders would respond to higher timber prices and to area subsidies for reduced-impact logging (RIL) practices. The objective function is net present value to the concession holder from timber harvest over 100 years, assuming the average 10,000 HA concessions and the legally required 40 years cutting cycle in Ghana. It was found that subsidizing the costs associated with RIL is far more efficient than subsidizing the prices of tropical timber (Bach 1999). Boscolo and Vincent (2000) adapt the model from Boscolo and Buongiorno (1997) to examine loggers’ choice of harvest technology and level (i.e., number of trees by species group and size class). In this model, adopting RIL techniques increases the fixed cost of logging but reduces damage to the residual stand, and loggers maximize the net present value of profits from harvest over a time horizon determined by the length and possibility of renewing their concessions. The authors concluded that loggers may be induced to adopt RIL systems through the imposition of relatively small performance bonds, but that relatively large performance bonds would be needed to get loggers to obey restrictions on minimum diameter cutting limits. Namaalwa et al. (2007) model harvest of wood fuel and clearing of forests by villages in Uganda, assuming that they maximize the net present value of cash flows over a 20 year time horizon. Their model embeds a standard matrix model that determines the tree stock as a result of diameter increment, recruitment, mortality, and harvesting. Based on their model, they conclude that it is very difficult to design and implement policies that maintain forest biomass density. Macpherson et al. (2012) develop a matrix model with five species groups and information on the costs and damages of logging based on data from Paragominas in the eastern Brazilian Amazon. They examine steady-state solutions that maintain the standing volume of merchantable timber, as well as modeling how loggers and consequently forests respond to current regulations. They find that loggers can profit from

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adopting RIL techniques, primarily because of the reduced operational costs rather than the increased revenues from future harvests. They conclude that future harvests will still be profitable, although the structure and composition of the forests will be different and profits will be lower than at first harvest.

Conclusions and Emerging Research Directions Although the number of applications of bioeconomic analysis to tropical forest management is limited, this modeling approach has yielded several insights that are critical to understanding tropical forest sustainability. First, bioeconomic models clearly demonstrate the importance of the rate of time preference used to discount future values to the present in determining optimal forest stocks. In particular, discount rates that exceed the rate of tropical forest growth help to explain deforestation and conversion of forests to other land uses. Second, although it is widely recognized that non-timber ecosystem services provide substantial social value, the lack of empirical estimates of the nonmarket values provided by tropical forests constrains the ability of decision-makers to meaningfully evaluate trade-offs. However, C-T bioeconomic models that include a qualitative measure for ecosystem service values indicate the importance of including this component in quantitative economic analyses seeking to address the appropriate balance between timber and non-timber services provided by tropical forests. Third, while individual D-T bioeconomic analyses have limited generality due to their reliance on site-specific data, the overall set of models that have been implemented indicate the relative magnitude of public subsidies or costs of other policy innovations that would be required to induce loggers to modify their behavior and adopt sustainable harvesting practices. The conceptual models described in this chapter have been intentionally simplified in hopes of developing intuition regarding their application to problems in tropical forest management. However, both C-T and D-T bioeconomic models are very general and can be applied to a suite of emerging and challenging problems. We suggest that future bioeconomic analysis of working forests in the tropics may help inform decision-making regarding sustainable forest management by investigating the following topics: • Bioeconomic models of tropical forests have generally ignored complex ecosystem dynamics. While making bioeconomic analysis more tractable, simple models of tropical forest growth overlook potentially critical factors such as specific interactions among multiple species and the possibility of crossing ecological tipping points (e.g., Barlow and Peres 2008; Malhi et al. 2009; Nobre and Borma 2009). However, bioeconomic analysis has already shown that nonlinearities existing between the growth of non-harvested and harvested forest species can induce multiple steady states in boreal forests (Crépin 2004), making the choice of an optimal path much more complex. Bioeconomic models have also demonstrated that nonlinear and non-convex feedbacks between economic control variables and ecosystem dynamics can cause massive ecosystem regime changes (Crépin et al. 2011). By incorporating complex feedback between economic and ecological variables, bioeconomic analysis can help decision-makers understand the long-run opportunities and vulnerabilities provided by alternative forest management strategies. • Although a substantial amount of research in developed countries has focused on the production and value of ecosystem services provided by forests, little is known about the production of nonmarket economic values from tropical forests. Bioeconomic analysis linking the production and valuation of

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tropical forest ecosystems for timber and non-timber services could help decision-makers better understand the trade-offs between a suite of ecosystem goods and services. • Economists have begun to appreciate that a case for intergenerational equity in centuries-scale problems, such as climate change and the protection of biological diversity, can be made by the use of discount rates that decline asymptotically toward zero over time (Carson and Tran 2009). However, policy-makers, forest dwellers, private entrepreneurs, and other groups may all hold dramatically different rates of time preference regarding the use of tropical forests. Because many policy issues regarding tropical forests are long-lived and affect many generations into the future, a better empirical understanding of the rates of time preference held by people who benefit from tropical forests would help calibrate bioeconomic models to actual conditions. • Bioeconomic models of tropical forest use have generally ignored the issue of uncertainty. Where ambiguity exists regarding the nature of a correct model, one approach is to use robust controls that perturb a benchmark model so that alternative futures can be evaluated (Vardas and Xepapadeas 2010). This approach, as applied to biodiversity management, appears to offer a fruitful area for bioeconomic research that is directly applicable to emerging issues in tropical forest management during the twentyfirst century. • Finally, bioeconomic models of tropical forest management have barely begun to consider politicaleconomic dynamics (e.g., Kant 2000). A fuller consideration of governance, institutions, and other socioeconomic factors may help bioeconomic models provide more realistic analyses of factors influencing tropical forest sustainability.

Appendix Simulation of the Optimal Stocking of a Tropical Timber Production Forest Using the Continuous-Time Bioeconomic Model

In this Appendix, we illustrate how the analysis presented in section “Continuous-Time Bioeconomic Models of Tropical Forests” can be used to determine the optimal stocking of a tropical timber production forest. In order to make the example tractable for empirical analysis, we first need to make some general assumptions about the functional form of the social welfare function and the forest growth function. For our empirical example, we follow the renewable resource model described in Chichilnisky et al. (1995, p. 178). Second, we also need to make some assumptions about the ecosystem service benefits provided by a standing tropical forest. For expository purposes, we use information on household willingness to pay for tropical forest conservation among upper-middle income tropical countries (Vincent et al. 2014). A common assumption used in economic analysis is that the social welfare function is additive in its arguments and that welfare increases at a decreasing rate. These assumptions are easily incorporated into our analysis by revising Eq. 1 to read 1 ð

maxW ¼

½lnC t ðht Þ þ Υ lnBt ðxt Þedt dt

(15)

0

where “ln” refers to the natural logarithm of the associated argument. This functional form assures the property of diminishing marginal utility. Further, in Eq. 15, g is a parameter describing the relative value of ecosystem service benefits received from the standing forest (B) relative to the consumption value (price) of harvested timber (C). The value of this parameter is derived below.

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Next, we rewrite Eq. 2 by specifying a (assumed) logistic growth function for timber stocks, postharvest: x_ ¼ GðxÞ ¼ rxt 

rx2t K

(16)

where r is the intrinsic growth rate, x is the timber stocking level, and K is the carrying capacity of the tropical forest. Substituting these equations into the Hamiltonian (Eq. 3), taking the first-order conditions (Eqs. 4 and 5), and simplifying, we find that the optimal “utilitarian” steady-state condition for timber stocks (xu) is xu ¼

K ðgr  d þ rÞ 2r þ gr

(17)

Thus, if no economic value is assigned to the ecosystem service benefits associated with a standing forest ðg ¼ 0Þ, and if the opportunity cost of capital is zero (d = 0), then the optimal stocking is simply K/2, which is the stocking level corresponding to the maximum sustainable yield (MSY). By setting d = 0, allowing the ecosystem service benefits to have a positive economic value ðg > 0Þ, and simplifying, Eq. 17 yields the Green Golden Rule for tropical timber (xGGR): xGGR ¼ K

ð g þ 1Þ ð g þ 2Þ

(18)

(Chichilnisky et al. 1995). Tropical forest growth parameters for our example are derived from a timber harvesting experiment conducted in the Tapajós National Forest located in the Brazilian Amazon (Silva et al. 1995). The authors of that study note that, as is typical of upland forest types in this region, the carrying capacity (K) for all tree species exceeding 45 cm diameter at breast height, is up to 200 m3 ha1. Assuming that timber growth in this forest follows the logistic growth function described above, we estimate MSY (for all tree species) as K/2 = 100 m3 ha1. Although current Brazilian forest law restricts harvests to not exceed 25 m3 ha1 (and the cutting cycle to not be less than 30–35 years), the harvesting intensity in this experiment removed about 75 m3 ha1. During the 11 year post-harvest period examined in the experiment, the relative (%) increment of commercial timber volume averaged about 3 % annually – which was very similar to the relative (%) annual increment of all timber species (Table 6, p. 273). Roughly 50 of the timber species recorded in this experiment are currently accepted by the market. While this does not include all tree species growing in this forest, we assume that all timber species are available for commercial harvest in order to simplify this example. Thus, the annual volume growth rate (0.03) on the post-harvest stocking level (125 m3 ha1) is roughly 4 m3 ha1. Setting x_ ¼ 4 in Eq. 16, and solving for r, we find that the intrinsic rate of growth (r) of trees in this forest is 0.085. This provides us with the second of three parameters required to solve Eq. 17. The third key parameter needed in Eq. 17 is the marginal economic value of ecosystem service benefits provided by standing tropical forests (g). Although the determination of this value would, in most cases, require an economic study specifically designed for the forest region under investigation, for the sake of illustration, we use estimates of household willingness to pay for tropical forest conservation in Malaysia (Vincent et al. 2014). In that study, the authors found that the household willingness to pay for tropical forest conservation in a specific tropical forest of 100,000 ha was US$1.08 per month. As the Tapajós

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National Forest is roughly 500,000 ha, we multiply this amount by 5, for a monthly WTP amount and then by 12 to obtain an annual WTP amount for tropical forest conservation. Using the standard capitalization formula to translate the annual WTP for tropical forest conservation into the asset value of the standing forest stock, we find that the asset value (using 4 % for the social discount rate for tropical forest stocks), per household, is roughly $1,620 ha1 for standing forest stocks in the Tapajós National Forest. The WTP per hectare and per cubic meter, per household, can be found by dividing through by the number of hectares (500,000) and cubic meters per hectare (200). Multiplying this amount ($0.0000162 per m3) by the current estimated number of households in the state of Pará (2.7 million) yields a total WTP estimate of $43.20 per cubic meter of standing forest. A recent study of (net) commercial value of timber in the Tapajós National Forest of about $20 per cubic meter (Humphries et al. 2012) suggests that the relative price benefit (g) of standing timber to harvested timber is roughly 2.16 under the assumptions made here. Given these assumptions, we can now determine the optimal tropical timber stocking associated with the utilitarian solution (for different discount rates) and the Green Golden Rule (where the discount rate equals zero). This is accomplished by placing Eqs. 17 and 18 in a spreadsheet and solving for the optimal stocking level given: K ¼ 200 m3 g ¼ 2:16 d = an assumed discount rate, ranging between 0.01 and 0.05 for the utilitarian solution In the case of the utilitarian solution, the optimal stocking levels will be: 136 m3 ha1, 120 m3 ha1, 103 m3 ha1, 87 m3 ha1, and 72 m3 ha1 for social discount rates of 0.01, 0.02, 0.03, 0.04, and 0.05. In the case of the Green Golden Rule, when the social discount rate equals zero, the optimal stocking level will be 152 m3 ha1. As anticipated, this level exceeds the optimal stocking level when discount rates are positive, as well as the optimal stocking level associated with the MSY.

References Alvarez-Buylla ER (1994) Density dependence and patch dynamics in tropical rain forests: matrix models and applications to a tree species. Am Nat 143:155–191 Alvarez-Buylla ER, Garcia-Barrios R, Lara-Moreno C, Martinez-Ramos M (1996) Demographic and genetic models in conservation biology: applications and perspectives for tropical rain forest tree species. Annu Rev Ecol Syst 27:387–421 Asner GP, Rudel TK, Aide TM, Defries R, Emerson R (2009) A contemporary assessment of change in humid tropical forests. Conserv Biol 23(6):1386–1395 Bach CF (1999) Economic incentives for sustainable management: a small optimal control model for tropical forestry. Ecol Econ 39:251–265 Barbier EB, Rauscher M (1994) Trade, tropical deforestation and policy interventions. Environ Resour Econ 4:75–90 Barlow J, Peres CA (2008) Fire-mediated dieback and compositional cascade in an Amazonian forest. Philos Trans R Soc B 363:1787–1794 Bawa KS, Seidler R (1998) Natural forest management and conservation of biodiversity in tropical forests. Conserv Biol 12:46–55

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Blaser J, Sarre A, Poore D, Johnson S (2011) Status of tropical forest management 2011. International Tropical Timber Organization, Yokohama Boltz F, Carter DR (2006) Multinomial logit estimation of a matrix growth model for tropical dry forests of eastern Bolivia. Can J Forest Res 36:2623–2632 Boot RGA, Gullison RE (1995) Approaches to developing sustainable extraction systems for tropical forest products. Ecol Appl 5:896–903 Boscolo M, Buongiorno J (1997) Managing a tropical rainforest for timber, carbon storage and tree diversity. Commonw For Rev 76:246–254 Boscolo M, Vincent JR (2000) Promoting better logging practices in tropical forests: a simulation analysis of alternative regulations. Land Econ 76:1–14 Buongiorno J, Michie BR (1980) A matrix model of uneven-aged forest management. For Sci 26(4):609–625 Buschbacher RJ (1990) Ecological analysis of natural forest management in the humid tropics. In: Goodland R (ed) Race to save the tropics – ecology and economics for a sustainable future. Island Press, Washington, DC, pp 59–79 Carson RT, Tran BR (2009) Discounting behavior and environmental decisions. J Neurosci Psychol Econ 2(2):112–130 Caswell H (2000) Prospective and retrospective perturbation analysis: their roles in conservation biology. Ecology 81:619–627 Caswell H (2001) Matrix population models. Sinauer Associates, Sunderland Chazdon RL (1998) Tropical forests – log ‘em or leave ‘em? Science 281:1295–1296 Chiang AC (1974) Fundamental methods of mathematical economics. McGraw-Hill, New York Chiang AC (1992) Elements of dynamic optimization. McGraw-Hill, New York Chichilnisky G, Heal G, Beltratti A (1995) The green golden rule. Econ Lett 49:175–179 Clark CW (1976) Mathematical bioeconomics – the optimal management of renewable resources. Wiley, New York Conrad JM, Clark CW (1987) Natural resource economics: notes and problems. Cambridge University Press, New York Crépin A-S (2004) Multiple species boreal forests – what Faustmann missed. In: Dasgupta P, M€aler K-G (eds) The economics of non-convex ecosystems. Academic, Dordrecht Crépin A-S, Norberg J, M€aler K-G (2011) Coupled economic-ecological systems with slow and fast dynamics – modelling and analysis method. Ecol Econ 70:1448–1458 Ehrlen J, van Groendael J (1998) Direct perturbation analysis for better conservation. Conserv Biol 12:470–474 Ehui SK, Hertel TW (1989) Deforestation and agricultural productivity in the Côte d’Ivoire. Am J Agric Econ 71(3):703–711 Fisher B, Edwards DP, Giam X, Wilcove DS (2011) The high costs of conserving Southeast Asia’s lowland rainforests. Front Ecol Environ 9(6):329–334 Foley JA, Asner GP, Costa MH, Coe MT, DeFries R, Gibbs HK et al (2007) Amazonia revealed: forest degradation and loss of ecosystem goods and services in the Amazon Basin. Front Ecol Environ 5(1):25–32 Getz WM, Haight RG (1989) Population harvesting: demographic models of fish, forest, and animal resources. Princeton University Press, Princeton Harvey CM (1994) The reasonableness of non-constant discounting. J Public Econ 53:31–51 Heal G (2005) Intertemporal welfare economics and the environment. In: M€aler K-G, Vincent JR (eds) Handbook of environmental economics, vol 3. Elsevier, Cambridge, MA, pp 1105–1145

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Horton B, Colarullo G, Bateman I, Peres C (2003) Evaluating non-user willingness to pay for large-scale conservation programs in Amazonia: a UK/Italian contingent valuation study. Environ Conserv 30:139–146 Humphries S, Holmes TP, Kainer K, Koury CGG, Cruz E, de Mirand RR (2012) Are community based forest enterprises in the tropics financially viable? Case studies from the Brazilian Amazon. Ecol Econ 77:62–73 Indrajaya Y, van der Werf E, van Ierland E, Mohren R (2014) Optimal forest management when logging damages and costs differ between logging practices. CESifo working paper no 4606. Leibniz Institute for Economic Research, Munich Ingram CD, Buongiorno J (1996) Income and diversity tradeoffs from management of mixed lowland Dipterocarps in Malaysia. J Trop For Sci 9:242–270 Johns JS, Barreto P, Uhl C (1996) Logging damage during planned and unplanned logging operations in the eastern Amazon. For Ecol Manage 89:59–77 Kant S (2000) A dynamic approach to forest regimes in developing economies. Ecol Econ 32:287–300 Kant S, Shahi C (2013) Multiple forest stocks and harvesting decisions: the enhanced green golden rule. In: Kant S (ed) Post-Faustmann forest resource economics. Springer, Dordrecht Kramer R, Mercer E (1997) Valuing a global environmental good: US resident’s willingness to pay to protect tropical rain forests. Land Econ 73:196–210 Laurance WF (1999) Reflections on the tropical deforestation crises. Conserv Biol 91:109–117 Leslie PH (1945) On the use of matrices in certain population mathematics. Biometrika 33:183–212 Leslie PF (1948) Some further notes on the use of matrices in population mathematics. Biometrika 35:213–245 Macpherson AJ, Schulze MD, Carter DR, Vidal E (2010) A model for comparing reduced impact logging with conventional logging for an Eastern Amazonian forest Macpherson A, Carter DR, Schulze MD, Vidal E, Lentini M (2012) The sustainability of timber production from Eastern Amazonian forests. Land Use Policy 29:339–350 Malhi Y, Aragão LEOC, Galbraith D, Huntingford C, Fisher R, Zelazowski P, Sitch S, McSweeny C, Meir P (2009) Exploring the likelihood and mechanism of a climate-change-induced dieback of the Amazon rainforest. Proc Natl Acad Sci U S A 106:20610–20615 Montgomery CA, Adams DM (1995) Optimal timber management policies. In: Bromley DW (ed) The handbook of environmental economics. Blackwell, Cambridge, MA, pp 379–404 Namaalwa J, Sankhayan PL, Hofstad O (2007) A dynamic bio-economic model for analyzing deforestation and degradation: an application to woodlands in Uganda. For Policy Econ 9:479–495 Nobre CA, Borma LS (2009) ‘Tipping points’ for the Amazon forest. Curr Opin Environ Sustain 1:28–36 Pearce D (2007) Do we really care about biodiversity? Environ Resour Econ 37:313–333 Pearce D, Putz FE, Vanclay JK (2003) Sustainable forestry in the tropics: panacea or folly? For Ecol Manage 172:229–247 Pinard MA, Putz FE (1996) Retaining forest biomass by reducing logging damage. Biotropica 28:278–295 Pinard MA, Barker MG, Tay J (2000) Soil disturbance and post-logging forest recovery on bulldozer paths in Sabah, Malaysia. For Ecol Manage 130:213–225 Potts MD, Vincent JR (2008) Harvest and extinction in multi-species ecosystems. Ecol Econ 65:336–347 Putz FE (2004) Are you a conservationist or a logging advocate? In: Zarin DJ, Alavalapati JRR, Putz FE, Schmink M (eds) Working forests in the tropics: conservation through sustainable management? Columbia University Press, New York, pp 15–30 Putz FE, Pinard MA (1993) Reduced-impact logging as a carbon-offset method. Conserv Biol 7:755–757

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Putz FE, Zuidema PA, Synnott T, Pẽna-Claros M, Pinard MA, Sheil D, Vanclay JK, Sist P, GourletFleury S, Griscom B, Palmer J, Zagt R (2012) Sustaining conservation values in selectively logged tropical forests: the attained and the attainable. Conserv Lett 5(4):296–303 Rice RE, Gullison RE, Reid JW (1997) Can sustainable management save tropical forests? Sci Am 276:34–39 Rights and Resources Initiative (2012) What rights? A comparative analysis of developing countries’ national legislation on community and indigenous peoples’ forest tenure rights. Rights and Resources Initiative, Washington, DC, p 72 Silva JNM, de Carvalho JOP, Lopes J d CA, de Almeida BF, Costa DHM, de Oliveira LC, Vanclay JK, Skovsgaard JP (1995) Growth and yield of a tropical rain forest in the Brazilian Amazon 13 years after logging. For Ecol Manage 71:267–274 Sohngen B, Mendelsohn R (2003) An optimal control model of forest carbon sequestration. Am J Agric Econ 85(2):448–457 Usher MB (1966) A matrix approach to the management of renewable resources, with special references to selection forests. J Appl Ecol 3(2):355–367 Vanclay JK (1995) Growth models for tropical forests: a synthesis of models and methods. For Sci 41:7–42 Vardas G, Xepapadeas A (2010) Model uncertainty, ambiguity and the precautionary principle: implications for biodiversity management. Environ Resour Econ 45:379–404 Vincent JR, Carson RT, DeShazo JR, Schwabe KA, Ahmad I, Kook Chong S, Tan Chang Y, Potts MD (2014) Tropical countries may be willing to pay more to protect their forests. Proc Natl Acad Sci U S A 111(28):10113–10118

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_222-2 # The International Bank for Reconstruction and Development/The World Bank 2015

Timber Production Cost and Profit Functions for Community Forests in Mexico Frederick Cubbagea*, Robert Davisb, Diana Rodríguez Paredesb, Yoanna Kraus Elsinc, Ramon Mollenhauerc and Gregory Freyd a North Carolina State University, Raleigh, NC, USA b World Bank, Latin America and the Caribbean Division, Washington, DC, USA c World Bank, Washington, DC, USA d USDA Forest Service, Washington, DC, USA

Abstract Tropical forestry has few studies of economics, but this chapter reviews one detailed case in Mexico of 30 community forestry enterprises (CFEs) throughout Mexico that provide an excellent example of natural forest management. The CFEs were surveyed in 2012 to determine their production, cost, and return information for timber growing, harvesting, and lumber production at sawmills. Factors influencing costs such as the type of CFE, size of the forest, region of the country, forest certification status, use of computer equipment, and planning and monitoring systems were examined. All of the 30 CFEs except 1 made profits in forest management and timber growing. For timber harvesting, 22 of 30 CFEs made profits, but the losses were small for the other CFEs. For the 23 CFEs with sawmills, 18 made profits and 5 had losses. The greatest total returns for the CFEs accrued to those with sawmills for lumber production. Very few of the factors hypothesized to influence CFE costs were statistically different, but this may be due to the large variation in costs. Regressions found that timber harvesting costs per unit were inversely related to timber sales volume per ha; profits increased with sales volume per ha. Sawmilling costs were inversely related with lumber production, and profits increased with lumber production volume. The CFEs also offered substantial employment opportunities, at an average of 110 employees per CFE. While most CFEs made positive returns on their operations, their costs for every phase of the production supply chain were relatively high and apt to make them vulnerable to competition from imports, especially if their large natural forest inventories declined in the future.

Keywords Mexico; Community Forests; Economics; Timber Production

Introduction and Objectives The economics of tropical forestry is important in a wide range of subjects, as noted by the chapters in this book. The core timber production, harvesting, and sawmilling functions probably still are the largest contributor to income for forest landowners and communities in the tropics, but we have very little empirical knowledge and research results about these topics. The lack of knowledge and reliable information about timber production economics in the tropics also is one of the major causes of the fear of forest communities and external investors who can contribute *Email: [email protected] Page 1 of 19

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capital to sustainable forest management (SFM). Without good data, the risk is higher, making it difficult to attract possible investors or creditors. Better economic analyses would help provide more benchmarks for the success of forestry operations, as well as comparisons between conventional or reduced impact logging (RIL) or legal and illegal logging. Economic studies are important to assess SFM opportunities or to quantify the losses that communities or countries incur if poor practices or illicit timber production prevail. They also provide insight about the production costs and global competition for forest products and help identify strengths and weaknesses of domestic supply chains. The World Bank, CONAFOR, and PROFOR carried out a project in Mexico that analyzed forest management, timber production, timber harvesting, and sawmilling on community forestry enterprises. This chapter draws on the results of that study as reported by Cubbage et al. (2013) by examining the factors that influence cost and profit functions in timber production.

Methods The methods for this research involved collecting primary production and cost data from community forestry enterprises (CFEs) in Mexico; estimating productivity and costs for each forestry activity including timber growing, harvesting, and sawmilling; estimating production levels, costs, returns, and profits; and calculating cost and profit functions based on the individual production and cost data for each CFE (Fig. 1). Details on the production costs, returns, and profits are described in the equations and text that follows. The statistical cost and profit functions then allowed us to examine what factors were most important in determining average costs of profitability. These same procedures would be necessary for analyzing tropical forestry economics in other countries as well. A consortium of the World Bank and Comisión Nacional Forestal (CONAFOR) conducted a detailed survey of community forestry enterprises (CFEs) in Mexico in 2012 in order to collect forest

Collect Primary Production and Cost Data from Community Forestry Enterprises

Summarize Annual Data for Each Forestry Activity: Timber Growing, Harvesting, and Sawmilling

Calculate Annual Production Levels, Costs, Returns, and Profits by Activity (See Equations 1 to 8)

Estimate Statistical Cost and Profit Functions by Activity (See Equations 9 to 12)

Identify Important Factors in Determining Costs and Profits from the Statistical Analysis

Fig. 1 The community forestry enterprise economic analysis process

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management, timber production, timber harvesting, and sawmilling data. Surveys were developed in conjunction with CONAFOR and various stakeholder groups in a series of two workshops and one pilot test in the field. The final survey contained an informed consent form for the ejidos; a one page summary of key questions; and eight modules covering most parts of community forest management from administration to ejido characteristics to silviculture, harvesting, sawmilling, and subsidies. A total of 186 questions were included in the detailed questionnaire, and some such as on equipment costs had multiple subcomponents. Final survey instruments were used to collect information from 30 CFEs in Mexico from 12 different states (Campeche, Chiapas, Chihuahua, Durango, Guerrero, Jalisco, México, Michoacán, Oaxaca, Puebla, Quintana Roo, and Veracruz), including initial interviews and recontacts as necessary to obtain follow-up information or gaps in the data. This represents a 10 % sampling intensity, based on a CONAFOR estimate that there are 291 Type III and IV community forestry enterprises. The CFEs were sampled based on a list developed by CONAFOR, who also helped facilitate introductions for the surveys and data collection. The data collection efforts were administered by a project field coordinator, who helped develop the survey instrument and converted the survey to tabular form to use in a spreadsheet. He also wrote a field guide manual for the interviewers to use in the field and trained them to use the questionnaire. Four sample CFEs were surveyed with the set of survey materials by the project coordinator and other principal investigators (PIs) and the procedures clarified for the other enumerators to carry out the rest of the interviews. The project coordinator checked the data for each CFE when it was returned and made any verification or corrections as needed, either by consultation with the enumerators, direct call-backs or emails with the CFE, or occasional questions for CONAFOR. The project budget included a 30 % contingency for revisits to ejidos if necessary, which was used as needed. Other project Co-PIs entered the data in analytical spreadsheets to estimate costs, returns, and profits for the CFEs and communicated often with the project field coordinator as needed to clarify and interpret any questions that were confusing. The project PIs and analysts developed the final spreadsheets used to analyze the data.1 The community forestry enterprises were located throughout Mexico, in indigenous communities and ejidos. Mexico is a North American country, which is mostly in subtropical latitudes (~32
N to 16
N), with only the South being purely tropical forests. The other forests are usually in the mountains, with temperate or dry subtropical pine forests being the predominant species in most ejidos and communities with CFEs. CFEs are more typical in tropical forests than in developed countries in the Northern Hemisphere. The CFEs, which are unique and probably more organized than in many countries (Antinori 2005; Bray et al. 2003, 2005a, b; Huppe 2008), are governed and owned by the ejidos and communities and supplied by communally owned ejido or community forestland. Mexico has had organized community forest management for several decades, which makes it relatively unique and perhaps exemplary globally. The ejidos received their rights to harvest their lands in the 1980s, well before many other countries in the subtropics (Madrid et al. 2009). This has allowed them to develop technical, financial, and organizational skills for many years. They also have received substantial initial investment and training from the central government and external NGOs and continue to do so in many cases. And since the ejidos own most of the forests in the country, they do not face much competition from industrial and illegal sources of timber, as do community forest enterprises in other tropical countries. So this analysis covers a tropical community forest governance structure, although perhaps more organized than most, but mostly within subtropical to temperate forest types. The study surveyed two 1

The spreadsheet template developed is available from the chapter authors upon request. Page 3 of 19

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types of forest landowners in Mexico – (1) owners with capacity to grow and harvest timber (termed Type III by CONAFOR) and (2) owners with capacity to grow, harvest, and process forest products with their own sawmill or other processing capacity (Type IV). Of the 30 CFEs, 23 were Type IV, and 7 were Type III. Three of the thirty CFEs surveyed managed tropical forests; 27 managed subtropical or temperate forests and species. We also collected data on selected characteristics that might affect the ejidos’ management, productivity, costs, or profits. Forest management costs and returns were estimated for the growing and selling of timber to be harvested based on the costs for forest management and administration. Timber harvesting profits were estimated as the difference between the costs to cut the timber and bring in to the roadside – “aprovechamiento en brecha” – and the returns were the payments received at the roadside. Lumber production or sawmilling costs were calculated as the price of the timber purchased by the mill, the harvesting costs, transport costs, and sawmilling costs, compared to the returns from selling lumber FOB at the mill.

Cost and Profit Calculations For this chapter, we focus on the annual calculations for average costs and profits for timber growing, timber harvesting, and lumber manufacturing. We used standard financial calculations to estimate the costs, returns, and profits, as per Klemperer (2003) and Wagner (2012). Average costs of production per cubic meter or board foot were calculated as the total costs per month or year and dividing those total costs by total production for the same period. Mathematically, the total cost (TC) of many inputs (Xi) at their individual prices (Pi) for 1 year is represented by Eq. 1: TC ¼

n X

Pi  Xi

(1)

i¼1

For most equipment, this required us to calculate the total cost per year as comprised of fixed and operating costs, which we obtained in the surveys (Eqs. 2 and 3): X X Pi  Xi fvariable costsg TC ¼ Pi  Xi ffixed costsg þ ¼ fdepreciation þ interest, insurance, taxesg

(2)

þ ffuel, lube, maintenance, and laborg ¼ FC þ VC

(3)

The total cost per year was divided by the output (Y) to determine the average cost (AC) per unit of output: AC ¼ TC=Y

(4)

Multiple revenues from one project per year, such as several types of lumber being manufactured, used the same approach – the total revenue (TR) per year equaled the sum (or weighted average) of the price of each output times the quantity of that output per year; average revenue would equal the total revenue per year divided by the output (Y).

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TR ¼

n X

Pi  Yi

(5)

i¼1

The total revenue was divided by the output (Y) per year to determine the average revenue (AR) per unit of output: AR ¼

n X

TR=Y

(6)

i¼1

Most forestry analyses use discounted cash flow analyses and capital budgeting procedures to estimate the net present value (NPV) of one rotation of a forest stand or the land expectation value (LEV) for an infinite rotation of that management regime (Wagner 2012). We tried that approach initially, but since the CFEs were just making periodic harvests and thinnings of different parts of a natural forest, and not replanting a specific stand, the classical LEV approach was not as useful as when evaluating different rotations on a fixed piece of land. We were able to calculate NPVs (see Cubbage et al. 2013) but focus on the annual undiscounted returns, cost functions, and profit functions in this chapter, which provide a means of comparing productivity and costs among different natural management regimes at a given point in time based on cross-sectional data (e.g., Carter et al. 1994). These cross-sectional data presented here do not provide discounted cash flow and capital budgeting analyses of forestry investments but instead provide annual costs, returns, and profits based on empirical data for the year the data were collected. We collected information on harvest and growth per year in the surveys, and also obtained the forest management plans from the CFE or CONAFOR, which projected timber harvest schedules for a decade, which usually were somewhat different than just the reported 2011 harvest. We then used these data to calculate costs and returns over a 30 year period by replicating the 10 year trend three times. This then provided a proxy for comparisons among CFEs for the silviculture practices over time, only for natural stands, not for planted stands. Thus, their cumulative future revenue (FR) and future cost (FC) for the entire period of the analysis, without any discounting, was simply the sum of the annual revenues or costs (subscript “a” below) based on their harvest levels in 2011 and any adjustments per their forest management plan, continued into the future (shown for FR but the same for FC): FRforest managmenmt ¼

30 X

TRa

(7)

a¼1

The annual profit or net return per year for each operation per year from the forest to the sawmill was equal to TR – TC. Profit ðor Net ReturnsÞ : ∏ ¼ TR  TC

(8)

Statistical Cost and Profit Functions We analyzed the statistical relationships among annual production, costs, and profits and selected characteristics of the CFEs and their forests. This was difficult to do precisely, due to the relatively small sample of 30 respondents, 7 of which did not have sawmills, and the wide variability among CFEs. The data were analyzed with Statistix 10 in order to examine relationships among costs and profits. Page 5 of 19

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We followed the approach used for timber harvesting developed by Carter et al. (1994) and Stuart et al. (2010), who employed linear/quadratic functions and logarithmic transformations, which is a CobbDouglas cost function. The exponents on the Cobb-Douglas function provide a useful measure of relative costs, which measures the relative importance of each independent variable. The equations were Simple Linear Equation: C ¼ b0 þ b1 P þ b2 A þ b3 D

(9)

Log/Log (Cobb-Douglas Cost Function) C ¼ b0 Pb1 Ab2 Db3

(10)

lnC ¼ lnb0 þ b1 lnP þ b2 lnA þ b3 lnD

(11)

where 0 < b1,b2,b3,b4,b5 < 1

where P = production, m3 per year A = total forest area (ha) D = dummy variable for type of CFE, or for region, or for characteristic of the CFEs; the 0/1 dummy variables were not logged in the regressions.

Results The total area of the forests for each ejido or community ranged from 151 to 62,493 ha, with a mean of 12,269 ha. The average standing inventory for the CFEs was 178 m3/ha, and the range was from 21 to 450 m3/ha. These areas and volumes represent a wide range, which allowed us to make observations about many different conditions. However, they also provided considerable variability, which made generalizations about “average” conditions or statistical estimates difficult. Nevertheless, the broad sample is more representative of Mexico than a narrow sample, and the results obtained are valuable to improve the sampling and benchmarks for future efforts. We sorted the ejidos and communities by geographic region (Fig. 2). The northern states were Chihuahua and Durango. The southern states in the Mexican Peninsula were Campeche and Quintana Roo. The rest of the ejidos and CFEs were classified as being in the central region (Chiapas, Guerrero, Jalisco, México, Michoacán, Oaxaca, Puebla, and Veracruz). In the following discussion, note that the results have costs, returns, and profits per cubic meter, and per CFE. Several CFEs or characteristics of interest were cheaper on a per-unit basis, such as forest management for certified forests, but not more profitable per CFE, because certified CFEs were generally smaller and had smaller sales. Table 1 summarizes differences among the systems by each characteristic. Overall, there were not large differences by breakdowns between certification, type of CFE, computer equipment and monitoring, size of forest, tropical versus temperate forests. Ten CFEs had forest certification; twenty did not. Twenty-three had computer equipment, and seventeen had mechanisms to monitor business operations. Almost all of the ejidos/communities (27) interviewed were in subtropical-temperate forests, usually dominated by pine species. Nine were classed as small forests, with less than 1,000 ha of forests. Eight had more than 10,000 ha of forests, and the remaining thirteen were medium sized.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_222-2 # The International Bank for Reconstruction and Development/The World Bank 2015

Fig. 2 States with community forests sampled in Mexico

Forest Management The area and initial volumes in the CFEs varied widely. The large average standing volumes of more than 150–450 m3/ha would represent mature to old growth forests, with large opportunities for timber harvesting and economic returns. The smaller average volumes per ha would indicate that the CFEs had less mature forests, or at least had harvested more of those forests already. All of the forests were managed as natural stands, and almost none were regenerated by planting trees. Thus, there was not a rotation per se that one could use to perform the analysis. Instead, we used the current timber harvests and timber growth information to calculate the returns over a 30 year period, which was complemented by projected harvest schedules that we obtained from the forest management plan for each CFE. Forest management returns and costs are summarized in Table 2. The average amount of timber harvested for total of 30 years between the 30 CFEs was 109 m3/ha, with a range of values ranging from 1 to 470 m3/ha. The average price paid for standing timber in 2011 was MX $ (Mexican Pesos)2 661/m3, equivalent to US $51/m3. The average cost of forest management for timber at the end of the 30 year period was MX $1,187/m3 or US $91/m3. The average value of cumulative future income (MX $2,706/m3 or US $208/m3) was greater than the cumulative costs. Thus, timber growing was profitable over the period. In fact, only 1 CFE out of 30 was not profitable, and that was because it had almost no timber harvests.

2

Note: The conversion rate used for 2011 prices was 13 Mexican Pesos = 1 U.S. dollar. Page 7 of 19

20

70

10

30

Without certification

20

7

Type III

80

23

Type IV

80

23

With computer equipment

20

7

W/o computer equipment

60

17

With monitoring mechanisms

40

13

W/o monitoring mechanisms

30

9

Smalla

40

13

Mediumb

30

8

Largec

20

7

North

70

20

Central

Area under forest production: asmall ( conspicuous

Peduncle detachment (abscission)

Softening of pericarp or sarcotesta

Taste (sweet)

Dehydration – drying of dry fruits. Seed wings => breaking w/o bending

Funicle detachment

Odour, - e.g. nocturnal animal disperser

Splitting open dry dehiscent fruits

Resin exuding, ‘sweating’ fruits

Equipment and Transport The need for equipment and accessories depends on seed types and collection method. If several collection teams are operating, each team should be provided with a “standard kit” containing GPS, local tree flora, seed documentation forms and labels, and writing tools (permanent markers). For most collections tarpaulins, long-handled pruners which can be mounted with saws and secateurs, hand secateurs, flexible saw with throw bag, and drying and depulping devices (latter including water containers and hoses) will be needed. For tree climbing, spurs, ropes, safety belts, and rope clamps are necessary; especially for advanced line technique, various throwing or ballistic devices (slingshots, crossbows, or the like) are required. Lengthy expeditions with overnight stays may require various camping equipment. Restrictions and Permits Nowadays seed collection is often restricted by ownership and/or protective rules. Open access to seed sources is generally restricted to seed sources in degraded forests, roadside plantings, or public areas. The vast majority of seed sources are owned by privates or public institutions who would often demand documentation of person and purpose of collection and, in case of larger collections, demand a fee paid.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 2 Large slingshot used for advanced line technique. Beware of what is considered a potential weapon with license requirement

Where national seed supply systems exist, forest departments and private seed suppliers often have their own planted seed sources of their main species. Outside collectors may here be considered intruders. Collection rules usually emphasize that collection must be done without or with minimum damage to the trees. Ground collection does not do any harm to trees, but climbing with spurs and pruning seedbearing branches inevitably imply some damage. It can therefore be difficult to achieve collection permits for such methods in some protection areas. The use of guns for shooting down fruit-bearing branches obviously requires specific weapon license and permit to use on specific sites. In addition, seed collectors should be aware of possible restrictions for the use of other shooting devices such as slingshots/catapults. Seed collection outside own seed sources is most efficiently complied with an annual renewable contract basis. Contracts should state ownership details, collector details, exact location for collection, approximate quantity of permitted collection under the contract, and possible restriction on methods (vehicle use, equipment, damage to trees, etc.) (Fig. 2). Organizing Post-Collection Handling Post-collection seed handling includes processing (extraction, cleaning, drying) and seed storage. During peak season, where several collection teams may be occupied, loads of seed may be delivered to the central station. Processing must be performed as quickly as possible in order to limit seed deterioration in transit. 1. Each seed lot should be inspected upon arrival. If seeds are moist, they should go to dry or wet extraction depending on the fruit type. 2. Green immature fruits are put to afterripening in shaded conditions.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015

3. Recalcitrant seed should be treated as fast as possible as they will always deteriorate fast. Organizing Record Keeping Some of the most crucial seed information refers to collection site and field conditions. Such information must necessarily be recorded in the field. It is practical to organize recording by preprepared forms and labels. Because of the ease and storage capacity of modern computers, it is tempting to collect and record large amount of data. However, putting a heavy workload on field recording may be counterproductive if information is not exact. Simple writing conditions in the field may discourage detailed recording. A proposed field recording system is shown in annex A. The essence is that any seed lot can be traced back to its origin. Field staff seed lot numbering systems should be arranged so it gives no confusion with central number system. A central seed collection and distribution system typically consist of certain substations (usually located at different places), each of which has various numbers of collection teams. Each collection team and each substation is allocated an unambiguous identity, e.g., a three-letter acronym (avoid one letter or one number as they easily get confused with other information like species and dates). Each collection team can then use a continuous numbering as they collect seed lots. There is no need to include species name in the seed lot number that just ads problems if the species is incorrectly named in the field. For example, seed lot number Mos-Bat-14-009 means the 9th seed lot collected in year 2014 by Moses collection team from Batu substation. Please notice that the tentative field number is maintained in the final recording system. Some practical hints, labels and ink, must be water resistant, so reading will persist even if labels are exposed to natural moisture. Labels and seed documentation forms should be part of seed collection kits together with collection equipment, containers, etc. Field staff should be trained in filling in forms. Labels should remain together with fruit and seed throughout processing. Simple clamps to attach labels ease practical handling. Redundant labels, e.g., after extraction where a number of containers are reduced, should be thrown away to avoid later confusion. Once seeds are entered into the central seed system, a new seed lot number is assigned (see Sect. “Documentation of Seed Collection”).

Seed Collection Techniques Collection techniques refer to the physical picking of seed from crowns or beneath trees to seed collectors’ containers. Most physiological and mechanical damage occurs during this process. Since damage cannot be undone, adopting the best collection technique is crucial for the ultimate seed quality. Seed collection is usually one of the most expensive seed handling procedures since it typically involves transport to seed sources and labor-demanding collection. Despite the development of accessories, seed collection is still pretty much a manual work. Collection from the ground, possibly after shaking, is normally much cheaper than collection from the crown, especially where the latter involves arduous climbing. The rule is that the simpler and cheaper methods apply as long as it does not compromise seed quality. Collection of Fallen Seeds and Fruits Seeds that are not dispersed will eventually fall to the ground. Abscission is the process where peduncle or pedicels develop a weak zone which keeps the fruit attached to the tree, strong enough not to fall by pure gravity force, but still can easily be detached by wind or frugivorous animals (Maurer et al. 2013; Pazos et al. 2013). The fraction of seed falling under the mother tree is thus usually small compared to the total fruit production. In most species, fallen seeds and fruits are readily attacked by pests or predators (some of which may also be dispersers), or in some environment, and particularly for recalcitrant seed, they will quickly be lost to germination. Collection entirely after natural fall is thus rather unreliable.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 3 Collection from the crown by shaking branches with throw lines or pole hooks

Another problem of collection after natural fall pertains to very small-seeded species like Octomeles and eucalypts. Such seeds are simply not possible to find unless forest floors are covered by tarpaulins or other dense materials. But even under these conditions, seeds are easily blown away. Ground collection usually involves some shaking of branches that simulate the mechanical impact of dispersal release. If shaking is too violent, too many immature fruits will be released, and if they cannot be afterripened, it is wasted. For seed orchards on plane land, special tree shakers are available that can “empty” a tree for fruits in few seconds (McLemore and Chappell 1973). However, for most species, manual shaking of branches by ropes, hooks, or the like from ground or by climbers provides adequate impact to release mature dispersal ready fruits (Fig. 3). Tree species with long fruiting time impose some special problems because only small quantity of seeds can be collected at any time. Such trees must often be revisited several times during the fruiting season in order to harvest adequate seed (Figs. 4 and 5). Large fruits or seed may be collected manually. Smaller seeds are preferably collected from laid-out nets or tarpaulins. Where ground vegetation impedes this, the nets can sometimes be hung up above soil level. If the forest floor is reasonably clean (e.g., in established seed sources), seeds may be swept, raked, or vacuum collected (Mineau 1973; Riley et al. 2004). These methods imply, however, contamination with soil and debris, possibly also infected with pathogens which, unless the unprocessed mix is used for bulk direct sowing, imply subsequent cleaning operation to eliminate these non-seed materials. Collecting Seeds from the Crown Seeds are collected from the crown if ground collection is not possible, for example, if fruits are readily being removed by predators/dispersal agents, if fallen seeds tend to be easily destroyed by predators or

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 4 Extraction by drying on wire mesh. The fruit capsules open when dry and seeds fall out themselves. Under humid conditions, extraction is facilitated by kiln drying, where fruits are exposed to a hot air current

Fig. 5 Pterocarpus seed germinating from fruit without extraction (left) and after extraction (right). Extraction is often omitted because of labor and high risk of seed damage

removed/lost by dispersal or fast germination, or if small seeds are blown away if ground collection is attempted. Under these conditions, fruits are collected from the crown either from a ground position or by climbing. Low trees and bushes up to say 6–8 m high do not impose much problems because seeds can be collected by pruning small branches. Sometimes even large trees have fruit-bearing branches at low height that can be pruned. However, outcrossing is often better at higher positions of the crown; relying on the low-hanging fruits is thus not always advisable (Patterson et al. 2001). High fruit-bearing branches may be cut down by the help of advanced line technique, where flexible saws are placed over high branches and cut down by alternately pulling the two ends of the ropes. It is, however, difficult to place and operate the saw at more than about 10 m height. In Australia, shooting down tall fruit-bearing branches is common for collection of small-seeded eucalypts (Gunn 2001; Gunn et al. 2004). When access to higher parts of the crown is necessary, there are various options. Hydraulic automobile or truck-mounted platforms/lifts may be used in open flat terrain. Although devices are getting relatively common thanks to their wide use in building industries, the cost of purchase/renting and operation costs still inflict restrictions for use in seed collections. Climbing trees for seed collection is, albeit effective, usually reduced to a minimum because of risk and costs. However, the development of lightweight, safe, and strong climbing equipment has made climbing an easier and less risky task (Anon 1995; Blair 1995).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015

Ladders are suitable versatile equipment for climbing low crowns or clear boles and to getting access to crowns with dense branches, which can be used as support. Telescopic ladders up to 6–8 m are available, are lightweight, and take very small space. Aluminum extendable ladders can be used the same way but are more bulky and difficult to carry. Climbing spurs are suitable for trees from about 25 cm diameter to about 70 cm diameter with relatively soft wood or bark where spurs can easily be kicked in. Some hardwoods and palms have extremely hard wood where spur climbing is in practice impossible. Spurs are also difficult to use for smaller diameters because of sideway balance; larger trees are difficult because of foot position and problems of maneuvering the safety strap. For suitable species and sizes, spur climbing is easy as it is a simple “walk” up the trunk by kicking the spurs into the trunk. A safety strop tied to the climber’s safety belt goes around the trunk at all times. When passing branches, a safety strop is placed above the branch before releasing the strop under the branch (Blair 1995). Smaller trees of say 10–30 cm diameter may be climbed using “hitch knot” climbing technique. The climber uses two loops tied around the tree trunk. One is tied to the climber’s safety belt; the other is used for the foot. The climber ascends by lifting himself by the leg and then pushing up the body hitch knot. Hanging in that one, he moves upward the foot knot. The method is safe because the climber is tied to the trunk at any time. It is, however, rather physically demanding. This method is also suitable for climbing short difficult distances between long spacing branches in the crown. Advanced line technique consists of placing a climbing rope over a high branch by some shooting devices (throw line, bow and arrow, catapult). Modern tree climbing technique usually uses special climbing rope where climber moves up and down by the help of foot and hand rope clamps. Both hand and foot clamps are tied via straps to the climber’s safety belt, and movement is both easy and safe. Rope climbing is also convenient for sideways climbing where climbers move around in the crown collecting seeds or pruning seed-bearing branches or fruits.

Documentation of Seed Collection Availability of various data storage and management systems has made data management much easier than before but also rather daunting. The relevant information for seed documentation is the same, whether documentation is in manual ledgers or electronic devices: assignment of seed lot identity code, site of seed collection, conditions, etc., are all relevant. The strength of the computer-based electronic system is that: 1. Large amount of data can be stored at small physical space. 2. Data in one system can be linked to a different system, e.g., (seed source) map or seed testing database. 3. Relevant data can easily be retrieved from a database as long as a person has access to the system. In a database, seed information may be retrieved under different listing criteria, for example, by species or by seed source type. A rather user-friendly system is Microsoft Access #. Databases sort and list on criteria based on digits (numbers or letters) from left to right. A few practical advices ease subsequent data management: 1. Seed lot identity consists of a species code of four capital letters (normally the first two letters of genus and species epithet, e.g., ACMA for Acacia mangium), followed by a seed lot number. Practical system is chronological numbering as seed lots enter the system for each year. Since database listing is normally done from left to right, it is advisable to list year before the number. For example, a seed lot number ACMA-14-089 means the 89th seed lot of Acacia mangium collected in 2014.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015

2. In addition to GPS coordinates, use region, provenance, and, when applicable, seed zone indications for site identification. This makes listing according to geographical parameters easier.

Seed Collection for Genetic Conservation Conservation of forest genetic resources aims at maintaining the genetic integrity of populations. Since selection and breeding tend to narrow the genetic base (by eliminating less fortunate genes), they also limit the potential gene pool for improvement in the future. Plant breeding often includes wild relatives of domesticated plants because these populations may contain attractive genes (e.g., for disease resistance) which may not be present in breeding populations. Hence, for breeding purposes, maintenance of gene pool is important. In addition, many lesser used species with limited distributions, in particular endemic species, are often endangered on species level. Conservation of forest genetic resources is a mixture of ex situ and in situ conservation. Ex situ conservation plays an increasingly important role, because in situ populations are often difficult to protect. For discussion on the use of ex situ and in situ conservation, reference is made to FAO et al. (2001, 2004a, b). The aim of ex situ conservation is to gather genetic variation from wild populations and either keep them in long-term seed banks (Linington 2003) or raise them in plantations where they can be protected. Conservation collection includes five key challenges: 1. Delineation of the area within which to collect seed. If species include several definable provenances, it may be desirable to maintain provenances separate. However, if provenances have been reduced to a very small number of interbreeding trees, it may be sensible to mix close provenances. 2. Identification of representative trees and populations. The history of fragmented populations should as far as possible be assessed. Populations of interbreeding trees would be expected to have greater similarity than isolated populations. What appear as fragmented populations may in some instances be remnants of large recently interbreeding populations; sometimes remnants of ancient coherent populations are separated by, e.g., climate change; in other cases, they are “outliers,” “satellite,” or “island” populations isolated from the main population(s). Such outliers may contain rare alleles not represented in the main population. On the other hand, the outliers may contain very little genetic variation since they may have originated from a small number of accidentally dispersed seeds. Examples of natural fragmented populations are many northern hemisphere species (pines, cypresses, oaks) whose distributions stretch into tropical highlands (Critchfield and Little 1966). 3. A number of mother trees. As a rule of thumb, conservation stands should contain at least 50 widely dispersed mother trees. Of these, the majority should be from the main populations. 4. Maintaining mother tree identity. For fear of losing information, it is often tempting to maintain details, e.g., maintaining single tree collection separate. With modern days’ data management, technology may be suitable. However, if seed lots are supposed to be treated as a unit, e.g., a provenance collection, the time allocated for maintaining separate mother tree collections should be balanced with the possible benefit.

Seed Handling, Processing, and Storage The ultimate destination of seed is to germinate and develop into a healthy plant that grows into a new reproducing tree. The objective of seed handling is to maintain that property from collection to germination. The processes after collection are processing, storage, and distribution. During processing, seeds are exposed to mechanical treatment (extraction and cleaning) and modification of water content (usually drying). During storage, seeds are enforced and maintained in a nonactive (quiescent) stage for a certain time period, where they are potentially deteriorating through natural aging or through infection and Page 11 of 29

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015

infestation. During distribution, seeds may be exposed to adverse conditions different from the storage environment. During all phases, seed should be treated as a living (and thus potentially dying) material with an identity (seed lot number).

Seed Handling Between Collection and Processing Depending on distance between collection site and central processing unit, temporary processing may be necessary in the field. For example, bulky material may need to be reduced in order to reduce transport cost, and easily deteriorating material may need to be eliminated in order to maintain seed viability. Preprocessing does not differ much from final processing, only that equipment are normally lightweight portable types. For dry seed, lightweight trays, tarpaulins, sieves, and “hammocks” are suitable for sun drying. Precautions should be made against wind blowing away light seed. Often seeds of dehiscent fruits can be released by drying alone after which fruits and branchlets can be removed. Extraction from fleshy fruits is usually more complicated since it requires excess water. However, if many such fruits are collected, depulping equipment, possibly including high-pressure “jet cleaner” equipment, should be considered as “standard” equipment. Maintaining Seed Viability Any seed that does not germinate immediately will age or deteriorate, which will ultimately lead to the death of the seed (Ellis 1986). Aging for orthodox seed stored under optimal conditions is very slow. Some types of seed deterioration can be repaired during seed germination; others are irreversible. The aim of seed handling after collection is to slow down the aging process as much as possible. This is done by reducing exposure to conditions conducive to deterioration, i.e., high temperature, moisture, and infecting or infesting organisms. For orthodox, seed desiccation reduces and eventually (at around 6 % mc) brings to a halt all metabolic processes (Pammenter and Berjak 1999), both in the seed itself and in possible pests and pathogens. However, both fungal spores and some insects are able to survive very low moisture content. Low temperature has the same effect but also slows internal non-metabolic deteriorations such as disintegration of membranes and nucleotides. Desiccation-sensitive seeds impose special problems because seed viability cannot be maintained by the orthodox way of drying and cooling. For those seeds, there are two ways, which depend on their sensitivity: 1. Drying to lowest safe moisture content and cooling to the lowest safe temperature for the species. This may, for the more resistant species, maintain viability for several months. 2. Letting the seeds germinate at slow rate and keeping them as germinants. Spraying seeds with water keeps them moist and alive. Maintaining the Seed’s Identity The identity tag of seed is the seed lot number, which can be tracked back to the details of origin and collection details (Sect. “Organizing Record-Keeping”). Because field handling often involves frequent unloading for field processing, tags and labels can easily be lost. Further, seed collection team is often different from processing team, and since seed lot number in the field is temporary, it must be transferred into a proper seed lot number, and after hand over, another potential error can occur. However, some simple routines can overcome most problems:

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1. Field tags should be designed premanufactured with headings and lines (seed lot no., date, etc.) made of durable material (e.g., hard plastic or cardboard) and easy to attach and clip on containers and processing equipment. 2. An identical tag should be put on the outside and one inside of the container (if seeds are moist, it should be put inside a plastic bag). 3. Redundant labels should be thrown away to avoid confusion of their belonging. 4. The field identity number should be maintained with the seed lot after a permanent seed lot number is assigned.

Processing Processing encompasses extraction, cleaning, and possible drying for storage. Processing has various objectives: 1. Bulk reduction by extracting seed or the smallest extractable unit from bulk fruits. The ratio of fruit/ total seed weight varies from about 1:1 in some legumes to > 20:1 in some fleshy fruits. That means that bulk and thus storage space can be reduced to at least half by extraction. Cleaning after extraction has also a bulk reduction purpose, viz., to eliminate all non-seed material from the seed lot. 2. Splitting up seeds in individual sowing units. This is practical during subsequent handling. However, occasionally, several seeds are enclosed in locules in an indehiscent pyrene (stone of drupe fruit, e.g., Melia spp.); these cannot be split without destroying the seeds (Fig. 7). 3. Remove possible dormancy influence from enclosing fruits, e.g., germination inhibitors. 4. Remove decomposable fruit material which can influence seed viability and storability. This includes primarily fleshy structures from berries, drupes, and compound fleshy fruits, but also some arils and sarcotestas consist of readily decomposable matters. 5. Dry seed to a lowest safe moisture content to allow storage during a desirable period. Seed Extraction Seed extraction means separating seeds from enclosing fruits. The procedure depends on fruit type, and as we have mainly two fruit types, dry and fleshy, extraction typically follows one of two lines, dry and wet extraction, respectively. Dry extraction may be pure sun drying, high-temperature kiln drying, or combined with mechanical extraction: 1. Drying alone is adequate for many dehiscent fruit types such as capsules and pods. The fruits are usually collected just before dehiscence to avoid seeds being lost to wind dispersal. Capsules of Cedrela, Swietenia, and most eucalypts, pods of Crotalaria, and follicles of Grevillea and Sterculia belong to this group. 2. Kiln drying is an extension of air-drying also used for dehiscent fruits. It is used, for example, if air humidity is high or for fruits that only dehisce at exceptional high temperature (in nature, e.g., in connection with fire) the so-called serotinous fruits (Banksia, Hakea, and some pines). 3. Sometimes seeds remain trapped inside the fruit or attached to the dehisced fruits via the funicle, e.g., wind dispersed pods (e.g., several Acacia and Albizia species). Beating bags containing fruits with sticks are usually adequate to break funicle attachment, after which seeds can be separated by tumbling. Indehiscent fruits do not open by drying alone but must be disintegrated by some mechanical treatment, e.g., in hammer mills. Fruits of tamarind type (Tamarindus, Inga, Dialium, Pithecellobium, Prosopis) are dry fruits where seeds are embedded in a sticky substance. The dry part may be removed by gentle mechanical treatment (flailing or beating) and the sticky part by wet extraction. Page 13 of 29

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Wet extraction is used for removing soft fruit cover from seed of fleshy fruits like berries, drupes, compound fruits, arillate seeds, and seeds with sarcotestas. Soft material tends to stick to endocarps or seed coats. The material tends to decompose (rot) easily after which it can be removed mechanically. The basic procedure is as follows: 1. Fleshy fruits or seed is soaked in water to soften the pulp. It is advisable to use some flow, stirring, or aeration during soaking to prevent fermentation and consecutive formation of deleterious alcohol. 2. Regular stirring and “skimming off” released fruit material (clean seeds tend to stick to the bottom and fruit pulp floats). 3. Final cleaning in running water, possibly after brushing, mechanical stirring, or wet tumbling with abrasion material. Soaking should be no more than 1–2 days since longer-term soaking tends to exert some physiological damage to seed which influences both immediate germination and their storability (Ogunnika and Kadeba 1993; Srimathi et al. 2003; Apetorgbor et al. 2004). Several machines have been developed to ease soft fruit treatment, e.g., coffee depulper and “Dybvig” depulper. Household machines such as blenders and potato peelers are conveniently used for small quantities; rotating cement mixers are versatile machines for larger quantities. High-pressure water in so-called jet cleaners unifies the mechanical impact of the water current with the cleaning effect. Unlike some mechanical rupture, water current is gentle to delicate seed coats. However, due to the jet impact, seeds must be prevented from “blowing” away, e.g., by “packing” them in small-mesh-size wire mesh baskets. Some fruit types are very difficult to disintegrate for seed extraction. In Tamarindus, Prosopis, Dialium, Inga, and similar fruits, the pulp is sticky and difficult to loosen from the seed by traditional water depulping methods. Here biological methods are sometimes suitable, for example, feeding to goats with subsequent extraction from the feces or feeding to termites who will preferably eat the sweet pulp and leaving the clean seed behind (Masilamani and Vadivelu 1993). Extracting seeds from very hard fruits sometimes implies damage to the seeds, and seeds are in those cases sometimes sown without extraction, i.e., the entire fruit despite germination is often slower (mechanical or physical dormancy); see Fig. 9. Seed Cleaning Seed cleaning is a separation process in which non-seed materials such as fruit pieces, flowers, fruit and seed stalks, branchlets and leaves, or soil fragments are removed from the seed lot. The purpose of cleaning is primarily to reduce redundant bulk and secondarily to remove potential material for harboring pests and pathogens. Cleaning thus also includes the possible removal of insect-infested seed. However, even if some impurities may not be harmful to seed, a high degree of purity has some psychological effect in seed trade: customers often regard impurities as poor quality. Separation is based on differences in physical characters (Karrfalt 2008), e.g.,: 1. Size. Separation via sifting, which can be used to eliminate both larger and smaller than seed material by using different mesh sizes 2. Specific gravity. Separation by winnowing or specific gravity separators. For very small differences also flotation in water or other fluids with gravity between the two items to be separated 3. Shape. Separation based on differences in gravity points. Separation on hand screens, rotating belts, and indented cylinders 4. Surface structure. Separation by screens, rotating belts, and vibrating tables Page 14 of 29

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_225-1 # Springer-Verlag Berlin Heidelberg 2015 71

28

28

2

9% 31%

60%

1st cleaning

Seed lot composition before cleaning

71

88

1

3

10

3

86

11

Trash seed

97

2nd cleaning

1 24

75

100

100

Clean seed

100

Empty seed and light debris Insect damaged seed and heavy debris

100

Filled seed

Fig. 6 Progressive cleaning of seed lot. Each cleaning gives four fractions with increasing purity. Fractions with mostly debris are thrown away, while fractions with only little debris are kept. Purity in this example is less than 100 %

The challenge in seed cleaning is that both seed and impurities (debris) encompass a range of physical variation which often overlaps. Some inert matters, e.g., “other seeds,” may be very similar to seeds in some character (e.g., size) but differ in others (e.g., gravity or form). Using one method only will usually leave some inert matter together with the seed lot. However, a combination of two or more methods, each with different degrees of purity, may be used in progressive cleaning (Fig. 6): 1. Each method can be adjusted to give different classes of purity from pure inert matter over mixed inert matter and seed to pure seed. For size, it is separated by different mesh sizes, for gravity by different wind speed, and for shape and surface by, e.g., variation of slopes of screens or belts. 2. Pure debris is discharged, pure seed is kept without further cleaning, and impure fractions are cleaned using a different method until the seed lot is as clean as deemed necessary. Several progressive cleaning operations by different methods may clean seed lots to 100 %. The simplest cleaning procedure is used first followed by some of the more advanced procedures. Small seeds of the target species may deliberately be removed during cleaning since small seeds often have lower vigor than larger seed. However, seed size is also genetically controlled, and in a seed lot consisting of several families of which some are relatively small seeded, the general removal of small seed may lead to elimination of small-seeded families and hence reduction of the effective population size (Sorensen and Campbell 1993; Silen and Osterhaus 1979). If elimination of relatively small seed is considered relevant to improve vigor, grading should preferably be done on individual trees’ seed lots before bulking (Fig. 7).

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Fig. 7 Recalcitrant seed storage. If you cannot prevent germination, let them germinate. Here Lithocarpus lucidus

Adjusting Moisture Content For orthodox seed, the lower the moisture content, the longer the potential storage period (Roberts 1973). For dry fruits, drying is an integrated part of seed extraction (Sect. “Seed Extraction”), but for long-term storage, additional drying may be needed. Orthodox seed extracted by wet extraction (e.g., berries, drupes, or sarcotesta seed) will be very moist after extraction and must subsequently be dried. Recalcitrant seed may be dried to lowest safe moisture content for short-term storage or maintained at higher moisture content to allow them to germinate. Exact moisture content measurement by oven-dry method (Sect. “Determining the Moisture Content”) takes too long time to measure to be practical for processing purposes. Seed moisture meters are convenient for immediate results, but except from a relatively small number of small- to medium-size seed, they are difficult to calibrate for forest seed. However, with one moisture content analysis, and considering that weight loss during drying is due to water loss, it is possible to estimate seed weight at a predecided moisture content (Box 2). Seed moisture is in equilibrium with air humidity. That means that water will escape from seeds as long as relative air humidity is lower than the equilibrium seed moisture content. If air humidity is 80 %, the equilibrium moisture content is about 12–15 % (depending on seed type and storage material). Once that has been reached, seed cannot be dried any further unless air humidity is reduced, which can be done in one of the two ways: 1. Increasing air temperature. Since hot air can contain more moisture than cold air, the relative humidity is reduced. 2. Removing humidity from the drying air. In dehumidifiers, air is cooled down to make water condensate. When it is heated up again, it contains less relative humidity at the same temperature. For small quantities, e.g., laboratory or test quantities, water is usually absorbed from the air surrounding the seeds by a high absorbent material like silica gel.

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Orthodox seed that cannot be dried because of too high humidity is metabolically active and will behave like recalcitrant seed, i.e., will sooner or later start to germinate (unless some dormancy regulations prevent them from doing so). If they cannot be dried, it is best to let them germinate at high moisture content, since without germination, seed will rapidly reduce viability. The base conditions and rate of drying can have an influence on tolerance. Orthodox seeds with high moisture content are more temperature sensitive than dry seed. Direct sun drying should thus be avoided for very moist seed. On the other hand, desiccation damage appears to be smaller for recalcitrant and intermediate seed that is dried fast (Sacande et al. 2004; Peran et al. 2004; Pammenter and Berjak 1999). Adjusting moisture content usually means drying, but in case of too dry recalcitrant seed, rewetting may be relevant. As desiccation damage usually occurs fast, possible rewetting should be done before any irreversible damage has occurred. Desiccation-sensitive seeds tend to store better either at lowest safe moisture content (LSMC) or fully imbibed; intermediate moisture content tends to be less suitable for the maintenance of viability (Walters et al. 2001). Box 2: Using Target Moisture Content in Practice 1. Moisture content is calculated on a seed sample using the standard formula: Þ x 100 , where MC = moisture content, IW = initial weight, and ODW = ovenM C ð%Þ ¼ ðIW
ODW IW dry weight.

2. The target moisture content (TMC) is decided (e.g., safe for storage), and target weight is calculated as 100
IM C T W ¼ 100
T M C x IW, where TW = target weight of seed (at identified moisture content), IMC = initial moisture content, TMC = target moisture content, and IW = initial weight of seed.

Example: Initial moisture content of a seed lot is measured before drying. Initial (fresh) weight (IW) = 90 g. Sample weight after oven-drying (ODW) = 77 g. Moisture content (MC) is calculated as M C ð%Þ ¼

ðIW
ODW Þ x 100 ð90 g
77g Þ x 100 ¼ ¼ 14:4 % IW 90 g

It is decided to dry the seed to a moisture content of approximately 6 %. The target weight (TW) is thus

TW ¼

100
IM C 100
14:4 x IW ¼ x 90 ¼ 82 g 100
T M C 100
6

A sample of 90 g of seed will thus have a moisture content of 6 % if dried down to 82 g. OBS: The seed sample (here 90 g) must be kept in a net bag or the like during drying under the same conditions as the bulk seed. The bag is weighed regularly during seed drying, and drying is concluded when the target weight has been reached.

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Storing the Seeds The main purpose of seed storage is to establish a buffer between seed collection and planting. Storage may be short term between collection season and sowing season, or it may be long term covering several years’ consumptions and thus make annual seed collection expeditions unnecessary. The latter may be a necessity, for example, for periodic reproducing species or for expensive collections such as provenance or conservation collections to remote areas (Huth and Haines 1996). For orthodox seeds with long storage potential, the envisaged storage period should be included in the processing plan: drying to very low moisture content and cool storage essentially adds to the processing and storage costs, and such preparation and conditions are unnecessary for short-term storage of seeds that will be sown within short time. Hence, seed lots may sometimes be divided into short- and long-term storage. Storing Orthodox Seeds Orthodox seeds are desiccation tolerant to at least to 6–7 % fresh weight basis. At that moisture content, seeds are metabolically dormant, i.e., there is no respiration or any other life functions, like a switched off engine with no fuel consumption but maintaining all the potential to run. But certain aging inevitably takes place in seed during storage. Generally, the lower the storage moisture content, the slower the deterioration and the longer the potential viability. Cold storage also prolongs viability. In addition, cold storage prevents insect activities, which may be destructive under ambient conditions. Since moisture content is in equilibrium with air humidity, seeds may reabsorb moisture from the air. Seeds with high moisture content or surrounded by humid air are exposed to fungal attack. Therefore, they should be stored in sealed plastic bags after drying (Fig. 8). Most orthodox seed stored at ambient temperature with a moisture content of 6–7 % will remain viable for at least 1–2 years. For longer-term storage, mc may be reduced to 5 % or lower, and storage under cold room (5–7  C) or deep freezer conditions may prolong viability for several decades. Decline in seed lot viability means that some seeds in the lot have deteriorated beyond repair. Viable seeds are able to germinate under optimal conditions (test conditions) even if also they have undergone some aging. However, if viability declines to say 50 % of the original, it is recommended to discard the whole seed lot since the 50 % deemed viable may show very low germination under field condition (reduced vigor).

Fig. 8 Vacuum packed storage of dry orthodox seed. CATIE Costa Rica Page 18 of 29

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Storing Recalcitrant Seeds Recalcitrant seed will not survive desiccation to low moisture content where metabolism ceases, yet most recalcitrant seed undergoes some degree of maturation drying (Berjak and Pammenter 2002). Recalcitrant seed represents a continuum where some species will lose viability in few days, while others may be stored at “lowest safe moisture content” for several weeks or even months. Lowest safe moisture content varies from more than 40 % through intermediate seeds of 15–20 % to true orthodox seed that tolerates less than 5 % mc (Berjak and Pammenter 2002, 2008). Storage Facilities Seed storage typically fluctuates seasonally with large space needed immediately after seed harvest and minimum space at the onset of the normal nursery sowing season or, supposed seed being dispatched throughout the year, immediately before new seed harvest. For most species, the major part of seeds is dispatched within 1 year; only irregularly collected species, e.g., from remote provenances (including conservation species) or periodic fruiting species, are collected and dispatched with longer standard annual cycles. Cold storage is relying on electric cooling devices, where every degree of temperature reduction and every cubic unit of cooling space cost electricity and money. Some practical measures can be used to reduce storage cost in general and cold storage in particular: 1. Avoid unnecessary excess seed collection; seed viability always declines during storage, and for common species, it is difficult to sell old seed if fresh seed is available. 2. Use 3–4 levels of storage temperatures: I. ambient storage, II. cool storage in air-conditioned room (18–22  C), III. refrigerated storage (household refrigerators or “walk-in” refrigerated storage rooms, 5–8  C), and IV. deep freezer (household freezer,
18  C to
20  C). Use only low temperatures where necessary for long-term storage. 3. Use storage capacity fully. Construct walk-in cool store rooms with compartments that can reduce the total cooled space during off season or construct smaller cool rooms for long-term storage. For overseason storage, move to refrigerators or small cool rooms and switch off unused cold room. 4. Use minimum space and good insolation for walk-in cool stores. Store rooms are supplied with shelves for storage of seed containers on each side and a walking area in the middle. Walls and ceilings should be covered with 10–15 cm thick insolation material (mineral wool, Styrofoam, or the like with a low thermal conductivity (k). The smaller the k value, the larger the corresponding thermal resistance (R) value). 5. Construct cooled rooms or place cooling devices in basements of buildings and establish natural shade (trees) around the building to reduce air temperature. For long-term storage, store seed at highland stations with natural lower temperature. Since storage requirements for desiccation sensitive must allow some respiration to maintain viability, they are preferably stored (for short time) separate from orthodox seed. Net trays are suitable because seeds can be sprayed in case of desiccation, and roots and shoots of pre-germinated seeds are not harmed. Storage Containers Storage containers are used for isolating seeds from adverse storage conditions and contaminants, i.e., maintaining conditions (moisture content, purity, away from pest and pathogens) achieved during processing. Since dry orthodox seeds do not have respiration, they are best stored in airtight containers. Nowadays there are multitudes of plastic storage bags and containers of different sizes available in almost any medium to large town of the world. Many are suitable for seed storage. However, a few considerations are appropriate: Page 19 of 29

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1. Household “zipper bags” are suitable to keep seeds dry, but many insects can penetrate the material. They are also prone to mechanical damage during handling. Hence, rather thick material is recommended. 2. Seeds containing insects that may continue their activity during storage may be stored in CO2 directly in the sales quantities (Sary et al. 1993) in strong sealable plastic bags of standard consignments of weight, e.g., 50 g, 100 g, 200 g, etc., depending on seed size and usual customer requests. In order to avoid mechanical damage, the bags should be stored in containers (preferably flat, wide boxes where it is easy to see the content without emptying the whole container). 3. Large seed or large quantity of seed may be stored as loose, bulked seed in large containers. Upon seed order, any quantity of seed can be weighed out and dispatched. Seeds are usually stored in medium-size containers (1–5 l depending on seed size) to avoid them being opened too frequently and hence potentially being exposed to moist air. Because of their different storage physiology, desiccation-sensitive seed cannot be stored airtight. Hence, containers should be open to allow adequate air exchange, yet preventing excessive drying. Most species can be stored in loosely closed (but not tied) plastic bags for short time. However, conditions should be inspected regularly.

Seed Testing Testing of tropical forest seed does not principally differ from testing of horti- or agricultural seed or temperate seed for that sake, in terms of parameters. The standard parameters of all seed testing are seed weight, purity, moisture content, and viability or germination. However, tree fruit/seed morphology and physiology sometimes show forms and properties not common in other seed types. For example, large winged or fleshy fruit and seed are more common in forest trees because their base point of dispersal is at a certain height. Many tree fruits and seeds are large, and recalcitrance/desiccation sensitivity is much more common in tree crop seed. Because forest seed is used in much smaller quantity than agricultural seed, simply because the plant progeny develops into a larger plant, sampling of forest seed often differs. Eventually, collection methods of forest seed are quite different from collection of other seeds. All these factors imply some special adaptation of tree seed sampling and testing. Seed testing consists of a series of standard tests (purity, seed weight, moisture content, viability/ germination) on a sample of a seed lot (ISTA 2006; AOSA 2014). Two of the tests, viz., purity and seed weight, are nondestructive, meaning that other tests can subsequently be carried out on the same seeds. Moisture content and germination/viability tests are destructive, meaning that they cannot be used for another type of test subsequently. Hence, for practical matters, the order of tests is as follows: purity ! seed weight ! moisture content ! germination/viability. Each test procedure carries a certain number of replications, which allows calculations of statistical parameters of average and standard deviations. According to ISTA, the following number of replications applies: Purity: 2 Seed weight: 8 Moisture test: 2 Germination: 4

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It is important that the conditions of the seed sample do not change prior to or during the procedure of the testing. The former applies mainly to packing and possible storage of samples prior to the test and the latter primarily to the duration of seed tests. Purity and seed weight give immediate result; moisture content implies oven-drying for 24 h; some viability tests (cutting, X-ray, and TTZ) show immediate or fast result, while germination tests may take from a couple of weeks to several months.

Seed Lot Seed testing refers to a seed lot which is a consignment of seed from the same seed source, harvested and treated as a unit, i.e., harvested within a short time and processed by the same method. A seed lot is normally referred to with a common seed lot number, which is an identity tag assigned in the field to a consignment seed, and to which a seed documentation form is filled in with details on seed source, number of mother trees, and treatment (ref. seed documentation). Each seed-collecting unit/company has its own seed lot numbering system.

Sampling Seed samples for testing should be a representative for the whole seed lot, so that any information from the sample can be taken as information of the seed lot (ISTA 2006; AOSA 2014; Morrison 1999). If it is not a representative, the result will not reflect the seed lot conditions, and the whole exercise would be in vain. If a seed lot is completely uniform, any sample from any place (bag, container) would be a representative. However, it is quite difficult to create and maintain uniformity even over short periods of time. Seeds that vary in size, shape, water content, or other distinctive characters will tend to stratify themselves during handling and maintain such stratification. For example, relatively heavy round seed will tend to collect at the bottom of a container, while relatively flat, lighter seed and debris would collect at the top. The larger the difference, the more pronounced the stratification. Any seed character correlated with the morphological stratification will thus also be stratified. Further, any seed will be affected by its surroundings. Hence, seeds that happen to be positioned close to the top may dry or absorb moisture at a different rate than seeds at the inside of the seed container. Eventually, large seed lots may be stored in different containers, which may imply slightly different storage conditions. Several comprehensive manuals exist on sampling procedures indicating both overall principles and details for a number of common species (ISTA 1986; Kruse 2004). The two ways to overcome the problem of heterogeneity in seed lots are mixing and multiple sampling. Usually both methods are applied. Mixing should use a method that diminishes stratification and promotes uniformity. For example, shaking a container typically aggravates stratification, and some types of mechanical mixers risk just to inverse stratification. The best mixing is usually achieved by turning seed lots upside down several times, for example, by shoveling. Taking subsamples from different places in the seed lot compensates for possible nonuniformity of the seed lot. The number of samples from each seed lot depends on the uniformity and seed lot size. If the seed lot is stored in several containers, samples should as a minimum be taken from three levels of each containers (top, middle, bottom). Sample size should correspond with the container size (larger samples from large containers). Special sampler probes are available for small seeds. Larger seeds are usually collected by hand. All subsamples are eventually poured into a common sample, which is mixed and possibly divided before tests are carried out (ISTA 2006). Standard seed testing recommends sampling sizes for a number of species (ISTA 2006). Most listed species are small to medium size. Sampling becomes more difficult for large seeds.

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The Purity Analysis A purity analysis indicates how many percentages (on weight basis) of a seed lot consist of potentially germinable seeds of the target species. For example, a purity percentage of 90 % means that 90 % of the weight is potentially germinable seeds of the target species, and 10 % is impurities. Potentially germinable means that the seed is not broken to a degree, where it can obviously not germinate. The impurities may, in some instances, be broken down in “other seeds” and inert matter. The purity test is theoretically simple. The problem is (sometimes) to define what is a “pure” seed and what is inert matter. As a rule, covers and adherences (whether of fruit or seed origin), which are normally part of the seed, are considered part of the pure seed as long as they cover or adhere (Poulsen et al. 1998). Mechanical damaged or broken seeds are also considered “pure” as long as there is a fair chance that they will germinate. Hence, a “pure” seed is not an unambiguous size or entity. For example, a pure seed may be a whole fruit (with possible extra-fruit adherences like wings) or the morphological seed that can theoretically be extracted. In practice, purity tests are carried out by manually separating pure seed fraction and inert matter and weighing each fraction on a scale. It is customary to indicate any fraction with two decimals (see ISTA 2006). The purity is then calculated by calculating the weight of the pure seed as a percentage of the total sample, i.e.: pure seed % ¼

weight of pure seed fraction x 100 weight og total fraction

Pure seed is used in all subsequent seed testing methods, e.g., seed weight, moisture, and germination or viability test. Hence a seed that is considered “pure” (albeit possibly damaged) in the purity test should be weighed in seed weight test, oven-dried in moisture content analysis, and sown in the germination test. In this way, possible bias in purity tests will be corrected in, e.g., the viability/germination test, when calculating how many seed (number) can be expected from a given seed lot (weight) (Fig. 9).

Weight Determination Seed weight (sometimes specified as pure seed weight, psw) is the average weight of seed in a seed lot. The pure seed definition is again used as the baseline. There will normally be eight replications of about 100 seeds from where the average is calculated (ISTA 2006). In standard seed testing, seed weight is normally indicated in a number of seed per 100 g (for very small seeds sometimes per 10 g). In biological seed information, the weight of 1,000 pure seeds is preferred. The two figures are interchangeable:

Fig. 9 Pure seed definition. Seeds of Pterocarpus spp. are enclosed in a modified indehiscent pod, and seeds are extremely difficult to extract without damaging them. Fruits are sometimes de-winged to reduce bulk. Pure seed may thus cover the whole range from entire fruits to morphological seed. See also Fig. 5

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1000psw ¼

1000 1000 ; mber of seeds per gram ¼ number of seeds per gram 1000psw

Even though seed size and morphology show only moderate variation within species, the measured seed weight in seed testing may vary considerably for some species. This is partly due to the variation in extraction (pure seed) and partly due to variation of moisture content. For example, in large-seeded legumes of Sindora and Afzelia, the aril weighs almost the same as the seed without aril. Both seeds with and without aril are considered pure seed, but a seed lot where the aril has been removed during extraction has only half the seed weight compared to those with aril still attached. Water weighs more than dry matter; hence moist seeds are heavier than dry seed. The influence of variation in mc upon weight is small for dry orthodox seed but can be considerable for recalcitrant seed with high natural moisture content.

Determining the Moisture Content Seed moisture content (mc) indicates how much water is in the seed. It is used to predict storability under a given set of conditions. In practice, mc is measured as weight loss after oven-drying at high temperature until all water has evaporated. ISTA recommends two replications of mc tests. For each sample, mc test is carried out as follows: 1. 2. 3. 4.

Weighing out sample of approximately 100 g Cutting or grinding seed into smaller pieces Weighing empty container Pouring in grinded sample and weighing exactly (together with container), weight indication with 2 decimal grams 5. Drying samples 18 h at 103  C in drying oven 6. Weighing dried samples (together with container) Moisture content (fresh weight basis) is calculated as follows: Moisture content % ¼

Water content ðweight before minus weight after ovendrying Þx 100 Weight before

Viability and Germination Test There is a slight difference between germination and viability although they both refer to life processes which should ultimately lead to germination of the seed. Germination is proven directly in germination tests, whereas viability indicates the probability that seeds are alive and germinable. Germination test should in that context be preferred since it gives the direct evidence of what we want to know. However, in many instances, viability tests are suitable, e.g.: 1. Recalcitrant seed where seeds are short-lived and the result of a germination test cannot be used as information of the seed lot since deterioration takes place during the test period 2. Seed with very long germination time (several months) 3. Seeds with complicated dormancy requiring lengthy pretreatment, e.g., afterripening Laboratory Tests A standard germination test is carried out on (usually four replications) samples of 50 seeds. Germination should be conducted under optimal conditions of moisture and temperature, and seeds should receive optimal pretreatment before germination test to break possible dormancy (ISTA 2006). Under laboratory Page 23 of 29

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conditions, seeds are also kept free from pest and pathogens. This means that a germination test shows germination under optimal conditions, i.e., the germination potential (which is the only thing meaningful to test), which is most likely higher than will be achieved under nursery or field conditions. A standard test indicates germination percentage with one figure (% germination = average of the replications). Tree seeds are often quite heterogeneous and germination speed often much slower than crop seed. These factors often complicate the testing procedure. 1. The official seed germination criteria imply that seeds germinate and seedlings develop normally. Seeds must therefore be kept until early seedling stage where they have radicle and at least two unfolded leaves which can be evaluated. This can spread over many weeks, sometimes even months. For slow germinating and growing seeds, it can be difficult to keep laboratory conditions optimal for prolonged periods. Often germination criteria are devaluated so that germination is considered complete once radicle and shoot have formed. Germination is recorded at intervals, typically every week. In practice, it may be necessary to remove germinated seedlings to avoid them from harboring diseases (typically fungi) during the germination period. 2. Germination test must be concluded after a certain duration. If germination still takes place at that time, the test will not capture the total number of germinable seed. It is therefore customary to examine non-germinated seeds after the test by a simple viability test (e.g., a cutting test). Since germination is counted regularly over a period, it is possible to calculate germination speed. This is done in one of the two ways: 1. The number of days taken to reach 50, 75, 90, or other definite percentage of the total final germination 2. Germination percentage after a certain definite time, e.g., 21 days Germination Test Under Field Conditions Official seed tests are carried out under controlled conditions so that results are comparable and replicable. This is not possible under field conditions. However, there are two conditions where field germination tests may be applicable: 1. For very slow germinating and developing plants which are difficult to test under laboratory conditions, because they get infected by fungi 2. Recalcitrant seed which cannot be submitted to laboratory tests Field germination test has the advantage that it can be integrated with nursery raising seedlings, i.e., the produced plants can be potted and used for ordinary planting. Germination Tests for Recalcitrant Seeds A test result should reflect the conditions of the product. However, since germination of recalcitrant seeds often declines so rapidly that a test result will only show the conditions as they were and not as they are at the end of the test, they are usually of limited value. However, a seed test can be an assurance in case customers complain about quality of already dispatched seed. A cutting test will often give a useful clue about viability (see below). Since these seeds have high moisture content, dead and live seeds are usually easy to distinguish (dead seed usually dry and shrunken).

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Fig. 10 TTZ test of seed of Samanea saman shows red staining of live tissue and no staining of dead tissue. Only fully stained seeds are considered viable (Photo from Yu and Wang 1996)

Estimating Viability Viability is an assessment or a measure of whether a seed is alive or not without it manifesting its life processes of germination. Viability tests are used primarily to save time of the test, and there must thus be a reasonable correlation between estimated viability and actual germination in case the whole germination test was carried out. Viability tests are often used for forest seed because many of these seeds have very slow germination and complicated dormancies and for recalcitrant seed, viability declines so fast that a seed lot has deteriorated before the result of a germination test would be available. Viability tests are sometimes carried out on non-germinated seeds in a germination test to see if the seeds would be likely to germinate if given longer time. Viability tests include four main methods (Fig. 10): 1. Cutting test is a simple longitudinal cutting of seed to inspect the interior. Empty seeds, insect-infested seed, and rotten seed are easy to distinguish. In filled seed, the embryo is evaluated visually. With a bit of experience, it is possible to distinguish between healthy and dead embryos. Healthy embryos are milky white to slightly greenish; they are intact without insect bites, mold infection, or other visible damages. 2. Topographic tetrazolium (TTZ) is a chemical test that reveals live metabolic cells by red staining. Uniform bright red areas of the seed are considered alive; unstained (white) areas are dead. Failed staining of essential parts of the embryo (radicle, cotyledon, plumule) is interpreted as nonviable seed, while seeds may be viable even with some necrotic tissue of the cotyledon. Manuals on TTZ interpretation exist (Moore 1985; Yu and Wang 1996; Enescu 1991; AOSA 2010). A few problems remain on correlating TTZ viability test with germination: (1) Immature seeds are alive (staining) but not germinable. (2) Dormant seeds are alive (staining) but may not germinate due to intrinsic factors. (3) A few species (e.g., Madhuca) have natural red embryos which make it difficult to distinguish live and dead tissue. (4) Any respiring part including infecting organism (bacteria and fungi) may stain tissue red (but the trained eye can usually distinguish fungus red from plant tissue red). 3. X-ray is primarily used for two types of tests, viz., to distinguish (1) insect-infested seed from intact fresh seed and (2) filled seed (seeds with embryo) from empty seeds. It is also possible to see mechanical damage on embryos, e.g., breaking of cotyledons from the main axis. It is not possible to separate aged seed from fresh seed. A thorough description of X-ray on seeds is available in Simak (1991), Saelim et al. (1996), and Craviotto et al. (2004).

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4. Hydrogen peroxide (H2O2) test is a type of fast-germination test, which is not carried to the stage of seedling development but evaluated as viable after radicle protrusion. Soaking in 1 % hydrogen peroxide helps in breaking some types of physiological dormancy and accelerates the germination process (Laedem 1984; Bhodthipuks et al. 1996). Since viability tests are evaluated visually on the individual seeds, they are difficult to apply on very small seeds like eucalypts (Boland et al. 1990).

Other Tests Health tests (phytosanitary, infection, and infestation) are not normally part of the routine test but carried out, e.g., in connection with trade, particularly export. Phytosanitary test examines possible infection by fungi and infestation by insects. X-ray can be used to reveal insect infections and microscopy to examine fungal infection. In case species identification of infective organisms is deemed necessary, samples are grown under conditions conducive to their development, so that the species can be identified, for insects on macro-morphology and for fungi by microscopy (Sutherland et al. 2002). Vigor tests are germination tests under stressed conditions, which are compared to tests under normal “optimal” conditions. The background is the theory that the ability to germinate under stressed conditions declines faster than the ability to germinate under optimal conditions. Stress (vigor) test can be carried out under suboptimal temperature regime, moisture, or physical conditions like growing through a hard crust (gravel layer). The strength of vigor tests is that they often show a more realistic germination under field conditions than the laboratory test, because field conditions are rarely optimal. The weakness is that it is often difficult to quantify a given stress condition; too high stress (e.g., very high or very low temperature) gives predictable zero germination (and is thus nor relevant). Only stress normally encountered in the field (e.g., temperature +/
10  C compared to optimum) makes sense (AOSA 1983). Accelerated aging (AA) is a type of vigor test that examines the relative aging of a seed lot. The philosophy behind is that if seed life can be prolonged by desiccation and cold temperature, then the opposite, humid and warm, would lead to rapid seed deterioration. Following that argumentation, if two seed lots are exposed to AA for a certain period (typically a couple of weeks), an already aged seed lot would show a more rapid decline in germinability than a good seed lot (TeKrony 2005). AA can in theory be used to predict storage life of seed (Roberts 1973). However, it is still disputable whether seeds undergo the same type of aging during an AA process as the one normal for dry-stored seeds. For example, fungi often play a significant role during AA because the humid warm conditions are conducive for fungal development, but they are not active during normal aging in dry storage.

Using Test Results in Practice Seed test may be used to guide future handling and dispatch of seed. 1. Seed lots with low purity percentage may be upgraded by further cleaning, i.e., by removing impurities. 2. Seed lots with low seed weight may be upgraded by removing light seed during a seed cleaning procedure grading on weight (specific gravity cleaning) or size (sifting). 3. High moisture content of seed lots may lead to a decision of further drying. 4. Results of seed health test may lead to various pest and pathogen control measurements, e.g., storage in CO2 (insect-infested seed) (Sary et al. 1993) or treatment with fungicides (Mohanan and Sharma 1991). Small seed lots infected by fungi may be surface sterilized by lab methods, e.g., hydrogen peroxide (H2O2), sodium hypochlorite (NaHCl), or 75 % alcohol (Bonner et al. 1994). 5. Vigor test may be used to determine the relative deterioration of seed lots and hence influence the order of dispatch. Especially AA may be used to predict storage life of seed. Page 26 of 29

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6. Seed lots with low germination percentage may be upgraded by cleaning if viability is linked to some physical differences that can be separated, e.g., insect-infested or light seed. If germination goes under a certain limit (e.g., for stored seed, half of the fresh weight germination percentage), the whole seed lot should be dispatched, because the low germination indicates that deterioration is far progressed. Seed buyers will often be reluctant to buy seed lots with very low germination.

References Anon (1995) A guide to good climbing practice. The Arboricultural Association, Stonehouse AOSA (1983) Seed vigor testing handbook. Contribution no 32 to the handbook on seed testing. Association of Official Seed Analysts, Beltsville AOSA (2010) Tetrazolium testing handbook. Society of Commercial Seed Technologists and the Association of Official Seed Analysts, Washington, DC AOSA (2014) Rules for testing seeds. Association of Official Seed Analysts, Ithaca, Washington, DC Apetorgbor MM, Turco E, Cobbinah JR, Ragazzi A (2004) Potential factors limiting viability of Milicia excelsa (Welw.) C. C. Berg seeds in plantation establishment in West Africa. Zeitschrift fur Pflanzenkrankheiten und Pflanzenschutz 111(3):238–246 Berjak P, Pammenter NW (2002) Orthodox and recalcitrant seed. In: Vozzo J (ed) Tropical tree seed manual, vol 721, Agriculture Handbook. USDA Forest Service, Washington, DC, pp 137–147 Berjak P, Pammenter NW (2003) Understanding and handling desiccation-sensitive seeds. In: Smith RD, Dickie JB, Linington SH, Pritchard HW, Probert RJ (eds) Seed conservation: turning science into practice. Royal Botanic Gardens, Kew, pp 415–430, Chapter 22 Berjak P, Pammenter NW (2008) From Avicennia to Zizania: seed recalcitrance in perspective. Ann Bot 101:213–228 Bhodthipuks J, Saelim S, Pukittayacamee P (1996) Hydrogen peroxide (H2O2) testing for viability of tropical forest tree seed. In: Bhodthipuks J, Pukittayacamee P, Saelim S, Wang BSP, Yu SL (eds) Rapid viability testing of tropical tree seed, vol 4, Training course proceedings no. ASEAN Forest Tree Seed Centre Project, Muak Lek, pp 11–15 Blair DB (1995) Arborist equipment: a guide to the tools and equipment of tree maintenance and removal. International Society of Arboriculture, Champaign Boland DJ, Brooker MIH, Turnbull JW, Kleinig DA (1990) Eucalyptus seed. CSIRO, Canberra Bonner FT, Vozzo JA, Elam WW, Land SB Jr (1994) Tree seed technology training course. U.S. Dept. of Agriculture, Forest Service, Southern Forest Experiment Station, New Orleans Cole RJ, Holl KD, Keene CL, Zahawi RA (2011) Direct seeding of late-successional trees to restore tropical montane forest. For Ecol Manage 261:1590–1597 Craviotto RM, Arango MR, Salinas AR, Gibbons R, Bergmann R, Montero MS (2004) A device for automated digital x-ray imaging for seed analysis. Seed Sci Technol 32(3):867–871 Critchfield WB, Little EL Jr (1966) Geographic distribution of the pines of the world. US Dept. Agric., For Service. Miscel. Publ. 991, Washington, DC Doust SJ, Erskine PD, Lamb D (2006) Direct seeding to restore rainforest species: microsite effects on the early establishment and growth of rainforest tree seedlings on degraded land in the wet tropics of Australia. For Ecol Manage 234:333–343 Ellis JB (1986) Quantifying seed deterioration. In: McDonald MB, Nelson CJ (eds) Physiology of seed deterioration, CSSA special publication no 11. Crop Science Society of America, Madison, pp 101–123

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Enescu V (1991) The tetrazolium test of viability. In: Gordon AG, Gosling P, Wang BSP (eds) Tree and shrub seed handbook. International Seed Testing Association, Zurich, Chap 9 FAO (2006) Quality declared seed systems. FAO plant production and protection Paper 185, FAO, Rome, 242 pp FAO, DFSC, IPGRI (2001) Forest genetic resources conservation and management. Vol. 2: In managed natural forests and protected areas (in situ). International Plant Genetic Resources Institute, Rome FAO, DFSC, IPGRI (2004a) Forest genetic resources conservation and management. Vol. 1: Overview, concepts and some systematic approaches. International Plant Genetic Resources Institute, Rome FAO, DFSC, IPGRI (2004b) Forest genetic resources conservation and management. Vol. 3: In plantations and genebanks (ex situ). International Plant Genetic Resources Institute, Rome Finch-Savage WE, Blake PS (1994) Indeterminate development in desiccation sensitive seeds of Quercus robur L. Seed Sci Res 4:127–133 Gunn B (2001) Australian tree seed centre operations manual. Australian Tree Seed Centre, Canberra Gunn B, Agiwa A, Bosimbi D, Brammall B, Jarua L, Uwamariya A (2004) Seed handling and propagation of Papua New Guinea’s tree species. CSIRO Forestry and Forest Products, Canberra Haines R, Nikles G (1987) Seed production in Araucaria cunninghamii – the influence of biological features of the species. Aust For 50(4):224–230 Huth JR, Haines R (1996) The effects of de-winging seeds of hoop pines (Araucaria Cunninghamii) on seed viability and longevity. In: Yapa AC (ed.) Recent Advances in tropical tree seed technology and planting stock production (Yapa, AC ed.). Proc. Intl. Symp. ASEAN Forest Seed Centre, Muak Lek/Saraburi, pp 45–50 ISTA (1986) ISTA handbook on seed sampling. International Seed Testing Association, Zurich ISTA (2006) International rules for seed testing. International seed testing association, Zurich Karrfalt RP (2008) Seed harvesting and conditioning. Chapter 3 in. USDA. The woody plant seed manual. Agriculture handbook 727. United States Department of Agriculture, Forest Service, Washington, DC, pp 57–84 Kruse M (2004) ISTA handbook on seed sampling. International Seed Testing Association, Zurich Laedem CL (1984) Quick tests for tree seed viability. British Columbia Ministry of Forests and Lands Research Branch, Victoria Linington SH (2003) The design of seed banks. In: Smith RD, Dickie JB, Linington SH, Pritchard HW, Probert RJ (eds) Seed conservation – turning science into practice. The millennium seed bank project. Royal Botanic Gardens, Kew, pp 593–636 Masilamani P, Vadivalu KK (1993) Effect of seed extraction methods on germination and vigour of honey mesquite. Madras Agric J 84(8):512–514 Maurer KD, Bohrer G, Medvigy D, Wright SJ (2013) The timing of abscission affects dispersal distance in a wind-dispersed tropical tree. Funct Ecol 27(1):208–218 McLemore BF, Chappell TW (1973) Mechanical shaking for cones harmless to Slash Pines. J For 71(2):96–97 Mineau A (1973) A new machine for collection off the ground; the beech-mast ‘vacuum-cleaner. Bulletin Technique, Office National de Foret, France 5:21–23 Mohanan C, Sharma JK (1991) Seed pathology of forest tree species in India – present status, practical problems and future prospects. Commonw For Rev 70:133–151 Moore RP (1985) Handbook on tetrazolium testing. International Seed Testing Association, Zurich Morrison RH (1999) Sampling in seed testing. Phytopathology 89:1084–1087 Ogunnika CB, Kadeba O (1993) Effect of various methods of extracting on germination of Gmelina arborea seeds/fruits. J Trop For Sci 5(4):473–478

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Pammenter NW, Berjak P (1999) A review of recalcitrant seed physiology in relation to desiccation tolerance mechanisms. Seed Sci Res 9:13–37 Patterson B, Vaillancourt RE, Potts BM (2001) Eucalypt seed collectors: beware of sampling seedlots from low in the canopy. Aust For 64:139–142 Pazos GE, David F, Greene DF, Katul G, Bertiller MB, Soon MB (2013) Seed dispersal by wind: towards a conceptual framework of seed abscission and its contribution to long-distance dispersal. J Ecol 101:889–904 Peran R, Pammenter NW, Naiker J, Berjak P (2004) The influence of rehydration technique on the response of recalcitrant seed embryos to desiccation. Seed Sci Res 14:179–184 Poulsen KM, Parratt MJ, Gosling PG (eds) (1998) ISTA tropical and sub-tropical tree and shrub seed handbook. International Seed Testing Association, Zurich Riley JD, Craft IW, Rimmer DL, Smith RS (2004) Restoration of magnesian limestone grassland: optimizing the time for seed collection by vacuum harvesting. Restor Ecol 12(3):311–317 Roberts EH (1973) Predicting storage life of seeds. Seed Sci Technol 1:499–514 Sacandé M, Jøker D, Dulloo ME, Thomsen KA (2004) Comparative storage biology of tropical tree seeds. IPGRI, Rome Saelim S, Pukittayacamee P, Bhodthpuks J, Wang BSP (1996) X-radiography testing for viability of tropical forest seed. In: Bhodthipuks J, Pukittayacamee P, Saelim S, Wang BSP, Yu SL (eds) Rapid viability testing of tropical tree seed, vol 4, Training course proceedings no. ASEAN Forest Tree Seed Centre Project, Muak Lek, pp 17–31 Sary H, Yameogo CS, Stubsgaard F (1993) The CO2 method to control insect infestation in tree seed, Technical note no 42. Danida Forest Seed Centre, Humlebaek Schmidt L (2000) Guide to handling of tropical and subtropical forest seed. Danida Forest Seed Centre, Humlebaek Schmidt L (2008) A review of direct sowing versus planting in tropical afforestation and land rehabilitation, Development and environment, nr. 10. Forest & Landscape Denmark, Copenhagen University, Hørsholm Silen R, Osterhaus C (1979) Reduction of genetic base by sizing of bulked Douglas-fir seed lots. Tree Planters Notes 30(1):24–30 Simak M (1991) Testing of forest tree and shrub seeds by X-radiography. In: Gordon AG, Gosling P, Wang BSP (eds) Tree and shrub seed handbook. International Seed Testing Association, Zurich, Chap 14 Sorensen FC, Campbell RK (1993) Seed weight – seedling size correlation in coastal Douglas-fir: genetic and environmental components. Can J For Res 23:275–285 Srimathi P, Ramadane T, Malarkodi K, Natarajan K (2003) Seed extraction in Jamun (Syzygium cumini Skeels). Progress Hortic 35(2):221–223 Sutherland JR, Diekmann M, Berjak P (2002) Forest seed health, IPGRI technical bulletin no. 6. IPGRI, Rome TeKrony DM (2005) Accelerated aging test: principles and procedures. Seed Technol 27(1):135–146 Walters C, Pammenter NW, Berjak P, Crane J (2001) Desiccation damage, accelerated ageing and respiration in desiccation tolerant and sensitive seeds. Seed Sci Res 11:135–148 Yu SL, Wang BSP (1996) Tetrazolium testing for viability of tree seed. In: Bhodthipuks J, Pukittayacamee P, Saelim S, Wang BSP, Yu SL (eds) Rapid viability testing of tropical tree seed, Training course proceedings no 4. ASEAN Forest Tree Seed Centre Project, Muak Lek, pp 33–58

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_231-1 # Springer-Verlag Berlin Heidelberg 2015

Concept of Compensation Payments and Ecosystems Julian Michela*, Kay Kallweitb and Evy von Pfeila a Researcher and writer, Frankfurt am Main, Germany b Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, Eschborn, Germany

Abstract Economic valuation of the tropical forest resource is en vogue. The acknowledgment of the environment’s multiple benefit delivery paves the way for reciprocal bargain-like transactions, opening up the potential for designing efficient and effective compensation mechanisms. The following chapter contributes to the economic section of the present handbook, introducing in a first step theoretical considerations necessary to gain an understanding of the rationale environmental and forest-related compensation schemes are based on. Subsequently, the reader will be familiarized with practical examples including Kyoto’s Clean Development Mechanism (CDM), Payments for Ecosystem Services (PES), and Reducing Emissions from Deforestation and Forest Degradation (REDD). Through the combination of theory and their practical embedding, this chapter offers a holistic overview of compensation payment arrangements found throughout the tropical hemisphere, providing guidance and material for mastering the subject.

Keywords Compensation payments; Performance; Ecosystem services; Clean Development Mechanism; Reducing emissions; Deforestation and forest degradation; CDM; REDD; REDD+

Introduction and Definitions Practices related to compensation payments for environmental goods and services are tracked to be of Western origin (Morrison and Aubrey 2010). Over the past decades, the topic has become increasingly prominent and been researched in the tropical hemisphere, but use of different terminologies makes direct exchange of experiences between the two localities difficult. Since the present handbook is concerned with tropical forestry, the following chapter provides an overview of the economic function that environmental and forest-related goods and services perform in environmental remuneration schemes mainly in the tropics. Being already inherent in its terms, remuneration as well as compensation implies a notion of conditionality, introducing the criterion of performance which is linked to the achievement of certain outcomes. As we are dealing with an environmental setting and not with a clearly demarcated object, two major difficulties of the subject become apparent: Not only can the act of performance measurement itself pose various obstacles, also the preceding step of defining and singling out a specific environmental good or service for which compensations are to be made can be challenging since the value agents derived from or attributed to the environment are megadiverse. Reliance on reductions is inevitable. Within the literature, other concepts have been used to describe environmental remuneration

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mechanisms such as “reward” or “financing” (cf. Wunder 2006; Forvalue 2008). This chapter will use the term compensation payments as it is arguably the most generic – reward seems to be encapsulated, and the latter overly emphasizes marketability. Ecosystems will be defined according to the Convention on Biological Diversity (CBD) as a dynamic complex of plant, animal and micro-organism communities and their non-living environment interacting as a functional unit (CBD 1992, p. 3). Ecosystem services (ES) will be understood as the benefits people obtain from ecosystems (MEA 2005, p. V); thus, functionality and benefits derived for the constitutes of human well-being stand at the forefront. The first two sections will introduce theoretical considerations, highlighting the economic rationale remuneration schemes are based on, different valuation methods, and the financial arrangements made between various agents. Subsequently, practical examples such as the Clean Development Mechanism (CDM), Payments for Ecosystem Services (PES), and Reducing Emissions from Deforestation and Forest Degradation (REDD) will be presented and discussed, followed by concluding remarks.

Coase and Pigou: The Economic Foundation Environmental and forest-related remuneration schemes derive their economic motivation from the Coase (1960) theorem. According to his theory, private market-based solutions will solve the problem of externalities1 by ensuring efficient resource allocation, provided that transaction costs are negligible and that property rights are clearly defined. The initial distribution of property rights, Coase argued, is insignificant in determining the level of an environmentally harmful activity since market negotiations will always lead to an efficient outcome. In such an ideal world, government interventions are not able to provide a better solution; thus, he regards a state’s primary function in allocating initial property rights and securing their enforceability. For the “Coasean instrument” to work (cost internalization process through market-based bargains), goods and services must be measurable and attribution of economic values possible.2 A more prominent role for the government in correcting effects related to externalities is based on Pigou (1920). In his case, an externality is imposed onto a third party that arises from the activity of other agents. It is not taken into account in the market solution because the third party is not a part of the exchange, the reason why Pigou argued for the usage of taxes and subsidies as a policy to incentivize either to stop or to continue certain activities. Coase, on the other hand, considers a situation in which the harmful effects of the profitable activity are directly included in the exchange (given the assumptions). The main difference between Coasean and Pigouvian PES schemes is thus the directness of transfer: in the former the direct beneficiary pays the service provider, buyers in the latter case are not the direct users (Schomers and Matzdorf 2013, p. 19).

Grouping Environmental Compensation Schemes Both theories belong to the category of market-based approaches but can be used as two separate categories for environmental compensation schemes. These approaches propagate the application of a “beneficiary pays” rather than a traditional-type “polluter pays” principle and are different from the so-called command-and-control measures which try to enforce a desired behavior through direct regulation (e.g., prohibitions, creation of protected areas). Government-run programs where providers An externality can be defined as “the effect that an action any decision maker has on the well-being of other consumers or producers, beyond the effect transmitted by changes in prices” (Besanko and Braeutigam 2010, p. 773). 2 Valuation methods commonly encountered in the environmental field will be discussed in the subsequent section. 1

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Table 1 Typology of environmental goods and services

Rivalry

Low High

Excludability Difficult Public goods (biodiversity) Common-pool resources (game)

Easy Toll or club goods (recreation areas) Private goods (timber)

receive compensation payments from national or local authorities, i.e., a third party which acts on behalf of potential service users,3 follow the Pigouvian approach. Direct compensation transfers from the immediate beneficiary to a service provider in contrast follow Coasean logic. Understanding their respective area of application, the economic approach to goods and service classification can be consulted, which differentiates according to the criteria of excludability4 and rivalry5 (see Table 1). As an example, recreation and ecotourism areas are characterized through low rivalry in consumption and easy excludability. They belong to the category of toll or club goods. Their characteristics favor the direct engagement between potential beneficiaries and providers, and interactions and bargains are generally encouraged through geographical proximity. The same directness in transactions can also be observed with respect to private goods such as timber, industrial and fuel wood, cork, or pharmaceuticals. Coasean-style interactions are generally linked to these types of goods and services. Contrarily, public goods such as biodiversity and soil protection, climate and water regulation, or carbon sequestration are characterized through low rivalry in consumption and difficult excludability. Thus, creating incentives for individual actors to engage in direct bargains is difficult as other potential beneficiaries cannot reliably be excluded (generally referred to as the problem of free riding).6 Consequently, Pigouvian-style governmental incentive programs are required to secure the provision of public goods. Analyzing the economic approach of PES case studies (n = 102), a recent study published by Schomers and Matzdorf (2013, p. 27) found that the great majority of cases represent the Pigouvian conceptualization, with practical experiences on Coasean PES approaches remain[ing], at least for now, relatively insignificant. By contrast, theoretical explorations draw heavily on the Coasean conceptualization, a reason why this conceptual approach is perceived to be the dominant one within the environmental compensation literature (Pascual et al. 2010).

Marketability The classification depicted in Table 1 further provides an indication of the marketability potential. Public goods tend to be nonmarket goods with no market value directly observable, justifying public action. For toll, club, or private goods, property rights can more easily be defined which results in higher marketability.7

Limitations In many cases, the nature of environmental and forest-related goods and services predetermines market failure, except for marketable goods such as timber, wood products, or minerals. The public goods

Note that also nongovernmental organizations (NGOs) or international financial or conservation institutions can act as a third party (cf. Engel et al. 2008). 4 Excludability refers to the ability of a good to prevent people who have not paid for it from consuming/using it. 5 A rival good is a type of good that can be possessed or consumed by only one single user, e.g., consumer products. 6 See also Garrett Hardin’s (1968) essay on “The Tragedy of the Commons.” 7 A list of forest goods and services classified according to their public/private and market/nonmarket nature can be found in FORVALUE (2008), Annex 5, p. 7. 3

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_231-1 # Springer-Verlag Berlin Heidelberg 2015

Table 2 Ecosystem services, based on MEA (2005), UNECE/FAO (2011) Ecosystem services Supporting Provisioning Regulating Cultural

Nutrient cycling, soil formation, primary production, photosynthesis Food, fresh water, timber and fiber, fuel wood, woody biomass, non-wood forest products (NWFP) Climate, flood and disease regulation, water purification Aesthetic, spiritual, educational, recreational

character of various goods and services as well as missing marketability and price signals has already been outlined, leading to undervaluation and provoking depletion. As an example, the value of a forest might be determined by timber prices, ignoring the values of carbon sequestration, water filtration, or genetic diversity. Besides described externalities, missing or ill-defined property rights also cause market failure, and various social and institutional factors can influence their establishment (e.g., traditional use of rights of forest-dependent communities vs. formal land titles). Uncertainty of environmental goods and services and shortsightedness bear additional risks of market failure, as it is, for instance, challenging to estimate current or future benefits and costs of environmental measures.

Ecosystem Services Ecosystem services are the benefits people obtain from ecosystems. In the scientific literature, the topic has been treated for half a century with the concept receiving strong backing and public attention through the Millennium Ecosystem Assessment (MEA), a UN-sponsored work spanning a wide array of ecosystem services. This chapter will draw primarily on the specifications outlined in the MAE due to the importance of the provisions made, even though other less popular approaches have been suggested.8 Quantification of environmental and forest-related goods and services will always remain non-exhaustive due to the complexity of the subject. SFC (2008) published a list including 142 forest goods (end products) and services, that of FORVALUE (2008) over 200, acknowledging that they are most likely not complete. However, they provide a good overview to understand the issue in more detail.

Millennium Ecosystem Assessment The conceptual framework presented in the MEA employs an anthropogenic approach by placing human well-being as the central focus for assessment (MEA 2005, p. 28). Therefore, presented classifications follow functional considerations.9 Overall, the MEA offers a general classification scheme of benefits that ecosystems provide to people and a more specific forest-related framework. The general scheme classifies services into providing supporting, provisioning, regulating, and cultural benefits. Examples are illustrated in Table 2. The MEA assures that the classification presented above also applies to all forest-related goods and services. A more detailed breakdown is presented as displayed in Fig. 1. Here, forest goods and services are grouped according to the provision of different types of services: resources, amenities, biospherical, social, and ecological, underlining the diversity and the complexity of capturing their various elements.

8

For forestry-related approaches, see Merlo and Croitoru (2005) and Mantau et al. (2007). For an illustration of the interactions between ecosystem services and the constitutes of human well-being, consult MEA (2005), Fig. 1, p. 28. 9

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Fig. 1 Major categories of forest services, adapted from MEA (2005: 601)

References Besanko D, Braeutigam R (2010) Microeconomics. Wiley, Upper Saddle River Coase R (1960) The problem of social cost. J Law Econ 3:1–44 Convention on Biological Diversity (CBD) Secretariat (1992) Convention on biological diversity. United Nations, New York Engel S, Pagiola S, Sven W (2008) Designing payments for environmental services in theory and practice: an overview of the issues. Ecol Econ 65(4):663–674 FORVALUE (2008) Study on the development and marketing of non-market forest products and services. Available at the European Commission Agriculture and Rural Development. http://ec.europa.eu/ agriculture/analysis/external/forest_products/index_en.htm. Accessed 8 Dec 2013 Hardin G (1968) The tragedy of the commons. Science 162:1243–1248 Mantau U, Wong J, Curl S (2007) Towards a taxonomy of forest goods and services. Small-scale For 6(4):391–409 Merlo M, Croitoru L (eds) (2005) Valuing Mediterranean forests: towards total economic value. CABI Publishing, CAB International, Oxfordshire Millennium Ecosystem Assessment (MEA) (2005) Ecosystems and human well-being: synthesis. Island Press, Washington, DC Morrison A, Aubrey W (2010) Payments for ecosystem services literature review. BioClimate research and development. Available at Planvivo. http://www.planvivo.org/wp-content/uploads/Frameworkfor-PES-feasibility_WWF_MorrisonAubrey_2010.pdf. Accessed 2 Feb 2014 Pascual U, Muradian R, Luis R, Duraiappah A (2010) Exploring the links between equity and efficiency in payments for environmental services: a conceptual approach. Ecol Econ 69(6):1237–1244 Pigou A (1920) The economics of welfare. Macmillan, London Schomers S, Matzdorf B (2013) Payments for ecosystem services: a review and comparison of developing and industrialized countries. Ecosyst Serv 6:16–30

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Standing Forestry Committee (SFC) (2008) Valuation and compensation methods for non-wood forest goods and services, final report. Available at European Commission. http://ec.europa.eu/agriculture/ fore/publi/sfc_wgi_final_report_112008_en.pdf. Accessed 20 Jan 2014 UNECE/FAO Forestry and Timber Section (2011) Payments for forest–related ecosystem services: what role for a green economy. Available at UNECE. http://www.unece.org/fileadmin/DAM/timber/meet ings/20110704/06062011pes_background_paper.pdf. Accessed 4 Dec 2013 Wunder S (2006) The efficiency of payments for environmental services in tropical conservation. Conserv Biol 21(1):48–58

Recommended References For understanding the economic foundation of compensation payments (Pigou and Coase) as well as the typology of goods and services better, consult any introductory economic textbook Guide to the Millennium Ecosystem Assessment Reports: http://www.unep.org/maweb/en/index.aspx Study on the Development and Marketing of Non-Market Forest Products and Services (FORVALUE): http://ec.europa.eu/agriculture/analysis/external/forest_products/index_en.htm

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_232-1 # Springer-Verlag Berlin Heidelberg 2015

Compensation Payment Scheme Requisites and Financial Arrangements Julian Michela*, Kay Kallweitb and Evy von Pfeilb a Researcher and writer, Frankfurt am Main, Germany b Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, Eschborn, Germany

Keywords Economic valuation; Total economic value (TEV); Enabling conditions; Financial mechanisms; Environmental goods and services

Introduction Having outlined a framework for the various benefits that environmental and forest-related goods and services provide, a subsequent requirement for the operation of a compensation scheme is the determination of economic values.1 The assignation of values is crucial to assure that provided benefits are adequately taken into account in decision-making processes. The following section will present a framework for economic valuation of environmental and forest-related goods and services. Macrooriented enabling conditions for compensation payment schemes will be discussed in succession, introducing the political context and arrangements that can be made at the policy level to favor their implementation. The section ends with an overview of current financial vehicles encountered for compensation.

Economic Valuation Since the inauguration of “The Economics of Ecosystem Services and Biodiversity”2 in 2007, the debate over quantitative and monetary assessment methods of ecosystem services has gained public and political attention, going beyond the purely academic sphere which discovered the topic years before. The application of economic principles aspires to capture the total benefits perceived by the society from the provision of environmental goods and services. Similarly to the concept of ecosystem services, the economic valuation (based on the concept of economic value) is essentially anthropocentric (Forvalue 2008: 26). It should be noted that the act of valuation itself does not determine specific compensation prices. In a subsequent stage, these are either negotiated between provider and beneficiary (Coasean logic) or mediated by representatives (Pigouvian logic) representatives (Pigouvian logic) (ref. ▶ section 32.1, “Concept of Compensation Payments and Ecosystems”).

*Email: [email protected] 1 As the development of compensation schemes relies heavily on the application of economic principles, this chapter will focus on economic valuation methods. For an overview of noneconomic methods (e.g., multi-criteria, participatory, and deliberative methods), refer to Stagl (2007). It should be noted that an anthropogenic-based economic preference model is, per definition, incompatible with an approach arguing for intrinsic values that environmental and forest-related goods and services exhibit. Acknowledging the limitation, the operationalization of the economic approach still bears considerable advantages. 2 (TEEB) initiative (TEEB aims at drawing attention to the global economic benefits of biodiversity. Consult http://www.cbd. int/incentives/teeb for a detailed description and reports of the initiative). Page 1 of 9

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_232-1 # Springer-Verlag Berlin Heidelberg 2015 TOTAL ECONOMIC VALUE (TEV)

COMMONLY USED VALUATION METHODS

EXAMPLES FOR BIODIVERSITY

TEV CATEGORIES

USE VALUE Direct use value Consumptive, nonconsumptive

Indirect use value

• Hunting • Fishing • Timber harvesting • Harvesting for non-timber forest products • Harvesting of biomass Recreation

Watershed protection (erosion control, local flood reduction, regulation of streamflows, storm protection)

Change in productivity, cost-based approaches, hedonic prices, travel cost,stated preference methods

Change in productivity, cost-based approaches, stated preference methods

NON-USE VALUE Option value

Existene value Bequest value (for future generations)

• Genetic resources • Old-growth forest (irreversibilities!)

Charismatic mega-fauna (whales, great apes, etc.)

Change in productivity, cost-based approaches, stated preference methods

Stated preference methods

Ecological processes (fixing and cycling of nutrients, soil formation, circulation and cleansing of air and water, climate regulation, carbon fixing, global life support)

Fig. 1 Total economic value (Source: CBD (2007))

Total Economic Value (TEV) The concept of total economic value offers the most prominent holistic use-based classification framework, allowing to apply monetary methods to market and to nonmarket environmental and forest-related goods and services. Displayed in Fig. 1, a key element of the TEV is the differentiation between use vales (also labelled “active uses”) and non-use values (“passive uses”), where the former are derived through direct or indirect interaction. The latter stand for ubiquitous values where knowledge of the existence of certain environmental “pleasures” represents a value in itself; thus no conscious intent to use and no physical interaction with the forest (SFC 2008, p. 11) is required. Direct use values include consumptive (hunting, fishing) as well as nonconsumptive (bird-watching, hiking) uses, whereas indirect use values are derived through valuation of goods and services that are deemed important for other ends (e.g., watershed protection may reduce the risk of local flood occurrence). Option value is self-explaining, meaning the value derived from having the possibility to use a certain good or service in the future. Nonuse values are ubiquitous and include existence values (e.g., value derived from the knowledge that mega-diversity exists in the Amazon) and bequest values – values that are derived from the desire to endow future generations. Moving horizontally through the four illustrated TEV categories, the complexity of value assignation increases. Whereas market data might be drawn upon to derive values for direct uses (e.g., marketable goods such as timber), only a limited set of data might be available for indirect uses, with derivation of existence and bequest values relying heavily on hypothetically derived values (e.g., using willingness to pay approaches, see below).

Valuation Methods Delving deep into various valuation methods is beyond the scope of this chapter.3 However, the last row of Fig. 2 provides an insight into techniques that can be applied for value elicitation such as stated preference 3

For an extensive overview of different valuation methods, refer to CBD (2007) and TEEB (2010). The latter includes a useful table (Table A2.b, “conceptual matrix based on forest ecosystem services and valuation approaches”) where the classifications of benefits that ecosystems provide to people according to the MEA approach (supporting, provisioning, regulating, cultural) are linked to various valuation types (stated preference, revealed preference, production based, cost based, benefits transfer). Page 2 of 9

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Benefits to forest managers wood

Sustainable harvest

wood Biodiversity loss

Costs to downstream populations and others

Carbon emissions Reduced watershed services

Maximum payment

0

Sustainable harvest with service payment

Payments

Minimum payment

Full-scale wood harvesting

wood

Compensation payment

Fig. 2 Conceptual illustration of compensation prices (Source: Pagiola and Platais (2007), as in Prokofieva et al. (2012)) Table 1 Recommended method for the estimation of values, most important forest-related goods and services, based on Forvalue (2007) Good/service Biodiversity protection Watershed protection Carbon sequestration Recreation and tourism Amenities

Value category Nonuse Indirect use Nonuse Indirect use Direct use Nonuse Indirect use Nonuse

Valuation method CVM, CM AC (avoided costs) CVM, CM MP (carbon credits) TCM CVM, CM HP, TCM CVM, CM

or revealed preference methods. Stated preference (SP) methods are flexible tools allowing the application to market and to nonmarket environmental and forest-related goods and services and enable the estimation of nonuse values by enquiring about a potential user’s willingness to pay4 (WTP) via survey formats (e.g., contingent valuation method (CVM), choice modeling (CM)). Thus, SP methods create a hypothetical market situation only – the main deficiency of this method since no real transaction is performed and hypothetical and actual behavior might divert. By contrast, revealed preference (RP) methods rely on observable market behavior and data, i.e., on actual choices made, assuming that these preferences are stable over time. Therefore, the hypothetical character exhibited in SP methods is eliminated. Techniques belonging to this category include travel cost methods (TCM), hedonic pricing (HP), or market price methods (MPM). However, in the field of environmental and forest-related goods and services, their applicability is limited (e.g., to recreation or tourism). Table 1 provides a recommendation of methods for the economic value elicitation of the most important forest-related goods and services. However, these should be understood as a preliminary recommendation only, as the final method selection depends on individual preferences and envisaged scope (e.g., simplicity vs. complexity, time requirements, and/or budget).

4

WTP can be defined as the maximum price that a consumer is prepared to pay for a certain good. Page 3 of 9

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Limitations Referring back to the section dealing with the economic foundation of compensation schemes and related limitations (ref. ▶ section 39.1, “Concept of Compensation Payments and Ecosystems”) as well as the application of economic valuation methods remains controversial. As the aim of an environmental compensation scheme can be extremely broad, such as safeguarding the multifunctionality of a certain ecosystem where many processes overlap and take place simultaneously, technical as well as contentrelated doubts over the capacity of these instruments to capture the full value and importance of goods and services provided by forests have to be raised, even though considerable improvements have been made over the past. Besides interdependence, other challenges include spatial and temporal issues in analysis, marginality, uncertainty, ambivalence, ethical preferences, or nonlinear reactions (e.g., existence of environmental “tipping points” with regard to climate change).5

The Policy Level: Enabling Conditions The successful implementation of environmental and forest-related remuneration mechanisms is facilitated through so-called enabling conditions, providing a frame of policies and legal arrangements which secure sustainability. A background paper for the United Nations Economic Commission for Europe and the FAO European Forestry Commission (UNECE/FAO, 2011) identified four elements through synthesizing literature and practical lessons learnt: • • • •

The institutional and legislative framework Resource and tenure rights Monitoring, enforcement, and compliance Ensuring permanence and avoiding leakage

The Institutional and Legislative Framework Within the theoretical literature, institutions have been conceptualized as solutions to collective choice problems (Vatn 2010, p. 1245), whereby the term governance describes the forming of institutional structures. It concerns making social priorities, resolving conflicts and facilitating human coordination. . . It is hence about how we establish goals, how we define rules for reaching the defined goals, and finally how we control outcomes following from the use of these rules (ibid). Governance processes are essential to create a favorable environment for the emergence of environmental and forest-related compensation schemes by clearly assigning roles to the various actors involved, by assuring a reliable contract law or by providing legal recognition of goods and services. Supportive legislative provisions can reduce the time needed for the construction of a remuneration mechanism or strengthen linkages to other policies.6

Resource and Tenure Rights Clear tenure and property rights are crucial to guarantee the legitimacy of compensation mechanisms and to allow a clear identification of respective goods and service providers. Land tenure can be defined as the right, whether defined in customary or statutory terms, that determines who can hold and use land (including forests and other landscapes) and resources, for how long, and under what conditions (Corbera et al. 2011, p. 303). Tenure systems, which encompass property rights such as the right of For a more detailed description of these challenges, consult the “Introductory guide to valuing ecosystem services” by Defra (2007) or Forvalue (2008). 6 For examples, refer to the forest biodiversity program METSO pilot established in southern Finland. 5

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access, withdrawal, management, exclusion, or alienation, have to be clearly defined to avoid disruption and to specify to whom generated benefits (the compensation itself) belong to. In case ownership rights are missing or disputed, beneficiaries will have no incentive to participate in a voluntary (Coase) or a mediated 7 (Pigouvian) compensation scheme since delivery of agreed-upon goods and services cannot be assured.

Monitoring, Enforcement and Compliance The introduction to this chapter already emphasized that remuneration and compensation imply conditionality, which is linked to the achievement of certain outcomes. Control systems to assure performance delivery are critical, and arrangements should be in place of how compliance will be assessed to be able to withhold or withdraw from certain agreements in case noncompliance is detected. Additionally, where compliance is assessed through field inspections, the methods and procedures used, and the institutions involved, need to be determined up-front (UNECE/FAO 2011, p. 23). Monitoring and data collection of agreed-upon goods and services support not only the sustainability of a compensation scheme by enabling continued progress evaluation, but also assist in improving the targeting of a respective scheme or in carrying out other refinements (TEEB 2009).

Ensuring Permanence and Avoiding Leakage Permanence refers to assuring long-term benefits derived from environmental and forest-related goods and services preempting potential reversal risks. The long-term provision of biodiversity and ecosystem services may however be undermined by unforeseen events such as fires, hurricanes. . .or other humaninduced occurrences such as illegal logging. The allocation of responsibilities and risk therefore needs to be specified in the conservation contract. If these risks of non-permanence are particularly high, insurance payments, or the creation of an emergency rehabilitation fund, can be considered (OECD 2010: 52). The cited risks can be grouped into unintended reversal risks due to natural disturbances and intentional risks caused by purposeful actions (FCPF(b) 2013). Leakage describes unintended displacement of destructive activities to another location and can be subdivided into primary and secondary leakage effects. The former denotes activity shifting, meaning the destructive activity is displaced to another close-by location, and outsourcing, where a certain restriction results in a forest good being purchased elsewhere. Leakage in activity patterns (e.g., from deforestation to forest degradation) are also counted to this category. Secondary leakage characterizes indirect results and includes, for instance, market leakage where a supply shortage caused by a REDD (reducing emissions from deforestation and forest degradation; see ▶ sect. 39.5, “Reduced Emissions from Deforestation and Forest Degradation (REDD)”) activity leads to a change in market equilibria and thus spurs extraction or land-use change in a distant location. In contrast to primary leakage, market leakage involves third party actors which share no connection whatsoever with a REDD activity.

Financial Mechanisms and Arrangements Various financial vehicles are being used to enable transfers from environmental and forest-related goods and service providers to potential beneficiaries, be they direct, indirect, or nonusers. Before turning towards financial mechanisms and arrangements, a conceptual look at pricing approaches is useful. 7

Assuming a nonvoluntary tax-financed governmental compensation program, it is difficult to speak about incentives since individual exclusion is impossible. However, it can be argued that in case no positive outcome is generated, taxpayers would strongly disapprove. Page 5 of 9

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Starting from the upper y-axis of Fig. 2, benefits accruing to forest managers are depicted for two distinct situations: first, full-scale wood harvesting and, second, sustainable harvest. The latter practice is generally rendered less profitable than switching to other land uses, such as conversion to cropland or pasture; thus incentives for an ecosystem manager to maintain forest cover are low. However, any resulting land-use change might impose costs to downstream populations (externality), e.g., in the form that carbon and CO2 will be emitted to the atmosphere contributing to global warming or that natural water filtration services being lost requiring other water treatment facilities. Internalizing these costs via a compensation scheme could result in sustainable forest management becoming a viable alternative (depending on the amount of compensation). The full range of possible compensation payments (minimum and maximum) is indicated in the above-illustrated figure, showing that payments should cover at least the perceived opportunity cost of service provision, but should not exceed the social value of the incremental environmental service delivered (Prokofieva et al. 2012, p. 5).

Classification of Financial Vehicles

Within the environmental policy literature, various typologies for the classification of financial mechanisms have been proposed, such as differentiation according to (a) carrot, stick, and sermons, (b) traditional and contemporary policy instruments, (c) voluntary or compulsory with further differentiation according to bilateral or collective, or (d) public, public/private, or private schemes.8 The latter does not only represent a commonly encountered classification, it also ties in well with the already outlined differentiation between centralized governmental Pigouvian approaches and more private, decentralized Coasean schemes. Therefore, a classification according to public mechanisms, mixed public-private mechanisms, private mechanisms, and trading schemes will be employed. Since the first two sections of this chapter are concerned with theoretical considerations, practical examples of the respective arrangements will be presented in the subsequent three sections.

Public Mechanisms

The category of public mechanisms includes fiscal instruments (such as environmental taxes, fees, charges, or subsidies) and requires that public bodies are in charge of implementation. Therefore, interest of public authorities on local, subnational, or national level to engage in the topic is needed. Examples include taxes on drinking water, entrance fees to natural reserves, license fees for outdoor activities such as hunting or fishing, charges on resource extraction, or extraction of forestry products. The European Commission (2001, p. 9) defines environmental taxes as tax whose tax base is a physical unit (or a proxy of it) of something that has a proven, specific negative impact on the environment; thus they are aimed at triggering behavioral changes.9 Their main targets are twofold: The primary goal is to use taxes to increase the price of products which are considered to be undesired products, in favour of more environmentally friendly alternatives that become more competitive in comparison, as a result of the tax increase on other products. . .The second goal of environmental taxes is to finance the costs of collection and treatment systems or other compensation measures. This is a relevant measure in forestry because the collected funds may be invested back into forests in order to manage them for multiple/social benefits

(Forvalue 2008, p. 53), a practice generally referred to as earmarking. Subsidies, by contrast, reward a desired behavior by providing payments granted by local authorities. The fulfillment of preestablished requirements is sufficient for qualification, and no further differentiation is undertaken. 8

For an overview, consult Forvalue (2008), especially Annex 20. It should be noted that also other, nonfinancial mechanisms exist, such as in-kind transactions (e.g., volunteer labor for fund-raising activities). However, exploring these lies beyond the scope of this chapter. 9 More in-depth discussions of the issue including design elements of environmental taxes can be found in OECD (2011). Page 6 of 9

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Private Mechanisms Financing instruments belonging to the category of private mechanisms are mainly characterized through market solutions and private contracts. They are established without explicit public intervention, whose role might be limited to generating an overall favorable environment, such as through legislation (“enabling conditions”). Private actors purchasing environmental and forest-related goods and services (e.g., fruits and greenery), purchasing or leasing land (e.g., for the purpose of drinking water protection or nature conservation), sponsoring eco-friendly activities (e.g., afforestation and reforestation projects or nature conservation), or engaging into environmental certification of products to generate a price premium through meeting higher standards serve as examples. Besides corporate responsibility motives, private mechanisms related to environmental and forest-related goods and services often evolve around water quality, since drinking water has a commercial value, whereas for instance soil quality is more difficult to market. The nature of market solutions implies that contracts are negotiated and entered into voluntarily. The administration and management of an agreed-upon mechanism is frequently passed on to a third entity which is charged with the administration of funds (collection on buyers’ and disbursement on sellers’ side) and secures accountability. Some scholars argue that private schemes bear considerable advantages over other arrangements in terms of efficiency, as the actors with the most information about the value of the service are directly involved, have a clear incentive to ensure that the mechanism is functioning well, can observe directly whether the service is being delivered, and have the ability to re-negotiate (or terminate) the agreement if needed. . .In ‘government-financed’ PES programs, the buyers are a third party acting on behalf of service users. . .As the buyers in this case are not the direct user of the ES, they have no firsthand information on its value, and generally cannot observe directly whether it is being provided. They also do not have a direct incentive to ensure that the program is working efficiently; on the contrary, they are often likely to be subject to a variety of political pressures (Engel et al. 2008, p. 666).

This also causes some scholars to regard the Coasean approach as first-best and the Pigouvian approach as second-best option. However, since in practice a third party is frequently commissioned for scheme administration and management, the existence of transaction costs can reduce efficiency considerations.

Public-Private Mechanisms A third type of mechanism are contracts between a private sector entity that provides environmental and forest-related goods and services and a public entity paying for those. Contracts are entered into voluntarily; thus compared to other fiscal instruments, the public entity is able to discriminate and directly select the locality, the provider, and/or the good or service deemed worthwhile for compensation. Depending on the contractual design, the mixed scheme allows to share responsibilities, partly releasing the government from providing certain goods and services. In forestry, public-private mechanisms are particularly useful to introduce sustainable management practices for specific natural forests or wildlife areas since a contract requires that an agreed-upon good or service is associated with a clearly demarcated piece of land.

Trading Mechanisms A highly relevant environmental policy tool concerns the creation of markets, comprising a fourth category of financial mechanisms and arrangements. Their installation can take various forms: Liability regulations can create incentives for firms to act more environmentally friendly and can create markets for alternative products such as renewable materials. The definition of minimum production quota creates a market for certain products such as green or renewable electricity including electricity from forest biomass (Forvalue 2008: 58). Additionally, emission permits or certificates can be issued. Tradable permits can have the form of emission reduction credit programmes or cap and-trade systems. Credit programmes may be implemented as “bubble” scheme (a number of stationary emission sources are Page 7 of 9

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assigned a certain limit together), an “offset” scheme (firms buy pollution allowances from other firms that abate their emissions), or a “banking” scheme (where firms may store earned emission credits for future uses) (ibid). Under cap-and-trade schemes, either the usage/extraction of a specific resource or the release of a detrimental pollutant can be capped. One prominent example from the forestry sector are carbon credits from carbon sequestration schemes10. Other applications include the definition of quotas for nitrate, phosphorus, and/or salt discharges (cf. UNECE/FAO 2011), where allocated or auctioned-off pollution allowances can be traded, rewarding participants who manage to reduce their environmental impact (e.g., through the usage of cleaner technologies) and punishing heavy polluters via the necessity to buy additional allowances on the market. Finally, conservation banking schemes are another category of trading mechanisms.11 They describe a regulated system allowing project developers to offset adverse environmental impacts caused by their planned interventions on ecosystems like wetlands or on protected species. The compensation payments go to a conservation bank, which in turn invests in measures to mitigate or compensate the loss of habitat through restoration or conservation projects elsewhere.

References Carroll N, Fox J, Bayon R (eds) (2008) Conservation and biodiversity banking: a guide to setting up and running biodiversity credit trading systems. Earthscan, London Convention on Biological Diversity (CBD) Secretariat (2007) An exploration of tools and methodologies for valuation of biodiversity and biodiversity resources and functions. Technical series no. 28, United Nations Corbera E, Estrada M, May P, Navarro G, Pacheco P (2011) Rights to land, forests and carbon in REDD+: insights from Mexico, Brazil and Costa Rica. Forests 2(1):301–342 Defra (2007) An introductory guide to valuing ecosystem services. Department for Environment, Food and Rural Affairs, London Engel S, Pagiola S, Sven W (2008) Designing payments for environmental services in theory and practise: an overview of the issues. Ecol Econ 65(4):663–674 European Commission (2001) Environmental taxes – a statistical guide. Office for official publications of the European Communities. European Commission, Luxembourg FCPF(b) (2013) FCPF carbon fund methodological framework. Discussion paper #5: displacement (Leakage) Forest Carbon Partnership Facility, Washington, DC FORVALUE (2008) Study on the development and marketing of non-market forest products and services. Available at the European Commission Agriculture and Rural Development. http://ec.europa.eu/ agriculture/analysis/external/forest_products/index_en.htm. Accessed 8 Dec 2013 Organisation for Economic Co-operation and Development (OECD) (2010) Paying for biodiversity, enhancing the cost-effectiveness of payments for ecosystem services. OECD, Paris Organisation for Economic Co-operation and Development (OECD) (2011) Environmental taxation – a guide for policy makers. OECD, Paris Pagiola S, Platais G (2007) Payments for environmental services: from theory to practise. World Bank, Washington, DC

A detailed description of the REDD mechanism will be given in ▶ Sect. 39.5, “Reduced Emissions from Deforestation and Forest Degradation (REDD)”. 11 For a substantial insight, consult Conservation and Biodiversity Banking: A Guide to Setting Up and Running Biodiversity Credit Trading Systems by Carroll et al. (2008). 10

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Prokofieva I, Wunder S, Vidale E (2012) Payments for environmental services: a way forward for Mediterranean forests? EFI Policy Brief 7. Available at EFI. http://www.efi.int/files/attachments/ publications/efi_policy_brief_7_eng_net.pdf. Accessed 22 Jan 2014 Stagl S (2007) Emerging methods for sustainability valuation and appraisal, rapid research and evidence review. Sustainable Development Research Network, London Standing Forestry Committee (SFC) (2008) Valuation and compensation methods for non-wood forest goods and services. Final report. Available at European Commission. http://ec.europa.eu/agriculture/ fore/publi/sfc_wgi_final_report_112008_en.pdf. Accessed 20 Jan 2014 The Economics of Ecosystems and Biodiversity (TEEB) (2010) The economics of ecosystems and biodiversity ecological and economic foundations. Available at TEEBWEB. http://www.teebweb. org/publication/the-economics-of-ecosystems-and-biodiversity-teeb-ecological-and-economic-foundations/. Accessed 16 Jan 2014 UNECE/FAO Forestry and Timber Section (2011) Payments for forest–related ecosystem services: what role for a green economy. Available at UNECE. http://www.unece.org/fileadmin/DAM/timber/meet ings/20110704/06062011pes_background_paper.pdf. Accessed 4 Dec 2013 Vatn A (2010) An institutional analysis of payments for environmental services. Ecol Econ 69(6):1245–1252

Recommended References Convention on Biological Diversity, Economic, Trade and Incentive Measures: http://www.cbd.int/ incentives/valuation.shtml For understanding financial vehicles and their applicability in an environmental setting better, consult any introductory textbook on environmental economics The Economics of Ecosystem Services and Biodiversity (TEEB) initiative: http://www.cbd.int/incen tives/teeb

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Payments for Ecosystem Services (PES) Julian Michel*, Kay Kallweit and Evy von Pfeil Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, Eschborn, Germany

Abstract Payment for environmental services – in short PES – has become a prominent topic in the tropics, especially in Latin America where Costa Rica is considered a pioneer in the field. This chapter introduces PES by providing the theoretical basis underpinning the topic in a first step, followed by a description of the PES landscape and implementation essentials. As PES lives from examples on the ground, five concrete PES cases are introduced, ranging from the Vittel water brand in France over the ICMS Ecológico in Brazil to the 1996 established Costa Rican PES scheme. Described cases are finally used to derive a set of lessons-learnt from the PES experience.

Keywords PES landscape; Implementation essentials; Additionality; Lessons-learnt; Pagos por Servicios Ambientales

Introduction Payments for ecosystem service programs – in short PES – have become a prominent topic in the tropics, especially in Latin America where Costa Rica is considered a pioneer in the field after enacting a new forest law in 1996.1 Similar practices have long before been promoted in Western countries though experiences were mostly subsumed under different labels, e.g., agri-environmental schemes or agrienvironmental measures, making comparative research and developing synergies difficult (cf. Schomers and Matzdorf 2013). From a conceptual perspective, the terms “ecosystem” and “ecosystem services” have already been introduced and defined in Chapter 39.1 ▶ “Concept of Compensation Payments and Ecosystems”; thus direct linkages can be established to the theoretical complex outlined in the first part. Since PES is considered “a multi-facetted term with many diverse definitions coexisting” (ibid: 16), it remains an unresolvable task to clearly delimit the space that PES takes up within the more generic concept of compensation payments. The overarching principle for PES “is to ensure that people who benefit from a particular ecosystem service compensate those who provide the service, giving the latter group an incentive to continue doing so. . .PES are intended to change the economics of eco-system management and can support biodiversity-friendly practices that benefit society as a whole” (TEEB 2009: 7). Labels (PES and compensation payments) are sometimes used interchangeably, even though compensation payments should be understood in a broader sense including all kinds of economic environmental incentive systems. PES follows a narrower concept reflected in the most widely cited *Email: [email protected] 1 Besides the termini payments for ecosystem services, also payments for environmental services can frequently be encountered in the literature. Even though individual scholars argue for a differentiation between the two (cf. Wunder 2008), they generally refer to the same concept and are used interchangeably here. Page 1 of 14

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definition given by Wunder (2007: 50), who specified PES as “(1) a voluntary transaction in which (2) a well-defined environmental service (or a land use likely to secure that service) (3) is ‘bought’ by a (minimum of one) buyer (4) from a (minimum of one) provider (5) if and only if the provider continuously secures the provision of the service (conditionality).” Criteria are stylized, and it becomes apparent that various approaches and illustrations given in Chapter 39.1 ▶ “Concept of Compensation Payments and Ecosystems” and 39.2 ▶ “Compensation payment scheme requisites and financial arrangements” fail to meet all criteria, for instance, through government interventions that contradict the voluntary nature of the transaction (taxes or subsidies serve as example) or through ill-defined environmental services or their undervaluation. In practice, the great majority of PES-labeled schemes do not fulfill the five requirements and the definition has been understood more as a “theoretical reference point” (Vatn 2010). Enabling conditions have already been introduced in Chapter 39.2 ▶ “Compensation payment scheme requisites and financial arrangements”. Adding to these, the following criteria are necessary for the successful implementation of a PES program: (1) demand for an ecosystem service is clear and financially valuable to one or more beneficiary/ies; (2) supply of a specific service/resource is threatened; (3) resource management actions have the potential to address supply constraints; (4) effective brokers or intermediaries exist to manage and implement a scheme; (5) contract laws exist and are enforced and resource tenure is clear; and (6) clear criteria for monitoring outcomes across partners are established (cf. Forest Trends et al. 2008). The following examples are presented to illustrate the potential of PES schemes in practice: (1) the Vittel water PES scheme in France; (2) the fiscal incentives for biodiversity conservation program in Brazil; (3) the integrated silvopastoral ecosystem management project in Costa Rica, Nicaragua, and Colombia; (4) the forest PES in Vietnam; and, in more detail, (5) the Costa Rican PES scheme. The section will end with a short summary of lessons learned.

PES Landscape The majority of PES programs is located in Latin America (cf. UNECE/FAO 2011), a finding that is confirmed by a recent analysis assessing the geographical distribution of overall PES publications (Fig. 1, above part). Reviewing 457 papers, Schomers and Matzdorf (2013) also found that the majority of PES articles were published after 2004. Dating back to 1974, only 41 papers were identified before 2004, with a reverse trend setting in with the turn of the millennium, exhibiting almost an exponential growth rate in publications. Focusing specifically on PES case studies, the Costa Rican “Pagos por Servicios Ambientales” (PSA) program represents the most treated case in the literature, followed by the integrated silvopastoral ecosystem management project (RISEMP) in Costa Rica, Nicaragua, and Colombia (Fig. 1, below part). Taking an aggregate view on the topics being presented in the various PES papers reveals that “the majority of PES articles appear to discuss the institutional conceptualization and underlying governance structures of PES programs and schemes. Research on how governance structures can be leveraged to boost economic efficiency and environmental effectiveness appears to be of particular importance. In this context many articles emphasize (1) design characteristics of PES contracts (in particular performance payments, auctions, spatial targeting and cost benefit targeting) and (2) factors enhancing PES scheme acceptance” (ibid: 24).

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Fig. 1 Major PES studies described in literature (below, n = 102) and geographical distribution of overall PES publications (above, n = 457) (Source: Schomers and Matzdorf (2013))

Implementation Essentials Numerous documents have been produced providing step-by-step guidance in the process of PES program design. A useful guide is “Payments for Ecosystem Services: Getting Started-A Primer” published by Forest Trends, the Katoomba Group, and UNEP (2008). The report outlines necessary steps and milestones that have to be reached, includes convenient checklists and clear technical questions that need to be addressed, describes helpful tools, and points toward reference material and other PES examples. Additionally, sections are subdivided according to the service a PES scheme is desired to deliver (e.g., water or soil protection, biodiversity protection), facilitating swift familiarization. Figure 2 illustrates the main stages of PES development with the identification of a PES potential in a certain locality being the first step. Besides the points listed, also awareness raising over the range of institutional actors potentially influencing the establishment of a PES scheme is required. That these can be numerous is depicted by Fig. 3. The second step consists of an assessment of the institutional and technical capacity of key stakeholders and an examination of the conduciveness of the legal and regulatory environment. For the establishment of the PES scheme, operational structures have to be defined, and arrangements for the financing and payment mechanisms have to be made as well as decisions upon monitoring, reporting, and verification (MRV). Finally, agreements have to be reached upon roles, responsibilities, expected results, and how they are being tracked and verified and upon mechanisms for conflict resolution.

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Fig. 2 Main stages of PES development (Source: Prokofieva et al. (2012) with reference to Bracer et al. (2008) and Brink (2011))

Fig. 3 Institutional actors involved in a PES deal (adapted from Bracer et al. (2007))

Practical Example I: Vittel Water Brand (France) The case of the French bottled water brand Vittel, owned by Nestlé, is a good example for successful private sector-driven watershed protection. One of Vittel’s brands produced in the northeast of France was threatened by nitrate contamination and a rise in the level of pesticides by a change in farming practices combined with agricultural intensification around the sensitive water catchment. “The traditional hay-based cattle ranching system had been replaced by a maize-based system. Free range was limited while stocking rates increased. The increased nitrate rate was caused primarily by the heavy leaching of fertilizers from the maize fields in the winter when fields are barren, (continued)

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overstocking, and poor management of animal waste” (Perrot-Maître 2006: 9). A partnership was formed between Vittel and the French National Agronomic Institute (INRA) in 1989 to scientifically evaluate possible scenarios of how water quality can be maintained in accordance with the livelihood perceptions of farmers. After an extensive consultation and discussion period, the incentive program was initiated to encourage farmers to voluntarily adopt less harmful practices in 1992. The intermediary institution Agrivair was founded to design and implement the scheme. The program relied on a complex incentive mechanism including the granting of long-term security through 18- or 30-year contracts and the cancelation of land ownership debts. In addition, a subsidy of around 200 euros/ha/ year was paid over a period of 5 years to guarantee stable income streams in the transition period and a payment of up to 150,000 euros per farm to assist the adoption of new farming practices (e.g., purchase of new equipment) and the provision of technical assistance. In turn, the 26 program participants committed to prescribed management plans. The majority of funds were disbursed in the first years of program implementation until 2000, reaching approximately 24 million euros (excluding intermediary transaction costs) or roughly 980 euros/ha/year (cf. Prokofieva et al.). “By 2004, after 12 years of operation, the program had succeeded in enrolling 92 percent of the basin’s hectares and reduced the baseline nitrogen load of the spring’s source waters” (Stanton et al. 2010: 37) – a clear indicator of success. With the high enrollment rate of farmers in the program, payments have decreased substantially since 2004. Analyzing key success factors, Perrot-Maître (2006) points out that the primary reasons were not financial. Rather, understanding farmers’ livelihood choices and faced constraints was essential, as well was the establishment of a continuous dialog to establish trust and mutual comprehension.

Practical Example II: ICMS Ecológico (Brazil) The ICMS Ecológico – in short ICMS-e – serves as an example for a public mechanism and describes an ecological fiscal transfer program implemented in roughly half of all 27 Brazilian states (Marchand et al. 2012). ICMS stands for “Imposto sobre Circulação de Mercadorias e Serviços,” a value-added tax on the circulation of goods and services on interstate and intercity transportation and communication established by the Brazilian Constitution in 1988. Compared to other countries, taxes are collected on a state level, constituting the most important income source with approximately 90 % of overall state tax revenue (Ring 2008). The federal constitution stipulates that 25 % of the collected ICMS has to be transferred to the municipality level, where 75 % are distributed according to a municipalities’ contribution to the total value-added tax generated and 25 % (or 6.25 % of the total collected) can be allocated according to own criteria defined by state legislation. These criteria generally include area size, population, equality, and/or – known as ICMS-e – an environmental criterion. Thus, the tax autonomy granted by the central government provided space to develop incentive mechanisms for municipalities to obtain additional environmentally earmarked allocations and also served as compensation for those municipalities facing large land-use restrictions due to a high share of protected areas. “In general, to obtain its share of the ICMS revenue corresponding to the environmental criterion, the municipality must comply with certain conditions related to the environment. Some of them are of geographical nature, such as the area of water reserves or protected forest areas, while in other states, the municipalities must have some environmental-related policies, like selective waste collection and treatment, water and sewage treatment, and nature conservation units. In some states, the presence of aboriginal lands (continued)

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or programs to prevent deforestation and forest fires are [the] criteria” (Arroyo et al. 2012: 15). The state of Paraná was the first to include ecological criteria in its ICMS redistribution formula in 1991/ 1992, reserving 5 % as reward for the creation of conservation areas and for watershed protection (2 and 5 %, respectively) (Marchand et al. 2012). Other states soon followed the example, such as Minas Gerais, São Paulo (both 1996), Rodônia (1997), or Mato Grosso (2002). Since every state formulated its own eligibility criteria, with different weights attached to the various elements (e.g., biological reserves, wildlife refuges, ecological stations, sustainable development reserves, indigenous lands), a clear and transparent information environment was needed as data on the various categories had to be provided and made accessible. Overall, studies evaluating the effectiveness of the ICMS-e show mixed results, with some states exhibiting “a clear incentive effect [that] can be seen in the way new protected areas have been created, predominantly at local and state level become an important stimulus for the creation of new conservation units and for improved environmental management and quality of these areas” (Ring 2008: 492), while in other states the manifestation of such an effect is less strong. In Paraná and Minas Gerais, where the ICMS-e was piloted, the ecological fiscal transfer scheme seemed to have a particularly strong impact on conservation decisions. Additionally, it was found that the availability of funds for conservation purposes has increased the appreciation and awareness of environmental values, countering opinions that regard these as an obstacle to development.

Practical Example III: RISEMP (Colombia, Costa Rica, Nicaragua) The Regional Integrated Silvopastoral Ecosystem Management Project (RISEMP) in Colombia, Costa Rica, and Nicaragua was designed as an innovative pilot initiative pursuing the promotion of silvopastoral practices (SP). The program was implemented by the World Bank and funded through the Global Environment Facility (GEF) between 2002 and 2008 to enhance biodiversity protection and carbon sequestration and to investigate the effects of different incentive mechanisms and of landuse changes in terms of ecosystem services (Vaessen and van Hecken 2009). SP includes “(1) planting high densities of trees and shrubs in pastures, thus providing shade and diet supplements while protecting the soil from packing and erosion; (2) cut and carry systems, in which livestock is fed with the foliage of specifically planted trees and shrubs (‘fodder banks’) in areas previously used for other agricultural practices; and (3) using fast-growing trees and shrubs for fencing and wind screens” (Pagiola et al. 2008: 304). The concept was introduced to steer the predominantly expansionary agricultural activities to more sustainable practices, thereby reducing the rate of tropical deforestation and biodiversity loss. Besides a lack of awareness of farmers with respect to on-site benefits of SP (e.g., reduced reliance upon fertilizers and pesticides, improved pasture productivity, possibility to harvest forest products), the practice’s requirement for high up-front investment further hampered voluntary adoption. Financial incentives aimed at “tipping the balance” toward SP methods were calculated using a complex environmental service index (ESI). The index “was based on the aggregation of the estimated per hectare contribution of 28 different land uses to biodiversity protection and carbon sequestration” (Van Hecken and Bastiaensen 2009: 18). Land-use types were taken as proxy indicators for ecosystem service delivery. “Farmers’ payments were calculated on the basis of the net increase of this ESI – which ranged from value 0 (land use least effective in providing the ES) to 2 (land use most effective in providing the ES)” (ibid), with payments ranging from US$75 (4-year (continued)

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contract) to US$110 (2-year contract) per incremental ESI point. This practice aimed at avoiding the often as inefficient criticized arrangement of flat-rate payments by differentiating payments according to the conservation effort applied by participants (Pagiola and Arcenas 2013). However, the complex design and assessment method caused transaction costs to take up around 15 % of overall expenses. The high complexity of RISEMP was also reflected in its chosen research methodology, as it envisaged following a randomized experimental design involving different treatment and control groups to better highlight the program’s impact (besides differentiating between 2- and 4-year contracts, some participants received PES only while others combined PES with technical assistance). The high scientific aspirations lead the GEF impact assessment to conclude that the program was “in essence a research and innovation project” (Vaessen and van Hecken 2009: 7), a design decision that was identified as a major weakness as knowledge, capacity, and training were lacking to suffice the high requirements needed to assure the design’s validity. For instance, in Nicaragua, the selection process for control groups was substantially biased, rendering comparison impossible (ibid). The program generated valuable lessons learned which assisted in developing more coherent programs and projects. Besides the encountered design obstacles, the developed ESI tool proved to be an effective instrument to measure environmental service improvements. Through the introduction of silvopastoral practices, “the ESI score increased with slightly more than 48 %. . .The carbon index increased in this same period by 47 % and the biodiversity index by almost 50 %” (Van Hecken and Bastiaensen 2009: 30), rendering this part of the program a success.

Practical Example IV: Piloting Forest PES (Vietnam) In Vietnam, forest values have for long been applied only to timber production or direct-use values. Values related to protective, ecological, and social benefits (or indirect-use values) have not been so far comprehensively addressed. Since 2004, the government of Vietnam has worked to create an appropriate framework to promote ecosystem services, including payments for forest environmental services (PFES). PFES are characterized by Vietnamese law as a supply and payment relationship in which the user of forest environmental services pays to the suppliers of forest environmental services. Generating experiences on the ground, the Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH has been requested by the government of Vietnam to support the PFES concept in Son La province located in the northwest of the country. The scheme consisted of four basic, partially interlinked components: (a) the determination, quantification, and valuation of ecosystem services, where soil protection and water regulation were selected as the forest service to be compensated; (b) identification of beneficiaries (both service providers and users) (results from forest land revision in various communes of the districts have provided detailed numbers of forest owners as service providers according to different forest types and forest cover (see Table 1); as service users, four downstream-based companies were selected (hydropower plants and water supply companies)); (c) development of a payment mechanism, where payment levels were calculated on the basis of the total annual commercial water (VND40/per m3 of water) or electricity (VND20/ kilowatt) productivity (for service providers, payment adjustments were made according to (i) forest provenance (natural forest or plantation) and (ii) forest types (production and protection forest) leading to the distribution depicted in Table 2; through various workshops and meetings, it was agreed that service providers receive 90 % of payments with 10 % being reserved for management (continued)

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Table 1 List of service providers in nine communes corresponding to different forest types and areas Total forest area (ha) 58,571.35

Households 4,094

Household groups 136

Communities 105

Others 172

Total 4,507

Table 2 Payment level applicable to different forest types No. 1. 2. 3. 4.

Forest type Natural protection forest Plantation protection forest Natural production forest Plantation production forest

Amount paid/ha/year 140,234 VND 126,219 VND 84,146 VND 70,121 VND

costs); and (d) construction of an institutional arrangement, ensuring both necessary legal regulations and responsible organizational structures to operate and monitor the scheme (e.g., installing management boards). The operation of the scheme has created an innovative financial mechanism to compensate efforts made by service providers, while contributing to sustainable forest management. After the first year of implementation, a total amount of over 60 billion VDN was paid by service users, of which 6,731 billion VDN was distributed to 4,507 service providers, who managed 58,571.35 ha in nine communes (see Table 1). The Son La pilot has offered a practical showcase of successful PES implementation – an experience with high potential for scaling up nationwide.

The Costa Rican PES Program Probably the most well-known and discussed (see Fig. 1, below part) PES scheme is the “Pagos por Servicios Ambientales” (PSA) program in Costa Rica. The national government lays the foundations for monetary compensation for ecosystem service provision as early as 1996 through the establishment of the Forest Law No. 7575. The concept of rewarding environmental and forest-related goods and services did not appear overnight; it was more an “evolving product of an evolving forestry system” (Porras et al. 2006: 7). The forest sector had already entered into a phase of recovery after the national forest cover rate dropped from 75 % in 1940 to its lowest detected level of 21 % in 1987 (see Table 3).

Forest Law No. 7575 The Forest Law No. 7575 passed in 1996 was instrumental in creating the legal basis for the national PES scheme. The law recognizes four environmental services: (i) mitigation of greenhouse gases (fixation, reduction, sequestration, storage, and absorption); (ii) water protection for urban, rural, or hydroelectric usage; (iii) biodiversity protection for conservation and sustainable, scientific, and pharmaceutical usage; and (iv) ecosystem protection and protection of landscape beauty for touristic and scientific ends.2 Furthermore, the forest law first established the “Fondo Nacional de Financiamiento Forestal” (National Forestry Financing Fund, Fonafifo). Fonafifo is responsible for the financial administration of

2

It should be noted that forest cover serves as a proxy for the environmental services defined by law. Thus, it is assumed that the modalities for which compensation payments can be obtained deliver some or all of the outlined services, representing a simplification. Page 8 of 14

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Table 3 Forest cover in Costa Rica (1940–2010), based on Porras et al. (2012) Year %

1940 75

1950 72

1961 53

1977 31

1983 26

1987 21

1997 42

2000 47

2005 51

2010 52

the program, particularly for pooling financial resources and disbursing them directly to service providers. Second, the forest law established the fuel tax as one of the main financing instruments for the scheme.3 Additionally, the forest law imposed a deforestation ban, prohibiting the cutting down of trees and changing of the land use in forests standing on private property except for certain reasons, such as for the construction of houses, infrastructural projects of national interest, security reasons, or for the prevention of forest fires. The major contract type within the Costa Rican PES scheme concerns the modality forest protection,4 despite the legal restrictions already in place to prevent deforestation. However, the PES mechanism should be understood as an additional policy instrument to compensate the lack of enforcement and control capacities.

Payments Forest protection represents the most prominent contract type, paying over a 10-year period5 US$64 ha/year for the general scheme and US$80 ha/year for forests being located near important hydrological zones. Reforestation contracts run for the same time but the total payment of US$980 is spread over 5 years (i.e., US$196 per year) to cover up-front investment costs. Contracts made for natural regeneration pay either US$41 or US$64 per year over a period of 10 years, depending on whether the enrolled land qualifies for CDM6 projects or not.7 Since the start of the national program, almost US$280 million were disbursed and 13,000 contracts signed, covering around 800,000 ha of forest (Porras 2013). Payments in the various modalities are made on a flat-rate basis, i.e., no differentiation is made between number of trees on a protected territory or the type of trees used for carbon sequestration, a reason why Pascual et al. (2010) describe the Costa Rican PES scheme to follow an egalitarian fairness criterion.8 Generally, the volume of applications for the scheme exceeds available funds. To improve the program’s targeting, a point system has been introduced. Each application is rated according to biophysical characteristics; for example, higher scores are given for forests located in biological corridors, near watersheds, or in protected areas which have not yet been bought or expropriated by the state. Applications receive additional points for plots located in relatively underdeveloped districts (social development

Over the years, new financial sources were made accessible to finance the program, such as World Bank funds (Ecomercados I and II) or funds from semipublic or private entities. An innovative example for the latter is “green” debit cards, where 10 % of the bank’s commissions are transferred to Fonafifo. 4 Roughly 40 % of all active contracts and 60 % of total active hectares contracted in 2013 referred to forest protection contracts. Between 1997 and 2005, around 80 % of total funds available were spent on this modality (W€unscher et al. 2008). 5 In 2006, payments were raised to US$64 ha/year, running for a 5-year period. With Decree No. 36935 passed in 2012, the contract period was extended to 10 years. 6 The clean development mechanism (CDM) will be discussed in Chapter 39.4 ▶ “The clean development mechanism (CDM)”. 7 For a full listing of all modalities available including their financial compensation, consult the latest decree available at http:// www.fonafifo.go.cr/paginas_espanol/servicios_ambientales/sa_decreManua.htm (Spanish only). 8 Payments can also follow other criteria, e.g., a “min-max” criterion where “payments aim to maximize the net benefit to the poorest landholders, even at a cost of efficiency loss. Payments are differentiated according to the income of providers” (Pascual et al. 2010: 1240). 3

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index below 40 %) and for areas smaller than 50 ha, thereby also considering socioeconomic characteristics. Socioeconomic criteria were initially not associated with PES but their inclusion is increasingly debated.9

Participation Numerous requirements have to be met to qualify for PES application. A list of eligibility criteria is outlined below, ranging from the proof of legal land titles to the submission of cadastral and cartographic maps. External expertise provided by so-called intermediary organizations is often required to master the application process. In Sarapiquí, one of the most targeted cantons of PES around 85 % of all contracts are submitted by the nongovernmental intermediary organization Fundecor (Michel 2012). For their services, the intermediaries generally charge a percentage fee of around 15 % of disbursed payments. In a study analyzing participation factors, Zbinden and Lee (2005: 269) revealed that “factors associated with the farming system, household and decision-maker characteristics, and information access and availability significantly influence the decision to participate in the PSA programs.” For every 10 additional hectares of land a farmer possessed, he/she was 27 % more likely to participate in a scheme, whereas the likelihood for participation increased to 82 % for every 10 % increase in the proportion of off-farm generated income. Farmers who had been visited and informed about the PES program prior to their decision to apply were found to be ten times more likely to participate, emphasizing the importance of proper information. Arriagada et al. (2009) found that 66 % of interviewed nonparticipants simply did not enroll land in PES because they lacked information about it. Looking at the size of enrolled plots, most contracts have been awarded to properties of around 30 ha. Eligibility Criteria for Application Landowners who wish to participate in the program have to provide the following: (a) application form to the regional MINAE [Ministry of Environment and Energy] office, (b) proof of identity or statutes of an organization, (c) proof that they hold a legal title to the land (if applicant only have possession rights, then other official requirements are necessary: proof of sale, three independent witnesses, description of the property and its limits, proof that there are no conflicts over the property, etc.; all of these have to be publicly authorized by an official lawyer (notario público)), (d) proof that they have paid local taxes, (e) an official cadastral map of the property, (f) verification of the size of the area by a professional topographer, (g) copy of a cartographic map on a scale 1:50.000 to indicate location of the area, (h) legal authentication of representative, and (i) for sustainable forestry activities, a forest management plan drafted by a professional forestry engineer and approved by the National Conservation Areas System (SINAC). Reforestation can only be financed after additional official approval by the Ministry of Agriculture. Priority areas for approving projects are selected every year through a decree (Source: Porras et al. (2006)).

Additionality

As an evaluation of a World Bank/GEF project in Costa Rica puts it, “paying for forest protection on land that requires no protective measures is an inefficient use of scarce conservation funds” (Hartshorn et al. 2005: 12), raising the question if disbursed payments deliver additional environmental services, i.e., benefits that in the absence of the PES mechanism would not have materialized. The question of

9

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additionality is influenced by the requirements of the clean development mechanism (see chapter 39.4 ▶ “The clean development mechanism (CDM)”), where evidence of additional benefits has to be provided for credit issuance. Within the Costa Rican PES scheme, additionality is not included as an eligibility criterion. As illustrated in Table 1, forest cover rates have increased since the inauguration of the program and the deforestation rate has declined. However, studies assessing the additional benefits attributable to the mechanism reveal very modest results. Focusing on the first years of the program (1997–2000), Pfaff et al. (2008) only find a small impact on deforestation. According to their estimates, deforestation was prevented on only 0.21 % of the land enrolled. A possible explanation is that subscribed areas faced very little deforestation threats (e.g., due to access limits, difficult topology, unproductive soils), i.e., clearance in the absence of the PES scheme would not have been a viable option. SanchezAzofeifa et al. (2007) and Sills et al. (2006) confirm this finding for the initial period (1997–2000). Also Sierra and Russman (2006: 131), focusing on the Osa Peninsula in the southwest of the country, find very little impact of the program on forest conservation but acknowledge that PES “seem to accelerate the abandonment of agricultural land and, through this process, forest regrowth and gains in services”. Besides missing evidence on the direct effects of the PES mechanism, reported findings indicate indirect effects (spillover effects) such as encouraging additional conservation elsewhere or educational effects leading to a deeper appreciation of forests.

Lessons Learned from the PES Experience The heterogeneity of the PES concept complicates the task of deriving clear lessons learned, since design choices (e.g., for a public or a private scheme) implicate distinct challenges and, in turn, resolutions. As stated at the beginning, PES remains “a multi-facetted term with many diverse definitions coexisting” (Schomers and Matzdorf 2013: 16). However, depicted examples demonstrate that PES can be a viable instrument to address various circumstances and challenges.10 The following will provide a set of lessons learned from the PES experience: 1. Efficiency is a very important consideration and has to be carefully considered in the design of an environmental and forest-related compensation mechanism. This relates directly to a program’s targeting and the identification of environmental threat levels. The key question is where and to whom payments shall be disbursed in order to bring about a significant impact, thus reaping additional environmental gains. The Costa Rican PES scheme illustrated that targeting issues can also be improved during program implementation, for example, through the introduction of a point system that grants areas with a high conservation value or with a low social development index an increased possibility to be chosen. Also, the tax autonomy granted by the Brazilian central government to its federal states in the ICMS-e can be regarded as a mechanism trying to increase efficiency. Every state is able to formulate own, tailor-made actions which it deems worth supporting via additional earmarked funds.

A comprehensive synthesis of the Mexican, Costa Rican, and Ecuadorian PES experience can be found in “Lessons Learned for REDD+ from PES and Conservation Incentive Programs,” a World Bank-sponsored report who explains in great detail 29 lessons learned in five key areas: (a) legal aspects of PES, conservation incentives, and REDD+ programs through the lens of participation agreements; (b) poverty reduction, livelihoods, and other equity issues; (c) evaluating and managing trade-offs and synergies between programs, sectors, and incentives; (d) monitoring, reporting, and verification of activities and outcomes; and (e) financial mechanisms, targeting, and controlling administrative costs (IBRD/WB (2012).

10

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2. The case of the ICMS-e further highlights that flexibility has to be provided, together with the capacity to adapt to changing circumstances. 3. A third insight concerns a detailed understanding of the various stakeholders involved in a PES mechanism. Sufficient time needs to be taken, since success is not always determined by financial incentives but mutual comprehension, as demonstrated by the Vittel water example. 4. Clear governance structures at all levels are vital, a fourth lesson learned as it is one of the key success factors in the Costa Rican PES program (Porras 2013). 5. Deciding between flat-rate and customized payments in light of cost-effectiveness considerations is equally important and requires a deeper analysis of trade-offs between the accuracy of impact measurements on the one hand and complexity and transaction costs on the other as the RISEMP example shows. 6. The RISEMP example allows drawing a sixth lesson: A policy instrument should follow a clear and manageable design avoiding too many and diverse aspirations. This is related to the criterion of costeffectiveness, requiring a clear hierarchy of objectives as PES will quickly lose its appeal as an instrument of environmental policy if it is perceived to be loaded with different objectives and tradeoffs (e.g., between social objectives and environmental impact). 7. Proper information is crucial to a program’s success – not only informing targeted participants but also collecting information and analyzing data to design high-quality impact assessments and monitor progress. 8. The PFES example indicates that pilots can create a valuable demonstration site, offering a practical showcase that can be used as a reference or benchmark for other activities. 9. The establishment of continuous and rigorous monitoring procedures and sanction mechanisms in case conditionality cannot be assured represents a final lesson learned.

References Arriagada R, Sills E, Pattanayak S, Ferraro P (2009) Combining qualitative and quantitative methods to evaluate participation in Costa Rica’s program of payments for environmental services. J Sustain For 28(3):343–367 Arroyo J, Jiménez J, Mussi C (2012) Revenue sharing: the case of Brazil’s ICMS. United Nations Economic Development Division (UN-ECLAC), Santiago Bracer C, Scherr S, Molnar A, Sekher M, Ochieng BO, Sriskanthan G (2007) Organization and governance for fostering pro-poor compensation for environmental services: CES scoping study issue paper no 4, ICRAF working paper no 39, World Agroforestry Centre, Nairobi Brink P (2011) The economics of ecosystems and biodiversity in national and international policy making. Earthscan, London Forest Trends, The Katoomba Group, UNEP (2008) Payments for ecosystem services: getting started – a primer. Forest Trends, The Katoomba Group, UNEP, Nairobi Hartshorn G, Ferraro P, Spergel B, Sills E (2005) Evaluation of the World Bank – GEF Ecomarkets project in Costa Rica. Available at the North Carolina State University. http://www2.gsu.edu/~wwwcec/docs/ doc%20updates/NCSU_Blue_Ribbon_Panel_Final.pdf. Accessed 19 Jan 2014 IBRD/WB (2012) Lessons learned for REDD+ from PES and conservation incentive programs, examples from Costa Rica, Mexico, and Ecuador. Available at FONAFIFO, CONAFOR and Ministry of Environment Ecuador. http://documents.worldbank.org/curated/en/2012/03/17634356/lessons-learnedredd-pes-conservation-incentive-programs-examples-costa-rica-mexico-ecuador. Accessed 3 Feb 2014

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Marchand S, Sauquet A, José F (2012) Ecological fiscal incentives and spatial strategic interactions: the case of the ICMS-E in the Brazilian state of Paraná. Working paper no 201219 from the Centre d’Etudes et de Recherches sur le Développement International (CERDI), Clermont-Ferrand Michel J (2012) Neighbourhood effects of payments for environmental services: case study in the Sarapiquí region, Heredia Province, Costa Rica. Available at the Norwegian University of Life Sciences. http://brage.bibsys.no/xmlui/handle/11250/187891. Accessed 28 Jan 2014 Pagiola S, Arcenas A (2013) TEEB case: regional integrated silvopastoral ecosystem management project – Costa Rica, Colombia and Nicarágua, Version 1.1. Available at TEEBWEB. http://www. teebweb.org/wp-content/uploads/2013/12/PES-experience-in-Costa-Rica_-Colombia_-Nicaragua_ 05122013.pdf. Accessed 17 Feb 2014 Pagiola S, Arcenas A, Platais G (2005) Can payments for environmental services help reduce poverty? An exploration of the issues and the evidence to date from Latin America. World Dev 33(2):237–253 Pagiola S, Rios A, Arcenas A (2008) Can the poor participate in payments for environmental services? Lessons from the Silvopastoral project in Nicaragua. Environ Dev Econ 13(3):299–325 Pascual U, Muradian R, Rodríguez L, Duraiappah A (2010) Exploring the links between equity and efficiency in payments for environmental services: a conceptual approach. Ecol Econ 69(6):1237–1244 Perrot-Maître D (2006) The Vittel payments for ecosystem services: a “perfect” PES case. International Institute for Environment and Development (IIED), Department for International Development (DFID), London Pfaff A, Robalino J, Sanchez-Azofeifa G (2008) Payments for environmental services: empirical analysis for Costa Rica. Terry Sanford Institute of Public Policy, Duke University, Durham Porras I (2013) Payments for environmental services: lessons from the Costa Rican PES programme. Paper presented at fair ideas conference, Rio de Janeiro, 16–17 June 2012 Porras I, Miranda M, Barton D, Chacón A (2006) Developing markets for watershed protection services and improved livelihoods, active learning from Costa Rica’s payment for environmental services. International Institute for Environment and Development (IIED), London Porras I, Miranda M, Barton D, Chacón A (2012) De RIO a RIO+: Lecciones de 20 años de experiencia en servicios ambientales en Costa Rica. International Institute for Environment and Development (IIED), London Prokofieva I, Wunder S, Vidale E (2012) Payments for environmental services: a way forward for Mediterranean forests? EFI Policy Brief 7. Available at EFI. http://www.efi.int/files/attachments/ publications/efi_policy_brief_7_eng_net.pdf. Accessed 22 Jan 2014 Ring I (2008) Integrating local ecological services into intergovernmental fiscal transfers: the case of the ecological ICMS in Brazil. Land Use Policy 25(4):485–497 Sánchez-Azofeifa G, Pfaff A, Robalino J, Boomhower J (2007) Costa Rica’s payment for environmental services program: intention, implementation, and impact. Conserv Biol 21(5):1165–1173 Schomers S, Matzdorf B (2013) Payments for ecosystem services: a review and comparison of developing and industrialized countries. Ecosyst Ser 6:16–30 Sierra R, Russman E (2006) On the efficiency of environmental service payments: a forest conservation assessment in the Osa Peninsula, Costa Rica. Ecol Econ 59(1):131–141 Sills E, Arriagada R, Pattanayak S, Ferraro P, Carrasco L, Ortiz E, Cordero S (2006) Impact of the PSA program on land use (Chapter 9). In: Platais G, Pagiola S (eds) Ecomarkets: Costa Rica’s experience with payments for environmental services. Available at World Bank. http://web.worldbank.org/ WBSITE/EXTERNAL/TOPICS/ENVIRONMENT/EXTEEI/0,,contentMDK:21647925~menuPK: 1187844~pagePK:210058~piPK:210062~theSitePK:408050~isCURL:Y~isCURL:Y,00.html. Accessed 22 Jan 2014

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Stanton T, Echavarria M, Hamilton K, Ott C (2010) State of watershed payments: an emerging marketplace. Available at ecosystem marketplace. http://www.forest-trends.org/documents/files/doc_2438. pdf. Accessed 9 Dec 2013 The Economics of Ecosystems and Biodiversity (TEEB) (2009) The Economics of Ecosystems and Biodiversity for national and international policy makers. Available at TEEBWEB. http://www. teebweb.org/wp-content/uploads/Study%20and%20Reports/Reports/National%20and%20International% 20Policy%20Making/TEEB%20for%20National%20Policy%20Makers%20report/TEEB%20for% 20National.pdf. Accessed 18 Jan 2014 UNECE/FAO Forestry and Timber Section (2011) Payments for forest–related ecosystem services: what role for a green economy. Available at UNECE. http://www.unece.org/fileadmin/DAM/timber/meet ings/20110704/06062011pes_background_paper.pdf. Accessed 4 Dec 2013 Vaessen J, van Hecken Gert (2009) GEF impact evaluation: assessing the potential for experimental evaluation of intervention effects: the case of the regional integrated silvopastoral approaches to ecosystem management project (RISEMP). Global environmental facility (GEF) Impact evaluation information document no 15, Washington, DC Van Hecken G, Bastiaensen J (2009) The potential and limitations of markets and payments for ecosystem services in agricultural landscape restoration. Institute of Development, Policy and Management, Antwerp Vatn A (2010) An institutional analysis of payments for environmental services. Ecol Econ 69(6):1245–1252 Wunder S (2005) Payments for environmental services: some nuts and bolts. CIFOR occasional paper no 42. Available at CIFOR. http://www.cifor.org/publications/pdf_files/OccPapers/OP-42.pdf. Accessed 2 Feb 2014 Wunder S (2007) The efficiency of payments for environmental services in tropical conservation. Conserv Biol 21(1):48–58 Wunder S (2008) Necessary conditions for ecosystem services payments. Paper presented at the economics and conservation in the tropics – a strategic dialogue, San Francisco, 31 Jan–1 Feb 2008 W€ unscher T, Engel S, Wunder S (2008) Spatial targeting of payments for environmental services: a tool for boosting conservation benefits. Ecol Econ 65(4):822–833 Zbinden S, Lee D (2005) Paying for environmental services: an analysis of participation in Costa Rica’s PSA program. World Dev 33(2):255–272

Recommended References International Institute for Environment and Development: http://www.iied.org/ Journal on Ecosystem Services, Science, Policy and Practice (Elsevier) Payments for Ecosystem Services: Getting started-A primer: http://www.unep.org/publications/search/ pub_details_s.asp?ID=3996

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The Clean Development Mechanism (CDM) Julian Michela*, Kay Kallweitb and Evy von Pfeilb a Researcher and writer, Frankfurt am Main, Germany b Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, Eschborn, Germany

Abstract Kyoto’s Clean Development Mechanism (CDM) spearheaded cross-border trade in emission reduction credits, linking the developed to the developing world. Encompassing afforestation and reforestation (A/R), the CDM offers opportunities for tropical forest-rich countries to reap gains from their forest resource. In practice, A/R accounts for less than one percent of registered projects due to complex regulations and methodological intricacies. The following chapter will briefly introduce the history of the CDM and provide summary statistics, focused on A/R activities. The aim is to explain why A/R has only very limited relevance for the tropical forestry sector, at the same time underlining its prominent role as one of the first economic vehicles for emissions trading.

Keywords Kyoto Protocol (KP); Clean Development Mechanism (CDM); Certified Emission Reduction (CER); (non)-Annex 1 countries; Afforestation; Reforestation

Introduction The latest IPCC1 (2013: 2) report on the “Physical Science Basis” of climate change reaffirmed that “warming of the climate system is unequivocal,” acknowledging that “it is extremely likely that human influence has been the dominant cause of the observed warming since the mid-twentieth century (2013: 15).” Anthropogenically caused increases in greenhouse gas (GHG) concentrations in the atmosphere are identified as a major cause for changes in global climate patterns, a reason why particular attention has been given to designing instruments and mechanisms confronting the hazardous trend. The Kyoto Protocol, which was agreed in 1997 and entered into force in 2005, is an international agreement that sets binding targets on emission reductions for industrialized countries (so-called Annex I countries). Ensuring cost-effectiveness and granting flexibility in meeting the set targets, the Protocol defines three mechanisms allowing to purchase and/or trade emissions reduction credits: The Joint-Implementation (JI, Article 6), the Clean Development Mechanism (CDM, Article 12), and International Emissions Trading (IES, Article 17). As the present handbook focuses on tropical forestry, the following section will discuss

*Email: [email protected] 1 The Intergovernmental Panel on Climate Change (IPCC) is a leading international scientific body established under the auspices of the United Nations. “It reviews and assesses the most recent scientific, technical and socio-economic information produced worldwide relevant to the understanding of climate change. It does not conduct any research nor does it monitor climate related data or parameters (IPCC 2014).” 2 Note that the JI allows for various forestry activities. However, since Annex I countries are not located in the tropical hemisphere, this mechanism will not be treated further. Page 1 of 5

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Table 1 Registered afforestation and reforestation projects in the CDM (2006–2013) and duration from the start of the public comment period to program registration (Data taken from UNEP 2014) Year Registered reforestation projects Registered afforestation projects Days to reg. from initiation of comment period (reg. projects only)

2006 1 0 1,083

2007 0 0 932

2008 0 0 674

2009 9 1 809

2010 5 2 562

2011 16 2 536

2012 6 3 NA

2013 5 2 NA

the Clean Development Mechanism only since JI2 and IES describe arrangements reserved exclusively for Annex I countries, whereas the CDM allows the inclusion of developing countries (non-Annex I countries). After a brief introduction to the history and to overview statistics of the CDM, the focus is on afforestation and reforestation activities eligible under the CDM, as well as on the reasons why it had only very limited relevance for the tropical forestry sector.

The CDM Created as one of the flexible mechanisms under the Kyoto Protocol, the CDM shall not only contribute to the primary objective of the Convention (emission reductions) but assist non-Annex I countries in achieving sustainable development by linking carbon markets globally (KP 1997).3 The CDM enables Annex I countries and business entities to generate tradable emission reduction credits (so-called Certified Emission Reductions, CERs4) through investments in emission-reduction projects in developing countries. Even though the CDM was formally created in 1997, the operationalization took several years and required additional guidelines and agreements. Only at COP 9 in Milan/Italy in 2003 rules and procedures applying for forest-related CDM projects as part of the land use, land-use change and forestry (LULUCF) sector that focuses on terrestrial biomass were put in place. The eligible CDM activities were restricted to afforestation5 and reforestation,6 constituting one out of now 16 sectors7 eligible to generate emissions reductions under the CDM. The first commitment period of the Kyoto Protocol ended in 2012 after 5 years (2008–2012). At COP18 held in Doha/Qatar the “Doha Amendments to the Kyoto Protocol” were adopted, allowing a second commitment period (CP2) for the Kyoto Protocol until 2020 (including the CDM) to bridge the period until a new international climate treaty is negotiated (Kossoy et al. 2013).

3

A useful online source where a comprehensive explanation of the various aspects surrounding the CDM can be found (incl. references to numerous UNFCCC decisions) is given with the CDM rulebook, to be found at: http://www.cdmrulebook.org. 4 One CER represents a reduction in GHG emissions of one metric ton of carbon dioxide equivalent. 5 Afforestation is defined as “the direct human-induced conversion of land that has not been forested for a period of at least 50 years to forested land through planting, seeding and/or the human-induced promotion of natural seed source (UNFCCC 2005).” 6 Reforestation is defined as “the direct human-induced conversion of non-forested land to forested land through planting, seeding and/or the human-induced promotion of natural seed sources, on land that was forested but that has been converted to non-forested land. For the first commitment period, reforestation activities will be limited to reforestation occurring on those lands that did not contain forest on 31 December 1989 (UNFCCC 2005).” 7 The sectoral scopes include: (a) Energy industries (renewable-/ non-renewable sources; (b) energy distribution; (c) energy demand; (d) manufacturing industries; (e) chemical industry; (f) construction; (g) transport; (h) mining/mineral production; (i) metal production; (j) fugitive emissions from fuels (solid, oil and gas); (k) fugitive emissions from production and consumption of halocarbons and sulphur hexafluoride; (l) solvents use; (m) waste handling and disposal; (n) afforestation and reforestation; (o) agriculture; (p) carbon capture and storage of CO2 in geological formations (cf. UNFCCC 2013a). Page 2 of 5

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CDM Statistics By 2013, around 7400 projects were registered under the CDM of which 2503 had issued CERs (UNFCCC 2014). About half of all registered projects are in China (host party), and another 20 % in India. The main sectors are “renewables” with a 71 % percentage share including biomass energy, geothermal, hydro, solar, tidal, and wind-related projects represent the most prominent segment, followed by projects aimed at methane (CH4) reduction (UNEP 2014). The forestry sector plays a minor role only with afforestation and reforestation projects accounting for approx. 0.8 % of all projects. The general depression felt throughout carbon markets in recent years is also heavily felt in the CDM, with prices dropping to a low of 0.34 € in December 2012 from highs of over 30 € in mid-2008 for CERs. Without a new international treaty establishing strong emission targets prices are unlikely to recover.

Afforestation and Reforestation Restricting the CDM to include only afforestation and reforestation (A/R) severely limited the opportunities of tropical forest-rich countries to benefit from the mechanism as other measures such as forest conservation or reducing deforestation were excluded (Streck and Scholz 2006). Table 1 provides an overview of registered A/R projects between 2006 and 2013, showing that the CDM has only marginal relevance for the forestry sector (and vice versa) with 52 registered projects at the end of 2013. There are several reasons for CDM A/R projects not being implemented in larger numbers: High up-front investment for forest plantations; high transaction costs for CDM project development and a long registration process; demanding requirements limiting the number of eligible projects; and most importantly very limited demand for credits due to design flaws regarding non-permanence (see below).

Reduced Demand for A/R Credits Even though registration times have improved over the years, the complex rules and regulated registration process resulted in significant transaction costs for project developers. “Developing a forest carbon project—including writing the PDD8—requires a wide range of technical and managerial expertise (e.g., forestry, forest carbon, financing, land-use change, economics, institutional, legal, and coordination). Gathering such multidisciplinary teams in rural areas of developing countries is a challenging task. . .[Furthermore] validation is often delayed because many project developers do not fully grasp the rules for GHG accounting or lack the capacity to track the changes in rules, methodology versions, and required documents forms (BioCF 2011: 5).” But not only the lack of capacity or the hiring of high-skilled professionals posed obstacles, also data restrictions could often render an intended application hardly impossible (e.g., for reforestation projects missing satellite imagery to prove that a proposed project area did not contain forest on 31 December 1989). Taking a closer look at the first stage of the CDM project cycle, the preparation of a project design document9 further explains the reluctance of the forestry sector to fully engage in the CDM. Besides the challenges related to securing clear land tenure rights, delineation of the project boundary, estimation of emission reductions to be generated over the project period and the specification of monitoring procedures, a project has to prove additionality.10 This concept has been introduced in the CDM to ensure that The preparation of a project design document (PDD) represents a first step in the process of project development. The template can be found at https://cdm.unfccc.int/Reference/PDDs_Forms/index.html#proj_cycle 10 The concept of additionality has already been touched upon in section 39.3 “Compensation payments for Ecosystem services.” However, many PES programmes do not employ a rigorous methodology to assess additionality–it is simply assumed that a promoted land use practice will deliver additional benefits beyond the business as usual case. For instance, additionality is not an explicit selection criterion in the Costa Rican PES programme (for more details, see chapter on ▶ Payments for Ecosystem Services, PES). 8 9

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“anthropogenic GHG emissions are reduced below those that would have occurred in the absence of the registered CDM project activity (BioCF 2011: 40),” i.e., comparison is made to a business as usual case. A process that can be especially challenging for a forestry project since the generation of credits does not necessarily make a forestry project financially viable (high upfront investment for plantation establishment) and prices for credits from forestry projects are low. Leakage estimates can also be a challenge. The project developers are required to estimate emissions resulting from displacement of activities potentially caused by the implementation of a A/R project. Analyzing experiences in this regard,11 BioCF (2011: 82) finds that “ex-ante estimation of leakage is a time-intensive effort for project developers who, at a minimum, have to demonstrate the insignificance of these sources of leakage. This minimum requirement involves collecting intensive household and field surveys to provide documentary evidence of agriculture, grazing, and fuel wood collection in the vicinity of the project. As such information is not generally documented in most developing countries, the monitoring of leakage emissions often involves significant transaction costs.” The most severe obstacle for prolonged success of CDM A/R projects was the way to deal with non-permanence risks, since “a ton of emission reductions, once achieved, remains a benefit to the atmosphere, [whereas] a ton of sequestered carbon is of benefit to the atmosphere only as long as it remains sequestered (Streck and Scholz 2006: 865).” The proposed solution for CDM A/R projects caused CERs generated from forestry projects not being compatible to CERs from other project types. To avoid producing “hot air,”12 a temporarily crediting approach was introduced constituting of two categories: Temporary CERs (tCERs) and long-term CERs (lCERs). The temporary nature of CERs CDM A/R projects means that both types expire after a certain period and have to be replaced if used for compliance, thus the achievement of a permanent reduction is only postponed to the future.13 From a buyer’s perspective, the notion of postponing and purchasing two assets, i.e., at first a tCER/lCER and then a permanent asset from other project types as a replacement instead of directly buying the permanent one is economically often simply not viable. “A key difference between the two types of credits is their term of expiration. While tCERs expire at the end of the commitment period of the Kyoto Protocol following the one in which they were issued, lCERs expire at the end of a project crediting period, provided that the carbon stocks are still in place BioCF (2011: 47).” The operational lifetime of an A/R CDM project (crediting period) can either be a maximum of 20 years renewable twice at the most or a single fixed crediting period of up to 30 years (UNFCCC 2013b). The need for replacement made CERs from forestry generally unattractive for buyers, furthermore they were excluded from the European Trading Scheme (ETS), the only liquid market for trading CERs. Finally, the uncertainty over a second commitment period under the convention added to the disinclination to engage in within the CDM.

Revitalizing the CDM In an effort to revitalize and secure the future operation of the CDM, a policy dialogue has been launched at the end of 2011 at COP17 in Durban/South Africa. Acknowledging that “the CDM remains burdened by a perception that it is slow, opaque, unresponsive and politicized (Policy Dialogue 2012: 3)”, the report

11

For a helpful overview of problems encountered, their frequency and illustrative examples, consult BioCF (2011), especially Table 5.2 on “Issues highlighted in the validation of BioCF A/R CDM projects.” 12 The term “hot air” refers directly to the question of permanence of stored carbon. Assuming a project issues credits in a certain year for carbon sequestration through reforestation and that soon after carbon is released back to the atmosphere due to disturbances (deforestation, forest fires, natural hazards), the emission reductions previously achieved would only exist on paper. In other words, only hot air is produced. 13 For replacement, the full range of permanent credits can be used, such as Assigned Amount Units (AAU), Emission Reduction Unites (ERUs) from the Kyoto Protocol’s JI mechanism or CERs. tCERs can only be replaced by another tCER, not an lCER. Page 4 of 5

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produced by the High-Level Panel on the CDM Policy Dialogue formulated a set of 51 recommendations which can be grouped into four overarching categories: (a) secure market stability; (b) adapt to new conditions; (c) enact operational reforms; and (d) strengthen governance. How far envisaged changes will be able to provide new incentives for the forestry sector has to be seen but to date there is little indication that the main issues for CDM A/R projects apart from the registration requirement will be addressed (particularly the temporary nature of credits). Despite the numerous limitations, the report also highlights accomplishments realized through the CDM experience: “Perhaps the greatest contribution the CDM has made to date has been helping nations and stakeholders gain valuable experience with innovative climate solutions through hands-on practical action (Policy Dialogue 2012).”

References BioCarbon Fund (BioCF) (2011) The bioCarbon fund experience, insights from afforestation/reforestation (A/R) clean development mechanism (CDM) projects. World Bank, Washington, DC IPCC (2013) Summary for policymakers. In: Stocker T, Qin D, Plattner G, Tignor M, Allen S, Boschung J, Nauels A, Xia Y, Bex V, Midgley M (eds) Climate change 2013: the physical science basis, working group I contribution to the fifth assessment report of the intergovernmental panel on climate change. Cambridge University Press, Cambridge/New York, pp 17–46 IPCC (2014) Organization. Available at IPCC. http://www.ipcc.ch/organization/organization.shtml. Accessed 05 Feb 2014 Kossoy A, Oppermann K, Reddy R, Bosi M, Boukerche S (2013) Mapping carbon pricing initiatives: developments and prospects 2013. Working paper no. 77955. World Bank, Washington, DC KP (1997) Kyoto protocol to the United Nations framework convention on climate change. United Nations, New York Policy Dialogue (2012) Climate change, carbon markets and the CDM: a call to action. Report of the highlevel panel on the CDM policy dialogue. Available at the CDM Policy Dialogue. http://www. cdmpolicydialogue.org/report/rpt110912.pdf. Accessed 8 Dec 2013 Streck C, Scholz S (2006) The role of forests in global climate change: whence we come and where we go. Int Aff 82(5):861–879 United Nations Environmental Programme (UNEP) (2014) CDM/JI pipeline analysis and database, percentage share of the total number of projects of in the CDM categories. Available at UNEP RISO Centre: http://www.cdmpipeline.org/cdm-projects-type.htm. Accessed 6 Feb 2014 United Nations Framework Convention on Climate Change (UNFCCC) (2005) 16/CMP.1, definitions, modalities, rules and guidelines relating to land use, land-use change and forestry activities under the Kyoto Protocol (Annex). United Nations, New York United Nations Framework Convention on Climate Change (UNFCCC) (2013a) CDM Accreditation standard, version 05.1. (CDM-EB46-A02-STAN). Available at UNFCCC: http://cdm.unfccc.int/Refer ence/Standards/index.html. Accessed 16 Feb 2014 United Nations Framework Convention on Climate Change (UNFCCC) (2013b) Guidelines for completing CDM-AR-PDD and CDM-AR-NM, version 10.0, EB 56 Annex 14. Available at UNFCCC and Clean Development Executive Board: http://cdm.unfccc.int/Reference/VVM/index.html. Accessed 7 Feb 2014 United Nations Framework Convention on Climate Change (UNFCCC) (2014) CDM insights, project activities. Available at UNFCCC: http://cdm.unfccc.int/Statistics/Public/CDMinsights/index.html. Accessed 6 Feb 2014

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Reducing Emissions from Deforestation and Forest Degradation (REDD) Julian Michel*, Kay Kallweit and Evy von Pfeil Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, Eschborn, Germany

Abstract Emissions caused from deforestation and forest degradation are a major source of global anthropogenic greenhouse gases (GHG). Economic analysis suggests that reducing emissions from the forest sector offers a comparatively cost-effective opportunity to cut GHG, providing an incentive for forest-rich countries in the tropics to get “REDD-ready”. This chapter provides an overview of the REDD mechanism. First, we introduce what lies at the heart of this economic instrument: forest carbon pools. Subsequently, central REDD building blocks will be described, including policy and strategy considerations; measurement, reporting and verification (MRV); baseline construction; and benefit-sharing arrangements. Finally, multilateral actors as well as the voluntary carbon market will be introduced, demonstrating that REDD implementation is advancing on the ground.

Keywords Forest carbon; Emissions; Results-based payments; MRV; Baseline; Reference level; REDD registry; safeguards; benefit-sharing; leakage; permanence; carbon markets

Introduction Forests play a major role in influencing GHG concentrations in the atmosphere by acting either as a source1 through deforestation and/or forest degradation or as a sink2 through sequestration of CO2. Emissions from the land use, land-use change, and forestry (LULUCF) sector account for about 17 % of global GHG emissions according to the IPCC (2007) and are the third largest source of anthropogenic GHG emissions after energy and industry (Fig. 1).3 Economic analysis suggests that reducing emissions from the forest sector offers a comparatively cost-effective opportunity to substantially cut global GHG emissions and that the benefits of strong, early actions on climate change outweigh the costs of not acting (Stern 2006; Eliasch 2008). In the international climate negotiations, reducing emissions from deforestation and forest degradation (REDD4) was introduced at the 11th session of the Conference of the Parties

*Email: [email protected] *Email: [email protected] 1 The UNFCCC (1992, p. 7) defines in Art. 9 a “source” as “any process or activity which releases a greenhouse gas, an aerosol or a precursor of a greenhouse gas into the atmosphere.” 2 A “sink” is defined as “any process, activity or mechanism which removes a greenhouse gas, an aerosol or a precursor of a greenhouse gas from the atmosphere” (UNFCCC 1992, p. 7). 3 Recent estimates indicate that emissions from the LULUCF sector account for approx. 11 %. Official IPCC data are expected in autumn 2014. Page 1 of 21

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Fig. 1 GHG emission sources (Source: IPCC 2007)

(COP 11) in Montreal (2005). Papua New Guinea and Costa Rica initiated the discussion on how avoided deforestation could enter into a future climate regime, given its potential for cost-effective emission reductions. COP13 and the associated Bali Action Plan firmly established REDD in 2007, and the topic figured prominently ever since. COP16 in 2010 approved the Cancún safeguards5 for REDD. The proposed REDD mechanism within the United Nations Framework Convention on Climate Change (UNFCCC) is strongly supported and relatively straightforward: Tropical countries that reduce their emissions from forests relative to a calculated reference level will receive financial compensation thus creating an incentive to keep forests intact (EFI and Proforest 2014, p. 1). With the adoption of the so-called Warsaw Framework for REDD+ at COP19 (2013), the technical guidance for REDD could be completed after intense negotiations. The framework includes seven decisions on various issues, such as the setting of reference levels, adequate approaches to safeguards, and guidance on monitoring and measuring, reporting, and verification6 (M&MRV). However, sources of REDD+ finance remain the key outstanding issue. A major complicating factor is the. . .[difficulty to] reach a binding international climate change agreement. How REDD+ will contribute to a climate change agreement will depend on the overall architecture of the climate change deal and the emission reduction targets that both developed and developing countries put forward in 2020 (ibid). Basically, REDD is an innovative results-based finance mechanism that has carbon as a quantifiable commodity at its center, and hence, it is different from traditional forest conservation approaches. The concept is to measure the impact of reduced deforestation (and degradation) based on a well-established system and to financially compensate countries that are willing and able to reduce emissions. To integrate REDD in broader national policies and strategies and achieve cross-sectoral coordination as well as innovation in sectors driving deforestation (e.g., large-scale agriculture or cattle ranging) requires strong national commitments and joint forces. Payments in REDD are generally made ex post upon verification. The focus on carbon as a measurable and quantifiable good allows the attribution of monetary values to forest conservation and avoids the problems of marketability described in earlier sections. In addition to carbon, forest protection through REDD shall provide multiple benefits: These non-carbon benefits can include a range of topics such as enhancing biodiversity or strengthening livelihoods of forest-dependent communities. In the following, the REDD mechanism is 4

The term REDD+ includes additional activities: the conservation and sustainable management of forests and the enhancement of forest carbon stocks in developing countries. In the following, REDD will be used. 5 A description of the safeguards term will be given in building block Safeguards of this section. 6 A description of MRV will be given in building block Measuring, Reporting and Verificationof this section. Page 2 of 21

Fig. 2 Biomes and carbon storage by biome (Source: Riccardo Pravettoni, UNEP/GRID-Arendal, http://www.grida.no/graphicslib/detail/carbon-stored-by-biome_9082)

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Fig. 3 Trends in carbon stocks in forest biomass 1990–2010 (Source: FAO 2010)

explained in more detail. After an introduction to forest carbon and the carbon cycle, an overview of REDD building blocks is provided. Given the dynamic nature of the discussion around REDD, the most important methodological issues are introduced. REDD is very likely to form part of a future international climate regime under the UNFCCC (see above), but there is not yet a clear framework, and in parallel, there are several bilateral and project-level initiatives that do work on methodological guidance. Explaining the underlying causes of deforestation and forest degradation (drivers), however, is beyond the scope of this chapter.

Forest Carbon The world’s forests contain roughly half of the carbon stored in terrestrial ecosystems (WBGU 1998) with tropical and subtropical forests containing the biggest proportion (see Fig. 2).7 As stated in the introduction, the land use, land-use change and forestry (LULUCF) sector accounts for roughly 17 % of global anthropogenic GHG emissions (IPCC 2007). According to the Eliasch report (2008), 96 % of emissions from deforestation and forest degradation occur in developing countries in the tropics. Additionally, trees in tropical forests hold, on average, about 50 % more carbon per hectare than trees outside the tropics. Thus, equivalent rates of deforestation will generally cause more carbon to be released from the tropical forests than from forests outside the tropics (Houghton 2005, p. 15). Looking at carbon stock trends in forest biomass over a 20-year period (1990–2010), it becomes apparent that especially South America, Africa, and Southeast Asia have experienced strong deforestation and explain why efforts to reduce deforestation and forest degradation are focused on these regions (Fig. 3).

Forest Carbon Pools and Cycle The IPCC (2006) guidelines for preparing greenhouse gas inventories in the agriculture, forestry and other land use (AFOLU) sector define five carbon pools for terrestrial ecosystems:

7

Whereas around 84 % of carbon is stored in the soil in boreal forests, tropical forests store only around 50 % of carbon in the soil (WBGU 1998). Page 4 of 21

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Harvested wood products

Above-ground biomass

Litter

Below-ground biomass

Dead wood

Increase of carbon stocks due to growth

Transfer of carbon between pools

Carbon fluxes due to discrete events, i.e., from harvest residues and natural distrubance

Carbon fluxes due to continuous processes, i.e. decomposition

Soil organic matter

Fig. 4 Stylized carbon cycle of terrestrial AFOLU ecosystems (Source: IPCC (2006))

• Above-ground biomass: All biomass of living vegetation, both woody and herbaceous, above the soil, including stems, stumps, branches, bark, seeds, and foliage. • Below-ground biomass: All biomass of live roots. • Deadwood: Includes all nonliving woody biomass not contained in the litter, either standing lying on the ground, or in the soil. Deadwood includes wood lying on the surface, dead roots, and stumps larger than or equal to 10 cm in diameter (or the diameter specified by the country). • Litter: Includes all nonliving biomass with a size greater than the limit for soil organic matter (suggested 2 mm) and less than the minimum diameter chosen for deadwood (e.g., 10 cm), lying dead in various states of decomposition above or within the mineral or organic soil. This includes the litter layer as usually defined in soil typologies. • Soil organic carbon: Includes organic carbon in mineral soils to a specified depth chosen by the country and applied consistently through the time series. Live and dead fine roots and dead organic matter within the soil that are less than the minimum diameter limit (suggested 2 mm) are included where they cannot be distinguished from it empirically. Through photosynthesis, plant biomass (above- and below-ground) is the main conduit for CO2 removal from the atmosphere. The overall uptake of CO2 is denoted as gross primary production (GPP). Roughly 50 % of the carbon fixed is respired (autotrophic respiration) and directly released back to the atmosphere, whereas the remainder serves plant biomass growth and is referred to as net primary production (NPP). Since carbon uptake outweighs respiration, forests are considered a carbon sink, suggesting that without carbon absorption by forests and other carbon sinks (in particular the oceans), the rise in CO2 caused by anthropogenic emissions would have been considerably higher Page 5 of 21

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(Eliasch 2008, p. 21). Around 45 % of the assimilated carbon is eventually being lost as the major part of NPP is fed back to the ecosystem and organic matter is decomposed in litter, deadwood, and soils (heterotrophic respiration), meaning that around 5 % of the original carbon uptake (GPP) remains in the system and is referred to as net ecosystem production (NEP). Accounting for additional carbon losses due to disturbances (forest fires, harvesting, land clearing), it is assumed that only approximately 0.5 % of GPP remain permanently in the ecosystem (humus, charcoal). A stylized model illustrating carbon fluxes between the various carbon pools is depicted in Fig. 4.

Carbon Loss Through Deforestation/Degradation Deforestation and forest degradation activities lead not only to direct emission of CO2 but trigger an additional effect called “land-use amplifier”. Land-use change also acts to diminish the sink capacity of the terrestrial biosphere by decreasing the residence time of carbon when [e.g.,] croplands have replaced forest (Gitz and Ciais 2003, p. 6). The overall effect of deforestation on the carbon cycle8 is summarized by Eliasch (2008, p. 19) as follows: (a) (b) (c) (d)

Carbon stored in living and dead plant material is released as CO2 by burning or decomposition. Carbon is released from the oxidation of the soil. Sequestration of CO2 from the atmosphere is reduced. The transfer of carbon from vegetation to litter, deadwood, and soil is reduced. Carbon stored in forest soils is often equal to, or greater than, that stored in above-ground biomass. (e) Carbon is lost in the longer term through the breakdown of harvested wood, at a rate dependent on the nature of the end product. Even through deforestation all carbon is not released instantaneously but released according to the decomposition process, only fires lead to direct oxidization. In tropical conditions, the greatest loss of carbon occurs within the first 5 years after the forest is converted, and after 20 years almost all carbon has been released (WBGU 1998). In colder climates, where a larger percentage share of carbon is stored in the soil (e.g., tundra, boreal forests), this process can last for several decades. However, for the sake of simplicity or where data is missing, the carbon accounting of several REDD programs assumes instant oxidization of carbon upon deforestation.

REDD Building Blocks Despite differences in scope and approach between the international REDD negotiations under UNFCCC and the voluntary market with project-level initiatives, the general design of a performance-based REDD mechanism requires several building blocks: policy and strategy; monitoring, reporting, and verification (MRV); reference level (RL); registry; safeguards; benefit-sharing; leakage; and non-permanence. In the following, these mainly technical building blocks will be described in more detail.

8

Note that also other GHGs occur while biomass is burned, such as nitrous oxides and methane. Furthermore, additional emission can result depending on the subsequent land use (e.g., methane due to cattle ranching, nitrous oxide from fertilizers). With conversion to cropland after deforestation, it is assumed that around 25–30 % of soil carbon is released within the first meter as cultivation oxidizes the organic matter in the soil (Cortez and Stephen 2009). However, values depend largely on climatic conditions, land-use practices, and soil conditions. Page 6 of 21

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Policy and Strategy Preparing for REDD is a large and complex undertaking and requires clear political commitment and transparent policies and strategies. Therefore, a first step in building a national, subnational, or jurisdictional mechanism to reduce emissions from deforestation and forest degradation is to define clear and ambitious goals, targets and principles. These can help galvanize and guide internal efforts, motivate external support and assuage the concerns of REDD+ stakeholders (WWF 2013, p. 10). The benefits of clearly defined goals, targets, and principles include (a) overarching vision for REDD implementation; (b) ambitious targets to motivate stakeholders into action; (c) yardstick to assess and communicate status and trends of the forest sector to policymakers and the public; (d) harmonization of previously established targets into one vision; (e) framework for concerted action, facilitating the integration of REDD with other sectoral and cross-sectoral strategies and planning processes such as climate change strategies, biodiversity strategies, forest policies, sustainable development strategies, natural resource management strategies, national development, poverty-reduction policies, etc.; and (f) clear indication of a long-term strategy, political will, and desired outcome, which are important criteria for attracting support and investments in REDD (cf. WWF 2013). In the international context, also the Cancún Agreements (COP16) emphasize the importance of policy and strategic considerations requesting developing country parties aiming to undertake REDD activities to develop a national strategy or action plan. . .to address, inter alia, the drivers of deforestation and forest degradation, land tenure issues, forest governance issues, gender consideration and the safeguards (UNFCCC 2010, p. 12/13) outlined in the same agreements. As the statement accentuates, addressing drivers of deforestation is one key factor to achieve large-scale and long-term reductions in deforestation and forest degradation. Often, these drivers are located in other sectors such as agriculture (e.g., extensive cattle ranching, large-scale agriculture) and driven by financial interests (e.g., high-value timber). Greening supply chains in coordination with the private sector can also help to address drivers. Given the diversity of sectors and agents impacting the forest sector, the development of a framework for concerted action to facilitate cross-sectoral coordination and planning processes is essential.

Measuring, Reporting, and Verification Measuring, reporting, and verification (MRV) describe (a) the collection of necessary data such as activity data9 to determine land cover change and emission factors10 to calculate net gains/losses in forest carbon to measure and quantify the respective carbon emissions (measuring), (b) the documentation of the data (reporting), and (c) the review or audit of the two preceding steps (verification) (IBRD/WB 2012). MRV procedures are the backbone of a results-based REDD system since compensation payments are made ex post and performance has to be shown.11 For the collection of emission factors and to maintain robust carbon accounting, the IPCC Guidelines for National Greenhouse Gas Inventories (2006) and the IPCC Good Practice Guidance for Land Use, Land-Use Change and Forestry (2003) provide guidance to compile complete inventories of GHG that produce reliable emission and removal estimates across various sectors. Important components are field or forest inventories, describing sampling-based approaches that directly measure defined parameters on the ground to estimate the carbon content (carbon stock) of the different carbon pools. Field or forest inventories can be time-consuming and costly and have to be carefully planned according to the predefined statistical requirements for accuracy and 9

Data on the magnitude of human activity resulting in emissions or removals taking place during a given period of time (IPCC 2003). Area change data are typically expressed in hectares per year. 10 Data on GHG emissions or removals per unit area, e.g., tonnes of CO2 emitted per hectare of deforestation (Angelsen et al. 2011). 11 Useful guidance for monitoring and carbon stock assessment is provided by GOFC-GOLD (2013) and MacDicken (1997). Page 7 of 21

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ta)

c da

ed ject

ed

bas

on

ori hist

pro

ce ren

l( leve

Net emissions per year

e Ref

Monitored emissions

Initiation of REDD+activities

Reference level (historic average)

Past

Reference level (adjusted - up or down)

Future

Fig. 5 RL/REL construction (Source: Chagas et al. 2013)

precision. Especially in heterogeneous contexts, i.e., countries or jurisdictions with various forest types, stratification is a key step in the process to reduce costs and still deliver robust results.12 Important criteria for stratification can include forest type, soil type, topography, ecoregion, deforestation threat level, etc. (WWF 2013). Accounting for the difficulty in producing reliable GHG emissions or removals data, both IPCC guidelines introduced above have adopted a hierarchical tiered approach to emission factors (Tier 1, Tier 2, Tier 3), with higher tiers implying increased accuracy of the method and/or emissions factor. . .used in the estimation of the emissions and removals (IPCC 2003, p. 1.10). The IPCC also provides average default values for emission factors which can be applied to fill data gaps. For the generation of activity data, remote sensing technologies are mainly used which can partially be complemented with the field or forest inventory method to validate obtained results, further improving data quality (ground-truthing). Remote sensing is the use of satellite sensors13 or other airborne detectors to develop land cover maps and vegetation maps as a means to quantify deforestation and forest degradation activities. Here, different technologies (optical, radar, lidar) exist requiring an analysis of the purpose and the kind of imagery needed (low, medium, or high resolution). Cloud coverage,14 availability of imagery for a geographical region, and budget constraints for purchasing imagery can require mixing data from different technologies. The successful launch of the Landsat 8 Data Continuity Mission in 2013 provides low-cost opportunities to monitor land-use and forest cover change, assuming that maps are available for a certain locality and that cloud coverage is low. After documentation of results, an independent verification of the accuracy and reliability of the procedures and the results is strongly recommended. For that purpose, either a permanent, The “National Forest Inventory Field Manual” prepared by FAO (2004) gives useful guidance. An overview of numerous available satellite data can be found in WWF (2013), Table 1, p. 57. 14 Cloud coverage is important for optical sensors, as radar penetrates clouds. 12 13

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institutionalized structure (e.g., independent scientific committee) can be established or an independent third-party verification via a defined process (public tendering) contracted. Under the UNFCCC, a technical analysis will be carried out by a team of technical experts (LULUCF experts from the UNFCCC roster, one each from a developing country and a developed country party).

Reference Level/Baseline The establishment of a baseline where performance can be measured against and tracked throughout a specified time frame constitutes a second prerequisite. In REDD, a baseline is called forest reference level (RL) or forest reference emission level (REL). The RL is often defined as a business-as-usual (BAU) scenario describing what is expected to happen without intervention. The methodological choice for the determination of a RL/REL has significant implications as Fig. 5 illustrates. The most common approach is to use existing historic data about deforestation and calculate the average annual deforestation thereby assuring that any reductions below the baseline will also result in absolute decrease of emissions. This approach, however, is disputably a less accurate description of the BAU if there is an observed trend in the deforestation dynamics or the causes of deforestation are expected to change significantly in the future. Alternative methodological approaches include the application of an adjustment factor to the historical average, linear trends based on available data points or the adoption of specifically designed models. Clearly, the available data (a severe gap exists here in most countries) and the quality of the analysis determine the accuracy of any adjustment or trend – but the application of more complex methodologies (in comparison to the historical average) also provides more room for skewing or even gaming the RL (in a countries favor). In decision 4/CP.15, the UNFCC (2009, p. 12) recognizes that developing country Parties in establishing forest reference emission levels and forest reference levels should do so transparently taking into account historic data, and adjust for national circumstances, in accordance with relevant decisions of the Conference of the Parties. The possibility to adjust for national circumstances is heavily debated, as (i) a projected increasing trend would generally enable a country to receive compensation payments even if a real increase in deforestation and/or forest degradation is observable (as long as the increase stays below the historical trend) and (ii) adjustments generally cater the risk of arbitrary baseline inflation. With the adoption of the so-called Warsaw Framework for REDD+, parties at COP19 agreed that submitted baselines to the UNFCCC will be technically assessed by a team of experts in accordance with already agreed upon guidelines and procedures. Data, methodology, and procedures will be subject to analysis of an independent team that can request additional information from a proposing country to prepare a final assessment report (which will be available at a later stage at the UNFCCC website). Besides choosing the calculation methodology, additional design elements concern the scale of activities and the scope of accounting. Scale refers to size considerations, requiring a clear delineation of a REDD program’s/project’s boundary determining whether a RL/REL is set for a certain project locality or for an entire jurisdiction, such as a country, federal states, biomes, or other administrative regions. Scope defines the activities that are counted under an RL/REL, which could (i) include a deforestation measurement only (RED),15 (ii) cover forest degradation as well as deforestation (REDD), or (iii) account for improved forest management and reforestation besides deforestation and degradation (REDD+). Table 1 gives an overview of generally applicable steps for the preparation of REDD RL/REL, illustrated through examples and helpful reference work.

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Focusing on deforestation only if forest degradation is also significant could lead to perverse incentives towards degradation. In such a scenario, a combined approach should be pursued. Page 9 of 21

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Table 1 Basic steps for baseline preparation Step 1. Define the pools and gases included in the RL/REL with a justification for their inclusion 2. Specify the definition of forest used

Example Above-ground, below-ground, and deadwood, since other pools are insignificant; includes CO2 only, as non-CO2 gases are de minimis All lands with tree canopy cover of 20 % or more, with minimum area of 1 ha, and trees taller than 3 m

3. Establish the historic time period within which emissions and removals will be estimated 4. Describe the methods used to estimate carbon stocks for the selected time period

2000–2010

5. Estimate the area of forest annually converted to different land uses

6. Document past trends in forest conversion 7. Estimate the area of forest degradation by each driver (e.g., logging, charcoal production) 8. Describe the methods used to estimate emission factors for forest degradation

Because no data exist in country, a plan was designed and implemented to collect data from a sufficient number of plots in the forest class where deforestation had occurred during the selected time period to achieve uncertainty around the mean of +/ 15 % with 95 % confidence X million hectares cleared for small-scale grazing lands, Y million hectares for industrial-scale annual crops, and Z million for conversion to small-scale oil palm plantations Annual conversion of forest to non-forest land decreased/ increased by XX over the past 10 years Y million hectares of selective logging concessions, Z million hectares of forest subject to fuelwood/ charcoal production; X thousand hectares illegally logged Because no data exist in country, a plan was designed and implemented to collect data on carbon losses from logging and fuel collection

References IPCC (2006) guidelines Thresholds for defining forest in the Marrakesh Accords

Global observation of forest and land cover dynamics (GOFC)-GOLD Sourcebook (2010)a (GOFC)-GOLD Sourcebook (2010)

(GOFC)-GOLD Sourcebook (2010)

(GOFC)-GOLD Sourcebook (2010)

Source: Angelsen et al. (2011) The latest version of the sourcebook can be found at http://www.gofcgold.wur.nl/index.php

a

Registry A registry is a neutral tool helping to ensure that relevant information of REDD activities is captured, processed, stored, and accessible when required. Assuming fully MRV-ed REDD credits, its task is to register and cancel remunerated credits, thus ensuring environmental integrity by avoiding the possibility that emission reductions or removals are compensated twice (double counting). A registry is set up as electronic infrastructure (database) and can easily be tailored to a user’s information requirements, such as scale of a program/project, scope, generated and remunerated credits, transaction history, ownership, etc. Through serialization of units, additional information regarding compliance with safeguards or benefit-sharing arrangements (in case compliance is mandatory) could also be incorporated in a registry system, providing transparency for all parties involved. The database set-up does not have to be complex, and different institutional arrangements for administration can be imagined (government agency, service provider, nonprofit organization, etc.).

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Fig. 6 FPIC elements (Adapted from Anderson 2011)

Safeguards While REDD was conceived for climate change mitigation, it also helps to deliver non-carbon benefits.16 Nevertheless, the implementation of REDD could also come with a number of risks. Potentially, the most important risks include (i) increased competition for land; (ii) large cash injections on weak institutions lacking financial management capacities; (iii) stakeholder conflicts, including between participants and nonparticipants; (iv) the creation of powerful interests aimed at capturing the forest rent (“elite capture”); (v) adverse effects on local indigenous peoples and their traditional territories; and (vi) access restrictions to forest products impacting local livelihoods (IBRD/WB 2012; Moss et al. 2011). The simultaneous risk/ benefit potential is captured by “safeguards,” a heterogeneous umbrella term encompassing numerous proposals and requirements all linked to an expectation that safeguards should both protect from harm and promote benefits. No universally agreed upon definition exists of safeguards, but the International Institute for Sustainable Development (IISD) defines the term as policies and measures that aim to address both direct and indirect impacts on communities and ecosystems, by identifying, analyzing, and ultimately working to manage risks and opportunities. If designed and implemented appropriately, safeguards can help REDD+ provide a suite of multiple benefits. . . At a minimum, a REDD+ safeguard system will identify potential negative impacts of REDD+ activities, and identify and operationalize measures to minimize or mitigate negative impacts (Murphy 2011, p. iii). The World Bank’s Operational Policies17 (OPs) and Bank Procedures (BPs) are regarded as one of the first comprehensive safeguard collections. Over the years, a plethora of initiatives, tools, and mechanisms have been developed to address safeguards, such as the Strategic Environmental and Social Assessment/Environment and Social Management Framework (SESA/ESMF), REDD+ Social and Environmental Standards18 (REDD+ SES),

16

These can include efforts to clarify land tenure rights, build local capacities, enhance participative decision-making, provide additional employment opportunities, or open up livelihood alternatives (FCPF 2013a). 17 Such as OP 4.10 which defines conditions for the interaction with indigenous peoples or OP 4.01 requiring an environmental assessment to ensure that interventions are environmentally sound and sustainable 18 REDD+ SES consist of principles, criteria, and indicators which define the necessary conditions to achieve high social and environmental performance and support, through a country-led approach, the design, implementation, and evaluation of government-led REDD programmes. Page 11 of 21

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and the UN-REDD Programme Social and Environmental Principles and Criteria (UN-REDD SEPC), and the associated draft Benefits and Risks Tool (BeRT),19 with the latter three explicitly assisting countries to develop their own national approaches. The safeguard systems are generally comprised of two elements: (a) the formulation of policies, laws, and regulations to address risks and benefits and (b) the establishment of a Safeguard Information System (SIS) that provides information on how safeguards are addressed and respected.20 In the debate surrounding safeguards, two components have received increased attention. The first concerns the concept of free, prior, and informed consent (FPIC) or, in its less rigid form, free, prior, and informed consultation, the roots stemming from the UN Declaration on the Rights of Indigenous Peoples (UNDRIP).21 As a substantial part of worldwide biodiversity hotspots coincide with traditional indigenous territories, the rights of these particular vulnerable groups need special consideration. The Center for People and Forests and GIZ (RECOFTZ/GIZ 2011) provides useful guidance for the construction of an FPIC process, recommending that consent is a recurring process (and not a single decision): (1) consent to discuss the idea for a REDD+ project that will affect community forests, (2) consent to participate in developing a detailed plan for a project, and (3) consent to the implementation of the project (Anderson 2011). Figure 6 provides an overview of additional elements that an ideal process entails. Besides FPIC, the establishment of a grievance mechanism is a second central issue in the safeguard process. It describes a social risk management mechanism designed to address concerns and complaints of affected communities.22 In international discussions under the UNFCCC, a breakthrough for safeguards has been achieved in 2010 at COP16. The Cancún safeguards adopted seven principles that should be promoted when undertaking REDD activities. The agreement reached does not formulate a prescriptive set of provisions but formulates broad principles, such as the full and effective participation of relevant stakeholders, respect for the knowledge and rights of indigenous peoples and members of local communities, transparent and effective national forest governance structures, and actions to address the risks of displacement of emissions (see Leakage) or reversals (Permanence). The Amazon Fund (Brazil) Established through Decree No. 6527 in 2008 by the central government, the world’s first national REDD financing mechanism was set up in Brazil, a country where deforestation accounts for the major part of national emissions. The Amazon Fund, which is managed by the Brazilian Development Bank Banco Nacional de Desenvolvimento Econômico e Social (BNDES), was created to raise donations so that investments can be made in efforts to prevent, monitor, and combat deforestation, as well as to promote the conservation and sustainable use of forests in the Amazon biome. Fundraising for the Amazon Fund is conditioned to reducing greenhouse gas emissions caused by deforestation. Based on reduced emissions, the BNDES is authorized to raise donations and issue diplomas of recognition to donators that contribute to the fund. On each diploma, the donator and the amount of their contribution to the effort to reduce carbon dioxide emissions are identified (BNDES 2012, p. 6). The reference level is based on the 10-year historical average (1996–2005, or (continued) 19

The tool provides a series of questions under each of the 7 principles and 24 criteria of the SEPC. For more information, refer to IISD’s policy paper “Designing Effective REDD+ Safeguard Information Systems: Building on existing systems and country experiences” (2012). 21 In this regard, also the ILO Convention No. 169 on Indigenous and Tribal Peoples in Independent Countries is of particular importance. 22 The International Finance Cooperation (IFC) provides useful guidance on designing such a grievance mechanism in its good practice note “Addressing Grievances from Project-Affected Communities.” 20

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19,625 km2/year; see previous part “Reference Level/Baseline” for more information) and uses a proxy of 100tC/ha as emission factor. The MRV system is managed by the National Institute for Space Research (INPE) providing annual deforestation data based on PRODES satellite imagery. Verification of this data is carried out by a technical committee (FTC) comprised of experts appointed for a three-year term. Besides the FTC, a guidance committee (COFA) establishes guidelines and criteria to invest resources, monitor results, and keep track of compliance with safeguards, which are based on REDD+ SES (see previous part on “Safeguards”). Since the fund’s inauguration, prices are fixed at US$5/tCO2e, and 20 % of obtained resources are earmarked to develop deforestation monitoring and control systems in other Brazilian biomes and tropical countries. At the end of 2013, accumulated total disbursements amounted to US$ 95 million supporting 33 projects, with the government of Norway and the Federal Republic of Germany being the biggest contributors (BNDES 2013). Despite successful operation, a main bottleneck is distributing the funds to project proponents: Each entity eligible for support according to the fund’s operational policies (NGOs, CSOs, cooperatives, government and university research centers, scientific and technological institutes, etc.) has to apply through a financial support request form, which specifies basic characteristics (applicant and proposed project). The following process to select, establish monitoring, and implement structures is complex and time-consuming, resulting in very long waiting periods especially for small-scale projects.

Benefit Sharing Through inclusion in an international climate regime, REDD has the potential to mobilize substantial financial resources. The ways in which the multiple potential benefits of REDD+ are prioritized and shared will play a major role in determining how domestic stakeholders perceive, engage with, and contribute to REDD+ programs over the short and long term. For this reason, benefit sharing arrangements are considered a critical element of REDD+ programs (FCPF 2013a, p. 4). Key questions that need to be addressed are: (i) How to target benefits, i.e., clarifying beneficiaries and conditions for receiving payments? (ii) How to tailor benefits, i.e., deciding upon form, scale, and timing of benefits to stimulate a desired behavior? (iii) How to deliver benefits, i.e., strengthening structures for governance and financial distribution? (iv) How to ensure legitimacy of the system, i.e., ensuring equity?23 Under a project-level approach to REDD, the distribution of benefits generally is easier due to a lesser number of involved parties. Under a national or jurisdictional approach, considerations on how to vertically and horizontally distribute benefits have to be made. Vertical denotes a distribution across scales, e.g., from the international to the national, subnational, and local level. Horizontal describes the distribution chosen on one particular level, e.g., selection of eligible institutions, communities, or groups. A novel approach to benefit-sharing concerns the distribution based on the criteria of stock and flow. Here, one part of derived benefits is aimed towards the deforestation and forest degradation frontier where emission reductions and removals are generated (carbon flow component) and another part is reserved for benefitting traditional forest protectors and forest-dependent communities (carbon stock component) to acknowledge undertaken conservation efforts and avoid perverse incentives.

For useful insights into benefit-sharing arrangements, consult PROFOR’s “Making benefit sharing arrangements work for forest dependent communities: Overview of Insights for REDD+ Initiatives” (2012) or USAID’s “Institutional Assessment Tool for Benefit Sharing under REDD +” (2012).

23

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Fig. 7 The phased approach to REDD

Leakage24 Analyzing the impact of displacing activities is central to ensure that any resulting emissions are adequately accounted for. The typology of leakage, i.e., the classification into primary and secondary leakage effects, has already been outlined in been outlined in this book (see chapter on “Compensation payment scheme requisites and financial arrangements”). A description of different forest carbon leakage quantification methods which are approved under carbon accounting standards lies beyond the scope of this chapter.25 However, in case leakage is identified as a matter of concern, possible countermeasures can include scope extension, leakage belts, or leakage deductions. Through increasing the area size and the boundaries, the immediate vicinity becomes part of the general area change assessment, which in some cases might reduce the leakage risk. A different approach is to define leakage belts around a project/ program area where detected leakage activities can offset positive results achieved within a project’s/ program’s boundaries. The exact size and location of the leakage belt is determined, among other factors, by the interests and mobility of the relevant agents of deforestation and by the suitability of the area to leaked activities (FCPF 2013b, p. 7). Lastly, leakage deductions are discounts that are applied to the number of emission reductions or removals achieved. This method, which can be adjusted and refined over time, represents a simple approach in case the magnitude of leakage is roughly known or more accurate data become available over a project’s/program’s lifetime.

Permanence GHG emission reductions and removals only translate into positive environmental benefits if achieved permanently. The CDM’s temporary crediting (see chapter “▶ The clean development mechanism”) was one concept to deal with non-permanence but the multitude of resulting complications suggested that other solutions have to be found. As outlined in chapter “▶ Compensation payment scheme requisites and financial arrangements” of the present book, non-permanence risk can divided into resulting from unintentional (natural disturbances) and intentional (human-induced) reversals. A frequently encountered reversal risk management tool is the establishment of a buffer pool. According to the perceived risk, a certain share of emission reductions is withheld from sale and can be used as compensation in case a reversal occurs. The size of the set aside within the buffer may vary depending on the inherent riskiness of the activity and the length of time over which the risk is evaluated (FCPF 2013b, p. 35) rather than a universal value. Conceptually, a buffer is similar to discounting even though the latter eliminates credits permanently from sale, whereas a buffer provides flexibility and allows tailor-made arrangements (Murray et al. 2012), e.g., periodic release of buffer credits where performance has been demonstrated over time. Both for discounting and for buffers, withholding rates can be adjusted. A novel approach to non-permanence which originated in the voluntary carbon market is the backing of emission reductions 24 25

Note that the Cancún Safeguards count leakage as well as (Permanence) to the safeguard concept. See Henders and Ostwald (2012) for more information on forest carbon leakage quantification methods. Page 14 of 21

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by commercial insurances. A key advantage of an insurance mechanism, especially for project developers, is that the risk of reversals becomes manageable up-front via a clear price signal; thus, uncertainty is reduced which enables better decision-making of whether to engage in a REDD project/program or not. However, risk premiums for this type of insurance have remained prohibitively high for most project developers to be employed.

Multilateral Actors and the Voluntary Market REDD is on the agenda of a multitude of actors, engaging on local, subnational, national, or international level. Focusing on governmental country-driven processes as opposed to project-based initiatives aimed at the voluntary carbon market, multilateral initiatives and partnerships are of particular importance to secure a sufficient scale of activities, not only providing technical assistance to prepare for REDD but also opening up accessible financial resources. The Forest Carbon Partnership Facility (FCPF), the Forest Investment Programme (FIP), and the United Nations on REDD (UN-REDD) Programme serve as examples, offering support in the different stages of a country’s REDD process. Since 2010 (COP16), the process can be subdivided into three phases: REDD readiness, REDD policies and measures, and performance-based payments (Fig. 7). REDD readiness describes the preparation of the various building blocks like the development of national strategies and policies, institutional reforms, capacity building measures, collection of baseline data, etc. The second phase describes policies and measures with first demonstration activities taking place. In the final phase, the system is completely set up and ready to receive results-based payments. The phases are intended to be managed as iterative steps but practical experience suggests a complex interaction with feedback loops through continuous learning and multiple processes taking place simultaneously. Therefore, Fig. 7 displays phases as overlapping.

Forest Carbon Partnership Facility The Forest Carbon Partnership Facility (FCPF) is a global partnership of governments, businesses, civil society, and indigenous peoples housed at the World Bank, becoming operational in 2008. It is governed by the Participants Committee (PC) consisting of 14 donors and 14 partner countries, self-selected within the group, and accompanied by several observers, e.g., from civil society. The FCPF is a funding mechanism and consists of two separate but complementary mechanisms to support developing countries’ REDD efforts: a Readiness Fund targeting at phase one and a Carbon Fund (CF) administering funds reserved for results-based payments. The Readiness Fund supports participating countries as they prepare for REDD+ by developing the necessary policies and systems, including adopting national REDD+ strategies; developing reference emission levels (RELs); designing measurement, reporting, and verification (MRV) systems; and setting up REDD+ national management arrangements, including proper environmental and social safeguards. At the beginning of 2014, FCPF’s Readiness Fund had 44 partner countries (REDD country participants) spanning a diverse portfolio. Total contributions amounted to US$ 358 million committed or pledged by 15 public donors each having provided at least US$ 5 million (as of March 2014). Norway (US$ 130.2 m), Germany (US$ 52.5 m), and Australia (US$ 23.9 m) are the biggest contributors to the fund. Progress is still quite slow; the main constraints relate to several procedures and steps that have to be completed before a grant agreement can be signed, e.g., the preparation and assessment of a country’s Readiness Preparation Proposal (R-PP), i.e., a document outlining the process by which a country will develop its national strategy for participating in an evolving REDD mechanism. Once preparation grant agreements of US$ 200,000 have been signed, countries highlight issues such as weak in-country capacity in procurement and financial management as key issues hampering grant implementation and disbursements (FCPF 2013c). Once their R-PP is accepted, Page 15 of 21

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countries receive grants of US$ 3.6 million and have the possibility to apply for another US$ 5 million as soon as they have spent half of the funds and submitted a Mid-Term Report. An important milestone and precondition to benefit from the Carbon Fund is the so-called Readiness Package (R-Package), a process during which the country undertakes a multi-stakeholder self-assessment of its readiness following a set of 34 criteria. The complementary FCPF Carbon Fund became operational in 2011 and will provide performancebased payments from 2015 to 2020 to 5–7 countries that have made significant progress in their REDD readiness endeavors. As of April 2014, the Carbon Fund had a capital of about US$ 390 million. Again, Norway (US$ 171.3 m), Germany (US$ 131.6 m), and Australia (US$ 18.4 m) contribute the biggest part.26 At the beginning of 2014, ten countries have presented their early ideas to the Carbon Fund. The next major step for being considered as a candidate for the Carbon Fund consists of the preparation of an Emission Reduction Programme Idea Note (ER-PIN). Here, countries present a conceptual description of the envisaged emission reduction program. The selection criteria for ER-PINs include progress towards readiness, political commitment, the generation of substantial non-carbon benefits, and likely future consistency with the Methodological Framework and Guiding Principles (see below). This step is projected to be completed by the end of 2014. Depending on the approval by the Carbon Fund donors and the completeness and consistency of the proposal, a Letter of Intent (LoI) can be signed with the respective country. Even though the LoI is no legally binding agreement to provide funds, it is understood as signaling strong interest to financially support a country, further specifying a range of potential funding. The next step then is the development of an Emissions Reductions Programme Document (ER-PD). In September 2013, Costa Rica was the first country to sign a LoI with the FCPF to negotiate purchase of emission reductions of up to US$ 63 million to pay for up to 12 million tons CO2 and conserve and regenerate forests. Besides Costa Rica, the Democratic Republic of the Congo, Ghana, Mexico, and Nepal have been added to the CF-Pipeline at the ninth meeting of the CF (CF 9) in April 2014 for signing a LoI in the next months. Decisions on whether to add also Chile and the Republic of Congo who also presented ER-PINs at CF 9 will be taken at CF 10 in June 2014 when another 6 to 8 ER-PINs will be presented as a portfolio decision. After the assessment of the R-Package by the Participants Committee, a country can present a final ER-PD to the Carbon Fund donors who will make their final decision as to whether they want to sign a contract. At this point, the World Bank and donors will have to look carefully whether the 37 criteria and 75 more indicators of the Methodological Framework are actually met. The FCPF Carbon Fund’s Methodological Framework The Carbon Fund’s Methodological Framework (MF) is to provide overarching guidance and to act as a standard for ER programs piloted in the Carbon Fund. It was negotiated by eight donor countries, two companies, and one NGO, plus the World Bank management team, representatives of REDD countries, indigenous peoples, civil society organizations, and technical advisors. The document was agreed upon in December 2013, and it is a critical component to guide REDD+ countries in designing their proposals for and implementation of emission reduction (ER) programmes for the Forest Carbon Partnership Facility’s (FCPF) Carbon Fund. The MF does not consist of detailed calculation methods or protocols; thus, it does not follow a prescriptive approach. Rather, it should provide the overarching guidance and act as a standard that is designed to achieve a consistent approach to carbon accounting and programmatic characteristics. It assists countries in meeting (continued)

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Carbon Fund requirements as proposed ER programs are expected to demonstrate conformity with the framework’s criteria. The framework itself is a set of 37 criteria and 75 related indicators and trades off simplicity, flexibility, innovation, consistency across programs, and predictability of assessments. It covers scale, reference levels, monitoring, accounting, safeguards, program design, and registries for REDD. As numerous actors were involved in the negotiation process, the final agreed upon document can be considered an important reference work for REDD implementation. The full Methodological Framework can be obtained at the FCPF’s webpage: www. forestcarbonpartnership.org/carbon-fund-methodological-framework.

Forest Investment Program The Forest Investment Program (FIP) is a targeted program of the Strategic Climate Fund (SCF) which is one of two World Bank-administered funds within the framework of the Climate Investment Funds (CIF). The CIF was initiated in 2008 by the Word Bank to provide developing and middle-income countries with financial resources to mitigate and manage the challenges of climate change and to reduce their greenhouse gas emissions. Disbursements are realized through the five multilateral development banks.27 The Forest Investment Program follows an investment approach and supports REDD countries by providing up-front financing for the implementation of national strategies and the piloting of replicable models to generate understanding and learning. Thus, it targets at phase two of REDD implementation and complements other initiatives such as the FCPF or UN-REDD which focus either at phase one or phase three. Total pledges to the FIP reach US$ 598 million, with US$ 529 million already being deposited (as of December 2012). Brazil, Burkina Faso, Democratic Republic of the Congo, Ghana, Indonesia, Lao PDR, Mexico, and Peru have been selected as pilot countries for the FIP. Important is the so-called Dedicated Grant Mechanism (DGM), which has been established to provide indigenous peoples groups and local communities in the eight FIP pilot countries with a financing and learning mechanisms to support their participation in and complement the FIP investment programs and projects.

UN-REDD The United Nations on REDD (UN-REDD) Programme was launched in 2008 as collaboration between FAO, UNDP, and UNEP. The multilateral programme focuses on phase one of REDD implementation (see Fig. 7), assisting 50 partner countries spanning Africa, Asia-Pacific, and Latin America to prepare and to implement national REDD strategies via two different support streams: (i) direct support to the design and implementation of UN-REDD National Programmes and (ii) complementary support to national REDD action through common approaches, analyses, methodologies, tools, data, and best practices developed through the UN-REDD Global Programme. As of March 2014, commitments for the two streams (including first commitments for 2015) totaled US$ 247.9 million, with Norway (US$ 214.8 m) being clearly the biggest donor, followed by the European Union (US$ 13 m) and Denmark (US$ 9.8 m). Deposits amounted to US$ 215.2 million, reaching a deposit rate of 86.8 %, and US$ 156.7 million has been transferred to participating organizations. Countries that have particularly profited from UN-REDD in terms of approved budget include the Democratic Republic of Congo (US$ 7.3 m), Papua New Guinea (US$ 6.3 m), Indonesia (US$5.6 m), Panama (US$ 5.3 m), and Paraguay (US$ 4.7 m), with

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each country demonstrating different success in using the funds. For an overview of current funds and budget allocations, consult the program’s multiple-partner trust fund gateway.28 Various countries receiving support from UN-REDD for their readiness efforts are also eligible for FCPF’s Readiness Fund, creating potential for conflicting goals and an overburdening of countries’ capacities to deal with the requirements of both multilateral initiatives. To smooth the process, UN-REDD and FCPF coordinate on methodological and conceptual aspects and efforts to harmonize procedures show first results (e.g., joint application forms or missions, meetings organized back-to-back). Besides these successes, stated figures show that the initiative is highly reliant upon Norway with substantial contributions by other donors missing. Furthermore, coordination problems between the three implementing agencies FAO, UNDP, and UNEP have reduced effectiveness.

The Voluntary Carbon Market Any explanation of REDD is incomplete without a brief description of the voluntary carbon market (VCM), since it is here that REDD credits are already being traded. Voluntary means that participants in the VCM (companies, individuals, not-for-profits, etc.) choose to reduce their “carbon footprint” by purchasing carbon credits without legal obligation to do so. Peters-Stanley and Yin (2013) state that approximately 90 % of the total offset volume (across all sectors) in 2012 in the VCM was contracted by the private sector, primarily motivated by corporate social responsibility (CSR) and to show industry leadership. Generated credits in the VCM are called Verified Emission Reductions (VERs). Compared to compliance schemes like the Kyoto Protocol or the European Union’s Emission Trading System (EU-ETS), the VCM is much smaller in size and unregulated, even though recognized standards exist that verify the quality and validity of traded credits. The Verified Carbon Standard (VCS) is one of the world’s most widely used carbon accounting standards being used for the creation and issuance of tradable emission reduction certificates, assuring their quality by evaluating project design features (e.g., approach to non-permanence risk). A second less popular standard is the Gold Standard.29 Compared to these two standards, the Climate, Community and Biodiversity Standards (CCB), a partnership between five international nongovernmental organizations,30 do not issue emission reduction certificates. Instead, the CCB is a standout label for projects that desire to demonstrate high social and environmental standards and is used in combination with other carbon accounting standards, mostly the VCS. Trade within the VCM takes place in the over-the-counter (OTC) market which has seen an increased market participation in recent years. The OTC works with individual deals between sellers, buyers, and brokers, and the unregulated nature of the VCM makes it difficult to obtain market statistics. Data are often highly unreliable as these are provided on a voluntary basis from market participants. Relying on survey information, Peters-Stanley and Yin (2013) report in Maneuvering the Mosaic: State of the Voluntary Carbon Markets 2013 that REDD projects were buyers’ third most popular choice as an offset source, accounting for 9 % of total OTC market share in 2012. Only wind (20 %) and afforestation/ reforestation (12 %) projects were higher in demand. Compared to 2011, the transaction volume of REDD offsets declined in 2012 by 8 % to 6.8 MtCO2e. Looking at the project and VER certification standard transacted, the authors find that the decline occurred exclusively in the categories of projects that did not utilize a third party standard to certify their carbon reductions or that utilized a ‘domestic’, countryspecific standard like Brasil Mata Viva. On the other hand, 2012 was a significant year for REDD offsets 28

The UN-REDD Programme’s multiple-partner trust fund gateway can be found at http://mptf.undp.org/factsheet/fund/ CCF00. 29 The Gold Standard is also used as a standard for creating emission reduction projects under Kyoto’s flexible mechanisms CDM and JI. 30 CARE, Conservation International, the Nature Conservancy, Rainforest Alliance, and the Wildlife Conservation Society Page 18 of 21

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that were (or aim to be) certified to both the VCS and CCB Standards – which more than tripled their transaction volume (ibid, p. 21). Overall, projects certified under VCS, CCB, or the Gold Standard accounted for 73 % of all transaction volumes, underscoring the importance of these standards compared to others.31 The relative increase in demand for projects that issue offsets certified under both standards VCS and CCB shows that buyers are willing to support high-quality certification – a quality that has to be bought with a price premium.

References Anderson P (2011) Free, prior, and informed consent in REDD+: principles and approaches for policy and project development. Available at the Center for People and Forests (ECOFTC) and Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ). http://www.recoftc.org/site/resources/FreePrior-and-Informed-Consent-in-REDD-.php. Accessed 28 Nov 2013 Angelsen A, Boucher D, Brown S, Merckx V, Streck C, Zarin D (2011) Guidelines for REDD+ reference levels: principles and recommendations. Meridian Institute, Washington, DC BNDES (2012) Amazon fund – Rio + 20 brochure. Editorial management of the BNDES, BNDES, Brasilia BNDES (2013) Amazon Portfolio Report 31.12.2013. Amazon Fund’s Management Department, BNDES, Brasilia Boyle J, Murphy D (2012) Designing effective REDD+ safeguard information systems: building on existing systems and country experiences. International Institute for Sustainable Development (IISD), London Chagas T, Costenbader J, Streck S, Roe S (2013) Reference levels: concepts, functions, and application in REDD+ and forest carbon standards. Climate Focus, Amsterdam Chandrasekharan Behr D (2012) Making benefit sharing arrangements work for forest-dependent communities, overview of insights for REDD+ initiatives. Program on Forests (PROFOR), Washington, DC Cortez R, Stephen P (2009) Introductory course on “Reducing emissions from deforestation and forest degradation (REDD)”: a participant resource manual. The Nature Conservancy, Arlington European Forest Institute (EFI), Proforest (2014). Introduction to REDD+, briefing EU REDD facility. Available at Proforest. http://www.proforest.net/publication-objects/2.-introduction-to-redd. Accessed 17 March 2014 Eliasch J (2008) Climate change: financing global forests: the Eliasch review. Earthscan, London FAO (2004) National forest inventory field manual. In: Forest Resource Assessment Programme, Working Paper 94/E. FAO, Rome FCPF (2013a) FCPF Carbon fund methodological framework discussion paper #9: benefit sharing. Forest Carbon Partnership Facility, Washington, DC FCPF (2013b) FCPF carbon fund methodological framework discussion paper #5: displacement (Leakage). Forest Carbon Partnership Facility, Washington, DC FCPF (2013c) FCPF readiness fund, improving readiness implementation and disbursements in FCPF countries (FMT Note 2013–6). Forest Carbon Partnership Facility, Washington, DC Gitz V, Ciais P (2003) Amplifying effects of land-use change on future atmospheric CO2 levels. Global Biogeochem Cycle 17(1):1024–1038

31

For example, Climate Action Reserve (CAR), California Carbon Offset (CCO), and Carbon Farming Initiative (CFI) Page 19 of 21

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GOFC-GOLD (2010) A sourcebook of methods and procedures for monitoring and reporting anthropogenic greenhouse gas emissions and removals caused by deforestation, gains and losses of carbon stocks in forests remaining forests, and forestation, version COP16-1. GOFC-GOLD Project Office, hosted by Natural Resources Canada, Alberta GOFC-GOLD (2013) A sourcebook of methods and procedures for monitoring and reporting anthropogenic greenhouse gas emissions and removals associated with deforestation, gains and losses of carbon stocks in forests remaining forests, and forestation, version COP19-1. GOFC-GOLD Project Office, hosted by Natural Resources Canada, Alberta Henders S, Ostwald M (2012) Forest carbon leakage quantification methods and their suitability for assessing leakage in REDD. Forests 3(1):33–58 Houghton R (2005) Tropical deforestation as a source of greenhouse gas emissions. In: Moutinho P, Schartzman S (eds) Tropical deforestation and climate change. Instituto de Pesquisa Ambiental da Amazônia (IPAM) and Environmental Defense, Belém, Washington, DC IBRD/WB (2012) Lessons learned for REDD+ from PES and conservation incentive programs, examples from Costa Rica, Mexico, and Ecuador. Available at FONAFIFO, CONAFOR and Ministry of Environment Ecuador. http://documents.worldbank.org/curated/en/2012/03/17634356/lessonslearned-redd-pes-conservation-incentive-programs-examples-costa-rica-mexico-ecuador. Accessed 03 Feb 2014 IFC (2009) Addressing grievances from project-affected communities. Available at the IFC. http://www.ifc. org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/ifc+sustainability/publications/ publications_gpn_grievances. Accessed 14 Feb 2014 IPCC (2003) IPCC good practice guidance for land use, land-use change and forestry. Institute for Global Environmental Strategies, Hayama IPCC (2006) Guidelines for national greenhouse gas inventories, vol. 4, agriculture, forestry and other land use. Institute for Global Environmental Strategies, Hayama IPCC (2007) Summary for policymakers. In: Pachauri R, Reisinger A (eds) Climate change 2007: synthesis report. Contribution of working groups I, II and III to the fourth assessment report of the intergovernmental panel on climate change. Geneva MacDicken K (1997) A guide to monitoring carbon storage in forestry and agroforestry projects. Winrock International Institute for Agricultural Development, Little Rock Moss N, Nussbaum R, Muchemi J, Halverson E (2011) A review of three REDD+ safeguard initiatives. Forest Carbon Partnership Facility and UN-REDD, Geneva, Washington, DC Murphy D (2011) Safeguards and multiple benefits in a REDD+ mechanism. International Institute for Sustainable Development (IISD), London Murray B, Galik C, Mitchell S, Cottle P (2012) Alternative approaches to addressing the risk of non-permanence in afforestation and reforestation projects under the clean development mechanism. Institute for Environmental Policy Solutions, Duke University, Durham Peters-Stanley M, Yin D (2013) Maneuvering the mosaic. State of the voluntary carbon markets 2013. Forest trends’ ecosystem marketplace and Bloomberg new Energy Finance, Washington, DC RECOFTC/GIZ (2011) Free, prior, and informed consent in REDD+: principles and approaches for policy and project development. Available at RECOFTC. http://www.recoftc.org/site/resources/ Free-Prior-and-Informed-Consent-in-REDD-.php. Accessed 28 Jan 2014 Stern N (2006) The Stern review: the economics of climate change. Her Majesty’s Treasury, London United Nations Food and Agricultural Organisation (FAO) (2010) Global forest resource assessment. United Nations

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United Nations Framework Convention on Climate Change (UNFCCC) (1992) Text of the convention. Available at UNFCCC. http://unfccc.int/key_documents/the_convention/items/2853.php. Accessed 30 Jan 2014F United Nations Framework Convention on Climate Change (UNFCCC) (2009) Decision 4/CP.15 decisions adopted by the conference of the parties. United Nations United Nations Framework Convention on Climate Change (UNFCCC) (2010) Decision 1/CP.16 The Cancún agreements: outcome of the work of the ad hoc working group on long-term cooperative action under the convention. United Nations USAID (2012) Institutional assessment tool for benefit sharing under REDD+. Available at USAID. http://usaidlandtenure.net/sites/default/files/USAID_Land_Tenure_Institutional_Assessment_Tool.pdf. Accessed 13 Feb 2014 Wissenschaftlicher Beirat der Bundesregierung Globale Umweltver€anderungen (WBGU) (1998) Die Anrechnung biologischer Quellen und Senken im Kyoto-Protokoll: Fortschritt oder R€ uckschlag f€ur den globalen Umweltschutz. Available at WBGU. http://www.wbgu.de/sondergutachten/sg-1998kioto. Accessed 06 Dec 2013 WWF (2013) WWF guide to building REDD+ strategies: a toolkit for REDD+ practitioners around the globe. WWF, Washington, DC

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Compensation Payments: Opportunities, Risks, and Considerations Julian Michel*, Kay Kallweit and Evy von Pfeil Deutsche Gesellschaft f€ ur Internationale Zusammenarbeit (GIZ) GmbH, Eschborn, Germany

Abstract The description of economic environmental and forest-related compensation payment mechanisms and arrangements demonstrates the sector's relevance for tropical forestry, revealing opportunities and risks. The present chapter provides a synthesis of the previous five chapters on the topic, followed by final considerations arguing that policies and agreements based on economic principles represent just one building block out of a pool of measures to promote environmental and forest goods and services. To fully unfold its potentials, these mechanisms and arrangements have to be implemented conjointly with traditional non-economic policies.

Keywords Compensation Payments; Forest Resource; Systemic Approach; Transformational Change The set of chapters treating the topic compensation payments aimed at providing a comprehensive overview of economic compensation payment concepts and arrangements relevant for tropical forests. First, the theoretical background necessary to understand the rationale of environmental and forest-related compensation schemes was given, followed by case studies to illustrate their realization in practice. As we were not dealing with a clearly demarcated object but with an environmental setting where the values agents derive from or attribute to the environment are megadiverse, the difficulty of singling out specific environmental goods or services that can be subject for valuation and form the basis for a compensation scheme has been emphasized. The implied reduction to, for instance, one specific functional aspect entails a risk of reducing the environment and the forest resource to one component only – an issue frequently raised by civil society organizations and indigenous groups arguing that all elements of the environment are intertwined and have to be valued as one whole unit. Despite the difficulty of bringing these two views together, it remains important to acknowledge and promote the co-benefits that compensation payment mechanisms can deliver, e.g., through adherence to strict safeguards. Different design options for successful compensation mechanisms and associated benefits have been outlined, which can either materialize through private negotiations (e.g., Vittel water) following a Coasean logic or via the engagement of a third party acting as intermediary (Pigouvian approach). The latter case is especially relevant for the delivery of public goods. Here, the implementation of payments for ecosystem service (PES) schemes shows particular promise as the flexibility of this concept allows for various arrangements and can be tailored to specific local or regional circumstances. By contrast, the clean development mechanism (CDM) is likely to remain unattractive for the forestry sector due to the involved complexities, methodological requirements, and the chosen approach to deal with nonpermanence. Still, the experience gained through trading forest carbon credits has been valuable for influencing the discussion surrounding reducing emissions from deforestation and forest degradation (REDD). The *Email: [email protected] Page 1 of 2

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chapter emphasized that REDD can provide real incentives for tropical forest-rich countries to value and protect their forest resource. Through multilateral as well as bilateral cooperation, the basis for mastering the various presented methodological requirements to get “REDD ready” seems to be given, even though countries’ time-needs to complete all three phases of REDD implementation vary greatly. Unlocking additional financial resources and securing the long-term financing for REDD, an important decisions remains whether REDD will be financed relying on a market mechanism (integration in emission trading schemes) or via public sources. Additionally, one crucial consideration concerns how the different scales can be integrated in the future, i.e., how to embed project-level initiatives aiming for the voluntary carbon market in a potential compliance system that includes REDD under the UNFCCC. The experience of the last years suggests that without an international mechanism, demand for REDD will be limited to bilateral initiatives funded through ODA money and a struggling voluntary market. While project-based approaches can deliver valuable lessons for implementation, transformational change can only be expected if large-scale programs comprehensively address the drivers of deforestation. This in turn requires an established mechanism for distributing funds to successfully implemented programs and activities – be it on a national, regional, or local level. Finally, it should be noted that policies and agreements based on economic incentives and on an economic compensation rationale represent just one building block and they have to be integrated with other instruments. Direct command-and-control measures (e.g., designation of protected areas, certification requirements) and other policy interventions such as forest law enforcement, governance, and trade (FLEGT) have to be implemented conjointly to ensure the sustainable provision of environmental and forest-related goods and services, thus the entire portfolio of measures. Only a systemic approach, carefully integrating the whole range of different instruments, can realize the full potential of the individual instruments to incentivize sustainable management of the forest resource in the tropics.

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Introduction to Forest Certification Schemes Jörn Struwea* and Thorsten Spechtb a Thuenen Institute of International Forestry and Forest Economics, Hamburg, Germany b GFA Certification Ltd., Buchholz, Germany

Abstract This chapter provides an introduction about design and implementation of forest certification schemes. The reader is introduced to essential ideas, concepts, and corresponding key terminology. Furthermore, global indicators of significance are given as of June 2014 and are compared between the two major forest certification schemes FSC (Forest Stewardship Council) and PEFC (Programme for the Endorsement of Forest certification). This chapter does not make any references to existing political debates nor does it aim to reflect upon the benefits and challenges associated with certification schemes. The intention is to provide an overview of the operational aspects and checks and balances that certification schemes need to fulfill when setting benchmarks for responsible management and sourcing of forest related products.

Keywords Forest certification scheme; Forest certification standard; FSC; PEFC; Chain of custody; Certificate holder; Third-party verification; Accreditation; Corrective action request

Objectives and Institutional Framework of Forest Certification Schemes This chapter provides an introduction to forest certification schemes and their institutional framework. An overview is given in regard to the overall objectives, key institutions, and procedures that ensure credibility and transparency of forest certification schemes. These procedures include third-party auditing, certification decision-making free of conflicts of interest, and accreditation of certification bodies. For further information, the interested reader may follow the given references or consult the home pages of the Forest Stewardship Council (FSC) and the Programme for the Endorsement of Forest Certification (PEFC). Approximately 434,500,000 ha of forests are either FSC or PEFC certified or are certified to both forest certification schemes (FSC 2014; PEFC 2014). According to the Global Forest Resources Assessment (FAO 2010), this resembles a relative forest cover of approx. 10.9 %. Nonetheless, area statistics regarding forests that are certified to both forest certification schemes are hardly available. The extent of certified forests is assumably lower, if these areas were deducted to avoid double counting, and might be in the range of 8–10 % relative forest cover. Many consumers may be wondering about the increasing number of forest certification labels that appear, for instance, on indoor and garden furniture, printed materials, or paper packaging materials. What the labeled products have in common is that their fiber material originates from forests that are managed according to a set of agreed-upon standards. Only forest areas that are managed in conformity with these standards may become certified, and only forest products that stem from certified sources may be labeled. Hence, the label provides consumers with an informed choice to purchase products from certified sources (Fig. 1). *Email: [email protected] Page 1 of 18

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Fig. 1 Examples of the FSC and PEFC logos

Fig. 2 Institutional framework of forest certification systems

Forest certification is a voluntary market mechanism. The general idea emerged in the early 1990s, when unintended consequences of tropical timber boycotts started to raise concerns about their effectiveness (Synnot 2005). The concept is that consumers promote improvement of the management of the world’s forest resources, by shifting their consumption patterns toward forest products coming from certified sources (Nussbaum and Simula 2004). In theory, an increase of the demand of forest products from certified sources leads to an increase in the extent of certified forest areas, i.e., forest areas that are sustainably or responsibly managed. Thus, it leads to a gradual improvement of global forest management. The World Wide Fund for Nature (WWF), an environmental nongovernmental organization (ENGO) that promotes the FSC forest certification scheme, describes the objectives of forest certification as follows: “Forest certification is a mechanism for forest monitoring, tracing and labeling timber, wood and pulp products and non-timber forest products. The quality of forest management “from environmental, social, and economic perspectives is judged against a series of agreed standards. The key to forest certification is the development of a system that combines auditing forest practices with tracing forest products” (WWF 2010). An understanding of auditing forest practices and tracing forest products is essential for gaining insight into the system of forest certification schemes. Therefore, these aspects are described in further detail in the following chapters. This chapter focuses on the institutional framework of forest certification schemes, Page 2 of 18

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because an understanding of this framework is just as important and may be a better first step for readers who are starting to inform themselves about forest certification schemes. Nonetheless, every chapter is designed as a stand-alone script, and the reader can switch back and forth between the respective chapters. Figure 2 provides an overview of the key institutions of forest certification schemes and describes their relations to one another. (II) Standardizing bodies develop normative guidelines for forest management entities and entities of the wood supply chain in the form of certification standards. These include forest management standards (FM standards) that cover criteria and indicators for forest management practices and Chain of Custody standards (CoC standards) that cover criteria and indicators for tracing timber, pulp, and other forest products from certified sources. The criteria and indicators resemble minimum requirements that have to be implemented by the respective entities to become (IV) certificate holders. In addition, standardizing bodies provide guidelines and information materials to certificate holders and the general public. Trademark licenses are issued to certificate holders that include rules for the utilization of labels and other trademarks, and a publicly accessible dispute resolution system is maintained. (IV) Certificate holders or entities that wish to become certified cannot directly apply for certification at the level of the standardizing body but have to contact a (III) certification body. Certification bodies are legally independent from standard-setting bodies (e.g., GFA Certification GmbH, LGA InterCert GmbH, Rainforest Alliance, SGS, etc.) and provide services related to the certification process. These services include inter alia certification decision-making and issuance of FM/CoC certificates, maintenance of related documentation, supervision and assignment of auditors, maintenance of a complaints resolution mechanism for certificate holders, and approval of label usages. Entities that wish to become certified enter into a certification contract with the respective certification body of their choice. The contract regulates the scope of the certificate, e.g., sites and product types to be included in the certificate, types of FM/CoC standards that have to be implemented by the respective entities, duration of the certificate, and regularity of conformity assessments. Once the contract has been agreed upon by the parties, auditors are assigned to conduct conformity assessments against the FM/CoC standards specified in the certification contract. (V) Auditors are assigned by the respective certification body to conduct conformity assessments, which are called audits in the language of the forest certification schemes. Audits are conducted on an annual basis at an agreed-upon date between the auditor and the certificate holder. During an audit the auditor assesses the management system of the certificate holder for conformity with the requirements laid out in the respective FM/CoC standards. The assessment has to be based on objective evidence, for which purpose audits are conducted on site and include a review of essential documentation, interviews with responsible staff and workers, and field visits to forest areas or a tour of production/storage facilities. Nonconformities are addressed in the form of Corrective Action Requests (CARs), which have to be fulfilled by the respective certificate holders within a given time frame. In severe cases, certificates may be suspended by the certification body or may be terminated by the standardizing body. Auditors do not make certification decisions for clients whom they have audited but provide a detailed audit report to the respective certification body. The report includes the results of the audit and includes a positive or negative certification recommendation. Based on the report, the certification body makes a certification decision and either issues a certificate or decides not to issue or suspend a certificate. To ensure certification decision-making free of conflicts of interest, certification bodies have to be legally independent from their clients and are prohibited to support a relation with clients that could potentially compromise their objectivity (e.g., consultancy services). This remains also true for auditors, which have to be legally independent from clients whom they audit. In addition, auditors are prohibited to audit clients by whom they were formerly employed or for which they have provided consultancy services. This is known as the principle of independent third-party Page 3 of 18

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Fig. 3 International norms and guidelines applicable to forest certification schemes (Global Forest Alliance 2006)

auditing. This principle is opposed by second-party auditing, where entities themselves audit their suppliers, and first-party auditing or internal auditing, where staff from an entity audit procedures or staff in the same entity. Independent third-party auditing ensures objectivity and provides a high level of credibility to final consumers of certified products. Certification bodies need to be accredited by an eligible (I) accreditation body before they may issue certificates, contract certificate holders, assign auditors, etc. The accreditation process ensures that certification bodies have a quality management system in place that is in conformity with internationally accepted rules set out by the International Organization for Standardization (ISO). The applicable ISO standards include ISO 17021 for certification bodies that certify management systems and ISO 17065 for certification bodies that certify products, processes, and services. Accreditation bodies themselves need to be certified against ISO 17011 for accrediting certification bodies or against the ISEAL Code of Good Practice for setting social and environmental standards. In addition, eligible accreditation bodies need to be associated with the International Accreditation Forum (IAF) or the ISEAL Alliance for setting sustainability standards. Accreditation bodies oversee the performance of certification bodies by conducting annual audits. These audits include visits to the offices of the respective certification bodies and witness audits, during which the performance of auditors is checked while they are auditing certificate holders. Nonconformities against the respective ISO standards are addressed in the form of Corrective Action Requests (CARs), which have to be fulfilled by the certification body in a given time limit. In severe cases, the accreditation of the certification body may be suspended by the accreditation body. Figure 3 provides an overview of international norms and guidelines that govern forest certification schemes.

Standard-Setting Procedures and Forest Certification Standards This chapter provides an introduction to standard-setting procedures. In addition, systems of forest management standards (FM standards) and Chain of Custody standards (CoC standards) are described. The system of CoC standards is described prior to the system of FM standards, because CoC standards are applicable on a global basis, while FM standards are adapted to national circumstances of the respective forestry sectors. Transparent standard-setting procedures are an essential basis for the development of agreed-upon certification standards and have to enable a broad stakeholder participation. All types of stakeholders that are directly affected by or have an interest in the development of certification standards have to be Page 4 of 18

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Fig. 4 Standard-setting and revision procedures (adapted from PEFC Council 2010)

provided with fair means of participation. The Agenda 21 of the Rio Earth Summit recognizes major stakeholder groups. These include business and industry, trade unions, indigenous peoples, children and youth, women, farmers and forest owners, local authorities, nongovernmental organizations (NGOs), and science and technology community (PEFC 2010; Stakeholder Forum 2014). An overview of standard-setting procedures is provided in Fig. 4. Standard-setting procedures are conducted by working groups, where no single stakeholder interest shall dominate the working groups’ decision-making process, i.e., working groups shall have a balanced stakeholder representation. Creation of working groups includes identification of relevant stakeholders, which are provided with formal announcements via newsletter, e-mail, home page, or other appropriate types of media (Fig. 4, I–III). The announcements include an invitation to participate in the working group. Any stakeholder may express interest to participate in the working group, but to ensure balanced stakeholder representation and an efficient working basis, nominees are selected based on a set of transparent criteria like equal representation of stakeholders, level of expert knowledge, gender balance, etc. Working groups develop (IV) inquiry drafts in an open and transparent manner to all participants, which are then discussed with the general public in the form of (V) public consultations. Public consultations start with a formal announcement that includes an invitation to all stakeholders to provide comments on the inquiry draft. Every stakeholder comment has to be acknowledged in the form of a written synopsis. The time frame of public consultations is 60 days, and only in exceptional circumstances can the duration be reduced to 30 days (PEFC 2010). The PEFC certification scheme requires one round of public consultation, and the FSC certification scheme requires two rounds of public consultation for every standard-setting procedure. Written synopsis explains how stakeholder comments are considered in the final drafts of certification standards and have to be made publicly available by the respective standardizing bodies. Final drafts have Page 5 of 18

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_237-1 # Springer-Verlag Berlin Heidelberg 2015 FM-COC Code/ license code

COC Code/ license code

Forest/point of origin

Loggin & transport

COC Code/ license code

COC Code/ license code

Processor/ manufacturer

Wholesaler

Business-to-business (B2B)

Retailer

Final consumer

Business-to-business (B2C)

Change of ownership

Fig. 5 Example of a chain of custody

to be agreed upon by (VI) consensus building of the respective working groups. Consensus is defined as a general agreement, characterized by the absence of sustained opposition to substantial issues by any important part of the concerned interest (FSC 2013; PEFC 2010). Prior or after consensus building, pilot tests may be done with selected forest entities or entities of the wood supply chain, in order to identify remaining gaps or potentials for improvement. (VII) Once consensus has been achieved, the final drafts are presented to the boards of directors of the respective standardizing bodies. The board of directors formally approves the final draft as certification standard, and the standardizing body (VIII) publishes the now binding certification standard. In general, a transition period of 1 year is recognized, before a newly published certification standard becomes mandatory and replaces any older versions. (IX) Certification standards are regularly reviewed and revised, if necessary. Revision cycles shall not exceed a time frame of 5 years to ensure that certification standards are up to date with political, technological, and scientific developments. Due to their global applicability, the system of CoC standards is described prior to the system of FM standards. CoC standards are applicable to any business entity among the global wood supply chain, regardless of the country where it is based. To begin with, one may simply ask what is the Chain of Custody. “The Chain of Custody is an information trail about the path taken by products from the forest (. . .) to the consumer including each stage of processing, transformation, manufacturing, and distribution where progress to the next stage of the supply chain involves a change of ownership” (FSC 2011). The concept of “change of ownership” is essential for an understanding of the specific requirements of CoC certification (Fig. 5). Every legal entity of the wood supply chain that purchases or sells certified products, i.e., products with a certification claim, has to operate a CoC management system. Only then can the final consumer be assured that certified products originate in responsibly managed forests. Any “change of ownership” in the Chain of Custody that is not covered by a valid CoC certificate leads to a loss of the certification status of the traded products (break in the Chain of Custody). Every certified entity receives a unique certification code, also called CoC code, and a unique license code (Fig. 5). The CoC Code has to be stated in sales documents (invoices, delivery notes, bills of ladings, etc.) that define commercial transactions of certified products. This ensures traceability of certificate holders and certified products for every commercial transaction in the business-to-business sector (B2B). The license code has to be stated in labels used by certificate holders, either directly on certified products (on-product label) or for marketing purposes (promotional panel) on home pages, brochures, flyers, etc. This ensures traceability of labeled products to certificate holders. In addition, the FSC and PEFC certification schemes maintain publicly available online databases (https://ic.fsc.org, http://register.pefc.cz), which are used by certificate holders to validate the certification status of their suppliers. The certification status can be identified via the company name, CoC Code, or license code.

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Fig. 6 FSC system of Chain of Custody standards

For the business-to-consumer (B2C) sector, the requirements are less strict. For instance, retailers that sell certified products to final consumers do not need to have a CoC certificate (Fig. 5). Nonetheless, they may be certified if they wish to do so. One of the reasons is that retailers resemble the last point in the Chain of Custody before certified products have reached their designated end use with the final consumers. Due to the scope of this chapter, only the FSC system of CoC standards is described in further detail (Fig. 6). For information about the PEFC system, the interested reader is referred to the PEFC home page. Nonetheless, it has to be mentioned that similarities exist as both forest certification schemes are established and operate on a worldwide basis. The system of CoC standards recognizes the legal structure of certificate holders and the types of certified products that are produced or traded (Fig. 6). All certificate holders have to comply with the requirements of the (I) CoC standard. In addition, depending on the legal structure and the types of certified products that are produced or traded, additional CoC standards have to be implemented (Fig. 6, II–V). Holding structures or enterprises with multiple sites, e.g., corporate groups with different production sites and a network of branch offices or subsidiaries, have to implement the basic CoC standard and have to implement the (II) multisite standard. This ensures that a central management unit has overall responsibility for the CoC management system and implements an internal monitoring system. Small enterprises (i.e., having no more than 15 employees or having no more than 25 employees and an annual turnover of US$ 1,000,000) are eligible to enter into a (III) group CoC certification. This option has been developed in order to assist smaller enterprises wishing to achieve CoC certification. Every entity of the group has to implement the basic CoC standard and the requirements laid out in the policy for group certification. The overall certification costs are relatively low and are divided among the participating entities, which makes group certification a reasonable option for smaller enterprises compared to bearing the costs of a single CoC certification. Certificate holders, despite their legal structure, have to implement additional standards if they produce or trade products of the material category (IV) FSC Controlled Wood or produce products of the material category (V) FSC Recycled. The respective standards have to be implemented in addition to the basic CoC standard. In this context production of FSC Recycled material refers to certificate holders that source noncertified reclaimed materials for use in FSC-certified products, e.g., certificate holders in the paperproducing industry or certificate holders that produce furniture from reclaimed wood. The material

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Fig. 7 FSC system of forest management standards

category FSC Recycled exists, because the utilization of reclaimed fiber materials is consistent with an active commitment to protecting forest resources (FSC Germany 2014). FSC Controlled Wood is a material category that has a status between uncontrolled materials and certified materials. This material category includes wood supplies that do not stem from unacceptable sources, e.g., have not been harvested illegally or have not been harvested in violation of traditional and civil rights. Certificate holders that wish to produce or purchase FSC Controlled Wood have to implement the respective standard in addition to the basic CoC standard. This ensures that certificate holders implement due diligence systems and do not label FSC Controlled Wood materials, as this material category is solely intended for the business-to-business sector. Further details about FSC Controlled Wood are provided in the following chapter (Fig. 9). (VI) Certificate holders that wish to label products or use FSC trademarks for marketing purposes (i.e., FSC Logo, the letters “FSC,” or the name “Forest Stewardship Council”) have to implement the respective standard in addition to the basic CoC standard. This ensures that on-product labels are applied consistently throughout the Chain of Custody. To give a further example, certificate holders may not utilize FSC trademarks in ways that imply affiliation between them and the FSC forest certification scheme. For instance, when the letters “FSC” are used to promote the certification of a product, they shall not be used in product brand names. “Golden FSC Timber” would not be acceptable, instead “FSCTMcertified Golden Timber” or “Golden Timber-FSCTM certified” would have to be used (FSC 2010). Figure 7 provides an overview of the FSC system of FM standards. For reasons of consistency, only the FSC system is described. For information about the PEFC system, the interested reader is referred to the PEFC home page. The system of FM standards works differently than the system of CoC standards. The Forest Stewardship Council provides the FSC Principles and Criteria for Forest Stewardship. This international standard for responsible forest management contains 10 Principles and 56 Criteria that have to be implemented by certificate holders (FSC 1996). Nonetheless, “any international standard for forest management needs to be adapted at the regional or national level in order to reflect the diverse legal, social and geographical conditions of forests in different parts of the world. The FSC Principles and Criteria therefore require the addition of indicators that are adapted to regional or national conditions in order to be implemented at the forest management unit (FMU) level” (FSC 2010). The development of adapted sets of indicators is conducted by National Standards Development Groups (SDGs). Once the adaptation has been approved by the Forest Stewardship Council, a regional or national FM standard exists, that is, binding for all certificate holders that operate forest management units (FMUs) in the region or country. As of today, 1 regional FM standard for the countries of the Congo Page 8 of 18

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Basin and 40 national FM standards exist (FSC 2014). In case of absence of a regional or national FM standard, certification bodies may develop generic FM standards based on the FSC Principles and Criteria and normative guidance documents for the development of adapted sets of indicators. Once a generic standard has been approved by the Forest Stewardship Council, it may be implemented by the certification body in the respective region or country. (I) National or generic FM standards include adapted sets of indictors that are applicable at the forest management unit (FMU) level. These units may consist of a single site or a set of sites that are geographically distant from one another. Forest management entities (FM entities) are responsible for forestry operations and may belong to the state sector and private sector or may resemble community forest organizations, etc. Examples of adapted sets of indicators include a list of the national and local forest laws that apply in the country, measures to prevent illegal harvesting, documentation that clearly identifies land ownership, etc. For further information, the interested reader is referred to the guidance document “FSC Forest Stewardship Standards: structure, content and suggested indicators” (FSC-GUI60-004 V1-0). The document contains a detailed list of suggested indicators. FM entities may enter into a (II) group FM certification. This option has been developed in order to assist smaller entities wishing to achieve FSC certification. Every participating entity of the group has to be in compliance with the national or generic FM standard and the requirements laid out in the standard for group entities in forest management groups. The overall certification costs are relatively low and are divided among the participating entities, which makes group certification a reasonable option for smaller entities compared to bearing the costs of a single FM certification. Every group is managed by a group entity that has overall responsibility and assesses every new member for compliance with the respective standards. Small forest management entities that apply “low-intensity” forestry operations may enter into a (III) SLIMF certification. This option applies to single FM entities as well as to FM groups, if they meet the eligibility criteria for small- and low-intensity managed forests. The specific requirements for SLIMF are laid out in the national or generic FM standard. FMUs may be classified as SLIMF if they are less than 100 ha in area or if they are less than 1,000 ha in area, and the concerned country has the demonstrated broad support of national stakeholders in favor of this threshold. Furthermore, FMUs that do not qualify as small may still qualify as SLIMF if they meet certain eligibility criteria. To give an example, FMUs may be classified as SLIMF when the rate of harvest is less than 20 % of the mean annual increment (MAI) and the annual harvest from the total production forest area is less than 5,000 m3. FM certificate holders that operate primary or secondary processing facilities, trade harvested forest products with a certification claim, and utilize the FSC trademarks have to implement the (IV) CoC standard and the (V) standard for use of FSC trademarks. The prior described requirements for CoC certificate holders also apply for FM/CoC certificate holders. FM certificate holders that operate log cutting or debarking units and small portable sawmills associated with the forest management entity are exempt from the requirement of CoC certification, if no commercial trade with certified forest products is conducted. FM entities that wish to produce FSC Controlled Wood have to be in compliance with the (VI) FSC Controlled Wood standard. FM certificate holders may have a combined FM/CW certificate or may only have a CW certificate. Nonetheless, the adapted sets of indicators of the national or generic FM standard also apply for CW certificate holders. FSC Controlled Wood allows FM entities to provide evidence that the wood they supply is controlled and does not stem from unacceptable sources (Fig. 9). CW certificate holders may supply FSC Controlled Wood to CoC certificate holders that wish to produce certified materials of the material category FSC Mix (i.e., certified materials that contain a mixture of certified materials and controlled materials). An overview of the five categories of FSC Controlled Wood is provided in Fig. 9. Page 9 of 18

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Fig. 8 FSC Principles and Criteria for Forest Stewardship (version 5–0)

The requirements of the Controlled Wood standard are not directly comparable to the social and environmental requirements of the FSC Principles and Criteria for Forest Stewardship. The Principles and Criteria are designed to identify responsible forest management. The Controlled Wood standard in contrast is designed only to allow certificate holders to avoid the categories of wood considered unacceptable for the production of certified materials of the material category FSC Mix (FSC 2006).

Fundamental Principles of Auditing Certificate Holders This chapter provides an introduction to the principles of auditing certificate holders. Due to the scope of the chapter and the complexity of the topic, an overview is given in regard to underlying principles of auditing forest management entities and entities of the wood supply chain. For reasons of consistency with the previous chapter, the underlying principles are described for the FSC forest certification scheme. For information about the PEFC system, the interested reader is referred to the PEFC home page. To begin with, an understanding of the term “certification scope” is essential for gaining insight into the underlying principles of auditing certificate holders. The certification scope is defined in certification contracts between certification bodies and their clients, i.e., certificate holders. It determines the complexity of audits in terms of the legal structure of certificate holders, sites or facilities included in the

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certificate, types of certified products that are produced or traded, and FM/CoC standards that have to be implemented by the respective certificate holders. Certificates are issued for a duration of 5 years and include a main audit, after which the certificate is issued if the entity complies with the requirements of the respective FM/CoC standards, and four surveillance audits, in which consistent application of the requirements is evaluated. Nonconformities are addressed in the form of Corrective Action Requests (CARs), which have to be fulfilled by the entity within a given time frame. In severe cases, the certificate may be suspended by the certification body or may be terminated by the standardizing body. Fulfillments of CARs include root cause analysis of nonconformities and implementation of corrective and preventive measures. The underlying principles of auditing certificate holders are different for forest management entities and entities of the wood supply chain. Therefore, the auditing principles are described separately. The principles of auditing forest management entities are described prior to the principles of auditing entities of the wood supply chain. Figure 8 provides an overview of the revised FSC Principles and Criteria for Forest Stewardship (V5-0). As of today, the revised FSC Principles and Criteria are not yet implemented but will become mandatory in the upcoming future. Thus, the version 5–0 is already presented. While the FSC Principles and Criteria (V4-0) contain 10 Principles and 56 Criteria, the revised FSC Principles and Criteria (V5-0) contain 10 Principles and 70 Criteria. Nonetheless, similarities exist between the current and revised versions. The description of auditing principles in regard to forest management entities focuses on these similarities. FM certificate holders have to be in compliance with the national or generic FM standard that is applicable to the country where the certificate holder implements its forestry operations. Certificate holders have to develop a forest management plan (Principle 7) that clearly describes how the requirements of the standard are implemented at the level of the forest management unit (FMU). The forest management plan resembles an essential basis for implementation of the forest management system and is assessed for conformity with the requirements of the respective FM standard prior to and during on-site audits. These on-site audits include document-based assessments, stakeholder consultations, interviews with responsible staff and workers, field visits to forest areas and harvesting sites, and tours of administration, production, and storage facilities. Due to the complexity of audits in the forestry sector, audits are conducted by a team of auditors and require several days of auditing in relation to the complexity of forest management operations and size, number, and distribution of FMUs. As forest management operations may affect surrounding areas beyond the boundaries of FMUs, an integral part of auditing certificate holders is to evaluate whether certificate holders are aware of potential social and environmental impacts apart from the areas under direct forest management. Certificate holders have to implement appropriate measures prior to forest management operations in order to mitigate negative consequences to the environment and affected communities (Principles 4–6 and 8). To give an example, road constructions adjacent to water catchment areas of local communities need to be supported by environmental impact assessments prior to construction and harvesting operations. Quality and results of

Fig. 9 FSC Controlled Wood (FSC 2006) Page 11 of 18

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impact assessments are evaluated by auditors, and stakeholder consultations with adjacent communities are conducted to identify whether complaints are existent or nonexistent (Principles 3 and 4). Figure 8 provides an overview of the revised FSC Principles and Criteria for Forest Stewardship (Version 5–0). An important aspect of auditing forest management entities is that certificate holders have to implement measures appropriate to scale, intensity, and risk of forest management activities (Principle 7). For instance, SLIMF certificate holders are not required to implement management planning activities or monitoring activities (Principle 8) to the same extent and level of detail as large-scale commercial certificate holders with a high degree of mechanization. Thus, time frame and complexity of audits in the forestry sector vary not only in dependency of size, number, and distribution of FMUs but also in dependency of the complexity of forest management operations. Figure 9 provides an overview of the five categories of FSC Controlled Wood. The prior described auditing principles for forest management entities also apply for certificate holders that wish to supply FSC Controlled Wood. Nonetheless, the social and environmental requirements of the respective standard are less complex. For instance, compliance with national and local laws focuses on laws applicable to harvesting operations. Conflicts relating to land tenure or land use rights of traditional or indigenous peoples groups shall be nonexistent in the FMUs managed by CW certificate holders. Further community relations are not addressed to the same extent as in the FSC Principles and Criteria for Forest Stewardship (Fig. 8). The principles of auditing entities of the wood supply chain focus on three major topics, which are called critical control points. These are points in the sequence of operations, at which there is the risk of: I. Uncontrolled material entering the CoC II. Mixing certified and noncertified materials without control III. Certified materials losing their identity through processing Certificate holders have to be aware of the specific risks that occur during operations at their site(s) and have to implement operating procedures that prevent these risks. Each certificate holder has to describe its operating procedures in the form of a manual, which resembles an essential basis for implementation of the CoC management system. The manual is assessed for conformity with the requirements of the respective CoC standards prior to and during on-site audits. These on-site audits include document-based assessments, interviews with responsible staff and workers, and tours of administration, production, and storage facilities. In general, on-site audits are required by the FSC CoC system. In justified and exceptional cases may on-site audits be substituted by desktop-based audits, in which auditors only conduct document-based assessments and interviews with responsible staff and workers. The purpose of the auditor is to identify specific risks in relation to the critical control points and to evaluate whether these risks have been mitigated according to the requirements of the respective CoC standards (Fig. 6). Nonconformities are addressed in the form of Corrective Action Requests (CARs) that have to be fulfilled by the respective certificate holders within a given time frame. Fulfillments of CARs include root cause analysis of nonconformities and implementation of corrective and preventive measures. The following paragraphs provide details in regard to auditing certificate holders. Due to the scope of this chapter, only a brief description is given. (I) Uncontrolled material shall not enter the CoC. Auditors have to assess trade documents (invoices, delivery documents, bills of ladings, certificates of origin, etc.) of purchases and sales of certified materials, types, and amounts of certified products that are produced and traded, material balances for completed fiscal years, supplier validations, etc. Whenever applicable, certificate holders have to provide information regarding utilized timber species and upon request have to be able to provide information regarding country or region of origin of the timber and timber products. Page 12 of 18

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(II) Mixing certified and noncertified materials without control shall not occur. Auditors have to visit production and storage facilities and have to conduct interviews with responsible staff and workers. Furthermore, auditors have to assess identification-mark systems for separation of certified materials, production conversion factors, control systems for making certification claims, etc. In this context, the term control system refers not only to the quantity of certified materials that are produced and traded but also refers to the system of how certification claims for certified products are made. Three types of control systems are recognized by the FSC CoC System, i.e., the Transfer System, the Percentage System, and the Credit System. The Transfer System has to be applied inter alia for trading activities related to finished products. The Transfer System is particularly useful in cases where a single FSC material category (FSC 100 %, FSC Mix, FSC Recycled, or FSC Controlled Wood) is used as input for certified products. In these cases the certification claim of input materials provided by suppliers is transferred 1:1 to the certification claim of output materials provided by the respective certificate holders. The Percentage System can be used inter alia for the production of FSC Mix materials. For instance, if a certificate holder of the engineered wood products industry produces certified materials of four units of FSC 100 % materials and eight units of FSC Mix 70 % materials, the certificate holder may sell the resulting 12 units with a certification claim FSC Mix 80 %. For further details in regard to control systems and the Credit System in particular, the interested reader is referred to the respective CoC standard (FSC-STD-40-004 V 2–1). (III) Certified materials lose their identity through processing. Auditors have to assess trade documents, control systems for making certification claims, labeling of certified products, etc. Certified materials may lose their identity for a variety of reasons, e.g., if the certification claim on trade documents is stated incorrectly or if the CoC code of a certificate holder is not stated. The labeling of products has to be consistent with the content of certified materials. For instance, utilization of a FSC 100 % label for a certified product that contains FSC Mix 70 % materials would be incorrect and would be addressed as a nonconformity with the requirements of the respective CoC standards.

Facts and Figures of Forest Certification Schemes The United Nations Conference on Environment and Development in Rio 1992, also known as the UN Earth Summit, acknowledged the urgency to manage forests to meet the needs of present and future generations. Nonetheless, despite the adoption of the Agenda 21 and the nonlegally binding forest principles, the global community did not come up with a legally binding agreement to halt forest loss, particularly in the tropics (CIFOR 2013). In the late 1980s and early 1990s, several initiatives from interest groups of civil society started to campaign to link forest conservation with responsible timber trade, due to a forest management crisis in the tropics and concerns about unintended consequences of tropical timber boycotts. The basic idea was to encourage the timber industry from retailers to manufacturers, suppliers, and importers to switch to tropical hardwoods that had been grown sustainably (Synnott 2005). The most prominent campaigns were carried out by Friends of the Earth (FoE) and the World Wide Fund for Nature (WWF), as well as initiatives from Table 1 Global indicators of the FSC and PEFC forest certification schemes Certified forests (ha) FM certificates Countries with certified forests CoC certificates Countries with CoC certificates

FSC 181,297,360 1,271 81 27,367 113

PEFC 258,119,820 518 28 10,078 64

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UK-based institutions like the Ecological Trading Company and the Wood Workers Alliance for Rainforest Protection (Synnott 2005). In 1990, a group of timber users, traders, and representatives of environmental and human-rights organizations held a meeting and agreed on the “need for a system that could credibly identify well-managed forests as source of responsibly produced forest products” (FSC 2014). In 1993, after consultation processes in 10 countries, this led to the foundation of the Forest Stewardship Council (FSC). The first “worldwide certification and accreditation system covering all forest types independent of ownership or geographic location and including natural forests as well as plantations” (FSC 2014). As a response to the implementation of the FSC forest certification scheme, the Pan European Forest Certification Council (PEFC Council) was founded in 1999 (FERN 2001). National interest groups of forest land owners from 11 European countries founded this forest certification system “in response to the specific requirements of small- and family forest owners” (PEFC 2014). PEFC is an umbrella organization that provides a framework for the mutual recognition of regional or national certification schemes. These are independently assessed for conformity with PEFC requirements and endorsed if these requirements are met. In 2003, the forest certification scheme changed its name to the Programme for the Endorsement of Forest Certification (PEFC) to recognize growth beyond Europe (PEFC 2012), and in 2004 Australia and Chile became the first non-European national members (PEFC 2014). As of today, 37 national members exist and 34 national certification systems are endorsed by the PEFC forest certification scheme. Table 1 provides an overview about the global significance of the FSC and PEFC forest certification schemes. The PEFC forest certification scheme is the largest certification scheme in terms of certified forest area (258,119,820 ha). This is mainly due to its strong presence in Canada, which has a certified forest area of 119,857,402 ha (46.4 % of total certified forest area). PEFC-certified forests are located in 28 countries and are distributed over 518 certificate holders (PEFC 2014). The FSC certification scheme has a smaller certified forest area (181,297,360 ha), but FSC-certified forests are located in 81 countries and are distributed over 1,271 certificate holders (FSC 2014). The FSC forest certification scheme has a wider market presence than the PEFC forest certification scheme. This is indicated by the number of CoC certificates and the number of countries with CoC certificates. 27,367 FSC CoC certificates exist that are located in 113 countries and 10,078 PEFC CoC certificates exist that are located in 64 countries (Table 1). Table 2 Regional indicators of the FSC and PEFC forest certification schemes) Certified forests Africa Asia Central and South America Europe (including Russia) North America Oceania Total CoC certificates Africa Asia Central and South America Europe (including Russia) North America Oceania Total

FSC ha 6,487,960 8,961,099 14,410,071 80,015,061 68,983,859 2,439,311 181,297,360 No. 168 6,912 1,368 14,190 4,244 465 27,367

% 3.58 4.94 7.95 44.13 38.05 1.35 100.00 % 0.61 25.26 5.00 51.85 15.51 1.70 100.00

PEFC ha 0.00 4,649,912 3,543,754 85,401,952 154,112,916 10,411,281 258,119,820 No. 5 791 137 8,398 485 257 10,078

% 0.00 1.80 1.37 33.10 59.71 4.03 100.00 % 0.05 7.85 1.36 83.33 4.81 2.55 100.00

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Table 3 Distribution of FSC-certified forests per biome and forest type Biome Boreal Temperate Tropical/subtropical Total

FSC-certified forests 94.56 Mio ha 66.64 Mio ha 20.10 Mio ha 181.30 Mio ha

Forest type Natural Plantation Seminatural and mixed plantation and natural forest Total

FSC-certified forests 112.84 Mio ha 16.81 Mio ha 51.65 Mio ha 181.30 Mio ha

Fig. 10 FSC-certified forests per biome (% of total certified forest area)

Fig. 11 FSC-certified forests per forest type (% of total certified forest area)

The global distribution of certified forest areas and CoC certificates shows great regional differences for both forest certification schemes (Table 2). In terms of certified forest areas, both certification schemes have a strong presence in Europe (including Russia) and North America. 92.81 % of PEFC-certified forests and 82.18 % of FSC-certified forests are located in these two regions. Comparatively small areas of PEFC-certified forests exist in Oceania (Australia), Asia (Malaysia), and Central and South America (Brazil and Chile). As of today, no PEFC-certified forests are located in the African Region. The FSC forest certification scheme has a wider presence in Central and South America, Africa, and Asia than the PEFC forest certification scheme (Table 2). For instance, 7.95 % of FSC-certified forests are located in Central and South America. The certified forest areas are distributed over 17 countries, whereat Brazil, Chile, and Uruguay account for the majority of FSC-certified forests in the region. For both forest certification schemes, the majority of CoC certificates are located in Europe (including Russia). 83.33 % of PEFC CoC certificates and 51.85 % of FSC CoC certificates are located in the region. For both certification schemes, Asia is the second most important region, which reflects the growing importance of the region in regard to trade, timber processing, and manufacturing of wooden products. 25.26 % of FSC CoC certificates and 7.85 % of PEFC CoC certificates are located in the region. North America is the third most important region. 15.51 % of FSC CoC certificates and 4.81 % of PEFC CoC certificates are located in the region.

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Statistics in regard to certified forest areas per biome and forest type are provided only by the FSC forest certification scheme (Table 3). The majority of FSC-certified forests are located in boreal and temperate biomes (89 % of certified forest areas, Fig. 10). 11 % of FSC-certified forests are located in tropical and subtropical biomes. In terms of certified forest areas per forest type, 62 % of FSC-certified forests are classified as natural forests, while 9 % of FSC-certified forests are classified as plantations (Fig. 11). Certified forest areas that contain a mix of natural forests and plantations account for 29 % of FSC-certified forests. In recent years, the FSC and PEFC forest certification schemes have started to adapt to the requirements of upcoming timber legality regulations. As of today, timber legality regulations exist in the USA (Lacey Act, May 2008), in Australia (Illegal Logging Prohibition Act, November 2012), and in Europe (European Timber Regulation, March 2013). In the following, a selection of important aspects of the adaptation processes is highlighted against the requirements of the European Timber Regulation (EUTR). The EUTR is part of the EU Forest Law Enforcement, Governance, and Trade (FLEGT) Action Plan, which was published in 2003 (EU FLEGT Facility 2014). The overall aim of the EU FLEGT Action Plan is to implement legal and monitoring requirements that prevent the import of illegal timber into the EU, improve the supply of legal timber, and increase the demand for timber from responsibly managed forests (Broekhoven and Wit 2014). Therefore, the EU FLEGT Action Plan has a bifold approach that includes demand-side and supply-side instruments (Broekhoven and Wit 2014). Due to the scope of this chapter, only the demand-side instrument, namely, the EUTR, is described in further detail. For the supply-side instrument, only so much information can be given at this point. Every timber-producing country may enter into a voluntary, bilateral trade agreement with the EU. The specific conditions are negotiated in form of Voluntary Partnership Agreements (VPAs). These VPAs include inter alia legality definitions, timber legality assurance systems (TLAS), and FLEGT licensing systems. Once, a VPA has been signed and ratified by the EU Member States, it becomes legally binding for all timber and timber products included in the scope of the respective VPA. The EUTR (EU No 995/2010) acknowledges two types of main actors, i.e., operators and traders. The term operator refers to any organization that places timber or timber products onto the EU market for the first time (Proforest 2011). These organizations or legal entities must implement a due diligence system to mitigate the risk that timber or timber products originate from illegal logging or trading activities. The basic requirements of the respective due diligence systems are described in Article 6 of the EUTR and include three main components: I. Provision of and access to information regarding timber species and the country where the timber was harvested and information on compliance with applicable forestry legislation in the country of harvest II. Implementation of a risk assessment procedure that quantifies the risk that timber or timber products originate from illegal logging or trading activities III. Implementation of a risk mitigation procedure, if the risk assessment has not resulted in negligible risk that timber and timber products originate from illegal logging or trading activities The requirements for traders are less extensive. Any organization or legal entity that does not qualify as an operator qualifies as a trader. Upon request traders must be able to provide information in regard to their suppliers of timber and timber products and, if necessary, in regard to their clients. The FSC and PEFC forest certification schemes are voluntary market mechanisms and as such are not eligible to fulfill the requirements of the EUTR. Nonetheless, both forest certification schemes may support operators in the implementation of their due diligence systems. A variety of adaptations have been realized by both forest certification schemes. One of the major adaptations is an underlying request for certificate holders to extend their cooperation among one another. Information in regard to timber species Page 16 of 18

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and country of origin has to be provided upon request (FSC), or access to this type of information has to be provided by every supplier (PEFC). The aim is to ensure that necessary information will be available throughout the entire Chain of Custody. Both forest certification schemes have included the concept of due diligence in their respective systems of certification standards. While PEFC has decided to require a due diligence system of every CoC certificate holder, FSC has decided to require a due diligence system only from CoC certificate holders that wish to produce and/or trade FSC Controlled Wood. In regard to FM certificate holders, both forest certification schemes require full compliance with all national and local laws that are applicable to forest management operations in the respective countries, where the FM certificate holders are based. As the EUTR has just recently become an integral part of the European legislation (03 March 2013), forest certification schemes and certificate holders are still in the process of adaptation to this different legal framework. Further changes in the systems of forest certification standards and requirements for certificate holders are to be expected.

References Broekhoven G, Wit M (2014) Linking FLEGT and REDD+ to improve forest governance. Available via http://www.etfrn.org/publications/linking+flegt+and+redd%2B+to+improve+forest+governance. Accessed 20 Apr 2014 CIFOR (2013) An overview of current knowledge about the impacts of forest management certification. Available via http://www.cifor.org/online-library/browse/view-publication/publi-cation/4188.html. Accessed 28 Mar 2014 EU FLEGT Facility (2014) Available via http://www.euflegt.efi.int/flegt-action-plan. Accessed 20 Apr 2014 FERN (2001) Behind the logo an environmental and social assessment of forest certification schemes. Available via http://www.fern.org/publications/reports/behind-logo-environmental-and-socialassessment-forest-certification-schemes. Accessed 28 Mar 2014 Food and Agriculture Organization of the United Nations (2010) Global forest resources assessment 2010. Available via http://www.fao.org/forestry/fra/fra2010/en/. Accessed 28 Mar 2014 FSC-STD-01-001 (1996) FSC Principles and Criteria for Forest Stewardship (Version 4-0) https://ic.fsc. org/preview.fsc-std-01-001-v4-0-fsc-principles-and-criteria-for-forest-stewardship.a-315.pdf FSC-STD-40-005 (2006) Standard for Company Evaluatiuon of FSC Controlled Wood https://ic.fsc.org/ preview.fsc-std-40-005-v2-1-en-fsc-standard-for-company-evaluation-of-fsc-controlled-wood.a-535.pdf FSC-STD-40-004 (2011) FSC Standard for Chain of Custody certification https://ic.fsc.org/preview.fscstd-40-004-v2-1-en-fsc-standard-for-chain-of-custody-certification.a-532.pdf FSC (2014) Available via https://ic.fsc.org. Accessed 28 Mar 2014 FSC Germany (2014) Available via http://www.fsc-deutschland.de. Accessed 29 Mar 2014 Global Forest Alliance (2006) Forest certification assessment guide (FCAG). Available via http://siteresources.worldbank.org/EXTFORESTS/Resources/FCAG_WB_English.pdf. Accessed 28 Mar 2014 Nussbaum R, Simula M (2004) Forest certification a review of impacts and assessment frameworks. Available via http://tfd.yale.edu/publication/forest-certification-review-impacts-and-assessment-frame works. Accessed 28 Mar 2014 PEFC ST 1001:2010 (2010) Standard Setting - Requirements http://www.pefc.org/resources/technicaldocumentation/pefc-international-standards-2010/673-standard-setting-requirements-pefc-st-10012010 PEFC (2014) Available via http://www.pefc.org. Accessed 28 Mar 2014

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Proforest (2011) EU timber regulation – preparing for the regulation. Available via http://www.pro-forest. net/objects/publications/eu-timber-regulation-briefing-note. Accessed 20 Apr 2014 Stakeholder Forum (2014) Frequently asked questions. Available via http://www.stakeholderforum. org/ sf/index.php/about-us/faqs. Accessed 29 Mar 2014 Synnott T (2005) Some notes on the early years of FSC. Available via https://ic.fsc.org/our-history.17. htm. Accessed 28 Mar 2014 World Wide Fund for Nature (2010) WWF position on forest certification. Available via http://wwf. panda.org/what_we_do/footprint/forestry/certification. Accessed 28 Mar 2014

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_244-2 # Springer-Verlag GmbH Germany 2016

Forestry Project Management Steve Sepp* and Stefan Mann ECO Consult Sepp & Busacker Partnership, Oberaula, Germany

Abstract The chapter at hand outlines basic concepts and procedural requirements of forestry project management, i.e., ODA-supported measures in pursuit of forest sector development goals. Since about the mid-1980s forestry projects underwent significant change, shifting from more strictly sectoral and technical foci towards growing recognition of international forest-related policy processes, closer alignment with national development goals and priorities, growing integration of forestry interventions into wider rural development rationales, and greater donor cooperation and harmonization. Along with these trends came growing awareness for the need to reliably monitor the progress of project implementation, and to objectively gauge the realization of a given intervention’s stated objectives. As projects are increasingly judged by the deliberate, beneficial changes they trigger (= impact), the concept of “results-based management” seeks to establish direct, causal relationships between activities undertaken by a project and the services as well as deliverables thus achieved and changes ensuing on the partners’ and/or recipients’ side. The five OECD-DAC Criteria (relevance, effectiveness, efficiency, impact, and sustainability) provide objectively verifiable benchmarks to this end. Managing for results first requires that project objectives be conceived in reference to systematic problem analyses, and that, secondly, sets of objectively verifiable indicators be devised to measure the degree to which said objectives are achieved. Once in place, objectives require further operationalization, e.g., by means of being broken down into individually achievable outcomes which, in turn, then provide the point of departure for constructing a process structure consisting of subordinate result chains for each of the outcomes identified. Actual project implementation is primarily governed by jointly conceived plans of operation, to be broken down further into annual work plans. Realizing that the achievement of a project’s objective can normally be verified only towards the end of the implementation period, intermediate benchmarks (“milestones”) must be defined so as to facilitate continuous progress monitoring. Monitoring likewise enables periodical reassessments of the project’s intervention logic in reference to emerging trends and changing framework conditions. This adds a measure of flexibility to the concept of results-based management, encouraging evidence-based adjustment and corrective action as and when required.

Keywords Forestry project specifics; Results-based management;

*Email: [email protected] Page 1 of 16

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Introduction Basics and Definition of Terms: What Are “Forestry Projects”?

The chapter at hand aims to introduce basics of “forestry project management.” This choice of terms requires some introductory definitions upfront. “Project” denotes a temporary group activity designed to produce a unique product, service, or result (PMI 2015). This definition sets projects apart from routine management or administrative tasks. Projects last for specified – usually short – periods of time, pursue sets of predetermined goals with finite resources, and may reach beyond established organizational or sectorial boundaries. Owing to these features, projects typically emerge and unfold through a sequence of distinct steps or phases, which, in their entirety, characterize project management: (i) initiation, i.e., identification of a “project idea,” (ii) planning, meaning operationalization of goals, results, allocation of resources and timing of activities, (iii) implementation, (iv) monitoring/controlling and evaluation, and (v) documentation/closing. Recognizing that achievement of one goal more often than not gives rise to novel needs and perceptions, projects frequently lead to follow-up interventions which derive their rationale and justification from preceding projects of a similar nature. In consequence, the term “project management” denotes repetitive project cycles, rather than linear developments. The latter observation holds true particular for projects which, instead of defined technological achievements (e.g., infrastructure) aim to manage complex processes. For these reasons, the sum total of management tasks pertaining to a project is commonly referred to as project cycle management (PCM). While terminology varies among different donor agencies, the underlying logic is illustrated succinctly by the following diagram (Fig. 1): In a general perspective, project management unfolds within a wide range of contexts and at various levels. Its basic tenets apply to projects and “programs” alike, the difference being that while the former refers to individual/stand-alone development interventions, the latter denotes overarching/sector-wide areas of work (often combining technical and financial assistance) with numerous individual projects as “components”. The chapter at hand solely deals with “forestry projects”, i.e., projects occurring within (or pertaining to) the forest sector. Forestry, i.e., production-oriented management of forest ecosystems with a view to obtaining multiple goods and services (as opposed to demand-driven forest exploitation), by definition is

Fig. 1 Salient components of project cycle management (PCM) (European Commission 2004)

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a continuous undertaking. What distinguishes “forestry projects” from either forest management (by forest enterprises) or forest governance (by public forest authorities) is their focus on distinct change or improvement of individual aspects – be it political and legal regulatory framework conditions, management modes and modalities, or informational decision-making aids. Forestry projects come in many shapes, depending on how they are conceived, by whom and by which means they are implemented, or where the required funds and resources originate. The chapter affords no room to fathom the breadth and depth of forestry projects in their entirety. Instead, the authors deliberately narrow their scope to ODA-supported forestry projects, meaning projects that are: • Funded by either individual donor countries or international organizations • Conceived in reference to development policy goals and priorities of both, donor and recipient countries • Implemented jointly, in cooperation between experts deployed by donor agencies and (mostly public) institutions of a partner country (or, in the case of regional projects, countries) Hence, the term “forestry project” as used in this chapter denotes measures in pursuit of forest sector development goals. This definition implies directional change of existing framework conditions and forest management modalities.

Scope and Scale, Trends of Development

Forestry projects of the type introduced in section “Basics and Definition of Terms: What Are “Forestry Projects”?” have in common that they are funded through Official Development Assistance (ODA, a generic term combining financial, technical, and personal cooperation). Getting to grips with forestry project portfolios is a challenging undertaking – not least because projects, whilst dealing with issues such as forest ecosystem health and stability, or the conditions subject to which forests are being managed and utilized, may be labeled differently, e.g., as projects aiming to conserve biodiversity, or to mitigate the release of carbon dioxide resulting from deforestation or forest degradation. Forestry projects may likewise form part of bigger, more integrative endeavors, e.g., rural development or poverty alleviation. It is nonetheless possible to approximate the aggregate amounts of ODA flowing to the forest sector over time, and likewise to gauge their significance relative to total ODA allocations. By and large, ODA allocations to the forest sector within the period 2000–2006 stood at USD 500 million annually – equivalent to slightly less than 1 % of total ODA allocations. Interestingly, the share of forest sector allocations relative to total ODA has decreased during the same reference period, the reason being that while forest sector allocations remained stable, total ODA increased significantly. Statistics released by the OECD Development Assistance Committee (DAC) likewise provide insights about the chief contributors, the principal recipients, and those fields of activity that absorb the bulk of forest sector ODA. Accordingly, key contributors are (in descending order) Japan, The Netherlands, Germany, USA, and the European Union, while low-income countries benefited most from aid to the forest sector. Forestry development (including large-scale afforestation/reforestation and the promotion of sustainable forest management) absorbed about two-thirds of the total ODA and forest governance (policy support, administration etc.) another third. By comparison, allocations to research/education and wood-based energy development were marginal (OECD-DAC 2008). Forestry projects are themselves subject to directional change over time – in many respects. Among the many trends observable, but a few shall be singled out:

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• Goals as well as the overall intervention logic of forestry projects increasingly reflect international policy processes, tied to multilateral environmental agreements (primarily the “Rio Conventions” – United Nations Convention on Biological Diversity – UNCBD, United Nations Convention to Combat Desertification – UNCCD, and United Nations Framework Convention on Climate Change – UNFCCC). In a similar fashion, multilateral policy processes addressing illegal use of (or trade in) natural resources increasingly set the stage on which forestry projects unfold. • Also, in a national perspective, overarching policy processes increasingly take precedence over issues that are more directly related to forest management and the operation of forest enterprises. Decentralization and devolution processes, readjustment of land tenure rights, increased participation by rural stakeholders in public decision-making, and economic transition processes all provide cases in point. Again, forestry projects tend to get more “politicized” in that they increasingly recognize the significance of enabling framework conditions (policy, laws, institutional set-up, socioeconomic ramifications etc.) for the intended promotion of sustainable forest management (SFM). • In a similar sense, the forest sector’s potential to perform a pacemaker function in sustainable/ integrated rural development is increasingly understood. Consequently, what used to be “forestry projects” now reach across sector boundaries, with forest-specific interventions as components in wider contexts of cooperation. • The observed tendency to focus more on framework conditions, and less on technicalities of forest management further means that projects gradually grow shorter. For example, size and duration of forestry projects supported by Germany had started to decline already during the 1990s (Sheperd 1998). Similarly, an evaluation of support provided under the European Union’s relevant budget lines found that by the end of 2004, projects on average lasted for a mere 36 months – in spite of the fact that natural resource management in general would require significantly longer commitments (Evaluation for the European Commission 2004). Even when ignoring the contextual specifics of the forest sector, evaluation results suggest that in terms of ODA performance, “project size” (meaning financial commitment and, by extension, duration) and positive performance are closely related (JICA n.d.). As regards ODA in a more general perspective, modes of delivery have, in the more recent past, been scrutinized and increasingly challenged. Criticism includes (i) concerns about “ownership” (i.e., the partners’ positive identification with project goals and means of cooperation, with the concomitant risk of weak sustainability, (ii) duplication of efforts among various donors, and (iii) establishment of isolated parallel structures that jeopardize local capacity and accountability. Responding to such criticisms, new modes of delivery emerged including, inter alia, sector-wide approaches and programs, basket funding whereby different donor agencies pool their resources, and budgetary aid. Trends of this kind do invalidate neither individual projects nor project management concepts. Projects remain the ODA delivery framework of choice in a wide variety of contexts, including (i) decentralized cooperation with nonpublic entities, (ii) emergency aid and postcrisis interventions, (iii) technical assistance projects or “pilot” projects to build capacity, (iv) regional environmental projects or international public goods, (v) investment projects with high transaction cost for governments, or (vi) when conditions within a country or sector do not yet allow other approaches to be used (European Commission 2004).

Forestry Project Management In the following sections, individual project steps and stages – introduced already in section “Basics and Definition of Terms: What Are “Forestry Projects”?” – shall be further scrutinized and discussed. Many if not most of the aspects presented apply to the management of ODA projects in general. However, it seems Page 4 of 16

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necessary to first cast some light on the specifics of forestry – insofar as those reflect on the conditions of forestry projects.

Background of Forestry Project Management Forests may be regarded as key resources for their potential to supply a wide range of goods and services simultaneously in time and space. This holds true especially for several tropical countries, whose populations are directly and highly dependent on forests for their subsistence and livelihoods. A large proportion of forest use occurs in an informal and noncommercial fashion, which fact all too often obscures the forest resources’ socioeconomic significance. Widespread reliance on wood-based energy provides a case in point: Wood-energy absorbs about 90 % of wood harvested in African countries, and the lion’s share of it is used for cooking and heating purposes at the household level (FAO 2009). Many tropical countries share a long history of near-exclusive state control over forest resources, dating back to their colonial past and/or the period of decolonization. On the other hand, capacities for forest management and forest governance are weak, a fact which goes a long way in explaining widespread threats of forest degradation and deforestation. Responding to their forest sectors’ structural deficits, numerous tropical countries have initiated forest sector reforms – often tied to overarching economic and societal transformation processes. Typical examples include increased involvement of smallholders and rural communities in forest management, governance reforms that aim to replace state control with support services and incentives for SFM, valorization of hitherto untapped income generating potentials (e.g., forest carbon management), and measures to reign in the destruction of forests due to land use change/conversion or nonregulated access and use. Forests – especially in tropical countries – have increasingly come under global scrutiny, because their destruction contributes to the loss of biodiversity, desertification, and the release of greenhouse gases. Major multilateral agreements such as UNCBD, UNCCD, and UNFCCC in their respective programs of work highlight protection and sustainable management of forests. So does the nonlegally binding instrument on all types of forests (NLBI), developed and adopted under the auspices of the United Nations Forum on Forests (UNFF). Processes aiming to curb illegal logging and trade in forest products (FLEG) point in a similar direction. In consequence, international policy agendas, agreements, strategies and programs increasingly determine the allocation of ODA to the forest sector.

Managing for Results Widespread criticism of ODA effectiveness during the 1990s prompted the introduction of a project management philosophy, which focuses on intended change, as opposed to mere implementation of planned activities or mobilization of resources. Results-based management (RbM) means change management, based on a clear understanding of cause/effect relations (UN 2010). This requires constant observation and adjustment of project performance against predetermined benchmarks, derived from hypotheses about the causal relation between activities, results, and the eventual realization of intended impacts. Gauging “aid effectiveness” presupposes sets of clear and verifiable criteria. The OECD-DAC provides five criteria, which govern the real-life allocation of ODA OED (2015): • Relevance: the extent to which a project reflects the needs and expectations of beneficiaries, intermediaries, and donors • Effectiveness: the extent to which predetermined objectives are actually achieved • Efficiency: a measure of outputs in relation to inputs (resources) • Impact: the entirety of changes resulting from a project – direct and indirect, intended as well as unintended Page 5 of 16

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Table 1 Example of project goal and OVIs Goal Indicators

Decision makers and forestry professionals avail of needs-based and contextually adapted instruments for the practical application of sustainable forest management 1. Applied research serves to close information gaps regarding light- and nutrient requirements of principal tree species 2. Concepts, planning procedures and decision-making tools for close-to-nature, multi-purpose forest management are operationalized for practical application through practical demonstration, testing and replication 3. A capacity development strategy, based on lessons learnt and best-practices from applied research and practical demonstrations, is devised and implemented 4. Evidence-based policy dialogue serves to facilitate the creation of enabling regulatory and administrative framework conditions for sustainable forest management

• Sustainability: the extent to which change brought about a project lasts beyond the project’s expiry and the withdrawal of donor support. The foregoing set of criteria directly relates to and reflects the essence of RbM. Even though designed as evaluation benchmarks, the OECD-DAC criteria (Relevance, Effectiveness, Impact, Efficiency, Sustainability) prove useful right from the very start of the project cycle, i.e., project identification. In its essence, RbM requires forestry projects (or any other projects, for that matter) to be based on and apply what is commonly called “result chains” or “impact chains”. First, project goals need to be conceived in reference to both, identified key problems, and shared development priorities of donors and partner countries. Second, they need to describe, in a measurable/ verifiable fashion, the intended change (qualitative as well as quantitative) wherefrom the project derives its justification (Table 1). The OVIs shown in the foregoing table merely serve as an illustrative, generic example. Real-life project management would necessitate determining, for each OVI, easily measureable baseline values and performance benchmarks. Project steering requires that (i) OVIs reflect the project approach’s underlying impact hypothesis and that (ii) performance benchmarks must be measurable well ahead of a project’s expiry (so as to enable evidence-based, flexible readjustments, as and when required). Third, RbM does not stop short at the timely provision of inputs (resources) or execution of planned activities. What matters is process facilitation and follow-up on how project “results” (i.e., services and deliverables) are absorbed and utilized by partner stakeholders at various levels, creating direct benefits and contributing to the eventual realization of project goals. Fourth, the inherent performance-orientation of RbM presupposes continuous benchmarking of project performance against objectively verifiable indicators (OVI), and flexible adaptation in reference to changing framework conditions and risks. Fifth, in order to realize their intended function, OVIs need to relate closely to the underlying hypotheses regarding cause & effect relations between the various links of any given results-chain (The World Bank Group 2007). While it seems fair to portray RbM as a mainstream concept and principle of development cooperation, different donors’ specific procedural frameworks vary. The chapter at hand does not afford room for a deepened, comparative analysis of donor frameworks and procedures. Nonetheless, one may safely conclude that introduction of the OECD-DAC criteria, along with the widespread adoption of RbM principles and concepts went a long way in streamlining development cooperation practice and promoting interaction and coherence between various donor agencies. Pursuant to the underlying rationale of RbM, a project’s responsibility for the achievement of stated project goals extends beyond any given project’s immediate control (mobilization of inputs, implementation of activities, and realization of results). Utilization of project results by partner stakeholders Page 6 of 16

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represents a key-transmission belt for turning results into direct benefits up to the realization of intended change. This observation vividly underscores the significance of capacity development for the benefit of partner agencies and further stakeholders. Hence, capacity development attains heightened significance as a cross-cutting task, irrespective of any given project’s sectoral attachment or intervention logic. In response, German development cooperation as represented by the German Agency for International Development (GIZ) adopted a specific management model (Capacity Works), geared towards management of complex projects/programs (GIZ 2015). Facilitating stakeholder interaction (above and beyond identified partner agencies in the literal sense) and promoting flexible, adaptive and performance-based project management are at center-stage (GIZ n.d.). Human capacity development (HCD) represents the principal transmission-belt in this regard. Present-day notions of RbM add on, but do neither replace nor invalidate established procedures of Project Cycle Management (PCM), according to which projects resemble mutually reflexive “learning loops”. Such loops typically consist of a sequence of information collection, hypotheses formation, planning and preparation of interventions, implementation of interventions, and monitoring and evaluation. The Capacity Works management model employed by the German Agency for International Cooperation (GIZ) identifies five success factors common to all types of projects: (i) strategy – meaning a project’s strategic orientation, i.e., what is to be achieved, (ii) cooperation – a clear understanding of the stakeholder landscape along with the respective roles and types of involvement, (iii) steering structure – provisions for ensuring effective as well as efficient project implementation, (iv) processes – the ways and means whereby a project provides its services and achieves its objectives, and (v) learning and innovation – arrangements geared towards fostering institutional memories and ensuring the sustainability of development interventions beyond the withdrawal of donor support (GIZ 2011).

Project Planning

Project planning denotes a process that invariably departs from the perception of a “need for change”, i.e., problems or deficits. Hence, problem analysis marks the point of departure of any project planning exercise, establishing (i) the nature and underlying causes/drivers of problems, along with their ecological and socio-economic consequences, (ii) the segments of society affected by the problems identified, and (iii) that the observed problems or deficits cannot be rectified with a partner country’s own capacity and resources (Fig. 2).

effects

loss of forest cover

forests revert from CO2 sink to net source

underlying causes

lowered resilience to climate change

Rates and practices of forest use are nonsustainable

core problem

causes

heightened management risk

loss of forest quality & value

absence of adequate resource monitoring, planning and decision-making tools

socio-economic constraints compel forest users to prioritise short-term exploitation

rural poverty

lack of managementrelated knowledge and skills

absence of tenure security

Fig. 2 Problem-analysis – establishing causal relationships of perceived problems

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Recognizing that forestry, like few other sectors, is instrumental in providing environmental safety, socio-economic well-being and sustainable development, problem analyses preceding the planning of forestry projects cannot retain a strictly sectoral perspective. The ways and means whereby forest resources are managed and utilized in large measure depend on overarching political, legal-regulatory and institutional framework conditions as well as those in related sectors (e.g., agriculture, energy). Such factors must hence form part of any problem analysis aiming to lay the groundwork for a meaningful project concept. The challenge lies in striking the right balance between a too narrowly focused problem analysis (risking to mistake symptoms for causes), and a too broad and all-inclusive that fails to identify entry-points for the formulation of project goals and descends into arbitrariness. For this reason, various donor agencies have adopted tools and instruments framed around sets of guiding questions (e.g., GIZ: Methodological Guidelines for Feasibility Studies of Technical Cooperation Measures on behalf of BMZ (GIZ 2014a)) (Table 2). In summary, project planning departs from the gathering of information – with problem analyses at its core, and the collection of supplementary data and information to add context and perspective. In most cases, this exercise – however open and flexible – will apply a sectoral focus. Project planning hardly ever starts from a blank slate – both, partner countries (public agencies as well as civil society) and donor agencies pursue overarching development visions, strategies, and priorities. Table 2 Guiding questions for the analysis of problems and the existing situation of the partner system Analysis of the present situation Guiding questions

(A) Societal patterns and trends A.1 Which trends pertain to society, technology, economy, state? A.2 Which groups either champion or oppose societal change? A.3 Which sectoral policy incentives are already in place? A.4 Are there already initiatives for change within the partner system? A.5 Which rules – formal as well as informal – govern the partner system? A.6 Which peculiarities does the partner country display? (structural, demographic, historical – e.g. in reference to decentralization/ centralization dynamics, civil society participation etc.)

(B) Relevant processes within the partner system B.1 Which processes are the most relevant, and how are they conducted? B.2 How do coreprocesses (service provision, cooperation, learning) relate to steering and support processes? What are their respective strengths and weaknesses? B.3 What significance do education and extension for the overall performance of the partner system hold? B.4 Which processes should the project invest in, so as to enhance its leverage?

(C) Relevant stakeholders within the partner system C.1 Which stakeholders (representing state, civil society, private sector – incl. decision makers and administrators) are most relevant to the partner system? C.2 What roles, mandates and interests do these stakeholders have? How do they act? What synergies do their actions offer? C.3 What conflicts do exist between the stakeholders identified? How might differences in power be addressed, so as to facilitate cooperation? C.4 How may the stakeholders’ respective strengths and weaknesses be characterized? What potentials do they display to support the intended path of development?

(D) SWOT analysis of the partner system D.1 What is the potential for consensus – societal as well as political – on the future development of the sector in question? D.2 What course of development seems most likely, considering the views entertained by the majority of stakeholders? D.3 Which motions for change might the project harness? D.4 What weaknesses does the project endeavor to overcome? D.5 Are there related processes that might prove conducive to the intended change? D.6 What are the risks jeopardizing the intended change? D.7 How do the SWOT identified relate to the intended capacity development?

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Such aspects provide guardrails for the design of intervention logics and formulation of goals, ensuring high relevance of planned interventions. Key references in this regard may include, inter alia, bilateral development policy commitments as well as priorities and obligations arising from a partner country’s involvement in multilateral policy processes and initiatives, specifically – with regard to forestry – various multilateral environmental agreements (MEA, such as the United Nations Convention on Biodiversity – UNCBD, the United Nations Convention to combat Desertification – UNCCD, and the United Nations Framework Convention on Climate Change – UNFCCC). In the more recent past, the United Nations Program on Reduced Emissions from Deforestation and Forest Degradation (UN-REDD) has shaped a conceptual framework for rewarding tropical countries for forest protection, sustainable forest management and the targeted increase of forest carbon stocks. Further, forest-related processes and initiatives include, inter alia, regional processes to curb illegal logging and trade in illegally sourced forest products (Forest Governance and Law Enforcement – FLEG), various certification schemes aiming to ascertain sustainable forest management, or initiatives to valorize and compensate forests’ ecological services (PES). While the procedures of different donor agencies may vary to a considerable extent, basic sequential stages, conforming to the logic of RbM, are nonetheless comparable. Following the stages, problem analysis and the assessment of framework conditions, the next stage is marked by the formulation of goals and the design of an intervention logic surrounding them. RbM is based on the notion of “impact”, denoting the sum total of effects triggered by a development intervention (a.k.a. “a project”). As such, impact is a neutral term, denoting positive as well as negative, direct or indirect, intended or incidental effects. Project planning involves identification of positive and intended change that is to be brought about through development action. Change of this kind may materialize on several levels of aggregation. While the use of terms (outputs, outcomes, goals, impacts) may vary among donor agencies, the basic common denominator is that (i) development interventions provide services and deliverables for (ii) use by stakeholders on the partner side which, in turn, will lead to (iii) the realization of directly intended changes (organizational patterns, capacity levels, modified procedures, protocols, and instruments etc.), and, eventually, (iv) medium to long-term, aggregate change (i.e., high-order economic, social, technological, or environmental change tied to the achievement of the Millennium Development Goals, MDGs). Formulating goals and designing an intervention logic represents the center-piece of project planning. Arguably, the most obvious way of determining a project goal is to turn around and reformulate the identified key problem(s) in a positive manner, pinpointing – in quantitative as well as qualitative terms – the kind of deliberate, positive change that is to be brought about by a development intervention. Because RbM, in essence, is a performance-oriented concept, objectively verifiable indicators (OVI) are key components of project planning, underpinning the formulation of a project goal. Once determined, key processes leading to the realization of the project goal can be defined. Their design must be based on the hypotheses resulting from the initial problem analysis and wider fact-finding exercise. This is where result chains come into the picture (Table 3). What a result chain reflects is a set of assumptions about how “inputs” (human, financial, technological, and other resources at a project’s disposal) are used to produce “outputs” (services and deliverables provided by a project for use by a variety of stakeholders on the partner side). Utilization of outputs, e.g., using niche modeling studies on how climate change may affect the distribution, health/vitality and resilience of major tree species to rewrite silvicultural strategies and guidelines, in turn leads to changes (e.g., risk management procedures and prescribed safeguards against forest fires or pests) within a partner country’s forest governance system. Such changes, once realized, are commonly referred to as outcomes, reflecting – in their totality – the achievement of a project’s goal(s) (Table 4). Project planning does not stop short at conceiving an intervention logic – typically in the sense of a logical framework matrix. Preceding the launch of a project, most donor agencies prescribe detailed Page 9 of 16

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Table 3 The concept of result chains RbM level Impact

Outcome

Use of outputs

Outputs

Activities

Inputs

Characteristics Long-term, overarching change processes corresponding to national/bilateral/multilateral development policy processes and priorities (e.g., achievement of MDGs) Short- to medium term, positive/intended change directly attributable to the realization of a development intervention (= project goal) Self-reliant utilization of services and deliverables provided by a development intervention on the partner side, resulting in deliberate/directional adaption of framework conditions, capacity levels, procedures and instruments, operational routines etc. Products (services and deliverables – e.g., capacity development, advisory support, knowledge transfer, organizational development, procurement and funding support etc.) of a development intervention (= project results), subject to a project’s direct control Actions taken by a development intervention in reference to operational planning, leading to the realization of outputs Resources jointly mobilized by a donor agency and partner organizations (public bodies on different governance levels, civil society, private sector etc.) – e.g., funds, facilities, equipment/supplies, staff, technical expertise

Verification Reflection on plausibility of change brought about by development interventions, based on impacthypotheses Quantitative/qualitative verification by means of OVI (causal relation) Continuous observation (monitoring) by means of intermediate OVIs (“milestones”)

Verification of project progress against operational planning, continuous observation (monitoring)

procedures and protocols for feasibility studies, typically carried out by mixed teams of international and national consultants. Feasibility studies serve to benchmark preliminary project concepts or ideas against, inter alia, development policy goals and priorities of a given donor agency and partner country government (drawing on, for instance, the OECD-DAC criteria), elucidate stakeholder landscapes and identify ongoing as well as planned interventions by other donors (with a view to promoting donor coordination, avoiding duplication of efforts, and fostering synergies), and design a project concept (including intervention logic, steering structure, implementation schedules/duration, and quantitative frameworks for human and other resources required). Feasibility study missions typically conclude with multistakeholder planning workshops and the signing of “Agreed Minutes” which document the outcome and the extent of agreements reached for subsequent decision-making. Bilateral development interventions, i.e., individual projects or programs, are typically based on formal agreements of the participating governments, authorizing the release of the respective resources (including partner contributions). Once fixed by means of a formal implementation agreement detailing mutual contributions, the stage is set for the deployment of personnel and project implementation. The implementation agreement likewise identifies relevant structures on the partner side, notably the Executing Agency (which assumes overall responsibility for the project’s implementation and the release of partner contributions) and the Implementing Agency (or counterpart structure, tasked with project implementation in cooperation with the project team).

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Activities

Output

Use of Output

Utilization beyond involved intermediaries



Verbreitung des GM-Konzeptes "ländliche Energieproduktion"

1.1 Capacity development and training regarding efficient wood-fuel production 1.2 certification of service providers 1.3 provision of demandbased concepts and approaches 1.4 quality-assurance

1. Intermediaries dealing with wood-energy production are capacitated and supported

Intermediaries provide wood-energy related services competently and in a demand-oriented fashion

Households produce wood-based energy in a sustainable fashion



24 trained intermediaries conclude formal cooperation agreements

250 local user-groups established and trained

1. rural households establish 20.000 ha legally secure plantation forests 2. Wildfires decreases by 40% (of total no.)

Indicators

Indicators 

Training provided to 5 service providers on improved kiln technology and 250 user-groups on sustainable and efficient forest use

2. User groups and service providers are supported with a view to increasing the efficiency of wood-fuel value chains

2.1. Capacity development and knowledge transfer regarding utilization and processing of wood 2.2. introduction of improved kiln technology 2.3. training on production, processing and marketing (marchés ruraux)

1250 charcoal burners trained on improved kilntechnology

Revenues accruing to rural wood-energy producers grow by 20 %

Intermediaries provide advisory support to local user-groups

local user-groups in the Diego region produce and market processed goods more efficiently

Rural and urban populations on Madagascar's western coast benefit from modern & sustainable energy services

3.1. training of cook-stove producers 3.2. marketing support 3.3. awarenessbuilding/sensitization on energy efficiency

3. Producers receive training on improved cook-stoves

50 additional small-scale producers are qualified

38.000 improved cookstoves are supplied to urban markets

small-scale producers of cook-stoves supply urban markets



30% of urban households utilize improved cookstoves

Indicators Urban households increasingly utilize improved cook-stoves

Indicators: 1. 9.000 rural households increase their income by 30 % annually; 2. Plantation forests account for 20 % of urban households' energy demand 3. Urban consumption hotspots save 10% woodfuel

Modernisierung der urbanen Energienutzung

Benefit

Verbesserung der Wertschöpfungskette "ländliche Energieproduktion"

4.1.Elaboration of a differential taxation system 4.2 Training and support of communities 4.3 forest governance support 4.3 elaboration of service regulations

1. 30 communities apply differentiated taxation; 2. number of trained forest-service professionals; 3. Number of consumption centers with road-checkpoints

1. 60 % of forest revenues levied correctly; 2. Collection of fines for illegal logging grows by 80% Communes, assisted by forest authorities, restrict illegal logging

4. Creation of enabling policy and regulatory framework conditions is supported

Market prices for woodbased fuels increase by up to 20% Forest products are appropriately priced

Indicators

Improved access to sustainable, affordable and clean woodfuel energy for all households, institutions and private sector by 2025, based on sustainably managed forest resources and alternative fuels and thus contributing to the growth of regional/local economy and the improvement of the living standards.

Einführung ordnungspolitischer Maßnahmen

Direct Benefit of the BEST (Vision)

Table 4 Example of an intervention logic (process-structure)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_244-2 # Springer-Verlag GmbH Germany 2016

Project Implementation Project implementation departs from the establishment of project facilities (e.g., project office, logistical as well as communication infrastructure, staffing, establishing of communication channels and networking arrangements, and accounting). Putting the project concept into effect requires operational planning, conducted jointly by the project team, partner representatives and further stakeholders, as required. Operational planning adds detail to the agreed project concept by breaking down activities into individual tasks. These are then brought into a sequential order and underpinned with work schedules. Operational planning further details the allocation of resources – human and otherwise – to tasks, identifies lead actors and contributors for each, and assigns respective responsibilities. Operational planning thereby produces a chief means for project monitoring, i.e., the continuous observation and benchmarking of project progress against milestones and indicators. It may be further backed up with annual work plans, adding yet another layer to the project’s planning system (Table 5). Project implementation is guided by any project’s steering structure, typically framed around a project office and its cooperation with counterpart agencies, intermediaries, and target groups on the partner side. While most aspects of project implementation are spelled out in operational planning documents and annual work plans, interpersonal relations and constant communication, nonetheless, are key success factors. Present-day forestry projects, as shown in section “Scope and Scale, Trends of Development,” are rapidly moving from predominantly technical/silvicultural subjects towards more complex, governancerelated topics. They are also growing shorter in duration, requiring implementation and achievement of purpose with less room for error. This poses two principal challenges: First, the need to constantly monitor the progress of implementation – not merely in terms of quantitative target-performance-comparisons regarding the provision of inputs, execution of activities, or even realization of outputs per se but, more specifically, with regard to the progressive approximation of a project’s goal (outcome). Second, the need to flexibly adapt and reorient a project’s intervention logic in reference to changing framework conditions with a bearing on the project’s goal. Wherever the implementation of tasks and work schedules is bound to draw on external human resources (e.g., short-term expertise for advisory missions, studies, capacity development measures and the like), contracting needs to be based on clearly spelled out task descriptions (Terms of Reference) with objectively verifiable performance benchmarks. Project steering in large measure depends on monitoring. Its principal sources are laid down in the project’s intervention logic, specifically objectively verifiable indicators. OVIs measuring the realization of a project’s goal (= outcome) are hard to observe and verify during early stages of project implementation. Hence, monitoring requires sets of intermediate indicators/milestones linked to OVIs by means of cause–effect hypotheses. Release of inputs, execution of activities, and realization of results (= outputs) are comparatively easy to observe and verify, simply by matching actual implementation against target values and schedules of the operational plan and the derived annual work plans. Observation of the uptake/use of outputs on the partner side as well as the realization of intended changes are more challenging and require the use of more elaborate tools, depending on any given project’s concept and focus of intervention. There is no blueprint approach, and designing tailored monitoring systems fall to each project as an internal management responsibility. Examples may include GIS-based databases (with a view to keeping track of forest resources’ spatial extent, health, stability, increment and growing stock, incidence of pest and diseases etc.), socioeconomic assessments of the livelihoods of forest dependent populations, observation, and assessment of legal regulatory changes or interviews or questionnaires aimed at elucidating behavioral changes on the level of target groups or intermediaries. Page 12 of 16

Year 2

upon initiation of project, jointly by intl. and natl. consultant

Remarks

Identify recommendations for action, and conduct peer-review with relevant stakeholders for the purpose of operationalization / prioritization

Provide conceptual advice and process facilitation for the adjustment of governance instruments and procedures on a pilot-scale

Document results for use in dissemination and capacity development measures

3

4

5

Conduct analysis to answer guiding questions pursuant to Terms of Reference

Identify recommendations for action and conduct peer-review with relevant forest authorities on county and provincial levels

Conduct process facilitation for the application and dissemination of agreed recommendations for action

2

3

4

Conduct capacity-needs analysis, identify priority topics and design planned measures

Plan, organize, conduct and document workshops

Plan, organize, conduct and document study tours

Prepare systematic assessment / documentation of results and reporting

1

2

3

4

Prozess 4: Capacity Development

Select reference regions / examples for the assessment and comparison of Best Practices / lessons learnt

1

Prozess 3: Concept Development and Dissemination

Identify reference regions for a comparative analysis with a view to identifying best practices

2

Prozess 2: Regional Development Planning

Conduct analysis to answer guiding questions pursuant to Terms of Reference

1

by natl. consultant, in cooperation with intl. consultant

before general summer vacation season

as part of 2nd and 3rd short-term mission (ToC) and PAG annual meeting

as part of 1st short-term mission

by natl. consultant, in cooperation with intl. consultant

as part of 2nd short-term mission

as part of 2nd short-term mission

linked to annual Board meeting, as part of 2nd short-term mission

as part of 1st short-term mission

by natl. consultant, in cooperation with intl. consultant

upon initiation of project

1

2015

Process facilitation

4

6

3

5

2

2014

proposal by consultants, pending approval by Board

1

Design an M&E system meeting the partners' expectations, collect and assess data and information, and synchronize project reporting

4

Conduct annual Board meetings, compile document agreed results

3

4

2

2013

Schedule annual Board meetings and clarify / determine logistical preparations

1

Idenitify Board-members and determine their availability

4

3

2012

2

Quarters

Clarify, and operationalize structure and working modalities of the Project Advisory Board jointly with partners

Activities

1

Process 1: Coordination

Table 5 Example of an operational/work plan

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_244-2 # Springer-Verlag GmbH Germany 2016

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_244-2 # Springer-Verlag GmbH Germany 2016

PROCESS STEPS

EXPLANATIONS What needs to be done?

1

2

3

4 FUNCTIONING THE RBM SYSTEM

USING RBM RESULTS TO REVIEW AND IF NECESSARY ADJUST THE MEASURE

DESIGNING THE RBM SYSTEM

*In BMZ measures, the results model is devised in the preparation phase, transferred to a results matrix and attached to the offer to BMZ.

5 6

Devise / examine / adjust the result model *

Clarify the requirements to be met by the RBM system

To be mapped in the results model: • Intended results and objective • Sphere of responsibility / system boundary • Instruments and key activities • Identify and involve stakeholders in strategic and steering decisions • Clarify stakeholders’ interests, expectations and need for information • Examine the partner’s system for possible synergies and if necessary adjust RBM accordingly • Bear in mind the human and financial resources required for RBM

Make results measurable

Detailed monitoring planning and devise RBM form

Collect and analyse data

Use RBM results

• Formulate results hypotheses, assumptions and risks • Formulate objective indicators and results indicators • Bear in mind specific results areas (cross-cutting theme / BMZ and DAC markers) and formulate indicators if necessary Transfer the results of steps 1 to 3 to an RBM form (e.g. Excel- or web-based) and add detailed monitoring information • Intended results and objective • If appropriate, activities • Indicators (on objectives and results level as well as indicators for specific results areas / BMZ and DAC markers) • Results hypotheses, assumptions and risks • Responsibilities for monitoring activities • Time schedule for RBM / data collection • Data collection methods Collect the following information for all indicators and / or record in the RBM form: • Baseline data / target value / milestones • Results of data collection • Data analysis and assessment Use RBM results for: • Steering: Strategic, management and budget decisions Embedding RBM in the partner’s decision-making mechanisms • Accountability / substantiating results / reporting: Evaluation (e.g. PPR, e-VAL) Progress report and final report • Knowledge management / learning: Documenting the RBM results Communicating and conveying information

Fig. 3 Principles of results-based monitoring – set up of the monitoring system (GIZ 2013)

Monitoring further includes observation of assumptions and risks specified within a project’s intervention logic. Assumptions and risks reflect key factors outside the project’s direct control with the potential to affect a project’s performance. Monitoring of assumptions and risks directly informs risk management strategies and measures applied during project implementation (European Commission 2004). Whatever shape and form a monitoring system eventually takes, its application must be adequately reflected and underpinned with resource-allocations in the project’s work-schedule. Depending on a project’s spatial outreach, monitoring routines may involve visits to outlying project areas (Fig. 3). Another core part of project implementation, linked closely to monitoring, is progress reporting and documentation. Donor agencies normally prescribe detailed reporting schedules and formats, consisting of quarterly, biannual and annual progress reports, as required. Documentation of project implementation further includes a wide range of records, from expert mission reports and workshop documentation to various kinds of written expertise, training materials, presentations, and visual records (photographs, video recordings etc.). Documentation of this kind lays the groundwork for building a knowledge base used for information and knowledge management (IKM). IKM ensures that innovation, best practices, and lessons learnt from project implementation are disseminated and mainstreamed into the partners’ governance structures and operational routines – thereby promoting the sustainability of development interventions.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_244-2 # Springer-Verlag GmbH Germany 2016

Table 6 Standard table of contents for project evaluation (PEV) reports (GIZ (2014b): annotated PEV reporting structure) 1. Overview and assessment of the project concept 2. Review of data-sources, data quality and the evaluation methods employed 3. Assessment of the project’s development-political effectiveness (OECD-DAC criteria) 3.1. Summary assessment 3.2. Rating of relevance 3.3. Rating of effectiveness 3.4. Rating of overarching development-political effects (impact) 3.5. Rating of efficiency 3.6. Rating of sustainability 3.7. Overall rating 4. Analysis of cooperation management (capacity works success factors) 4.1. Lessons learnt 4.2. Recommendations regarding the remainder of the implementation period, or the design of a follow-up measure, as appropriate 5. Synopsis rating and evidence-based recommendations Attachments 1. ToR for the evaluation team 2. Sequence and schedule of the PEV 3. Updated results-model 4. Minutes of Meeting 5. miscellaneous annexes, as required

Project Evaluation Evaluations differ from monitoring in several noteworthy respects. First, evaluations are not continuous processes, but occur at specific points in time, either as ex post evaluations upon a project’s completion or as “formative” evaluations during implementation (e.g., midterm evaluations, required to redirect a project in the face of changing circumstances, or to verify realization of a predetermined break off point in reference to assumptions and risks). Second, evaluations are external in that they are conducted not by the project team itself, but rather by specially appointed teams of experts. Third, while monitoring is focused primarily on the progress of implementation as it unfolds, evaluations are geared specifically towards measuring the realization of goals (= outcome) and assessing projects against the OECD-DAC criteria (European Commission 2004). Evaluations occur at different levels – projects, programs, and donor country programs. These levels are interlocking, enabling evidence-based decisions on the course of development policy beyond the scale of individual interventions. Ex post project evaluations, while marking the end of a project cycle, at the same time provide the point of departure for follow-up planning, thus establishing a continuous learning cycle. Similar to project planning, project evaluations are governed by various donor-agencies’ specific procedural requirements, guidelines, and formats. Therefore, no generalizations or blueprint solutions seem feasible. Even though, a number of common characteristics may be outlined: • Evaluations typically apply a mix of methods, ranging from document analyses to on-site inspections, stakeholder interviews, round table discussions, and workshops • Evaluations scrutinize a project’s performance against its indicators and analyze in depth the project’s context and organizational environment

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• Evaluations prioritize joint learning and consensually conceived recommendations over external control or coercion • Evaluations by definition are participatory exercises, giving equal weight and recognition to all relevant stakeholders’ views and contributions (Table 6).

References European Commission (2004) Aid delivery methods – project cycle management guidelines, vol 1. DG Development/EuropeAid, Brussels Evaluation for the European Commission (2004) Evaluation of the environment and forests regulations 2493/2000 and 2494/2000 synthesis report, vol 1, main report. http://ec.europa.eu/europeaid/how/ evaluation/evaluation_reports/reports/sector/951660_vol1_en.pdf. Accessed 24 Apr 2015 FAO (2009) State of the world’s forests. FAO, Rome GIZ (2011) Capacity works – the management model for sustainable development. Updated manual, Eschborn GIZ (2013) Guidelines on designing and using a results-based monitoring sytem (RbM system) GIZ (2014a) Methodological guidelines for feasibility studies of technical cooperation measures on behalf of BMZ GIZ (2014b) Annotated PEV reporting structure GIZ (2015) Cooperation management for practitioners, managing social change with capacity works, Springer Gabler, Wiesbaden. ISBN 978-3-658-06275-0 ISBN 978-3-658-06276-7 (eBook) GIZ (n.d.) Capacity works. https://www.giz.de/expertise/html/4619.html. Accessed 24 Apr 2015 JICA (n.d.) Efforts to improve the rating system. http://www.jica.go.jp/english/our_work/evaluation/ oda_loan/post/2006/pdf/other05.pdf. Accessed 24 Apr 2015 OECD-DAC (2008) http://www.oecd.org/dac/stats/41699327.pdf. Accessed 24 Apr 2015 OED (2015) Organisation for economic co-operation and development. http://www.oecd.org/dac/evalu ation/daccriteriaforevaluatingdevelopmentassistance.htm. Accessed 24 Apr 2015 Project Management Institute (2015) What is a project management? http://www.pmi.org/About-Us/ About-Us-What-is-Project-Management.aspx. Accessed 24 Apr 2015 Sheperd G (1998) Germany. The EU tropical forestry sourcebook. Overseas Development Institute/ European Commission, London. http://www.odi.org.uk/sites/odi.org.uk/files/odi-assets/publicationsopinion-files/5017.pdf. Accessed 24 Apr 2015 The World Bank Group (2007) Module 2: results chain. http://siteresources.worldbank.org/ INTUKRAINE/Resources/328335-1212401346836/Module2ResultsChainEng.pdf. Accessed 24 Apr 2015 UN (2010) Results-based management handbook. Strengthening RBM harmonization for improved development results. http://www.un.cv/files/UNDG%20RBM%20Handbook.pdf. Accessed 24 Apr 2015

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_250-1 # Springer-Verlag Berlin Heidelberg 2015

Forest Market Policy Issues Frances Maplesdena* and Steven Johnsonb a Maplesden Consulting, Rotorua, New Zealand b International Tropical Timber Organization, Yokohama, Japan

Abstract This chapter discusses environmental and economic policies and developments affecting tropical wood product markets, including those related to trade, climate, and energy.

Keywords Tropical forest policy; Trade policy; Wood product markets; Trade restrictions; Climate and energy policies; Environmental policies

Forest Products Market Policy Issues Introduction The production and trade of tropical wood-based products is increasingly influenced by policy measures introduced at the international level as well as by governments and the private sector. This subchapter explores trade-related issues that have affected tropical wood-based trade, including international and regional trade agreements and trade restrictions imposed by both tropical producer and importing countries. Policies focused on climate, energy, and the environment have become more influential in recent years, and these are discussed in detail. The subchapter also considers economic stimulus policies, particularly the effectiveness of measures introduced during the 2008/2009 global economic crisis.

Market Policy Issues Affecting Tropical Wood Products Trade-Related Policies Trade Agreements Regional economic cooperation, including growth in intraregional wood product trade, was a growing trend in the last decade. The global economic crisis in 2008/2009 played a role in increasing awareness in tropical producing regions (South and Southeast Asia, South America, and Africa) of the benefits of regional cooperation and the opportunities for strengthening regional linkages. These opportunities have included reshaping existing production supply chains and creating more regional demand, policy instruments such as the GSTP1, and more comprehensive and effective regional and trade investment agreements (Maplesden et al. 2013).

*Email: [email protected] 1 The Global System of Trade Preferences (GSTP) among developing countries is a preferential trade agreement signed on 13 April 1988 with the aim of increasing trade between developing countries in the framework of the United Nations Conference on Trade and Development. The agreement gives favored nation trading status to signatories. Page 1 of 17

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_250-1 # Springer-Verlag Berlin Heidelberg 2015

Regional cooperation and integration has been assisted by bilateral and multilateral trade agreements, which have the aim of lowering trade barriers (including tariffs) between participating countries and, as a consequence, of increasing the economic integration of the participants. Multilateral trade agreements involve three or more countries who wish to regulate trade between the participating countries without discrimination; such agreements are widely considered to be the most effective way of liberalizing trade in an interdependent global economy (OECD 2014). In the Asia-Pacific region, the Association of South East Asian Nations (ASEAN) has assisted wood industries to collaborate on issues such as illegal harvesting and trade. The ASEAN member countries are: Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia, Myanmar, the Philippines, Singapore, Thailand, and Vietnam. ASEAN also has free trade agreements with Australia, India, Japan, New Zealand, and the Republic of Korea. The China–ASEAN free trade agreement became operational in 2010, further assisting the growth of intraregional trade in tropical wood products. In the African region, the most significant subregion in the tropical wood product trade is the Economic Community of West African States (ECOWAS). Member countries are Benin, Burkina Faso, Cape Verde, Gambia, Ghana, Guinea, Guinea-Bissau, Côte d’Ivoire, Liberia, Mali, the Niger, Nigeria, Senegal, Sierra Leone, and Togo. In contrast to the significant tropical wood product trade within Asia, however, intra-African trade in tropical wood products has been minimal and constrained by a number of factors, including weak infrastructure and the existence of a large informal sector, which supplies a large share of the regional market (ITTO 2010). In South America, the Southern Common Market (MERCOSUR) is a free trade agreement between Argentina, Bolivia, Brazil, Paraguay (currently suspended), Uruguay, and Venezuela. MERCOSUR has five associate members – Chile, Bolivia, Colombia, Ecuador, and Peru – that do not enjoy full voting rights or complete access to the markets of MERCOSUR’s full members. They receive tariff reductions but are not required to impose the common external tariff that applies to full MERCOSUR members. CITES The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) entered into force in 1975. It monitors and regulates trade between its 180 Parties (and between Parties and non-Parties) in species listed in its three appendices. Its purpose is to ensure that international trade in specimens of wild animals and plants is legal, sustainable, and traceable. With the recent addition of 111 timber species to Appendix III, currently around 350 tree species are listed in the CITES appendices. CITES Parties agree to implement international trade controls based on a system of permits and certificates for import, export, re-export, and introduction from the sea for species listed in three appendices. Appendix I lists species that are currently threatened with extinction and which are, or may be, affected by trade. For these species, international commercial trade is prohibited. Several timber species, including Brazilian rosewood (Dalbergia nigra), are listed in this appendix. Wild-harvested specimens of listed taxa may not be commercially imported by any Party. Plant specimens that are artificially propagated, which could include plantation-grown wood, are treated as listed in Appendix II. Appendix II includes “species which although not necessarily now threatened with extinction may become so unless trade in specimens of such species is subject to strict regulation in order to avoid utilization incompatible with their survival.” This includes “look-alike species,” which are species, the specimens of which in trade look like specimens of species listed for conservation reasons. Commercial international trade in species in Appendix II is allowed under certain conditions (i.e., findings of legality and sustainability) and is regulated using permits and certificates. Species listed in Appendix II comprise the majority (96 %) of species listed in the CITES appendices. High-profile tropical Page 2 of 17

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_250-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 1 Ramin (Gonystylus bancanus) tree, Pekan swamp forest, Pahang, Malaysia (Photo: K. Hamzah/FRIM)

hardwood species listed in Appendix II include afromosia (Pericopsis elata), big-leaf mahogany (Swietenia macrophylla), and ramin (Gonystylus spp.). In 2013, a number of additional tropical hardwood species were included in Appendix II, including Malagasy ebony (Diospyros spp.), Thailand rosewood (Dalbergia cochinchinensis), Black rosewood (Dalbergia retusa), Granadillo rosewood (Dalbergia granadillo), Honduras rosewood (Dalbergia stevensonii), and Malagasy rosewood (Dalbergia spp.). Appendix III contains species that are legislatively protected in at least one country that has asked other CITES Parties for assistance in controlling the trade. Species listed in this appendix represent about 1 % of species listed in the three appendices. Decisions on the listing of species in appendices I and II are taken by the Conference of the Parties, which meets every 2–3 years. Any Party may unilaterally request the inclusion in Appendix III of a species for which it is a range country. CITES also allows Parties to take “stricter domestic measures” to control wildlife trade. All trade in listed species by all Parties must be recorded and reported annually to the CITES Secretariat, and this information is made available publicly in the CITES trade database. Specimens of listed species that do not enter international trade are generally not subject to CITES. A complete list of CITES-listed tropical tree species in all appendices is available at www.cites.org/eng/ app/appendices.php. Cooney et al. (2012) provide a useful comparison of import requirements under CITES and Forest Law Enforcement, Governance and Trade (FLEGT) and related European Union (EU) legislation for timber species in trade (Fig. 1). Trade Restrictions Imposed by Producer Countries The most significant producer-country trade policies influencing the tropical wood products trade are quantitative restrictions on the export of unprocessed material and quotas on the export of specified products and wood species. Most tropical supplying countries have some type of log export ban or

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_250-1 # Springer-Verlag Berlin Heidelberg 2015

Table 1 Primary wood products export bans and restrictions imposed by selected tropical wood producers, 2014 Region/country Asia–Pacific Cambodia Indonesia Malaysia

India Myanmar Papua New Guinea Philippines Vietnam Africa Cameroon

Côte d’Ivoire Gabon Ghana

Product and applicability Log export ban since 1992 Log export ban. Local logging bans, particularly in East Kalimantan. Exports of plantation logs from community forests permitted. Restrictions on export of logs from plantations Quota on the export of logs from Sarawak Quota on the export of logs from Sabah (only 40 % of the total volume of harvested logs is permitted to be exported) Ban on exports logs from Peninsular Malaysia (since 1972) Logging ban in natural forests Log export ban (to be introduced 1 April 2014) Log export ban for certain species. Quotas on logs allowed to be exported, now replaced by log export duties Export bans on all native wood products with the exception of value-added products Log export ban on logs from natural forests, but the export of logs from plantation forests is allowed Ban on the export of logs and sawnwood for wood harvested in natural forests Log export restrictions in the form of progressive increase in the share of annual cutting going to local processing. The export ban applies to some hardwood species (e.g., iroko, moabi, bibolo, wenge, and bubinga). Restrictions were extended to sawn boules and “clean sawn” logs in 2014 Log export ban on unprocessed logs Export ban on logs, boules, and through cut logs Log export ban. Levies imposed on export of air-dried timber for nine important species. Ban on harvesting and export of rosewood Ban on export of logs from 13 specified companies

Republic of Congo Latin America and the Caribbean Brazil Log export ban (since 1969). Moratorium on big-leaf mahogany (Swietenia macrophylla) exports. Certain wood exports are subject to specific rules and require prior authorization from IBAMAa Colombia Regulations on log exports from natural forests since 1968. Roundwood exports permitted from planted forests Costa Rica Log export ban. Export ban on roughly squared wood for certain species Ecuador Log export ban, except in limited quantities for scientific and experimental purposes. Semifinished forest products exports are allowed only when domestic needs and the minimum levels of industrialization have been met. Export ban on mahogany and cedar logs Guyana Log exports permitted only for companies holding forest concessions. A log export ban applies to andiroba (Carapa megistocarpa) and jatoba (Hymenaea courbaril). Export taxes for logs and squares revised in 2013 for specific species and products Nicaragua In 1997, the country instituted a ban on the export of the nation most lucrative timber species – the precious hardwoods mahogany, royal cedar, and pochote. Mahogany exports are permitted for sawnwood, plywood, and veneer. Sawnwood exports require a license Peru Total ban on the export of logs from natural forests since 1972. The export of processed big leaf mahogany (Swietenia macrophylla) is permitted but regulated under CITES Appendix II Sources: Forest Legality Alliance (2014), ITTO MIS (various issues), GFC (2012) Brazilian Institute of Environment and Renewable Natural Resources (Instituto Brasileiro do Meio Ambiente e dos Recursos Naturais Renováveis) a

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restriction in place (Table 1). The motivations for introducing quantitative restrictions and controls vary from environmental (e.g., to curb deforestation and illegal logging) to social/political/economic (e.g., to encourage domestic processing and boost the development of local economies). Export restrictions on tropical wood products have also been imposed via export taxes (also called export duties, export charges, export tariffs, fees, and export levies). There are two types of export taxes: ad valorem taxes, which tax a percentage of the value of the exports, and specific taxes, which levy a given monetary amount per unit or weight of the exported product. Export taxes can be progressive, implying a higher tax when the price of the good exported is high and a lower tax when the price is low. Export taxes can also be differential; for example, a higher tax might be charged on unprocessed exports compared with the processed version of the export, with the aim of encouraging domestic processing. Other export restrictions in accordance with international arrangements are those associated with phytosanitary standards and quality control (see ▶ Standards and Transport in Forest Product Markets) and those imposed to counteract the “unfair” duties of an importing country (known as “countervailing measures”). Tropical log export restrictions in many African supplying countries (particularly Gabon, Cameroon, and the Republic of the Congo) were relaxed during the 2008/2009 global economic crisis to assist domestic forest industries to improve their profitability, but sawmills closed and there was a cessation of the construction of new mills. In 2010, many of the log export restrictions were re-imposed to assist the recovery of the sawmilling and other wood-processing industries, aided by improvements in prices and demand in EU markets and by the diversion of some sawnwood exports to growing markets in India and China (Maplesden et al. 2013). In 2011, Indonesia established a two-year moratorium on new logging and plantation concessions in 14.5 million hectares of primary forest and peat lands as part of its Reducing Emissions from Deforestation and Degradation (REDD+) program. The government of Norway jump-started the program with a billion-dollar pledge in 2010. Log export restrictions may foster the development of downstream wood-processing industries in countries. USITC (2010) noted, however, that, in the ASEAN region, log export restrictions have tended to act as a barrier to the development of an integrated and efficient regional industry that would otherwise draw on wood at various stages of processing obtained from throughout the region. Trade Restrictions Imposed by Consumer Countries Trade Sanctions At various times, consumer regions and countries have, for political reasons, imposed trade sanctions on certain tropical producer countries that have had impacts on the tropical wood product trade. The UN Security Council, for example, imposed a ban on log imports from Liberia in mid-2003, with the intention of halting the use of wood export revenues to fund illegal arms transactions. The embargo resulted in a drastic decline in tropical log exports from Liberia and forced major importers such as China and France to seek alternative supplies. Initially imposed for 10 months, the embargo was renewed for another year in 2004, despite the pleas of the Liberian transitional government. The ban was lifted in 2006 after the government of Liberia instituted a series of regulatory reforms (ITTO 2008). Myanmar’s tropical log exports were affected by economic sanctions imposed by the EU in 2008. The sanctions were imposed in response to human rights violations in the country and affected teak logs, lumber, and other finished products originating from Myanmar, in addition to other sanctions, although the EU was not a major destination for Myanmar’s exports. The sanctions affected products imported both directly from Myanmar and indirectly from other countries (e.g., China). NGOs claimed that the sanctions stimulated illegal cross-border trade to importers such as China and India, with a high percentage of

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Myanmar wood being re-exported in the global market (Forest Trends 2011). The sanctions were lifted in 2012. Antidumping and Countervailing Duties Antidumping investigations and the imposition of antidumping (also known as antisubsidy) duties, instigated by importing countries, have affected trade in tropical wood products. According to World Trade Organization rules, antidumping duties may be imposed after an investigation finds that a foreign country subsidizes its exports, injuring domestic producers in the importing country. A country may launch its own investigation and decide to charge extra duties, provided such additional duties are in accordance with GATT Article VI and the GATT Agreement on Subsidies and Countervailing Measures. Because countries can rule domestically on whether domestic industries are in danger and whether foreign countries subsidize export products, the institutional process surrounding the investigation and determinations has significant impacts beyond the countervailing measures. Antidumping duties target goods that are being sold below fair value, while countervailing measures retaliate for unfair government subsidies. In recent years, a number of high-profile antidumping investigations have been carried out on tropical wood products of Chinese origin. China is now the most important country importer of tropical raw material and a major re-exporter of secondary manufactured wood products of tropical origin (see ▶ Forest Product Market Trends). In 2003, for example, the EU found that China had dumped okoumé (an African species) plywood in the period 1999–2003 and imposed antidumping duties on okoumé plywood of Chinese origin. In 2007, the European Federation of the Plywood Industry (FEIC) requested the European Commission (EC) to extend the existing antidumping duties on okoumé plywood to include plywood with other red-faced tropical surface veneers – including the Asian species bintangor, red canarium, and kedondong – originating from China. Although the FEIC withdrew its request in December 2007 and the EC subsequently dropped its review of tariffs on Chinese plywood, the 1-year delay in implementing a decision caused uncertainty and a slackening of demand for Chinese plywood (ITTO 2008). The price competitiveness of a number of tropical wood products from China (and other countries) has also been a major concern for the US hardwood industry. The US Department of Commerce and the US International Trade Commission (USITC) have conducted a number of formal investigations of the legality of wood product supplies from China. China’s exports of wooden furniture (a proportion of which contains tropical wood products) have been affected by antidumping duties imposed on wooden bedroom furniture from China in 2004. These duties were extended in December 2010 after pressure from US manufacturers who had been affected by a constrained market. In response to the duties, China’s furniture industry diverted some of its production to items not subject to antidumping measures, such as seats with wooden frames, which now account for about 37 % of wooden furniture exports. More recent antidumping and antisubsidy investigations include determinations in 2011 on 169 Chinese multilayer wood-flooring companies. The US Department of Commerce imposed antidumping duties of up to 58.84 %, and countervailing duties of up to 26.73 % on all but one of the supplying companies. The investigations are continuing. US tropical hardwood plywood imports from China have been subject to on-going antidumping and countervailing duty investigations conducted by the US Department of Commerce. A coalition of US plywood manufacturers initiated an antidumping and countervailing duty investigation in 2012, alleging that Chinese imports are sold in the US at below cost and are subsidized by the Government of China. The case was dismissed in 2013, with the USITC determining negative injury to the US plywood industry.

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Fig. 2 Log tracking Guyana (Photo: Pradeepa Bholanath)

At various times, Malaysian plywood exports have also been subject to antidumping investigations, and currently there are preliminary antidumping duties on Malaysian plywood which have been imposed by the Republic of Korea. Legislation to Remove Illegal Wood from Trade Recognizing the potential environmental, economic, and social consequences of illegal logging and associated trade, laws have been enacted in consumer countries with the aim of eliminating, from supply chains, illegally harvested wood and products derived from such wood. These trade-based measures have escalated the requirement for certified legal and sustainable wood products and are already having significant impacts on tropical wood product suppliers, particularly in areas and regions where the risk of illegal logging is judged to be high. Numerous policy measures have been implemented to improve forest law enforcement and governance and counter the trade in illegally harvested wood, the most important of which are summarized here (Fig. 2). In 2003, the EU adopted the FLEGT Action Plan with the objectives of increasing the capacity of producer countries to control illegal logging and reducing the trade in illegal wood products between these countries and the EU. The FLEGT Action Plan provides a number of measures to exclude illegal wood from EU markets, improve the supply of legal wood, and increase the demand for responsible wood products. Sustainable consumption and green consumerism have become dominant market drivers in EU markets, with emphasis on ensuring supplies of legal and/or sustainable wood products. Voluntary Partnership Agreements (VPAs) with wood-exporting countries have been important elements in the EU’s strategy to combat illegal logging. VPAs include the design of legality assurance systems to identify, monitor, and license legally produced wood and ensure that only legal wood is exported to the EU. So far, six countries have concluded VPAs with the EU: Cameroon, the Central African Republic, the Republic of the Congo, Gabon and Liberia in Africa, and Indonesia in Asia. Nine other VPAs are being negotiated – with Côte d’Ivoire, the Democratic Republic of the Congo, Gabon, Guyana, Honduras, Lao PDR, Malaysia, Thailand, and Vietnam. The EU Timber Regulation, legislation arising from the EU FLEGT Action Plan, is a response to demands from a number of EU member states and various stakeholder groups to prohibit the sale of illegal wood in the EU and to the desire of FLEGT partner countries for a “level playing field” for wood trade Page 7 of 17

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with the EU. The EU Timber Regulation came into force in March 2013. It puts a traceability obligation on traders throughout the supply chain to identify the operators or traders who have supplied the wood and wood products and, where applicable, the traders to whom they have supplied wood and wood products and requires companies to implement a “due diligence” system to minimize the risk that the wood they sell was harvested illegally. The regulation covers a broad range of wood products, including solid wood products, flooring, plywood, and pulp and paper. The regulation applies to both imported and domestically produced wood and wood products. It is legally binding on all 27 EU member states, which are responsible for laying down effective, proportionate, and dissuasive penalties and for enforcing the regulation (EC 2014). The EU Timber Regulation is causing concern among EU stakeholders about how the law will be applied and the associated administrative and bureaucratic burdens it may impose. The regulation is also worrying tropical exporters, who perceive that it will impose an additional cost burden that will reduce their competitiveness. Another important issue concerns the ability to enforce the regulation in relation to the complexities of the composite wood products trade, particularly identifying the precise origin of the components of composite wood materials (Oliver 2013). However, proponents of the EU Timber Regulation suggest that it will increase demand for wood products, set a level playing field, increase awareness of legal and sustainable wood, and lead to responsible purchasing by stakeholders. The EU Timber Regulation is expanding the demand for certified legal and sustainable wood products and VPA-licensed wood products, with certification becoming a central issue in the marketing of tropical wood products in EU markets. Amendments to the US Lacey Act in 2008 extended its application to include illegally harvested wood. The amendment makes it illegal to import, export, transport, sell, receive, acquire, or purchase, in interstate or foreign commerce, any plants or products made from plants – with limited exceptions – that were harvested or taken in violation of a domestic or foreign law. The Act gives the government the power to fine and jail individuals and companies that import wood products that have been harvested, transported, or sold in violation of the laws of the country in which the wood was originally harvested (USDA 2013). An important principle of the Lacey Act is that the burden of proof is on the US government to demonstrate that the violators knew or should have known of the underlying violation. The amended Act includes new import declaration requirements for information on the tree species of imported wood products and the name of the country in which the wood was harvested. It does not, however, require the importer to have all the information needed to be certain of the legal origin of the wood. Instead, the importer must collect information that, depending on what it suggests about the origin of the wood, should prompt further inquiry by the importer to assure its legality. Although, to date, the US government has prosecuted only a small number of importers, the highprofile case involving the Gibson Guitar Corporation of Nashville, Tennessee, demonstrated that demandside forest legality policies can be enforced by national governments. Proponents of the legislation suggest that the Lacey Act and other demand-side policies have already changed practices in the tropics, putting political and financial pressures on producer countries to enact their own strict laws against illegal logging (Elias 2012). It has also been suggested that the Lacey Act has the potential to change ongoing investment choices and that the expectation of investors that illegally logged products will not be saleable in the US will encourage appropriate practices (Elias 2012). In 2012, Australia introduced legislation to promote the trade in legally harvested wood by restricting imports of illegally logged wood into Australia. The Australian Illegal Logging Act 2012 came into effect on 28 November 2012: within two years of that date, regulations will outline the due-diligence process for importers and processors of domestic wood regarding certain wood products. In 2013, an amendment was

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Fig. 3 Tropical forest biodiversity, Iwokrama Forest, Guyana (Photo: ITTO)

introduced to the law which specifies due-diligence requirements for furniture and pulp and paper products (Australian Government 2014). Climate and Energy Policies REDD+ Deforestation and forest degradation are the largest sources of greenhouse gas (GHG) emissions in most tropical wood-producing countries. Clearing tropical forests also destroys globally important carbon sinks that are currently sequestering CO2 from the atmosphere and are critical for future climate stabilization (Fig. 3). REDD+ is an international mechanism framed by international negotiations on climate change to provide economic assistance to developing countries to reduce GHG emissions by protecting and restoring their forest carbon stocks. The concept of REDD+ is that developed countries will provide financial incentives to developing countries to reduce their deforestation, conserve and sustainably manage their permanent forest estates, and increase forest cover through reforestation and afforestation. Thus, REDD+ has the potential to simultaneously mitigate climate change (through carbon capture and storage), conserve biodiversity, protect other ecosystem goods and services, increase income for forest owners and managers, and help address issues of forest governance. REDD+ has evolved from an earlier formulation known simply as “REDD.” REDD+ includes, as eligible activities, the sustainable management of forests and the enhancement of forest stocks, in addition to reducing deforestation and forest degradation, which were the activities originally covered by REDD. The evolution arose in response to early criticisms that REDD excluded countries with low deforestation rates and did not recognize the positive contributions of sustainable forest management. Thus, REDD would have been limited to compensating countries according to their reduction of emissions against a baseline, and those with projected higher future deforestation or forest degradation rates would have qualified for higher compensation for preventing such deforestation or forest degradation. REDD+ acknowledges that climate benefits can arise not only from avoiding negative changes (i.e., deforestation and degradation) but also from enhancing positive changes in the form of forest conservation, sustainable forest management, and the enhancement of forest carbon stocks, although the issue of whether forest plantations should be part of REDD+ has been contentious.

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The potential effects of REDD+ on wood products markets and trade are difficult to assess because REDD+ is still under negotiation within the official process of the United Nations Framework Convention on Climate Change (UNFCCC). The REDD+ mechanism remains unclear; for example, it has been proposed that market-based funding mechanisms such as carbon trading, and private-sector involvement, could be introduced. A market-based approach would entail converting the emission reductions (or maintained/enhanced carbon stocks) achieved in REDD+ projects into credits, which would then be traded in a carbon market to generate funds. The alternative fund-based approach would involve providing funds directly to developing countries, without carbon market transactions. Currently, most payments are being provided directly to countries for readiness and policy reforms, rather than for proven emission reductions (Angelsen et al. 2012). Management strategies and policies such as REDD+ may have unintentional consequences for forest sectors in countries that are not REDD+ targets, most notably through market linkages. By definition, the success of a policy effort like REDD+ would lead to significant reductions in deforestation and forest degradation in participating developing countries and may also result in the reclassification of some forest areas from production to conservation and a consequent reduction in the area of forest subject to woodharvesting, with the net result of reducing the overall wood supply. This, in turn, may result in increased pressure to further exploit other forests. This would be an example of leakage – the displacement of deforestation or forest degradation from protected sites to other locations (Jonsson et al. 2012). Environment-Related Policies Green Building Initiatives and Life Cycle Assessment Initiatives to reduce the energy footprint of the construction sector and its CO2 emissions have escalated, particularly in consumer countries. These initiatives have been driven by mounting concerns about energy security, global warming, and the risk of climate change. Compared with many other industry sectors, opportunities to reduce energy consumption and emissions in the construction sector tend to be regarded as easier to achieve and more substantial. Energy efficiency standards in construction are often linked to green building programs that attempt to provide broader measures of the environmental performance of whole buildings. These include Leadership in Energy and Environmental Design (LEED), Green Globes, IgCC, and CalGreen in North America, BREEAM in the United Kingdom (UK), CASBEE in Japan, HQE in France, and DGNB in Germany. The International Green Construction Code (IgCC) was issued in 2012 and addresses commercial construction and requirements for various building materials. LEED is the best known and most significant green building rating and certification program in North America, although a major criticism of it is that it currently only rewards wood certified by the Forest Stewardship Council (FSC). Other programs, such as IgCC and CalGreen, recognize all the major third-party certification schemes. A number of other countries have set new policies to promote green building and are reviewing their building regulations in order to remove barriers to the use of renewable building materials. Many of these new policies reference the use of certified wood and life cycle assessments (LCAs) in building design and materials selection. A considerable amount of work is required, however, to ensure that energy efficiency standards give appropriate credit to the environmental attributes of wood products, including tropical wood products, and that the industry fully understands and has access to reliable objective research on the LCAs of tropical wood products. Public-Sector Procurement Policies Public-sector procurement of wood-based products from sustainable sources grew substantially in the period 1999–2005. It has subsided more recently, however, due in part to a change in focus on the Page 10 of 17

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inclusion of forests and sustainable forest management in international efforts to address climate change and a corresponding diminished emphasis on public policies and initiatives related to procurement (Martin and Ghazali 2013). Notwithstanding this trend, a number of national governments worldwide have introduced some form of wood procurement policy, including Australia, Belgium, Brazil, China, Denmark, the EU, France, Germany, Ghana, Japan, Mexico, the Netherlands, New Zealand, Norway, the UK, and Vietnam. In most developed countries, governments account for a significant proportion (an estimated 15–20 %) of wood purchases and can therefore exert substantial influence on markets. Concerned consumers, retailers, investors, communities, governments, and other groups increasingly want assurances that by buying and consuming wood products they are making positive social and environmental contributions. Rather than merely seeking to avoid wood from illegal sources, several government authorities have moved rapidly to require that wood is certified as sustainably produced. There are significant differences in the detailed legality and sustainability requirements of government procurement policies, however, and this is a concern for wood producers that supply several markets (Simula 2010). Martin and Ghazali (2013) noted recent moves to include paper in broader purchasing policies on wood products, giving emphasis to recycling and waste reduction. In implementation, many public wood procurement policies have been folded into a broader set of “green” or environmental guidelines or requirements addressing, for example, energy efficiency, waste reduction and recovery, and water conservation. Similarly, policies on wood procurement by most private-sector firms have been integrated into broader codes of ethics on the environment and forests. Many procurement policies accept third‐party systems of verification as sufficient for assurance of legality or forest sustainability. There continues to be significant divergence in policy implementation – in both the public and private sectors – on which forest certification systems should be accepted as sufficient. Environmental Product Declarations Tropical wood product exports to the EU and US markets will also need to comply with market requirements for information on the environmental credentials of products. Until recently, the development of environmental product declarations (EPDs) was limited to organizations associated with the 14,000 series of standards of the International Organization for Standardization (ISO) and the government agencies of several EU countries. Now, however, the EPD concept is moving into the mainstream. EPDs are standard reports of environmental impacts linked to product or services; they are based on LCAs and enable the comparison of environmental performance. In the USA, the American Wood Council has made EPDs available for specific North American wood product categories (American Wood Council 2014). The EU Construction Product Regulation (CPR) and European standard (EN 15804) set mandatory information and indicators for EPDs in the European construction industry. Economic Stimulus-Related Policies Demand for primary and secondary wood-based products, including those of tropical origin, is a derived demand arising from residential, nonresidential, and public construction activity and consumer wealth and spending. Government policies aimed at stimulating general economic growth usually have positive effects on housing and construction activity, which are significant end-use sectors for wood products, including those of tropical origin. The global economic crisis, which had its most severe effects in 2009, resulted in declining economic growth in many countries that consume tropical wood products, with marked impacts on disposable incomes, consumer demand, and housing starts. In tropical producer countries, small- and medium-sized enterprises (SMEs), which dominate tropical wood-processing industries, were exposed by the crisis because of limited access to finance, weak negotiating power, and a limited ability to respond quickly Page 11 of 17

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when markets recovered. Many tropical producer countries were cushioned from the full economic shock of the global economic crisis, however, because they had adopted stronger economic frameworks in the past. This was particularly true of Asian countries that had regulated their financial sectors in the aftermath of the Asian economic crisis at the end of the 1990s. A large proportion of Asia’s fiscal stimulus packages during the global economic crisis were directed at public infrastructure projects, which helped offset declines in residential and nonresidential building activity. A detailed account of the impacts on the tropical forest sector of economic stimulus policies introduced during the global economic crisis is given in Maplesden et al. (2013). Although China’s wood-processing sector was negatively affected by a decline in demand for its valueadded wood product exports in 2008 and 2009, aggressive economic stimulus measures targeting both the general economy and the forest and wood-based industries contributed to a recovery in wood product exports and to significant growth in the domestic market for wood-based products. The economy was boosted by domestic fiscal stimulus packages to encourage residential purchases of single-family homes and apartments. Export tariff rebates were adjusted to support export-oriented businesses, including secondary processed wood products of tropical origin. As a result of these measures, China’s exports were able to quickly capitalize on a recovery in export markets in 2010, and the stimulus to domestic consumption resulted in a rise in domestic demand, which acted as a buffer to commodity exporters in Asia, including tropical wood exporters. The Chinese government provided value-added-tax rebates for forest industry enterprises, including rebates for products produced with wood residues and small-diameter logs, and reduced-interest-rate lending to forest industries, with the costs met by the government budget. Assistance measures were also aimed at moving up the value chain, product, and market restructuring and encouraging external capital flows via venture capital, private equity, and initial public offerings. The restructuring and upgrading of China’s wood products manufacturing industry in response to the crisis improved the sector’s competitiveness, giving Chinese manufacturers a comparative advantage over many other producing countries that were unable to provide significant, targeted manufacturing and export assistance measures. This generated opportunities for Chinese exporters when export markets began to recover in 2010. Wood Energy Increased fossil fuel prices and concern over energy security and climate change have been the main drivers in the development of alternative and renewable energy sources. Seventy percent of all biomass energy is consumed in developing countries, mainly for cooking and heating, with a smaller share going to power generation. Traditional biomass for energy includes fuelwood, charcoal, manure, and crop residues. These are important sources of energy in many developing countries and provide the bulk of energy supply for many dispersed and poor rural populations in tropical producer countries. However, wood energy is also becoming increasingly important in many developed countries, especially in Europe. Wood is the predominant biomass type, with more than half of global roundwood removals being used for energy. From the perspective of climate-change mitigation, the best sources of wood-based bioenergy are coproducts from the manufacturing of solid wood products. Wood Pellets Wood pellets are the predominant product in the international wood-energy trade, with the EU dominating both production and import demand (UNECE 2013). Demand for wood pellets and other biomass energy in consumer markets is determined by national energy policies, especially targets for renewables, and the cost-competitiveness of alternative energy sources, particularly oil, coal, and natural gas. Cocchi et al. (2011) noted that the rapid growth of the wood-energy market has been driven by various factors related to different market segments (e.g., pellets for co‐firing, combined heat and power and district Page 12 of 17

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heating, and residential heating). However, markets are still dependent (albeit to differing extents) on the availability of direct and indirect support measures, with wood-energy consumption still dominated by regulatory policies, fiscal incentives, and public financing. EU bioenergy and wood-pellet demand has been driven by EU targets to meet at least 20 % of its total primary energy supply from renewable energy by 2020. Beyond 2020, the EC Energy Roadmap 2050 suggests a share of around 30 % by 2030 (EC 2013). This target “aims to provide certainty and reduce regulatory risk in order to spur investment and create more demand for efficient low-carbon technologies while promoting research, development and innovation.” The main exporters of wood pellets are Canada, the US, the Russian Federation, and the Baltic states, although some pellet producers in the tropics – such as several South American producers – have the potential to become pellet exporters. Demand for wood pellets has also grown in Asia, primarily in China, Japan, and the Republic of Korea. Japan is the largest importer of wood pellets in Asia, mostly for use in co-firing electricity generation plants. Although biomass plays a relatively small role in China’s energy generation, it is important in some niches. China has an established wood-pellet market, but most wood pellets are supplied domestically. Through its Renewable Energy Law, China has established a legal framework for promoting renewable energy – a combination of mandated targets, market-based incentives, and direct subsidies. Renewable biomass energy-generating capacity is targeted to reach 13GW by 2015 and 30GW by 2030 (up from 4GW in 2012). These ambitious targets are expected to increase demand, and they may create opportunities for wood-pellet exporters in Asia. The Republic of Korea’s policy is to generate 6.1 % of its energy from renewables by 2020 and 11.5 % by 2030 (with strict penalties for a lack of compliance); this is also expected to boost Asian demand for wood pellets, projected to be in the range of 5–10 million tonnes per year by 2020 (Cocchi et al. 2011). A key issue in the future trading of wood pellets, particularly for tropical wood producers, will be developments in requirements for the certification of forests and wood used to produce the pellets. Certified Forest Products Consumer markets are becoming increasingly sensitive about the environmental credentials of wood products. Markets for certified wood products have been driven by government, and private-sector policies aimed at providing market-driven incentives for forest retention and the responsible harvesting of forest resources. Market drivers include private-sector environmental purchasing goals, public-sector procurement policies, and, importantly, the development of government trade legislation designed to remove illegal wood from trade, including the Lacey Act and the EU Timber Regulation. The EU Timber Regulation’s due-diligence system recognizes the Programme for the Endorsement of Forest Certification (PEFC) and FSC schemes. The Lacey Act also recognizes the PEFC and the FSC, in addition to an alternative approach developed by the American Hardwood Export Council for its members (Fig. 4). The number of forest and chain-of-custody2 certification schemes has surged in recent years, but demand is strong in only a limited number of markets, mostly the EU and, to a lesser extent, the USA. Certification and eco-labeling have benefited from the development of green building standards such as LEED. Green building initiatives continue to move from voluntary programs towards integration into formal building codes. The IgCC, for example, encourages the use of certified wood products and recognizes all the major certification schemes. Measures that encourage or require certification are having a dramatic impact on the tropical wood product trade, and many export-oriented countries and companies are moving towards adapting their Chain-of-custody forest certification is a mechanism for tracking certified material from the forest to the final product to ensure that the wood, wood fiber, or non-wood forest product contained in the product or product line can be traced back to certified forests.

2

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Fig. 4 Certified logs, Northern Congo (Photo: Monica Borner)

Table 2 Supply of roundwood from certified resources in tropical supplying regions and globally, 2011–2013

Africa Latin America Asia World

Total forest area (million ha) 674.4 955.6

Certified forest area (million ha) 2011 2012 2013 7.6 7.3 7.5 16.1 14.7 15.7

Estimated industrial roundwood production from certified forest (million m3) 2011 2012 2013 0.8 0.8 2.2 3.2 2.9 1.2

Estimated share of total roundwood production from certified forest (%) 2011 2012 2013 0.0 0.0 0.1 0.2 0.2 0.1

592.5 4033.1

8.1 374.9

2.8 447.3

0.2 25.3

9.5 385.5

12.5 417.0

3.2 468.6

4.0 501.4

0.2 26.5

0.2 28.3

Source: UNECE 2013

forest management systems to meet these market demands. Nevertheless, the proportion of global certified roundwood production derived from the tropics remains small (Table 2). In 2013, over 95 % of the certified roundwood supply was from Western Europe and North America, and only 1.5 % was from tropical producer regions. Significant fluctuations in the certified forest area – in which previously certified forests fail certification audits – are relatively common in the tropics. In the Republic of the Congo, for example, the area of FSC-certified forest declined by about 40 % in April 2013 (UNECE 2013). Malaysia is the largest supplier of certified tropical wood products and has its own voluntary national certification scheme operated by the Malaysian Timber Certification Council. In 2009, the Malaysian Timber Certification Standard (MTCS) became the first tropical wood certification scheme in the Asia-Pacific region to be endorsed by the PEFC. The Indonesian Forestry Certification Cooperation (IFCC-KSK) is also seeking PEFC endorsement to improve market access for Indonesian certified wood products.

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Carbon Markets A survey of the state of forest carbon markets (Forest Trends 2014) estimated the overall market value of forest carbon offset demand at US$216 million in 2012. Almost all offsets (99 %) were sold to buyers in developed regions; EU-based corporations were the largest source of demand for forest carbon offsets in 2012, purchasing over half of all traded offsets. EU buyers transacted the largest proportion of offsets produced by projects in Africa and Asia. Voluntary Carbon Offsetting Most forest carbon offset value is derived from voluntary offset markets. The majority (71 %) of forest carbon offsets transacted in 2012 were sold to voluntary buyers, while the remainder was sought by businesses complying with or preparing for regulation. The private sector had the largest pool of buyers and was responsible for about 70 % of offset transactions in 2012. The most common driver of offset purchases in 2012 was resale to voluntary or future compliance end users. Voluntary end users were motivated primarily by corporate social responsibility commitments and a desire to “demonstrate climate leadership” within their industries in the absence of strong national climate policies (Forest Trends 2014). REDD+ Finance REDD+ projects were the dominant form of carbon market activity in both Latin America (80 %) and Africa (70 %), as large REDD+ projects came onstream in both regions in recent years. The majority of carbon-managed land area is associated with REDD+ projects, with 17 million ha under management for REDD+ in 2013. The public sector has invested significant sums of money in several countries with potential for REDD+ development, although public-sector finance has so far been limited to preparing for the next phase of REDD+. The first REDD+ credits entered the voluntary carbon market in 2011. REDD+ projects and carbon markets are challenged by complex regulations, a lack of financing, and incompatibility between regional and national markets. At the most recent UNFCCC climate negotiations (in Warsaw, Poland, in November 2013), no agreement was reached on how to achieve the goal of mobilizing US$100 billion for climate-change mitigation measures annually from 2020. Compliance Forest Carbon Offsets The Clean Development Mechanism (CDM), which encourages project-based emissions-reduction activities in developing countries, is the world’s largest compliance offset program. It was initiated under the Kyoto Protocol, an international agreement adopted in 1997 with the aim of fighting global warming by reducing greenhouse gas (GHG) concentrations in the atmosphere. The Kyoto Protocol entered into force in 2005 and required 37 industrialized countries – known as Annex I countries – to reduce their GHG emissions to 5 % below 1990 levels between 2008 and 2012. A number of countries have established national ETSs (carbon emissions trading schemes), including China, Japan, and South Korea, and the US State of California also has an ETS. The EU’s ETS has been hampered by the stagnation of the EU economy and concerns about the effectiveness of the ETS. ETS participants can sell international credits through the CDM, but, over time, the development of nationalbased ETSs may diminish the importance of the CDM. The voluntary carbon market is not considered sufficient to drive significant growth in carbon markets (Forest Trends 2014). Future growth is expected, therefore, to hinge on regulatory drivers, particularly progress in international climate negotiations towards a legally binding climate treaty, particularly legally binding financial commitments for REDD+ and new market mechanisms for carbon trading. No decisions on establishing a future carbon market was made at the UNFCCC negotiations in Warsaw in November 2013.

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References American Wood Council (2014) Environmental product declarations (EPDs) for wood. Available at http://www.awc.org/greenbuilding/epd.php. Accessed 12 Mar 2014 Angelsen A, Brockhaus M, Sunderlin W, Verchot C (eds) (2012) Analysing REDD+. Challenges and choices. Center for International Forestry Research. Available at http://www.cifor.org/publications/ pdf_files/Books/BAngelsen1201.pdf. Accessed 11 Mar 2014 Australian Government (2014) Illegal logging. Available at http://www.daff.gov.au/forestry/policies/ illegal-logging. Accessed 11 Mar 2014 Cocchi M, Nikolaisen L, Junginger M, Heinimö J, Bradley D, Hess R, Jacobson J, Ovard LP, Thrän D, Hennig C, Deutmeyer M, Schouwenberg PP, Marchal D (2011) Global wood pellet industry. Market and trade study. IEA bioenergy task 40. Sustainable bioenergy trade. Available at http://www. bioenergytrade.org/downloads/t40-global-wood-pellet-market-study_final.pdf. Accessed 13 Mar 2014 Cooney R, von Meibom S, Hin Keong C (2012) Trading timbers: a comparison of import requirements under CITES, FLEGT and related EU legislation for timber species in trade. TRAFFIC. The wildlife trade monitoring network. Available at http://www.traffic.org/forestry/. Accessed 29 Feb 2014 EC (2013) Green paper: a 2030 framework for climate and energy policies. European Commission. Available at http://ec.europa.eu/energy/green_paper_2030_en.htm. Accessed 13 Mar 2014 EC (2014) Timber regulation. Available at http://ec.europa.eu/environment/forests/timber_regulation. htm. Accessed 11 Mar 2014 Elias P (2012) Logging and the Lacey Act. How the U.S. Lacey Act helps reduce illegal logging in the tropics. Union of Concerned Scientists, Cambridge, MA, Apr 2012 Forest Trends (2011) Baseline study 4, Myanmar: overview of forest law enforcement, governance and trade. Available at http://www.forest-trends.org/publication_details.php?publicationID=3159. Accessed 9 Mar 2014 Forest Trends (2014) Covering new ground. State of the forest carbon markets 2013. Ecosystems Marketplace. Available at http://www.forest-trends.org/documents/files/FCM2013print.pdf. Accessed 6 Mar 2014 Forest Legality Alliance (2014) National export bans and restrictions. Available at http://risk. forestlegality.org/files/fla/Export_bans_restrictions_2012_06.pdf. Accessed 9 Mar 2014 GFC (2012) Proposed position of the GFC on the national log export policy 2012–2014. Guyana Forestry Commission, Georgetown ITTO (2008) Annual review and assessment of the world timber situation 2007. International Tropical Timber Organization, Yokohama, 196 pp ITTO (2010) Good neighbours. Promoting intra-African markets for timber and timber products, vol 35, ITTO technical series. International Tropical Timber Organization, Yokohama, 112 pp ITTO MIS (various issues) Tropical timber market report. Two-weekly. International Tropical Timber Organization. Available at http://www.itto.int/market_information_service/ Jonsson R, Mbongo W, Felton A (2012) Timber market implications of international efforts to reduce emissions from deforestation in developing countries. Future forests. Available at http://www.slu.se/ Global/externwebben/centrumbildningar-projekt/futureforests/1_Future%20Forests%20Working% 20Report_REDD%20%20Market%20Leakage%20Literature%20review.pdf. Accessed 11 Mar 2014 Maplesden F, Attah A, Tomaselli I, Wong N (2013) Riding out the storm. Improving the resilience of the tropical timber sector to the impacts of global and regional economic and financial crises, vol 41, ITTO technical series. International Tropical Timber Organization, Yokohama, 148 pp

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Martin R, Ghazali B (2013) Draft report on analysis of government procurement policies on tropical timber markets. International Tropical Timber Council CEM/CFI. Forty-seventh session, Libreville, 25–30 Nov 2013 OECD (2014) Benefits of trade liberalisation. Regional agreements. Organisation for Economic Cooperation and Development. Available at http://www.oecd.org/trade/benefitlib/regionaltradeagreements. htm. Accessed 27 Mar 2014 Oliver R (2013) Imports of composite wood products into the EU and implications for the EU timber regulation – furniture sector focus. Chatham House, Energy Environment and Resources PP EER 2013/ 06. Available at http://www.chathamhouse.org/publications/papers/view/196956. Accessed 11 Mar 2014 Simula M (2010) The pros and cons of procurement: developments and progress in timber‐procurement policies as tools for promoting the sustainable management of tropical forests, vol 34, ITTO technical series. ITTO, Yokohama UNECE (2013) Forest products annual market review 2012–2013. Geneva timber and forest study paper 33. ECE/TIM/SP/33. United Nations Economic Commission for Europe, Forestry and Timber Section, Geneva USDA (2013) Lacey Act. US Department of Agriculture Animal and Plant Health Inspection Service. Available at http://www.aphis.usda.gov/plant_health/lacey_act/. Accessed 11 Mar 2014 USITC (2010) ASEAN: regional trends in economic integration, export competitiveness, and inbound investment for selected industries. Investigation no 332–511. USITC Publication 4176. United States International Trade Center

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Forest Product Market Trends Frances Maplesdena* and Steven Johnsonb a Maplesden Consulting, Rotorua, New Zealand b International Tropical Timber Organization, Yokohama, Japan

Abstract This chapter focuses on market trends in the major wood products sectors. It discusses market trends and issues affecting consumption in export markets, as well as societal market issues in tropical producer countries.

Keywords Tropical wood products; Markets; Trade; Market structures; Logs; Sawnwood; Plywood; Secondary processed wood products

Introduction The last 20 years has seen considerable change in the tropical wood products sector, as the availability of tropical roundwood has become more restricted and as economic and demographic changes have shifted the location and growth of tropical wood products industries – and the geographic location of demand – from developed to developing countries, particularly China. This subchapter discusses market trends and drivers for the following products: tropical logs, sawnwood, wood-based panels, pulp and paper, and secondary processed wood products (SPWPs).

Consumer Market Trends and Drivers Economic Trends Affecting Tropical Wood Product Markets GDP Growth Global economic growth is a major indicator of demand for tropical wood products because of its impacts on housing and construction activity and consumer wealth and spending, which have flow-on effects on demand for wood-based products. Gross domestic product (GDP) is an important measure of a country’s economic output. Economic growth in tropical producer countries has outpaced that of consumer countries since the 1990s (Table 1). Real global GDP growth slowed considerably in 2008–2009 because of the economic recession in developed economies and again in 2011–2012 in response to the euro area crisis. Tropical countries with strong trade links with the United States of America (USA) and the European Union (EU) were most affected by these crises. Global GDP growth is predicted to increase from 3 % in 2013 to

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Table 1 Industrial roundwood balance in tropical producer regions (Asia-Pacific, Latin America/Caribbean, and Africa) (million m3) Asia-Pacific Production Imports Exports Apparent consumption Latin America/Caribbean Production Imports Exports Apparent consumption Africa Production Imports Exports Apparent consumption

1995

2000

2005

2010

2011

2012

94.04 3.20 11.14 86.10

88.37 3.36 11.52 90.21

109.55 3.73 10.62 102.66

101.24 4.21 8.90 96.55

105.57 4.64 9.09 101.12

104.10 6.03 10.52 99.61

32.75 0.05 0.04 32.76

35.21 0.01 0.20 35.20

33.65 0.02 0.25 33.42

39.75 0.01 0.38 39.38

39.67 0.01 0.48 39.20

39.96 0.02 0.55 39.43

18.38 0.17 5.74 12.81

22.86 0.07 5.07 17.86

19.98 0.01 3.22 16.77

28.69 3.43 25.26

28.43 0.01 2.76 25.68

28.60 0.01 3.44 25.17

Source: ITTO Statistics Database Note: Tropical producer regions include ITTO member countries only

8% 6% 4% 2% 0% 00 01 02 03 04 05 06 07 08 09 10 11 12 13 14F 15F 16F 17F 18F

−2% Year −4% Tropical producers

Tropical consumers

Fig. 1 Real GDP growth, tropical producers, and consumers, 2000–2018(F) (Source: IMF 2014. Note: F = forecast; tropical producer and consumer countries are defined as ITTO member countries)

3.7 % in 2014, largely because of a recovery in advanced economies, whose increased demand is expected to lift growth in developing economies (Fig. 1). GDP growth in the African region has been largely unaffected by recent financial turmoil, the region’s economic resilience deriving from its relative insulation from financial spillovers from the euro region, the diversification of exports to fast-growing emerging economies, and high commodity prices, which have benefited the region’s commodity exporters (Fig. 2). In the tropical Asian region, GDP growth has followed trends in consumer countries, where weakening demand in 2012–2013 led to a broad-based weakening of exports both within and outside Asia. Growth is expected to pick up as demand strengthens in consumer countries. Economic growth in the Latin America/Caribbean region decelerated faster than in

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015 12% 10% 8% 6% 4% 2% 0% 00 01 02 03 04 05 06 07 08 09 10 11 12 13 14F 15F 16F 17F 18F

−2% Year

−4% Africa

Asia

Latin America/Caribbean

Fig. 2 Real GDP growth, tropical producer regions, 2000–2018(F) (Source: IMF 2014. Note: F = forecast; tropical producers and tropical consumers are defined as ITTO member countries)

8% 6% 4% 2% 0% 00 01 02 03 04 05 06 07 08 09 10 11 12 13 14F 15F 16F 17F 18F

−2% Year

−4% −6% Asia

North America

EU28

Fig. 3 Real GDP growth, tropical wood consumer regions, 2000-2018(F) (Source: IMF 2014. Note: F = forecast)

other tropical regions in 2009 because of the region’s stronger trade linkages with the USA, although growth rebounded rapidly in 2010, reflecting rising commodity prices, robust demand in China, and a recovery in exports to other destinations. The decline in GDP growth in Latin America and the Caribbean since 2010 has been a result of sluggish economic growth in Brazil. GDP growth trends in tropical consumer regions (Fig. 3) reflect the impact of the global financial crisis, which was most severe in 2009, a partial recovery in 2010, and a period in which the euro area crisis resulted in severe austerity measures in many of the euro area economies, constraining public and private spending and weakening consumer confidence and domestic consumption. In contrast with North America and Europe, the Asian consumer region, with the exception of Japan, outpaced other regions, supported by strong export performance and growing domestic demand, particularly in China. The IMF’s World Economic Outlook (IMF 2014), the World Bank (World Bank 2014), and the European Commission (EC 2014) provide comprehensive updates on global economic developments and forecasts.

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Exchange Rates Exchange rate movements have significant effects on the relative competitiveness of tropical wood product exports from producer countries, depending on the currencies in which the products are traded. Tropical wood product exports are commonly traded in US dollars to the US and Middle East markets, the United Kingdom (UK) pound sterling to the UK market, and euros to the EU market. There was significant exchange rate volatility during the global financial crisis in 2008–2009, notably a depreciation of the US dollar and an appreciation of currencies in the emerging economies (although there was only limited change in those emerging economies, notably China, with large surpluses). The Brazilian currency appreciated in real terms between 2003 and 2012 relative to the US dollar, reducing the competitiveness of Brazil’s exports to the USA, a major trading partner. Foreign Direct Investment Global financial conditions determine the flow of public- and private-sector capital to the construction sectors in tropical consumer countries, as well as foreign direct investment (FDI) flows from high-income countries to emerging economies. FDI is regarded as an important tool for financing development, increasing productivity, and importing new technologies, and, as such, it has been important in financing investment in the forest and wood-based industries in some tropical producer countries. FDI inflows declined during the global financial crisis in 2008–2009 as economic growth rates declined and uncertainty regarding future economic prospects increased. The major tropical country recipients of FDI inflows have been countries with political and macroeconomic stability and facilitating institutions – i.e., Brazil, Mexico, India, Indonesia, and Malaysia. Countries that are more prone to domestic conflict and political instability – such as Cameroon, the Central African Republic, and Fiji – have received less FDI than other countries with similar characteristics but which are politically more stable.

Building and Construction Trends The demand for primary and secondary wood products, including those of tropical origin, is a derived demand, driven by residential, nonresidential, and public construction activity and by consumer wealth and spending. The global housing and construction market is a significant end-use sector for tropical wood products. Construction activity in the USA, the EU, and Japan is indicative of global construction trends in important tropical consumer markets. Depressed housing markets were a key aspect of the global financial crisis, with US housing starts reaching record lows in 2009 (Fig. 4). Spending on private residential and nonresidential construction fell significantly between 2006 and 2009, although public-sector construction spending increased (Fig. 5). Although housing starts in 2013 expanded by 18 % compared with 2012, they were still well below their peak of 2.3 million in 2005. The EU housing construction market is stagnant because of the ongoing euro crisis, a recession in several countries, and the effects of the collapse of the Irish and Spanish housing markets (Fig. 6). In 2013, significant construction decreases were estimated for Ireland, Portugal, and Spain, with only Germany and the UK expected to have robust construction activity through to 2015 (UNECE 2013). Japan’s residential housing starts have grown since 2009, with reconstruction and new construction in the recovery from the Great East Japan Earthquake gaining momentum in 2013. However, housing starts remain relatively low compared with historical levels (Fig. 7). Government promotion of wooden public buildings has resulted in an increase in wood consumption in public construction, and this trend is expected to continue. This policy was introduced in 2010 in response to the expected long-term decline in housing starts, which previously consumed the bulk of wood used in construction, and the perceived opportunity to increase wood usage in public construction, which currently uses a limited proportion of wood-based materials.

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Housing starts (1,000 units)

2,500

2,000

1,500

1,000

500

Starts

Single family

2012

2008

2010

2006

2004

2002

2000

1998

1996

1994

1992

1990

1988

1986

1984

1982

1980

0

Multi family

Fig. 4 US housing starts, 1980–2013 (Source: US Bureau of the Census 2014a)

600 500

US$ billion

400 300 200 100 0 2006

2007

2008

Private residential

2009

2010

2011

2012

Private non-residential

2013

Public

Fig. 5 US housing spending, 2006–2013 (Source: US Bureau of the Census 2014b)

Market Competitiveness of Tropical Wood Products Tropical Hardwood Market Applications Tropical hardwoods are widely regarded as providing the benchmark for technical and aesthetic performance in a number of higher-value market applications. Tropical hardwoods can be divided into three broad groups based on the combination of their natural durability, density, and aesthetics (Oliver and Donkor 2010): • High-density woods used mainly in construction (e.g., keruing, greenheart, ekki, and iroko) • Low- to medium-density utility woods used mainly for external joinery, shop-fitting, and mid-priced furniture (e.g., Shorea spp. such as Bangkirai, Meranti, Lauan, Seraya, Balau, and Philippine mahogany, as well as Limba, Niangon, and rubberwood)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015 900

Building permits index

800 700 600 500 400 300 200 100 0 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 EU total France

Germany Italy

Ireland Netherlands

Spain UK

Fig. 6 EU building permits index, selected EU countries, 2004–2013 (Source: Eurostat. Note: Annual data index 2010 = 100)

Housing starts (1,000 units)

1800 1600 1400 1200 1000 800 600 400 200

Wooden housing starts

2013

2012

2011

2010

2009

2008

2006

2007

2005

2004

2003

2002

2001

2000

1998

1999

1997

1996

0

Total housing starts

Fig. 7 Japan housing starts, 1996–2013 (Source: Japan Lumber Reports, various issues)

• Decorative woods used for high-quality furniture, interior joinery, and flooring (e.g., teak, Khaya spp., Dalbergia spp., Aningeria spp., makore, sapele, walnut, iroko, utile, merbau, and jatoba) Oliver and Donkor (2010) noted that the use of tropical hardwoods in the large wood-consuming markets of industrialized countries has focused increasingly on either decorative applications or highexposure applications (e.g., external joinery, boatbuilding, and marine works). This is due to the relative abundance of temperate hardwood and softwood species now suitable for structural and joinery applications as a result of innovation to extend their range of applications. Competitive Threats Tropical hardwoods face a number of competitive threats in export markets from both wood-based and non-wood products. These are described in detail in Oliver and Donkor (2010). A major competitive threat for tropical hardwoods is the ongoing efforts to improve the technical and aesthetic characteristics of softwoods and temperate hardwoods with the intention of mimicking the

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

aesthetic qualities, durability, and strength of tropical hardwoods. New wood-based composite products manufactured from small-diameter logs, woodchips, and sawdust have also emerged as a threat to solidwood tropical hardwoods, particularly plywood. Many of these alternative products are sold with certification from the Forest Stewardship Council or the Programme for the Endorsement of Forest Certification to increase their marketability. Some of these wood-modification products and processes are: • Engineered wood products, such as glulam, laminated veneer lumber (LVL), I-joists, and oriented strand board (OSB), which have extended the structural applications of softwoods and temperate hardwoods. • Heat treatment, which enhances the durability and stability of softwoods for use in applications such as decking, garden furniture, and external cladding. • Acetylation, which also enhances the durability and stability of softwoods and is being marketed for exterior joinery, particularly windows, doors, conservatories, and cladding. • Impregnation processes such as Indurite, which has been designed to improve the durability and hardness of species such as radiata pine. • Surface technologies such as high-pressure laminates, continuous-pressure laminates, thermally fused melamine, decorative paper-based foils, decorative vinyls/3-D laminates, and direct printing. These technologies can give composite panels the appearance of natural wood at a significantly lower price. • Wood–plastic composites, which combine plastics and wood residues and are used extensively in outdoor decking in the US market. Although product and process innovations have yet to fully close the gap between the performance characteristics of tropical hardwoods and those of alternative wood and non-wood products, significant resources are being used by companies in industrialized countries to improve processes and extend capacity. Tropical-hardwood producer countries generally lack equivalent access to such technologies, which are a significant threat to the competitiveness of tropical hardwood products. This threat will be intensified by breakthroughs arising from the convergence of high-tech and capital-intensive areas of research, such as biotechnology, nanotechnology, and information and communication technology, which are having an increasing impact on product performance. Innovation in non-wood alternative materials, such as cement/concrete products, steel, aluminum, plastics and, to a lesser extent, ceramic tiles, glass, gypsum, and natural stone, is also driving substitution in a number of applications. The range of applications in which non-wood materials are in competition with tropical hardwoods includes: • Construction (e.g., framing, partitions, roof members, window frames, door frames, and civil works) • Interior applications (e.g., quality furniture, flooring, skirting, ceilings, staircases, handrails, balusters, doors, windows, quality joinery, paneling, architraves, kitchen joinery, and worktops) • Exterior applications (e.g., garden furniture, doors, windows, decking, balusters, storefront frames, and staircases) • Industrial applications (e.g., floors, partitions, acoustic barriers, sea defenses, transport, fencing, and tool handles) Wood products, particularly tropical hardwoods, are generally relatively highly priced commodities in the construction sector compared with non-wood substitutes. Wood-based products also have particular performance constraints compared with other materials but perform well on issues such as energy content, aesthetics, thermal insulation, durability, and health.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

A number of environmental policy measures introduced by consumer countries are also threatening the competitiveness of tropical wood producers (see Chapter, “▶ Forest Products Market Policy Issues”), given the comparatively small volume of certified tropical wood products available in international markets. However, certification also presents an opportunity to create new markets for tropical hardwoods from well-managed forests (Oliver and Donkor 2010). Further threats are presented by the low levels of investment in wood technology, marketing, and research and development in tropical producer countries. The preponderance of small- and medium-sized enterprises (SMEs) in tropical wood processing threatened the competitiveness of tropical producers during the global financial crisis; SMEs were exposed because of limitations to their access to finance, negotiating power and ability to respond quickly when markets recovered. The rationalization and downsizing of many tropical wood-processing industries, however, is likely to have increased the overall competitiveness of the sector (Maplesden et al. 2013). The growing trend towards the integration of the supply-chain network in the wood product sector (e.g., IKEA and B&Q) has implications for the competitiveness of tropical wood producers, particularly given the interdependence and complexity of global and regional supply chains. Disruptions to supply chains caused by large-scale natural disasters, conflict, political unrest, and terrorism have consequences throughout the supply-chain network, with many tropical producer countries categorized as “high risk” in corruption and general country competitiveness indices (World Economic Forum 2014; Transparency International 2013)

Consumer Perceptions of Tropical Wood Products A number of surveys of consumer attitudes to wood-based products have been conducted in consumer countries (e.g., Rametsteiner et al. 2007; Toppinen et al. 2013). The general conclusions are that wood is appreciated for its qualities of warmth, naturalness, and beauty, as evidenced by the resources used by other competing sectors to mimic those qualities. While there are significant concerns about the performance of wood as a structural material, there is a strong preference for appearance wood products in furniture and other interior applications, although fashion trends dictate species and material preferences to a certain extent. However, Rametsteiner et al. (2007) found marked differences in Europe in perceptions of domestic wood compared with tropical wood, with consumers generally considering the use of tropical wood to be harmful to the environment. Toppinen et al. (2013) noted the growing body of literature indicating that many present-day consumers perceive an additional benefit arising from the social and environmental sustainability of products they purchase, possibly associated with suppliers’ corporate responsibility or corporate social responsibility policies. However, purchasing decisions are complex, and consumers consistently state that environmental attributes are less important than other attributes, such as quality, price, and design. Surveys indicate that consumers have negative opinions of tropical hardwoods, based on limited knowledge. There is a low level of awareness of the concept of sustainable forest management (SFM) and its application in tropical countries, and a general assumption that using more wood means that more deforestation will occur. Environmental certification is perceived to be more important for tropical wood products than for nontropical wood, with consumers more willing to pay premiums for high-quality and specialist assortments, particularly tropical wood (Rametsteiner et al. 2007). It is widely acknowledged that specifiers (architects and designers) generally have negative perceptions of the environmental attributes of tropical wood products but more positive perceptions of their natural technical performance and aesthetics. Although a few trade associations (such as the Malaysian Timber Council) and other organizations are actively involved in promoting tropical wood products, the tropical wood sector needs to devote considerable resources to marketing the significant strengths of tropical wood products in order to Page 8 of 23

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maintain and grow market share. The key elements of a generic, design-led promotion campaign are discussed in Oliver and Donkor (2010). On a positive note, the considerable efforts now being undertaken to achieve forest certification in tropical producer countries could overcome some of the negative public perceptions of tropical hardwoods. In addition, the further development and wider application of life cycle analysis could benefit the tropical hardwood industry and send strong positive marketing messages to consumers.

Production, Consumption and Trade Trends Industrial Roundwood (Logs) Tropical industrial roundwood (log) production amounted to 176.9 million m3 in 2012, with over 60 % of production in the Asian region1 (Table 1). Four countries – Brazil, India, Indonesia, and Malaysia – accounted for about two-thirds of production. Brazil accounts for the bulk (77 %) of production in the Latin America/Caribbean region, almost all of which is consumed domestically. Indonesia produces one-quarter of the world’s tropical logs and the Asia-Pacific region about 59 % of global production. Tropical log production has been affected by historical overexploitation of forests and by SFM initiatives that have reduced the volume of wood available for commercial harvest. More detailed information on tropical log production is available in FAO (2011), (2014), and ITTO (2013). Some of the major trends in the tropical log trade are as follows (ITTO 2013): • A significant proportion of the global trade in tropical primary wood products (logs, sawnwood, veneer, and plywood) is concentrated in the Asia-Pacific region. In 2012, the major directions of the tropical log trade were from Papua New Guinea (PNG) and the Solomon Islands to China and from Malaysia and Myanmar to India (Fig. 8). African exporters such as the Republic of the Congo, Cameroon, and Mozambique were also important suppliers of tropical logs to China. • The major directions of trade in tropical logs have changed considerably in the last 20 years. Many of the major producer countries have introduced log export restrictions (see Chapter, “▶ Forest Products Market Policy Issues”), and the bulk of import demand has shifted from Japan, and to a lesser extent EU countries, to mainly China and India. Japan’s demand for tropical logs, which were used predominantly in Japan’s plywood industry, declined markedly following the growth in imports of low-priced Indonesian plywood, with which Japan’s tropical plywood industry was unable to compete. • China and India have strengthened their positions as the dominant tropical log importers, accounting for over 86 % of world imports in 2012, compared with 22 % in 1995 (when Japan dominated the trade) and 46 % in 2000. • China has diversified its tropical log sources (Table 2), but a significant proportion is from countries considered to be “high risk” in terms of legality documentation, particularly Myanmar, PNG, and the Solomon Islands. This poses significant challenges for China’s export-oriented wood-processing industries, particularly the wooden furniture industry.

1

There are limitations in the quality of official data for tropical industrial roundwood (and sawnwood) production because many tropical producer countries lack systems to measure both forest and industrial outputs, while many consumer countries are unable or unwilling to distinguish the processing of tropical timber from all timber processing. Production data is often based on estimates, and the dominance of small- and medium-sized enterprises in the tropical wood processing industries means that production figures from such numerous, small-scale operations are likely to be underestimated. Apparent domestic consumption figures are also suspect as they are derived from “production plus imports minus exports.” Page 9 of 23

0.1 INA -CH A I .1 MB A0 GA HIN A-C I R E LIB .1 A0 HIN C 2 . NIN A0 0.6 0.1 BE IN A A IN CH H IN A -C AN CH 1 GO GH C. 0. N R CO D. .1 DIA 0 IN A DI REIN I AN VO I A D’ GH E T CO 3

-C

M

ZA

* MYANMAR-INDIA 1.2 MYANMAR-CHINA 0.5 LAO-CHINA 0.1 MALAYSIA-CHINA 0.4 MALAYSIA-TAIWAN P.O.C. 0.4 MALAYSIA-JAPAN 0.2

MALAYSIAINDIA 2.0

P.N. G. Re

1. 2 REA KO of 2.5 p. INA CH . P. N. G

CHINA 1.9 ds NIs O M LO

Fig. 8 Major trade flows, tropical logs, 2012 (million m3) (Source: COMTRADE. Note: Major directions of trade, as recorded by major exporting countries)

M

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UE

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BI

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Table 2 China imports of tropical logs, by country of origin, 2006–2013 (1,000 m3) PNG Solomon Islands Myanmar Congo Cameroon Equatorial Guinea Malaysia Mozambique Lao PDR Ghana Gambia DRC CAR Liberia Vietnam Guyana Togo Guinea Gabon Indonesia Panama

2006 2,064.3 774.8 1,026.9 367.0 299.2 381.0 1,412.4 126.5 31.2 0.0 0.6 4.3 22.4 0.0 138.8 64.1 0.7 0.0 958.0 35.8 0.8

2007 2,341.0 1,049.2 718.0 331.4 249.6 487.9 1,331.4 211.6 57.0 0.6 13.7 6.9 13.9 0.0 216.6 61.8 17.5 0.1 1,149.9 22.4 1.5

2008 2,229.7 1,158.9 490.3 394.8 201.3 249.4 816.7 157.3 31.0 1.4 0.0 24.0 33.7 0.2 57.4 50.4 53.3 3.6 1,076.8 13.5 4.1

2009 1,659.4 1,124.4 370.9 436.3 246.4 22.5 721.8 121.5 44.6 2.5 0.1 18.1 30.4 0.1 22.3 19.3 58.8 3.9 1,103.0 8.3 2.2

2010 2,477.8 1,454.7 432.9 485.6 400.1 217.5 955.6 233.1 67.4 18.1 19.2 45.0 56.7 0.7 41.4 50.6 93.7 8.6 738.6 6.8 5.9

2011 2,799.0 1,774.4 687.6 621.0 333.7 300.7 551.5 230.0 107.9 39.7 84.8 67.0 64.2 47.8 134.7 49.6 74.7 8.0 22.7 17.2 20.1

2012 2,581.0 1,916.3 616.7 614.2 393.0 351.2 436.7 322.5 109.7 125.0 149.2 88.2 84.4 153.0 87.5 40.0 61.8 10.6 36.2 15.7 15.0

2013 2,751.8 2,035.9 970.1 502.1 435.1 431.4 386.5 346.4 205.3 132.4 123.3 83.4 77.1 63.0 52.8 45.5 39.2 15.8 14.6 11.8 7.3

Source: World Trade Atlas Note: PNG Papua New Guinea, Lao PDR Lao People’s Democratic Republic, DRC Democratic Republic of the Congo, CAR Central African Republic

Table 3 Tropical sawnwood balance in tropical producer regions (Asia-Pacific, Latin America/Caribbean, and Africa) (million m3) Asia-Pacific Production Imports Exports Apparent consumption Latin America/Caribbean Production Imports Exports Apparent consumption Africa Production Imports Exports Apparent consumption

1995

2000

2005

2010

2011

2012

23.23 2.68 4.79 23.80

21.43 1.56 4.41 18.58

19.19 2.67 6.60 15.26

18.67 2.02 7.49 13.20

18.36 2.65 5.89 15.12

18.00 2.86 5.75 15.11

16.31 0.08 1.17 15.22

15.82 0.09 1.11 14.80

16.74 0.14 2.21 14.67

18.74 0.24 1.28 17.70

18.86 0.27 1.65 17.48

18.97 0.16 1.08 18.05

2.10 – 1.93 0.17

4.25 0.01 1.72 2.54

4.68 – 1.74 2.94

5.21 0.02 2.13 3.10

5.52 – 2.19 3.33

5.49 0.01 1.74 3.76

Source: ITTO Statistics Database Note: Tropical producer regions include ITTO member countries only Page 11 of 23

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

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Fig. 9 Major trade flows, tropical sawnwood, 2012 (million m3) (Sources: ITTO Statistics Database, COMTRADE. Note: Major directions of trade, as recorded by major exporting countries)

• In contrast to China, whose tropical log imports constitute only 18 % of total log imports, India’s imports are predominantly tropical hardwood (54 %), with a strong preference for teak. • Tropical log exporters in the African region have shifted their focus to markets outside the EU, particularly China and to a lesser extent India. • A number of tropical producer countries – particularly Cameroon, the Democratic Republic of the Congo, Côte d’Ivoire, Gabon, Honduras, Malaysia, PNG, the Solomon Islands, and Thailand – export a significant proportion of their primary wood product production. China and India acted as buffers for tropical exporters during the global financial crisis, when log demand contracted sharply in Western economies in response to a steep contraction in construction activity and consumer spending.

Sawnwood The Asia-Pacific and Latin America/Caribbean regions accounted for 42 % and 45 %, respectively, of world tropical sawnwood production in 2012 (Table 3). Brazil, the largest country producer, accounted for 85 % of Latin America/Caribbean’s tropical sawnwood production, almost all of which was consumed domestically. Although many producer countries in the African region have introduced log export restrictions and requirements for further processing, the region accounts for only a small proportion of world sawnwood production. Some of the major trends in the tropical sawnwood trade are as follows:

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 10 Tropical sawmill and secondary wood-processing plant, Brazil (Photo: Gerson Baldasso)

• The tropical sawnwood trade is dominated by trade within the Asian region, with China and Thailand the major importers and Indonesia, Lao PDR, Malaysia, and Thailand the major exporters (Fig. 9). • China’s tropical sawnwood imports grew substantially in the 4 years to 2013, amounting to over four million m3 in that year. The rise in tropical sawnwood imports has been in response to log export restrictions in tropical and temperate producer regions (particularly Russia and Gabon) and growing demand for sawnwood in China’s furniture and flooring industries and because imported tropical sawnwood has become more cost competitive than tropical sawnwood manufactured in China. Imported tropical sawnwood is mainly used in furniture, interior decoration, and home improvement and is more sensitive to the export market environment than is softwood sawnwood, which is used primarily in domestic construction. • Malaysia has a diverse range of tropical sawnwood export markets, which has been a key export strategy for Malaysian suppliers. Of note has been a developing trade with Middle Eastern markets, which have no significant restrictions or barriers to wood product imports. • Thailand has more restricted market destinations for its exports, which are overwhelmingly to China. Thailand’s tropical sawnwood exports are predominantly of lower-cost, plantation-grown rubberwood. • Thailand is also a significant importer of mainly structural tropical sawnwood from Cambodia, Lao PDR, and Malaysia. In Lao PDR, for example, high demand for sawnwood from neighboring countries such as Thailand and Vietnam, and a suspected high incidence of illegal logging and poor governance, means that the Lao PDR trade is likely to be underestimated. • The EU (particularly the Netherlands, Belgium, France, the UK, Italy, Spain, and Germany) has traditionally been an important market for tropical sawnwood, particularly from the African region. Supplies have increasingly been diverted to China and other emerging markets, however, in response to ongoing weak demand caused by the economic uncertainty arising from the euro area crisis and market uncertainty regarding the implementation of the EU Timber Regulation. • There are frequent discrepancies in tropical sawnwood trade statistics, with some major anomalies in importing and exporting countries’ official figures (Fig. 10).

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

Table 4 Tropical plywood balance, tropical producer regions (Asia-Pacific, Latin America/Caribbean, and Africa) (million m3) Asia-Pacific Production Imports Exports Apparent consumption Latin America/Caribbean Production Imports Exports Apparent consumption Africa Production Imports Exports Apparent consumption

1995

2000

2005

2010

2011

2012

13.62 0.14 12.15 1.61

14.38 0.06 11.31 3.13

11.51 0.18 7.14 5.45

10.49 0.19 6.05 4.63

10.12 0.19 4.93 5.38

10.19 2.65 5.47 7.37

1.26 0.01 0.73 0.54

1.27 0.62 0.80 1.09

1.74 0.22 0.99 0.97

0.91 0.18 0.24 0.85

0.87 0.18 0.18 0.87

0.90 0.18 0.15 0.93

0.22 – 0.08 0.15

0.37 – 0.20 0.17

0.43 0.01 0.14 0.30

0.41 0.01 0.22 0.20

0.43 0.01 0.18 0.26

0.46 0.01 0.17 0.30

Source: ITTO Statistics Database Note: Tropical producer regions include ITTO member countries only

Wood-Based Panels Plywood is the major tropical wood-based panel product, although its production and trade has declined since the 1990s, when tropical plywood dominated the trade in wood-based panels. Some of the major production trends include: • A shift in the major production bases from Japan (which was the dominant plywood producer and importer of tropical logs until the early 1990s) and Indonesia to Malaysia and China. • The decreasing availability of large-diameter, peeler-quality logs for plywood production. • Significant changes in production technology, allowing the use of lower-quality substrates to produce combi-plywood products. • Rising production costs, particularly prior to the global financial crisis, as the costs of glue, peeler logs, and labor (particularly in China in recent years) increased considerably. • The availability of panel substitute products such as softwood plywood, birch and poplar plywood, OSB, LVL, I-beams, wood–plastics composites, and veneered MDF, which have reduced market share, put downward pressure on tropical hardwood plywood prices and put severe pressure on producers to cut costs. Japan’s plywood industry has transitioned from tropical to softwood plywood production. Technological developments have enabled the production of Russian larch and Japanese sugi and larch veneers, and the Japanese market has become more accepting of softwood plywood products. Tropical plywood production is predominantly (over 85 %) in the Asia-Pacific region, with Indonesia and Malaysia accounting for over 65 % of production in all tropical producer countries. China is now the world’s largest producer of tropical (and nontropical) plywood, accounting for 56 % of world plywood production and 33 % of world tropical plywood production in 2012. Most tropical plywood produced in China is consumed domestically, although 30 % of production is estimated to be exported indirectly in the form of furniture and other SPWPs (Xiaoyu 2011) (Table 4). Page 14 of 23

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

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Fig. 11 Major trade flows, tropical plywood, 2012 (million m3) (Source: COMTRADE. Note: Major directions of trade, as recorded by major exporting countries)

The tropical plywood trade is dominated by relatively few major players (Fig. 11). Japan is the dominant importer, although import levels have halved since the 1990s. The Republic of Korea, Taiwan Province of China, the USA, and the EU countries are important importers. US imports declined sharply in 2009 because of the collapse in the housing market there. US imports have also been affected by formal investigations of the legality of wood products from China (see Chapter “▶ Forest Products Market Policy Issues, Trade-related Policies”); the perceived risks to importers of noncompliance with the Lacey Act, which requires importers to ensure that their imports of plant products, including tropical plywood, are from legal sources; the introduction of stringent control measures on formaldehyde content in composite board products (see Chapter “▶ Standards and Transport, Formaldehyde Emission Standards”); and increased demand for green building products.

Paper, Paperboard, and Wood Pulp The global pulp, paper, and paperboard industries have been challenged in recent years by falling or static demand in Europe, Japan, and North America; overcapacity in several pulp, paper, and paperboard grades; growing competition from global media, including Internet-based advertising, e-books, and e-readers; and consequent reductions in hard-copy newspaper circulations and page counts. There has been a significant rationalization of pulp and paper capacity in developed countries but an ongoing expansion in Asian pulp, paper, and paperboard capacity. This is especially so in China, although tropical Asian countries – particularly Indonesia – have also become major producers and exporters. The Latin American/Caribbean region has had significant capital investment, particularly in pulp production infrastructure. Page 15 of 23

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

Table 5 Paper and paperboard balance, tropical producer regions (million tonnes) Asia Production Imports Exports Apparent consumption Latin America/Caribbean Production Imports Exports Apparent consumption Africa Production Imports Exports Apparent consumption

1995

2000

2005

2010

2011

2012

10.71 3.84 1.47 13.08

16.58 4.81 3.94 17.46

19.71 7.56 4.64 22.63

30.40 9.33 6.11 33.62

30.76 10.07 6.03 34.80

31.65 10.24 5.77 36.11

12.49 4.18 1.82 14.85

14.83 6.56 1.75 19.64

18.53 7.21 3.23 22.51

19.77 8.85 3.37 25.26

20.18 9.06 3.36 25.88

20.22 9.05 3.13 26.13

2.68 1.39 0.54 3.54

3.51 1.73 0.63 4.61

3.78 3.23 1.07 5.94

3.82 4.08 0.88 7.02

3.48 4.46 0.70 7.24

3.72 4.04 0.63 7.14

Source: FAOSTAT Note: Asia includes Southeast Asia and South Asia. Latin America/Caribbean includes the Caribbean, Central America, and South America, as defined by FAOSTAT

Table 6 Wood pulp balance in tropical producer regions (million tonnes) Asia Production Imports Exports Apparent consumption Latin America/Caribbean Production Imports Exports Apparent consumption Africa Production Imports Exports Apparent consumption

1995

2000

2005

2010

2011

2012

3.87 1.76 0.69 4.94

6.95 1.93 1.77 7.11

8.59 2.37 2.69 8.27

10.08 3.22 2.71 10.59

10.90 3.56 3.15 11.31

10.98 3.86 3.44 11.40

9.48 1.53 3.78 7.23

11.53 1.39 5.10 7.81

15.06 1.70 8.40 8.36

20.96 1.90 13.32 9.54

21.46 1.97 13.98 9.46

21.80 1.94 14.27 9.47

2.42 0.27 0.73 1.95

2.81 0.30 1.10 2.00

2.63 0.33 1.02 1.94

2.72 0.51 1.09 2.14

2.71 0.54 1.10 2.15

2.63 0.56 0.98 2.21

Source: FAOSTAT Note: Asia includes Southeast Asia and South Asia. Latin America/Caribbean includes Caribbean, Central America, and South America, as defined by FAOSTAT

Tables 5 and 6 show production, trade, and apparent consumption of pulp, paper, and paperboard in tropical regions. Brazil has invested heavily in the production of Eucalyptus kraft pulp, printing and writing paper grades, tissue, and other paper-related products. Brazil’s production of pulp, paper, and paperboard

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

Table 7 Paper, paperboard, and wood pulp exports by major tropical country producers, 2012–2013

Paper and paperboard Indonesia Brazil Mexico Malaysia Wood pulp Brazil Indonesia Thailand Mexico Malaysia

(US$ million) 2012

2013

3,994 2,017 1,448 1,094

3,836 2,030 n/a 1,048

4,706 1,547 74 73 42

5,186 1,846 n/a n/a 45

Source: COMTRADE Note: n/a not available

reached 24.1 million tonnes in 2012, with pulp production totaling 13.9 million tonnes, of which over 60 % was exported (UNECE 2013). Nearly two-thirds of printing and writing paper production is consumed domestically. Indonesia was the largest tropical country exporter of paper and paperboard in 2013 (Table 7), although the country is also a significant importer and consumer of paper and paperboard. About half of Indonesia’s paper and paperboard exports, by value, comprised uncoated paper and paperboard; coated papers, sanitary and household papers, and carbon papers were also important export items (COMTRADE). Indonesia’s major paper and paperboard export markets in 2013 were, in descending order by value, Japan, Malaysia, the USA, Vietnam, and the Philippines, although Indonesia also exports to a diverse number of other Asia-Pacific destinations as well as the Middle East. The Indonesian pulp-and-paper industry has been heavily criticized in the past by nongovernmental organizations such as Greenpeace, the Rainforest Action Network, and the World Wildlife Fund for the widespread deforestation occurring in Sumatra and the replacement of natural forests in some areas with large plantations of Eucalyptus and Acacia species. The effects of deforestation on indigenous peoples and community groups have generated additional concerns (Forest Peoples Programme 2013).

Secondary Processed Wood Products SPWPs comprise wooden furniture and parts, builders’ woodwork and joinery (which includes windows, doors, flooring, and paneling), wooden moldings, and “other” SPWPs (comprising a wide variety of products such as picture frames, tableware, kitchenware, and other small wooden items). Monitoring the production and trade of tropical SPWP items is inherently difficult because most SPWP items are not classified by species in the Harmonized System (HS) of code classification (COMTRADE). SPWP items may be composite products composed of a combination of species and products, such as veneer, MDF, plywood, sawnwood, and a variety of non-wood products such as plastics and steel. Although data on the production volume of tropical SPWPs are unavailable, country-level anecdotal information (ITTO MIS) suggests that China and Vietnam are now the major tropical SPWP manufacturing “hubs,” while Malaysia, Indonesia, and Thailand are also important tropical producers using significant volumes of plantation timbers, including rubberwood (notably in Malaysia and Thailand), plantation teak (notably in Indonesia), and acacia (notably in Malaysia and Indonesia) (Oliver 2013). EU wooden

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Value (US$ million)

6000 5000 4000 3000 2000 1000 0 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 US Australia United Arab Emirates

Japan Malaysia Hong Kong

UK Canada

Fig. 12 China’s exports of wooden furniture and parts, 2000–2013, by major importing country (Source: World Trade Atlas. Note: Wooden furniture and parts include the following HS codes: 9401.61; 9401.69; 9403.30; 9403.40; 9403.50; 9403.60)

joinery and furniture manufacturers (particularly Italy and France) have also produced significant quantities of furniture and joinery products from tropical primary wood product imports. Some important trends in SPWP manufacturing and trade are as follows: • The dominant markets for SPWPs are the developed economies – notably the USA, EU countries, and Japan. Global demand for wooden furniture and joinery products follows trends in housing starts and consumer spending in those countries. • The USA is the largest country importer of SPWPs, accounting for about one-quarter of world imports, predominantly wooden furniture and parts. • Structural changes have been occurring in the furniture and joinery industries in many EU countries because imported products from Asia have become more cost competitive in many market niches. • China’s domination of the SPWP trade has been rapid, particularly in wooden furniture and parts, which is the largest category of SPWPs and accounts for 60 % of the global SPWP trade by value (Fig. 12). China’s wooden furniture (and other SPWP) production is based on imported raw material inputs from tropical and nontropical suppliers. • Chinese producers have been moving up the value chain to produce higher-value products; rising input costs have resulted in the relocation of some manufacturing capacity to lower-cost producer countries such as Indonesia, Malaysia, and Vietnam. • Vietnam’s production of wooden furniture is reliant on imports of raw materials; it is now the largest tropical exporter of SPWPs (Fig. 13). Vietnam’s export market destinations are the most diverse of the tropical exporters, comprising over 100 countries, although the major markets are the USA, the EU, and Japan.

Price Trends Tropical wood price trends vary widely depending on the market subsector and end-use activity in the particular subsector. Some of the other major price trends are as follows: • Tropical log and sawnwood prices have shown high volatility since 2008, particularly during the global financial crisis in 2008 and 2009, with fluctuating supply-side and demand-side factors influencing prices. These marked price swings had not been seen since the Asian financial crisis in 1997–1998.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 13 Major trade flows, SPWPs from tropical producer countries, 2012 (US$ million) (Sources: ITTO Statistics Database, COMTRADE. Note: Major directions of trade, as recorded by major tropical producer countries. Trade flows from China, a proportion of which may include wood products of tropical origin, are not included in this map)

• Tropical log, sawnwood, and plywood prices rose significantly between 2007 and mid-2008, coinciding with a period of increasing global demand and as supplies of tropical logs became more restricted. Freight rates also pushed up prices, with maritime freight rates reaching historic highs in early 2008. • From mid-2008, tropical log, sawnwood, and plywood prices underwent a major reversal as demandside factors became dominant, with prices plunging until early 2009, when the global financial crisis reached its height. Freight costs also declined, relieving upward pressure on prices from rising freight costs, which were evident in the precrisis period. • In 2009, prices fluctuated but remained relatively low, rising periodically as importers restocked their inventories following low purchasing activity and in the light of relatively buoyant demand in China and India. • In 2010, log and sawnwood prices increased rapidly as demand remained strong in India (for infrastructure projects) and China (as a replacement for Russian logs and as demand picked up in China’s SPWP export markets) and as supply was disrupted following the introduction of log export restrictions in Gabon and political unrest in Côte d’Ivoire, in addition to unseasonal weather conditions in Malaysia. Prices stabilized somewhat in 2012 and 2013, although they still varied in response to fluctuating demand in the EU and Asian markets. • There are significant price differentials between tropical hardwood logs and temperate hardwood and softwood logs, reflecting the quality and increasing scarcity of tropical logs compared with other species.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 14 Small door manufacturing enterprise, Ghana (Photo: Douglas Patti)

Participation of Society in Forest Product Markets National Market Structures While formal wood sectors in many tropical producer countries have focused primarily on export markets, informal markets – which have been described as a “diversion of economic transactions beyond the reach or boundaries of state and formal economic structures” – are relatively common in tropical producer countries and may account for a significant proportion of wood use. Informal markets operate where the formal wood sector is unable to meet domestic/local wood products demand. In the African region, for example, the informal sector has become dominant in meeting the needs of the local market; typically it involves a number of informal wood product traders and related operators, such as sawmillers, carpenters, and illegal chainsaw operators (ITTO 2010). Informal markets, which are predominantly artisanal in nature, are characterized by a diverse range of products and activities; unrecorded, though open, transactions; a lack of regulation and the prevalence of noncontractual relationships; ease of entry and often marginal operators; and the coexistence of waged, partially waged, and family forms of labor. These characteristics make it difficult to track the activities of operators and to estimate the size of the market. Informal wood product markets mean a lack of income for national governments and unfair competition with the formal sector. The lack of transparency and capacity to regulate the informal market makes it difficult to develop sustainable wood product value chains (Fig. 14). In the Congo Basin, for example, wood processing through to the finished product is carried out mainly in the informal sector, which is not governed by the same rules of taxation, traceability, work specifications, and requirements as the formal industrial sector. The informal sector is considered to be extremely competitive with the formal sector, given that large-scale forest enterprises are only marginally interested in local markets and the business environment is unfavorable for investment. ATIBT et al. (2013) suggested an approach to tackle the problem of integrating the formal and informal economies in the Congo Basin, which may also be applicable in other countries. It involves developing a wood-processing strategy with four priority areas: “a firm political will and a favourable business climate; facilitated access to inputs; creation of a structured value chain; and the structuring of profitable formal markets.”

Indigenous and Ethnic Minority Issues Schemes to market payments for environmental services (PES), such as REDD+, have the potential to enhance the incomes of local communities in tropical producer countries. However, the lack of Page 20 of 23

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_251-1 # Springer-Verlag Berlin Heidelberg 2015

Fig. 15 Forest dweller, Guyana (Photo: ITTO)

involvement of indigenous groups and local communities in the implementation of such schemes has raised concerns about the fair distribution of potential benefits. At the heart of such concerns is the issue of clarity of forest tenure and ownership, which has long been associated with deforestation and forest degradation. Unclear or contested tenure means that the contracts and benefits associated with PES schemes may accrue to relatively few large forest owners, local and national elites, and non-forest stakeholders (Angelsen 2009). Less-powerful claimants, such as indigenous and other minority groups, may lose out. In many tropical developing countries, tenure is not clear and is subject to dispute, and the issues of customary practices and indigenous rights are not addressed consistently. People living in forests continue to claim customary rights, even though states often do not recognize such claims to vast areas of forest. Indigenous groups and other traditional forest dwellers often reject state control over forests they view as their own (Fig. 15). Despite these issues, Blaser et al. 2011 noted that there had been many recent developments in forest tenure and ownership in response to a general movement to involve local communities more closely in decisions about the future of the forests, moves to address past injustices, and the realization that clear tenure is a prerequisite for SFM. The trend towards greater ownership by indigenous and other local communities is most pronounced, by far, in Latin America and the Caribbean. However, in most countries in West and Central Africa, the state has claimed legal title since the colonial period, although the customary ownership of the same areas dates back centuries. This disconnection between the legal and customary systems in Africa is a hindrance to SFM and restricts the capacity of local communities to pursue development opportunities. In Asia, the overwhelming majority of forest is owned by the state, although almost all forest is under indigenous or community ownership in the Pacific Island states of Fiji, PNG, and Vanuatu. Another issue restricting the ability of indigenous and minority groups to realize the market benefits of PES schemes is the complexity of financial transactions involved in global carbon trade, which reduces the ability of local communities to participate. The widespread development of pulp-and-paper and oil palm plantations in Indonesia and Malaysia has generated conflicts with a number of indigenous and community groups, particularly when forest concession areas have been allocated for plantation establishment with limited consultation with forest dwellers and community groups. The resulting deforestation has generated considerable conflict and resulted in the loss of local communities’ livelihoods, particularly where tenure rights are unclear (Forest Peoples Programme 2013).

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References Angelsen A (ed) (2009) Realising REDD+. National strategy and policy options. Center of International Forestry Research, Bogor, 362 pp ATIBT, FAO, ITTO (2013) Towards a development strategy for the wood processing industry in the Congo Basin. White paper. September 2013. Available at: http://www.fao.org/forestry/39002010ec7dd5c210472033dbaed89c73abb9.pdf. Accessed 3 Apr 2014 Blaser J, Sarre A, Poore D, Johnson S (2011) Status of tropical forest management 2011. International Tropical Timber Organization, Yokohama, Available at: http://www.itto.int/sfm/. Accessed 31 Mar 2014 European Commission (2014) European economic forecast winter 2014. European Commission, Brussels, Available at: http://ec.europa.eu/economy_finance/publications/european_economy/2014/ pdf/ee2_en.pdf. Accessed 22 Mar 2014 FAO (2011) Southeast Asian forests and forestry to 2020. Subregional report of the second Asia-Pacific forestry sector outlook study. Food and Agricultural Organization of the United Nations, Bangkok, RAP publication 2010/20. Available at: http://www.fao.org/asiapacific/rap/nre/links/ forestry-outlook/en/. 199 pp FAO (2014) FAOSTAT Forestry 2014. Food and agricultural organization of the United Nations, Rome. Available at: http://faostat.fao.org/site/630/default.aspx Forest People’s Programme (2013) Community impacts of Asia pulp and paper’s pulpwood plantations in South Sumatra. Available at: http://www.forestpeoples.org/topics/pulp-paper/publication/2013/ community-impacts-asia-pulp-and-paper-s-pulpwood-plantations-sout. Accessed 1 Apr 2014 IMF (2014) World economic outlook (WEO) update: is the tide rising? International monetary fund January 2014. Available at: http://www.imf.org/external/pubs/ft/weo/2014/update/01/. Accessed 18 Mar 2014 ITTO (2010) Good neighbours: promoting intra-African markets for timber and timber products. ITTO technical series #35. International Tropical Timber Organization, Yokohama. Available at: http://www. itto.int/technical_report/. Accessed 3 Apr 2014. 112 pp ITTO (2013) Annual review and assessment of the world timber situation 2012. International Tropical Timber Organization, Yokohama, Available at: http://www.itto.int/annual_review/. 182 pp Maplesden F, Attah A, Tomaselli I, Wong N (2013) Riding out the storm: improving resilience of the tropical timber sector to the impacts of global and regional economic and financial crises. ITTO technical series #41. International Tropical Timber Organization, Yokohama. Available at: http:// www.itto.int/technical_report/. Accessed 23 Mar 2014. 148 pp Oliver R (2013) Imports of composite wood products into the EU and implications for the EU timber regulation: furniture sector focus. Chatham House, Energy Environment and Resources PP EER 2013/06. Available at http://www.chathamhouse.org./publications/papers/view/196956. Accessed 11 Mar 2014 Oliver R, Donkor B (2010) Leveling the playing field: options for boosting the competitiveness of tropical hardwoods against tropical substitute products. ITTO technical series #36. International Tropical Timber Organization, Yokohama. 164pp. Available at: http://www.itto.int/technical_report/. Accessed 23 Mar 2014 Rametsteiner E, Oberwimmer R, Gschwandt I (2007) What do Europeans think about wood and its uses? A review of consumer and business surveys in Europe. In: Ministerial conference on the protection of forests in Europe, 70pp Toppinen A, Toppinen R, Toivonen A, Valkeap€a€a A, R€amö A-K (2013) Consumer perceptions of environmental and social sustainability of wood products in the Finnish market. Scand J For Res 28(8):775–783, Available at: http://www.tandfonline.com/doi/full/10.1080/02827581.2013.824021#. UzDrP84UMQs. Accessed 25 Mar 2014 Page 22 of 23

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Transparency International (2013) Corruption perceptions index 2013. Available at: http://cpi.transpar ency.org/cpi2013/. Accessed 25 Mar 2014 UNECE (2013) Forest products annual market review 2012–2013. Geneva timber and forest study paper 33. United Nations Economic Commission for Europe. Forestry and timber section, Geneva. Available at: http://www.unece.org/fpamr2013.html. Accessed 1 Apr 2014 US Bureau of the Census (2014a) Available at: http://www.census.gov/construction/bps/uspermits.html. Accessed 20 Mar 2014 US Bureau of the Census (2014b) Construction spending. Available at: http://www.census.gov/construc tion/c30/c30index.html. Accessed 20 Mar 2014 World Bank (2014) Global economic prospects. Available at: http://www.worldbank.org/en/publication/ global-economic-prospects. Accessed 22 Mar 2014 World Economic Forum (2014) The global competitiveness report 2013–2014. Available at: http:// www3.weforum.org/docs/WEF_GlobalCompetitivenessReport_2013-14.pdf Accessed 25 Mar 2014 Xiaoyu Q (2011) State and development trend of China’s wood-based panel industry. In: Paper presented at “Perspectives on global wood products markets: potential and challenges”. Chinese Academy of Forestry, Beijing, 13–14 Oct 2011

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

Identifying the Causes of Tropical Deforestation: Meta-analysis to Test and Develop Economic Theory Stibniati Atmadjaa* and Erin Sillsb a Forests and Livelihoods, Center for International Forestry Research, Bogor, Jawa Barat, Indonesia b Department of Forestry and Environmental Resources, North Carolina State University, Raleigh, NC, USA

Abstract This chapter discusses methods for summarizing and distilling lessons from the empirical economics literature on tropical forestry, giving particular attention to the method of meta-analysis (“the study of studies”) and to the topic of tropical deforestation. Meta-analysis can be used to take stock of the literature, test hypotheses about the effects of explanatory variables on a dependent variable, and predict the value of a dependent variable across space and time. We discuss previous reviews of the literature on deforestation and then illustrate how to test hypotheses with meta-analysis. Specifically, we examine the so-called “winwin” hypothesis that economic development is good for both people (resulting in higher incomes) and forests (resulting in lower rates of deforestation). Consistent with previous literature reviews, we find that the drivers of deforestation vary by region. However, we reject the win-win hypothesis in all regions: meta-analysis of the literature clearly shows that there are trade-offs between development and forest conservation. In Latin America, there is some evidence for the alternative hypothesis of an “environmental Kuznets curve” of deforestation. The meta-analysis also reveals possible publication biases, including different patterns of results in economics versus other publication outlets, which are important to keep in mind when drawing conclusions from the literature.

Keywords Tropical deforestation; Meta-analysis

Introduction The rapid tropical deforestation of recent decades has attracted significant international concern (Asner et al. 2010; FAO 2012; Laurance et al. 2014). Compared to previous deforestation in the temperate zone, recent tropical deforestation is both more visible (from satellite imagery) and more controversial due largely to concerns about loss of the “global public goods” of biodiversity (Laurance 2007; Gibson et al. 2011) and carbon sequestration (Gullison et al. 2007; Harris et al. 2012). The resulting scientific interest in tropical deforestation has generated a large literature on its drivers, including many studies that employ an economic framework and methods. In this literature, deforestation is defined as the permanent conversion of tropical forests to other land uses, typically crops, plantations, and pasture. The land uses that replace forest and the actors who actually clear the forest are labeled “sources” and “agents” of deforestation. The studies that use an economic framework typically focus on how different factors affect the land use decisions of these agents. Studies vary in both their focus (location and time period) and their

*Email: [email protected] Page 1 of 27

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

methods (data sources and analytical approach). This variation makes it challenging to distill general conclusions and policy lessons from the literature. After presenting an economic framework for modeling deforestation, this chapter discusses methods for summarizing estimation results from such models, or “research synthesis.” We pay particular attention to a quantitative approach called “meta-analysis,” which means “the study of studies.” This method has been widely used in the social sciences since the 1980s, when it was adopted in response to concerns about researcher bias in traditional narrative literature review (Glass et al. 1981; Wolf 1986). Early applications in economics included meta-analyses of price elasticities (e.g., Tellis 1988) and nonmarket values (e.g., Loomis and White 1996). In this chapter, we summarize findings from previous reviews of the literature on tropical deforestation, and we present an example of meta-analysis for testing hypotheses about the relationship between deforestation and income. Kaimowitz and Angelsen (1998) proposed distinguishing (i) agents’ characteristics and decision parameters that are “direct drivers” of deforestation, from the (ii) “underlying causes” or indirect drivers of deforestation that shape agents’ characteristics and decision parameters. Studies in the first category typically employ one of three frameworks described by Pfaff et al. (2013): “(1) producer profit maximization with complete markets, focusing on spatial distributions of land uses,” “(2) rural farmer optimization with incomplete markets and heterogeneity in preferences and assets,” or “(3) public agency optimization given production and corruption responses by private firms.” All three frameworks posit that deforestation decisions are based on comparisons of the relative benefits of maintaining forest vs. alternative land uses (usually agriculture) in a particular location, considering the productivity of the land, prices, and regulations enforced in that location. The second framework adds household characteristics in contexts where markets are incomplete, and the third framework adds interactions between the public sector and influential private firms. The first two frameworks have motivated many econometric (regression) analyses relating the probability or extent of deforestation to four types of direct drivers (Geoghegan et al. 2001): 1. 2. 3. 4.

Biophysical characteristics that proxy for productivity, based on Ricardian theory Measures of distance or access to markets that proxy for prices, based on von Th€ unian theory The human, physical, and financial capital of households, based on household production theory Policies that vary across time, jurisdictions, or actors

Turning to the underlying causes or indirect drivers of deforestation, one starting point for this literature is the observation that across the globe, periods of rapid deforestation have been followed by periods of slow restoration of forest cover, the so-called forest transition (Rudel et al. 2005; Angelsen and Rudel 2013). One potential explanation for this historical regularity is that it reflects an underlying “environmental Kuznets curve” relationship between environmental degradation and income (Carson 2010; Dinda 2004; Choumert et al. 2013). In terms of tropical deforestation, the environmental Kuznets curve suggests that deforestation will first rise and then fall with income, reflecting factors such as the changing opportunity cost of labor for clearing forest and changing preferences for environmental quality. In general, the literature suggests that the relative importance of different direct and indirect drivers depends on the context. This is not surprising given that forests are being converted to different land uses by different types of agents in different parts of the tropics (Hosonuma et al. 2012). However, in order to guide the international policy response to tropical deforestation, it is important to identify common relationships and systematic patterns (across regions, time periods, or types of actors and land uses replacing forest) in the estimation results, controlling for differences in methodology. This can be accomplished with meta-analysis, which takes each model of deforestation reported in the literature as an observation. These observations are compiled in a database including parameter estimates Page 2 of 27

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

of the relationships between deforestation and various factors, characteristics of the study sites, and methodological characteristics of the studies.1 Ideally, the studies are identified through a systematic literature search, following a replicable protocol. Such systematic searches of the literature and metaanalyses are increasingly employed as tools to build the evidence base for policy-makers and civil society in domains ranging from medicine to criminal justice to environmental values and forest conservation (e.g., CEE 2014).

Research Synthesis Over the past quarter century, research synthesis has come to be viewed as a critical input to “evidencebased policy” or more broadly, “evidence-informed decision making.” The development of methods for research synthesis had its origins in several fields. First, the rise of evidence-based practice in health care and the creation of the Cochrane Collaboration in the early 1990s led to guidance and support for systematic reviews of healthcare interventions. In this context, a systematic review is “a review of a clearly formulated question that uses systematic and explicit methods to identify, select, and critically appraise relevant research, and to collect and analyze data from the studies that are included in the review” (Moher et al. 2009). While there are many variations on system reviews (Grant and Booth 2009), all specify explicit protocols for searching the literature in a replicable way, screen studies for quality using ex ante inclusion and exclusion criteria, and apply consistent coding to extract results from the studies that are then summarized and/or analyzed. Building on this experience in medicine, the concept of systematic review has been adopted in many other policy domains, with support from initiatives such as the Campbell Collaboration and the International Initiative for Impact Evaluation (3 IE). Under these initiatives, the focus has been on summarizing estimated causal impacts or effect sizes. As in medicine, the key feature of these systematic reviews is that “they separate the wheat from the chaff, by excluding evidence unless it meets explicit quality criteria, and that they include all available quality evidence, rather than cherry picking” (White and Waddington 2012). New methods for research synthesis were also motivated by requirements to quantify the environmental costs and benefits of major new federal regulations in the United States under a series of executive orders beginning in 1981. Because of the high cost of collecting survey data to estimate the nonmarket values associated with each new regulation, analysts started relying on “benefit transfer” of value estimates from other studies. In order to do this in a more systematic way, without “cherry-picking” particular estimates and with a clear understanding of how estimates vary across sites and methodologies, environmental economists turned to meta-analysis. In this domain, there has been relatively less emphasis on replicable search protocols and relatively more emphasis on econometric analysis to develop transferrable benefit estimates, by adjusting estimates from other studies to reflect the characteristics of the site and population of interest or by imposing a unified and theoretically valid preference function to implement “structural benefits transfer” (Smith et al. 2006). Bergstrom and Taylor (2006) describe three purposes of meta-analysis in nonmarket valuation: “(1) synthesize or “take stock” of the literature on a particular valuation topic, (2) test hypotheses with respect to the effects of explanatory variables on the value construct of interest, and (3) use the estimated meta-analysis model to predict estimates of the value construct across time and space.” For all three purposes, the most common approach has been to estimate meta-regressions that model a parameter of interest (e.g., the coefficient on income in a model of deforestation) as a function of characteristics of the For an example, see the “SEED” database, available here: http://www.cgdev.org/publication/data-set-what-drivesdeforestation-and-what-stops-it-meta-analysis-spatially-explicit

1

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

site (e.g., forest type and average income) and the study (e.g., methodology and sample size) (Nelson and Kennedy 2009). To implement this approach, the same parameter of interest must be extracted from each study and converted to the same unit or to unitless elasticities. Nelson and Kennedy (2009) review the use of meta-analysis in environmental and resource economics, identifying “five problems or procedures that help define a complete meta-analysis: (1) sample selection criteria, (2) basic data summary, (3) primary data heterogeneity, (4) treatment of heteroskedasticity (i.e., systematic differences in the variance of the parameter of interest across the population of studies), and (5) dependency of multiple observations from the same primary study.”2 They argue that the best practice for meta-analysis requires that each of these issues be addressed, and they offer ten recommendations for meta-analysis (discussed further in section “Case Study: Meta-analysis of Studies on the Relationship Between Income and Forest Cover”). Focusing on meta-regression, they review econometric options for addressing heteroskedasticity (e.g., weighted least squares using the inverse variances from the source studies as weights) and dependency among observations drawn from the same study (clusterrobust standard errors, multilevel modeling, or random effects panel estimator). There are both meta-regressions and systematic reviews on forest economics questions. For example, there are meta-regressions of nonmarket values estimated using methods such as contingent valuation (Barrio and Loureiro 2010) and recreation demand models (Zandersen and Tol 2009). These metaregressions of nonmarket forest values tend to draw mostly on studies in North America and Europe. There have been more systematic reviews focused on tropical forests, e.g., Miteva et al. (2012), on the effects of conservation policies. The Scientific and Technical Advisory Committee of the Global Environmental Facility has also commissioned systematic reviews of forest conservation strategies including certification (Blackman and Rivera 2010), community forest management (Bowler et al. 2010), and payments for ecosystem services (Wunder et al. 2010). Other reviews on these topics and the effectiveness of protected areas (Samii et al. 2013; Geldmann et al. 2013) have been supported by the Collaboration for Environmental Evidence. As in other fields, these systematic reviews are generally intended to determine whether and how much a specific type of intervention affects a specific outcome of interest. According to the Collaboration for Environmental Evidence (2013), every systematic review should specify the population of interest, the intervention or exposure of concern, the counterfactual scenario as either no intervention or an alternative intervention, and the outcome of interest (abbreviated as “PICO”). Reviews of conservation interventions commonly conclude that there are not enough studies that rigorously identify causal effects and rule out rival explanations. However, on many topics related to tropical forestry, there is a voluminous literature that provides some evidence on correlations and relationships, even if it does not meet the rigorous standards of systematic reviews of causal effects. Even when there is not sufficient evidence to estimate a meta-regression, the available evidence can often be systematically and quantitatively summarized using other forms of meta-analysis (Nelson and Kennedy 2009). For example, a “vote-counting” approach has been used to summarize research on the multiple determinants of outcomes such as forest management by smallholders (Beach et al. 2005), tree planting by farmers (Pattanayak et al. 2003), and adoption of improved fuelwood cookstoves by households (Lewis and Pattanayak 2012).

2

Nelson and Kennedy (2009) typify the economic approach to meta-analysis with their focus on statistical modeling decisions. In contrast, Rudel (2008) focuses more on the process of identifying and extracting data from the studies, arguing “that to carry out insightful and credible meta-analyses, researchers must address a set of recurring questions about (1) case study selection, (2) coding procedures, (3) variable selection, and (4) conjoint causation.” Page 4 of 27

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

The literature on these types of outcomes typically reports multivariate statistical models that have been estimated to identify relevant factors, rather than to achieve rigorous identification of a particular causal effect. Typical “systematic review” procedures would exclude many of these studies due to their lack of clear identification strategies. In contrast, the goal of vote counting is to understand patterns in the broad literature, rather than in a selected sample of rigorous impact evaluations. Vote counting meta-analyses usually include all studies that present estimation results, extracting information on which covariates are included and categorizing them according to whether their estimated coefficients are significantly positive, significantly negative, or insignificant. For each covariate, the numbers of studies falling in each of these categories are tallied (as if each study “voted” for one category), and the category that has the most votes “wins.” Thus, the vote-counting approach does not consider the sample size, size of the coefficients, or precise level of significance. This is both its weakness and its strength: vote counting does not account for or synthesize information on effect sizes, and because of this, it does not exclude studies that fail to report this information (e.g., studies reporting estimation results for limited dependent variable models often do not provide sufficient information to calculate marginal effects). Likewise, vote counting does not control for the quality of studies (except through the initial screening process) and thus does not exclude studies that fail to report on or adjust for particular econometric concerns.

Reviewing the Literature on Deforestation In the late 1990s and early 2000s, three different groups undertook comprehensive reviews of the literature on tropical deforestation. Kaimowitz and Angelsen (1998) reviewed 150 economic models of deforestation, identifying their methodologies (analytical, simulation, regression), level of aggregation (household, regional, national), data sources, and underlying assumptions. Rudel et al. (2000) coded over 800 articles on tropical deforestation as part of a review for the FAO’s Global Forest Resources Assessment. Geist and Lambin (2002) focused on studies of deforestation at the subnational level, extracting information on 152 cases from 95 articles published in scientific journals. These early reviews are important because they defined terms and developed conceptual frameworks that have persisted in the literature about the drivers of tropical deforestation. Of these three, Rudel et al. (2000) undertook the most comprehensive and systematic search of the literature, initially identifying 1250 references by searching online bibliographies, contacting other researchers, and “mining” the bibliographies of well-known publications. They reduced this list to 825 articles that they were able to obtain and that focused on tropical deforestation and then coded the location, scale, and decade(s) considered; the data source(s) used; and the causes of deforestation identified in each study. The resulting database shows that both the rate of publication and the quality of data (where data from remote sensing and surveys are considered higher quality than data from secondary sources) increased over the 1980s and 1990s. In comparison to their proportions of the world’s tropical forests, Central and West Africa and South America were underrepresented in the literature. Foreshadowing a consistent theme in meta-analyses led by Rudel (e.g., Rudel et al. 2009; Rudel 2005), they find that the drivers of deforestation vary across regions and decades. For example, they highlight “the disproportionate influence that loggers have had on deforestation processes in Southeast Asia,” the important role of fuelwood in East Africa and South Asia, and “colonization programs, associated road building, and an expansion in cattle ranching in Latin America” (Rudel et al. 2000). However, they also conclude that “smallholder agriculture, plantations, market expansion, and public policy seem to operate with equal intensity as driving forces in all of the regions.”

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

Kaimowitz and Angelsen (1998) limited their review to quantitative economic models, i.e., studies employing equations to analyze the drivers of deforestation. They present tabular summaries of results for some drivers and narrative summaries of their overall findings for all factors. Angelsen and Kaimowitz (1999) summarize these findings, noting that greater accessibility and higher agricultural output prices are consistently associated with higher deforestation, while higher off-farm wages and employment tend to decrease deforestation. They conclude that these findings about direct drivers are reasonably consistent across regions, scales, and methodologies. In contrast, they find that the evidence on most indirect or underlying drivers is mixed. In particular, they find mixed results on the relationship between income and deforestation, although they argue that “higher incomes, within the relevant range of income found in developing countries, is likely to increase the pressure on forest resources.” Geist and Lambin (2002) limited their review to subnational studies, but they included studies based on qualitative interpretation of secondary data or narrative descriptions as well as quantitative models. From each case, they extract information on the proximate and underlying factors attributed with deforestation. The proximate causes are grouped “into three broad categories: expansion of cropped land and pasture (agricultural expansion), harvesting or extraction of wood (wood extraction), and expansion of infrastructure.” Thus, their proximate causes include the land uses that replace forest, which we have labeled “sources” of deforestation. Their underlying drivers are grouped into five categories: “demographic factors (human population dynamics, sometimes referred to as population “pressure”), economic factors (commercialization, development, economic growth or change), technological factors (technological change or progress), policy and institutional factors (change or impact of political-economic institutions, institutional change), and a complex of sociopolitical or cultural factors (values, public attitudes, beliefs, and individual or household behavior).” Geist and Lambin (2002) analyze how frequently deforestation is attributed to each of these eight categories of proximate causes and underlying drivers, both singly and in combination, and both in the literature as a whole and in different regions. Like Rudel et al. (2000), they conclude that there are many region-specific patterns of causation in tropical deforestation. Overall, they argue that “too much emphasis has been given to population growth and shifting cultivation as primary and direct causative variables at the decadal time scale” and they call for more attention to the role of economic factors, institutions, and national policies. In more than 90 % of the cases, they find that economic factors work in combination with other factors to encourage deforestation, for example, “the infrastructure-agriculture tandem,” or roads and agriculture. While in the 1990s there had been much discussion of perverse (or unintended) incentives for deforestation, Geist and Lambin (2002) find that in many cases, deforestation is the intended outcome of land use and economic development policies. More recent literature reviews have focused on studies using particular methods or addressing particular questions. For example, Ferretti-Gallon and Busch (2014) found approximately 200 articles in peer-reviewed academic journals that present statistical models of forest cover or forest cover change, but for their meta-analysis, they narrowed this down to 117 articles (30 published in economic journals) presenting estimation results of spatially explicit econometric models of the drivers of deforestation. This literature suggests that “forests are more likely to be cleared where the economic returns to agriculture and pasture are higher, either due to more favorable climatological and topographic conditions, or due to lower costs of clearing forest and transporting products to market.” Choumert et al. (2013) test for evidence of the environmental Kuznets curve (EKC) of deforestation in a database of 547 cases from 69 studies. Cases published after 2001 and that control for trade flows and control for spatial autocorrelation are less likely to report evidence of an EKC. Robinson et al. (2011) focus on the relationship between land tenure and deforestation. They code cases from 39 publications that discuss property rights or land tenure in the context of deforestation. Comparing different forms of tenure (e.g., open access, protected areas, communal and customary, private), they find that deforestation is less likely in government-owned Page 6 of 27

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protected areas. After controlling for form of tenure and region, security of land tenure is strongly associated with less deforestation. Ferretti-Gallon and Busch (2014) confirm this relationship in studies published in economics journals, but not in the overall literature, where they find mixed results on the relationship between tenure and deforestation.

Case Study: Meta-analysis of Studies on the Relationship Between Income and Forest Cover In this section, we illustrate how to use meta-analysis to test hypotheses about the economics of tropical forestry and specifically about the relationship between income (or poverty) and forest cover (or deforestation). This case study is based on Atmadja (2003) and Atmadja and Sills (2008), updated to include studies published through 2012 (see List of Studies at end of the chapter). This case study illustrates Nelson and Kennedy’s (2009) ten recommended best practices for meta-analysis, which include providing a clear problem definition, describing the search protocol and data coding procedures, and analysis and treatment of data heterogeneity. This example also illustrates a practical approach to metaregression that requires only minimal information from each study, thus mitigating the potential bias from excluding studies simply because of the way their results are reported.

Problem Definition

The first step is to pose hypotheses that can be tested using the results of other studies as data. There are three competing hypotheses about the relationship between forest cover and income, which we characterize as “win-win,” “win-lose,” and the “environmental Kuznets curve.” The “win-win” hypothesis is based on the assumption that poverty is the root cause of deforestation, and hence higher income leads to more forest cover or less deforestation. Thus, the coefficient on income in a regression model of forest cover is expected to be positive. In contrast, the “win-lose” hypothesis is based on the premise that higher income means higher demand for the products of land uses that replace forest, such as pastures and crop fields. Higher income also enables the purchase of inputs necessary for converting forest to other land uses (e.g., chainsaws and labor). Under this hypothesis, the coefficient on income in a regression model of forest cover is expected to be negative. The environmental Kuznets curve (EKC) hypothesis is that at low levels of income, increases in income lead to deforestation (the win-lose relationship), but once income reaches a high enough level, that relationship reverses and becomes like the win-win. This relationship is modeled by including both income and its square in a regression on deforestation. One of the ways in which these competing hypotheses are tested is through econometric models. The basic specification is shown in Eq. 1: Forest cover ¼ a þ b1  income þ b2  income2 þ m  other variables þ e

(1)

where a = constant, b1 = coefficient of the income term, b2 = coefficient of squared income, m = coefficients of other variables used in the model, and e = error term. Estimates of b1 > 0 support the win-win hypothesis (forest cover increases with income), while estimates of b1 < 0 support the win-lose hypothesis. The EKC hypothesis is supported by finding b1 < 0 and b1 > 0. Hence, our research question is: What are the signs and statistical significance of the coefficients on income and its square (b1 and b2) in empirical studies of tropical forest cover change? Unlike most meta-regressions, we do not directly model effect sizes, for two reasons. First, the hypotheses we are testing are not about the magnitude of the effect of income on forest cover, but rather its sign and statistical significance. The second – more practical – reason is that this circumvents the Page 7 of 27

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

difficulty of extracting standard measures of effect sizes (marginal effects) from studies that vary significantly in terms of choice of dependent variable (e.g., change in area of forest cover, pasture or cropland), measure of income (e.g., GDP, household income, and well-being or poverty indices), covariates included in the specification (e.g., demography, ecology, climate, governance), and functional form (e.g., linear, log-linear, or log-log). We evaluate the signs (positive or negative) of b1 and b2 and their statistical significance, as represented by t-statistics. T-statistics are almost always reported, even in studies that do not provide sufficient information to calculate marginal effects. Other advantages include that the t-statistic adopts the sign of the coefficient, reflects the number of observations and size of the coefficient, and is easily derived from other statistics (e.g., coefficients and standard errors or p-values) in any cases where it is not reported directly.

Search Protocol The protocol used to search for studies has to be clearly described, because this is the data collection phase in meta-analysis. As is typical in systematic reviews, we collected studies in two stages. In the first stage, we ran a conventional keyword search in 4 scholarly databases (EconLit, CAB Abstracts, TREECD, Google Scholar) and the FOCUS 1 case study database on land use/change. The key words used were “poverty AND deforestation,” “income AND deforestation,” “deforestation AND agriculture,” and “deforestation AND economics.” We included an additional 400 deforestation studies from our personal collection. In the second stage, we used the reference lists in these studies to locate other studies. Based on the titles and abstracts of these articles, we decided to retrieve the full text if there was at least the possibility that the study statistically tested income as a determinant of forest cover. Our dataset is limited to peer-reviewed journal articles, working papers, and book chapters published between 1994 and 2012. We initially searched for studies from any year but decided to start with 1994, because there was a spike in relevant studies in that year, mostly from a book edited by Brown and Pearce (1994). To define the final dataset for a meta-analysis, studies should be screened using well-defined rules of inclusion and exclusion. In this case, we selected articles that report the sign and statistical significance of the coefficient on an income variable in a regression on forest cover. Studies were discarded when their analytical approaches did not yield the coefficient of interest (e.g., dynamic equilibrium models or qualitative approaches) or did not include the dependent or explanatory variables of interest. It is possible that some studies did not report a coefficient on income because it had been found insignificant and therefore dropped from the specification – a form of “publication bias.” From this process, a total of 71 “primary studies” were selected. For each observation, we extracted or calculated a uniform set of variables to test our hypotheses: specifically, the t-statistics for the coefficients on income (b1) and, when included, the square of income (b2).

Building the Dataset: Selection and Coding Selecting Observations A database for meta-analysis is built by defining the unit of observation and attaching characteristics to that observation. In this case study, the unit of observation is the sign and statistical significance of the coefficients on income (b1) and income squared (b2). One study can yield more than one observation, e.g., when a study reports results from different econometric specifications, study sites, or time periods. Multiple observations from the same primary study are likely to be correlated (Nelson and Kennedy 2009). To avoid having any one study dominate the dataset, rules are established for choosing among multiple estimation results. For this case, we used the following rules:

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• Models estimated with data on different and nonoverlapping areas and/or time periods are treated as separate observations. For example, a model for 1980–1990 is a separate observation from a model for 1990–2000. Estimation results for overarching models (e.g., from 1980 to 2000) are also treated as separate observations. • If a study includes results from different model specifications estimated with data from the same region and time period, include the results from the “best” model, based on the authors’ stated preference in the text. If the authors do not identify their preferred model, use model fit statistics to select the best model, giving preference to adjusted R-square (or pseudo-adjusted R-square), over non-adjusted R-square, which is preferred to F-statistics. • Take estimates for b1 and b2 from the same model. In our case, the number of studies contributing multiple observations to the dataset was 19 studies for b1 and 10 studies for b2. The EKC hypothesis can only be tested if there are estimates of both b1 and b2. We dropped one data point (from Uusivori, 2002) because it presented only b2 estimates. The 71 primary studies we selected resulted in 110 observations for b1 and 39 observations for b2. A list of these studies is provided at the end of the chapter. Coding the Data Primary studies are heterogeneous and provide information in different ways. In meta-analysis, this is addressed by applying coding rules to transform heterogeneous data into a uniform dataset. Our dependent variable, the statistical significance of b1 and b2, has been reported as t-statistics (or coefficients and standard errors), ranges (e.g., significant at the 5 % level), or simply whether or not statistically significant (Table 1). Where ranges were given, we used the midpoint as an estimate for our database. When lower or upper bounds were not given, we assumed minimum and maximum t-statistics of 0 and 4 (in absolute value), which seems reasonable given that a t-statistic of 4 would suggest statistical significance at the 1 % level even with only five degrees of freedom. However, since results may be influenced by our assumptions of upper and lower bounds, we also analyze the estimation results according to whether or not the coefficient on income is significant at the 10 % level. This is an example of testing sensitivity to assumptions, which is part of best practice for meta-analysis. We also standardized the signs of all t-statistics so that they reflect the relationship between forest gain (e.g., increased forest cover, reforestation) and higher income, or equivalently, the relationship between forest loss (e.g., deforestation and expansion of land uses that replace forest) and lower income (e.g., poverty indices). If the model relates gains with losses (e.g., income with deforestation), the t-statistics were multiplied by 1. It is a common practice to express EKC in terms of environmental “bads” such as pollution and deforestation, so that the EKC implies an inverted U relationship. For consistency, we continue using forest cover (an environmental “good”) as the dependent variable. The EKC is therefore a U-shaped relationship between income and forest cover, where b1 < 0 and b2 > 0 (see Eq. 1), as Table 1 Type of information provided by primary studies on income and income2 coefficients

Type of information Exact t-statistic (reported directly or calculated from coefficient and SE) Level of significance Statement that b is not statistically significant No information Total number of observations with some information on statistical significance

Number of observations reporting for coefficient on the following variables Income Income2 79 34 18 4 13 0 0 71 110 39

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Table 2 Cross tabulation of income (b1) and income2 (b2) coefficientsa Income coefficient (β1) β1 > 0 β1 = 0 β1 < 0 Missing Total aGray cell: EKC

Income2 coefficient (β2) β2>0 β2=0 β20 2

b1=0

0

−2

−4

b1 0, statistically significant), and no direct relationship (b = 0). The advantages of this approach include that it is robust to outliers in the dependent variable and that it can include 13 studies in which the (non)significance of the income coefficient was stated but not quantified. Results from the full model (i.e., with all variables listed in Table 3) and streamlined model are presented in Table 4. Because study characteristics are related to each other, the meta-regression model could suffer from multicollinearity among the explanatory variables. This can be assessed with variance inflation factors (VIFs). In our case, we find that the VIFs for all variables in both models are less than 4, indicating low risk of multicollinearity. Nevertheless, there are significant correlations among subsets of the variables in the model (Appendix, Table A1), which could obscure the effects of some variables. The streamlined model serves to reduce that risk. Variables in the streamlined model were chosen by forward and backward stepwise regression of two models: win-lose vs. others and win-win vs. others. In comparison

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Table 4 Multinomial logistic regression (“No direct link”/b1 = 0 is the base outcome), with cluster-robust standard errors (clusters by primary study)a Variables

Obs. total (log) Obs. unit: country Obs. region: L. America Data: typical Data: primary Data: panel Data: rate of forest change Pub. year Pub. discipline: economics Pub. type: article Constant

Full model Prob: β1 < 0 (Win- Prob: β1 > 0 (Winwin) lose) Coef. z P > |z| Coef. z P > |z| −0.306 −1.4 0.16 0.151 0.72 0.47 1.258 1.37 0.17 1.368 1.31 0.19 1.725 2.55 0.01 −0.274 −0.33 0.74 −0.283 −0.31 0.76 −0.661 −0.7 0.48 −0.125 −0.16 0.87 −1.284 −1.38 0.17 0.212 0.32 0.75 −0.351 −0.49 0.62 −0.988 −1.47 0.14 −2.351 −2.93 0.00 −0.034 −0.62 0.54 0.042 0.71 0.48 0.145 0.23 0.82 −1.045 −1.46 0.15 −0.561 −0.81 0.42 −1.437 −1.47 0.14 69.453 0.63 0.53 −82.687 −0.7 0.49 # Obs = 102

# Clusters: 68 studies

Streamlined model Prob: β1 < 0 (Winlose) Coef. z P > |z| −0.258 −1.33 0.18 1.240 2.55

Prob: β1 > 0 (Winwin) Coef. z P > |z| 0.092 0.46 0.64

0.01 −0.273 −0.39 0.70

−0.654 −1.17 0.24 -−1.749 −2.73 0.01 −0.043 −0.84 0.40 0.008 0.16 0.88 0.694 1.09 0.28 −0.897 −1.4 0.16 87.618 0.85 # Obs = 107

2

0.40 −15.776 −0.15 0.88 # Clusters: 70 studies

2

Wald chi (20) = 33.09 Prob > chi2 = 0.0329 Wald chi (10) = 23.63 Prob > chi2 = 0.0086 Pseudo R2 = 0.1544 Pseudo R2 = 0.1166 aStatistical

significance: Black cells= 5 % level; Grey cells = 15 %

to the full model, the streamlined model has two more significant variables and a lower pseudo-R-Sq, both of which are expected. From this meta-regression, we find that primary studies using data from Latin America are more likely to find win-lose compared to no relationship between forest cover and income. However, they are no more or less likely to find win-win relationships compared to studies about other regions. Primary studies modeling the rate of forest cover change are more likely to find an insignificant t-statistic for the coefficient on income than studies estimating models of other outcomes. Histograms related to these two highly significant variables are found in the Appendix, Figures A1 and A2. In the full model, primary studies in economics publication outlets are less likely to find a win-win relationship but are as likely as other (noneconomics) studies to find win-lose relationships. In the streamlined model, this finding holds only at a lower level of statistical significance. Bivariate Probit Model Sometimes the outcome of interest is reported in only a subset of studies. If studies with particular characteristics are more likely to report those outcomes than others, those characteristics need to be taken into account in the meta-regression. In our example, the probability of a study reporting the income2 coefficient (b2) can be largely explained (Adjusted R-sq = 0.58) by study characteristics such as location, unit of observation, and publication discipline (see Appendix, Table A2). Thus, we can estimate a bivariate probit model of the probability that an observation (1) includes an income2 term in the model and (2) finds an EKC outcome (Table 5). Based on the results in Table 5, the probability of finding an EKC outcome is higher in models estimated with primary data (e.g., household surveys and remote sensing) and reported in more recent publications. One possible interpretation of this finding is that the EKC is the true relationship, and studies are more likely to uncover this relationship as methodologies improve with time and with better data. However, this could also reflect a tendency to gather data in regions where an EKC outcome is expected, perhaps because this has become a dominant paradigm in the literature. Finally, at the 10 % level of significance, there is also a higher probability of finding an EKC outcome in Latin America.

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Table 5 Bivariate probit model of the probability that income2 was included in the primary study’s model and that an EKC outcome (b1 > 0, b2 < 0) was found Variables Obs. total (log) Obs. unit: country Obs. region: L. America Obs. region: Asia Obs. region: Africa Data: typical Data: primary Data: panel Data: rate of forest change Pub. year Pub. discipline: economics Pub. type: article Constant

(2) (1) 2 Pr(Income included in the model)a Pr(EKC outcome: β1 > 0, β2 < 0)a Coef. z P > |z| Coef. Z P > |z| 0.191 1.32 0.19 0.410 1.64 0.10 1.935 2.17 0.03 0.661 0.6 0.55 1.716 1.89 0.06 1.386 1.84 0.07 0.781 1.18 0.24 0.84 −0.173 −0.2 0.94 0.655 0.96 0.34 −0.045 −0.07 2.028 2.64 0.01 1.084 1.5 0.13 1.857 3.03 0.00 1.811 3.05 0.00 0.642 1.3 0.19 0.698 0.88 0.38 0.41 0.97 −0.430 −0.83 −0.023 −0.04 0.097 2.12 0.03 0.102 1.9 0.06 1.579 3.09 0.00 0.33 −0.480 −0.97 0.981 1.75 0.08 0.19 −0.892 −1.31 0.03 0.05 −200.708 −2.19 −209.298 −1.93

Number of obs = 102 Wald chi2(24) = 45.95 Prob > chi2 = 0.0045 aGrey cells: Statistically significant at the 10% level

Discussion Our case study illustrates the potential uses of meta-analysis to understand the state of knowledge represented in the empirical literature on tropical forestry. We found, for example, that the empirical literature has not converged to support any one of the three theories on the relationship between forest cover and income. The distribution of t-statistics for the income coefficient (b1) tends to center within the range where b1 = 0. Factors such as number of observations, publication discipline, and the particular measure of forest cover are related to the statistical relationship between income and forest cover. FerrettiGallon and Busch (2014) also find that study characteristics are related to the estimated relationship between income and forest cover, with win-win more likely to be found in studies that focus on poverty and win-lose in studies where poverty is included as a control. These factors are outside the realm of theories that explain how income and forests are linked, such as increased demand for agricultural commodities or for the environmental services of standing forests and local conditions that change those relationships (e.g., access to markets, commodity prices, and ecological/social characteristics). Latin America stands out as a region where the relationship between forest and income is in line with existing economic theories. Support for the EKC or win-lose hypotheses is more likely in studies focusing on this region as compared to other regions. This finding suggests that deforestation processes in Latin America may be following a different trajectory, more consistent with the win-lose and EKC theories, compared to other regions. That is, as incomes grow, forests shrink until incomes are high enough that standing forests increase in value. In other regions, the forest-income relationship does not seem to conform to any of the theories we have tested. This could indicate that the relationship between deforestation and income is more complex than posited by these theories. The probability of a study’s findings being consistent with the EKC hypothesis is positively related to publication year and the use of primary data. At first glance, this seems to favor the EKC hypothesis: with time, better data will support this hypothesis. However, there are a few reasons for caution. First, the

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sample is small (N = 39). Second, the sample means are different from the wider population of studies testing the link between forest and income (i.e., gray rows in Table 2), suggesting possible sample selection bias, especially because there is no practical reason why studies should not include the income2 term in their model when income data are available. Almost 60 % of the variation in the probability that a model includes income2 can be explained by characteristics not theoretically related to the true relationship between income and deforestation, such as publication year and data source (Appendix, Table A2). Publication bias has long been a concern in the medical field (Easterbrook et al. 1991; Dwan et al. 2008; Turner et al. 2008) but has not been well documented in forestry. In medicine, statistically insignificant findings are less likely to be published (Dwan et al. 2008). With meta-analysis, we can test for this tendency in studies published in different fields, and in our case study, we do find differences between studies published in economics journals and all other studies. One possible explanation is a divergence in ideologies: the economics discipline is neutral, or even critical, toward the sustainable development story implied by the win-win hypothesis (e.g., Wunder 2001), whereas other disciplines are more supportive. Because of this, authors may be more likely to report win-lose results in economic journals even if they are not statistically significant at conventional levels.

Conclusion Meta-analysis has its roots in the medical field and in “benefit transfer” of nonmarket environmental values, but there are increasing demands for “research synthesis” to support evidence-based policy in other fields including tropical forest conservation and management. This has led to the development of “systematic review” protocols for fully documented and replicable searches of the literature, quality screening, and data coding, as well as econometric advances in meta-analysis. To make full use of the large body of literature on a topic like tropical deforestation, it is also helpful to build more inclusive databases of results than admitted under most systematic review protocols and to employ more basic forms of meta-analysis than meta-regression. In this chapter, we illustrate meta-analysis by examining three competing hypotheses linking forest cover to income: win-win, win-lose, and the environmental Kuznets curve (EKC). The relationship between income (or poverty) and deforestation (or forest cover) has been commonly discussed in the literature on tropical deforestation, although the evidence for this relationship is not nearly as clear cut as evidence for biophysical conditions and market access. Our case study demonstrates the power of metaanalysis to synthesize findings, test hypotheses, and detect possible publication bias. Specifically, there are different patterns among findings published in economics and noneconomics outlets, possibly reflecting publication bias toward the more acceptable results in a given discipline, even when (or especially when) those results are not statistically significant. Other concerns related to publication bias include the choice of specification and which studies even report evidence on the EKC by including the income2 term. As with previous reviews of the deforestation literature, our meta-analysis suggests that the causes of deforestation vary by region. Specifically, the win-lose and EKC hypotheses are more likely to be supported by studies in Latin America. Among pan-tropical studies and studies in Asia or Africa, there is no clear evidence for any one hypothesis on the relationship between forest and income.

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_252-1 # Springer-Verlag Berlin Heidelberg 2015

T-stat value

a

Pub. contribution: multiple

Pub. type: article

Pub. discipline: Economics

Pub. year

Data: rate of forest change

Data: panel

Data: primary

Data: typical

Obs. region: L. America

Obs. unit: Country

Obs. total number

T-stat value

Table A1 Correlation matrixa

1.00

Obs. total number

0.11

Obs. unit: country

−0.11 −0.13 1.00

1.00 0.15 −0.45 1.00

Obs. region: L. America

0.04

Data: typical

−0.07 −0.08 0.64 −0.30 1.00

Data: primary

−0.17 −0.06 −0.08 −0.17 −0.41 1.00

Data: panel

−0.13 −0.11 0.30 −0.18 0.21

Data: rate of forest change

−0.05 −0.11 0.56 −0.15 0.50 −0.18 0.11

Pub. year

0.14

Pub. discipline: economics

−0.25 0.10

Pub. type: article

0.04

Pub. contribution: multiple

−0.06 −0.11 0.25 −0.02 0.29

0.26

1.00 1.00

0.01 −0.36 0.17 −0.31 0.07 −0.15 −0.21 1.00 0.31 −0.18 0.16

0.13

0.22 −0.39 1.00

0.42

0.06 −0.02 0.12 −0.12 −0.11 −0.21 −0.13 0.37 −0.18 1.00 0.06

0.47 −0.31 0.20 −0.06 1.00

0.10

Absolute value of correlation coefficient is more than 0.25 and up to 0.5 (orange cells), and more than 0.5 (red cells)

Other regions 15

β10

β1=0

β10

13

10

Frequency

10

7 7 7 6

6

5 5

5

4 3 3

3 3 1

3 2 2 2

2 1

0 −10

−5

0 5 −10 −5 T-statistics for Income (range and point estimates)

0

5

Graphs by Region = Latin America

Fig. A1 Histogram of t-statistics of the income coefficient (b1), by region of observation: other regions (Asia, Africa, interregional) vs. Latin America

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Other measures of forest cover

Rate of forest cover change 10

10 9

Frequency

7 6

6 5

5

5

4

6 5

5

5

4 3

3 3

3 2

1

1 1

1

0 −10

−5

0 5 −10 0 −5 T-statistics for Income (range and point estimates)

5

Graphs by rate

Fig. A2 Histogram of t-statistics of the income coefficient (b1), by the way forest cover was measured; other measures (area of forest cover change, area of forest cover) vs. rate of forest cover change

Table A2 Model of the probability that income2 is included in the forest cover model Variables Obs. total (log) Obs. unit: Country Obs. region: L. America Obs. region: Asia Obs. region: Africa Data: typical Data: primary Data: panel Data: rate of forest change Pub. year Pub. discipline: economics Pub. type: article Pub. contribution: multi Constant

Coef. 0.418 3.788 3.534 1.407 0.382 4.271 3.196 1.613 1.942 0.294 3.037 1.944 2.612 602.620 Number of obs = 102 LR chi2(13) = 78.48 Prob > chi2 = 0.0000 Pseudo-R2 = 0.5826

z 1.58 2.03 1.98 0.97 0.31 2.62 2.49 1.7 1.62 2.65 2.85 1.8 2.1 2.7

P > |z| 0.12 0.04 0.05 0.33 0.76 0.01 0.01 0.09 0.11 0.01 0.00 0.07 0.04 0.01

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Acknowledgments We thank Cody Burnett and Viola Glenn for research assistance in identifying and retrieving primary studies and Mitch Renkow and Tom Holmes for constructive comments on earlier versions of this chapter.

Appendix Histograms of Highly Significant Variables from Table 3 See Figs. A1 and A2

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Dinda S (2004) Environmental Kuznets curve hypothesis: a survey. Ecol Econ 49(4):431–455 Dwan K, Altman DG, Arnaiz JA, Bloom J, Chan A-W, Cronin E, Decullier E, Easterbrook PJ, Elm EV, Gamble C, Ghersi D, Ioannidis JPA, Simes J, Williamson PR (2008) Systematic review of the empirical evidence of study publication bias and outcome reporting bias. PLoS One 3(8), e3081 Easterbrook PJ, Gopalan R, Berlin JA, Matthews DR (1991) Publication bias in clinical research. Lancet 337(8746):867–872 FAO (Food and Agriculture Organization) (2012) Global forest land-use change 1990–2005. FAO forestry paper #169. FAO, Rome Ferretti-Gallon K, Busch J (2014) What drives deforestation and what stops it? A meta-analysis of spatially explicit econometric studies. Center for Global Development working paper 361. Washington, DC Geist HJ, Lambin EF (2002) Proximate causes and underlying driving forces of tropical deforestation. BioScience 52(2):143–150 Geldmann J, Barnes M, Coad L, Craigie I, Hockings M, Burgess N (2013) Effectiveness of terrestrial protected areas in reducing biodiversity and habitat loss. CEE 10-007. Collaboration for Environmental Evidence Geoghegan J, Villar SC, Klepeis P, Mendoza PM, Ogneva-Himmelberger Y, Chowdhury RR, Turner BL II, Vance C (2001) Modeling tropical deforestation in the southern Yucatan peninsular region: comparing survey and satellite data. Agr Ecosyst Environ 85(1):25–46 Gibson L, Lee TM, Koh LP, Brook BW, Gardner TA, Barlow J, Peres CA, Bradshaw CJA, Laurance WF, Lovejoy TE, Sodhi NS (2011) Primary forests are irreplaceable for sustaining tropical biodiversity. Nature 478(7369):378–381 Glass GV, McGaw B, Smith ML (1981) Meta-analysis in social research. Sage Publications, Beverly Hills Grant MJ, Booth A (2009) A typology of reviews: an analysis of 14 review types and associated methodologies. Health Info Libr J 26(2):91–108 Gullison RE, Frumhoff PC, Canadell JG, Field CB, Nepstad DC, Hayhoe K, Avissar R, Curran LM, Friedlingstein P, Jones CD, Nobre C (2007) Tropical forests and climate policy. Science 316:985–986 Harris NL, Brown S, Hagen SC, Saatchi SS, Petrova S, Salas W, Hansen MC, Potapov PV, Lotsch A (2012) Baseline map of carbon emissions from deforestation in tropical regions. Science 336(6088):1573–1576 Hosonuma N, Herold M, De Sy V, De Fries RS, Brockhaus M, Verchot L, Angelsen A, Romijn E (2012) An assessment of deforestation and forest degradation drivers in developing countries. Environ Res Lett 7(4):044009 Kaimowitz D, Angelsen A (1998) Economic models of tropical deforestation: a review. CIFOR, Center for International Forestry Research, Bogor Laurance WF (2007) Have we overstated the tropical biodiversity crisis? Trends Ecol Evol 22(2):65–70 Laurance WF, Sayer J, Cassman KG (2014) Agricultural expansion and its impacts on tropical nature. Trends Ecol Evol 29(2):107–116 Lewis JJ, Pattanayak SK (2012) Who adopts improved fuels and cookstoves? A systematic review. Environ Health Perspect 120(5):637 Loomis JB, White DS (1996) Economic benefits of rare and endangered species: summary and metaanalysis. Ecol Econ 18(3):197–206 Miteva DA, Pattanayak SK, Ferraro PJ (2012) Evaluation of biodiversity policy instruments: what works and what doesn’t? Oxf Rev Econ Policy 28:69–92 Moher D, Liberati A, Tetzlaff J, Altman DG (2009) Preferred reporting items for systematic reviews and meta-analyses: the PRISMA statement. Ann Intern Med 151(4):264–269

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Nelson JP, Kennedy PE (2009) The use (and abuse) of meta-analysis in environmental and natural resource economics: an assessment. Environ Resour Econ 42:345–377 Pattanayak SK, Mercer DE, Sills E, Yang JC (2003) Taking stock of agroforestry adoption studies. Agrofor Syst 57(3):173–186 Pfaff A, Amacher GS, Sills EO (2013) Realistic REDD: improving the forest impacts of domestic policies in different settings. Rev Environ Econ Policy 7(1):114–135 Robinson BE, Holland MB, Naughton-Treves L (2011) Does secure land tenure save forests? A review of the relationship between land tenure and tropical deforestation. CCAFS working paper. CCAFS, Copenhagen Rudel T (2005) Tropical forests: regional paths of destruction and regeneration in the late 20th century. Columbia University Press, New York Rudel TK, Flesher K, Bates D, Baptista S, Holmgren P (2000) Tropical deforestation literature: geographical and historical patterns. Unasylva 203(51):11–18 Rudel TK, Coomes OT, Moran E, Achard F, Angelsen A, Xu J, Lambin E (2005) Forest transitions: towards a global understanding of land use change. Glob Environ Chang 15(1):23–31 Rudel TK, Defries R, Asner GP, Laurance WF (2009) Changing drivers of deforestation and new opportunities for conservation. Conserv Biol 23(6):1396–1405 Samii C, Lisiecki M, Kulkarni P, Paler L, Chavis L (2014) Effects of Payment for Environmental Services (PES) on Deforestation and Poverty in Low and Middle Income Countries: a systematic review. CEE 13-015b. Collaboration for Environmental Evidence Smith VK, Pattanayak SK, Van Houtven GL (2006) Structural benefit transfer: an example using VSL estimates. Ecol Econ 60(2):361–371 Tellis GJ (1988) The price elasticity of selective demand: a meta-analysis of economic models of sales. J Mark Res 25(4):331–341 Turner EH, Matthews AM, Linardatos E, Tell RA, Rosenthal R (2008) Selective publication of antidepressant trials and its influence on apparent efficacy. N Engl J Med 358:252–260 White H, Waddington H (2012) Why do we care about evidence synthesis? An introduction to the special issue on systematic reviews. J Dev Eff 4(3):351–358 Wolf FM (1986) Meta-analysis: quantitative methods for research synthesis, vol 59, Quantitative applications in the social sciences. Sage Publications, Beverly Hills Wunder S (2001) Poverty alleviation and tropical forests – what scope for synergies? World Dev 29(11):1817–1833 Wunder S, Wertz-Kanounnikoff S, Ferraro P (2010) PES and the GEF. Prepared on behalf of the scientific and technical advisory panel (STAP) of the global environment facility (GEF). Washington, DC Zandersen M, Tol RS (2009) A meta-analysis of forest recreation values in Europe. J For Econ 15(1):109–130

List of Studies Included in Meta-analysis of Deforestation Abizaid C, Coomes OT (2004) Land use and forest fallowing dynamics in seasonally dry tropical forests of the southern Yucatan Peninsula, Mexico. Land Use Policy 21:71–84 Aggrey N, Wambugu S, Karugia J, Wanga E (2010) An investigation of the poverty- environmental degradation nexus: a case study of Katonga Basin in Uganda. Res J Environ Earth Sci 2(2):82–88 Andersen LE (1996) The causes of deforestation in the Brazilian Amazon. J Environ Dev 5(3):309–328 Angelsen A, Kaimowitz D (1999) Rethinking the causes of deforestation: lessons from economic models. World Bank Res Obs 14(1):73–98 Angelsen A, Katemansimba-Shitindi EF, Aarrestad J (1999) Why do farmers expand their land into forests? Theories and evidence from Tanzania. Environ Dev Econ 43(3):313–331 Page 22 of 27

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Antle JM, Heidebrink G (1995) Environment and development: theory and international evidence. Econ Dev Cult Chang 43(3):603–625 Araujo C, Bonjean CA, Combes J-L, Motel PC, Reis EJ (2010) Does land tenure insecurity drive deforestation in the Brazilian Amazon? Etudes et documents no. E 2010.13. CERDI, Clermont-Ferrand Armenteras D, Rodriguez N, Retana J, Morales M (2011) Understanding deforestation in montane and lowland forests of the Colombian Andes. Reg Environ Chang 11(3):693–705 Austin K (2010a) The “Hamburger connection” as ecologically unequal exchange: a cross-national investigation of beef exports and deforestation in less-developed countries. Rural Sociol 75(2):270–299 Austin KF (2010b) Soybean exports and deforestation from a world-systems perspective: a cross-national investigation of comparative disadvantage. Sociol Q 51(3):511–536 Barbier EB (2004) Explaining agricultural land expansion and deforestation in developing countries. Am J Agric Econ 86(5):1347–1353 Barbier E, Burgess JC (2001) The economics of tropical deforestation. J Econ Surv 15(3):413–433 Barrio M, Loureiro ML (2010) A meta-analysis of contingent valuation forest studies. Ecol Econ 69(5):1023–1030 Basu A, Nayak NC (2011) Underlying causes of forest cover change in Odisha, India. For Policy Econ 13(7):563–569 Bawa KS, Dayanandan S (1997) Socioeconomic factors and tropical deforestation. Nature 386:582–583 Bhattarai M, Hammig M (2001) Institutions and the environmental Kuznets curve for deforestation: a crosscountry analysis for Latin America, Africa and Asia. World Dev 29(6):995–1010 Bhattarai M, Hammig M (2004) Governance, economic policy, and the environmental Kuznets curve for natural tropical forests. Environ Dev Econ 9:367–382 Blackman A, Rivera J (2010) Environmental certification and the global environment facility: STAP advisory document. Prepared on behalf of the Scientific and Technical Advisory Panel (STAP) of the Global Environment Facility (GEF), Washington, DC Bowler D, Buyung-Ali L, Healey JR, Jones JPG, Knight T, Pullin AS (2010) The evidence base of community forest management as a mechanism for supplying global environmental benefits and improving local welfare.? A STAP advisory document, Bangor University, Bangor Capistrano A (1994) Tropical forest depletion and the changing macroeconomy. In: Brown K, Pearce D (eds) The causes of tropical deforestation: the economic and statistical analysis of factors giving rise to the loss of the tropical forests. University College London Press, London, pp 1967–85 Capistrano AD, Kiker CF (1995) Macro-scale economic influences on tropical forest depletion. Ecol Econ 14:21–29 Carson RT (2010) The environmental Kuznets curve: seeking empirical regularity and theoretical structure. Rev Environ Econ Policy 4(1):3–23 Caviglia-Harris JL (2004) Household production and forest clearing: the role of farming in the development of the Amazon. Environ Dev Econ 9(2):181–202 Caviglia-Harris J, Harris DW (2005) Examining the reliability of survey data with remote sensing and geographic information systems to improve deforestation modeling. Rev Reg Stud 35(2):187–205 Chakraborty M (1994) An analysis of the causes of deforestation in India. In: Brown K, Pearce D (eds) The causes of tropical deforestation: the economic and statistical analysis of factors giving rise to the loss of the tropical forests. University College London Press, London Choumert J, Combes Motel P, Dakpo HK (2013) Is the Environmental Kuznets Curve for deforestation a threatened theory? A meta-analysis of the literature. Ecol Econ 90:19–28 Codjoe SNA, Dzanku FM (2009) Long-term determinants of deforestation in Ghana: the role of structural adjustment policies. Afr Dev Rev 21(3):558–588 Page 23 of 27

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Cropper M, Griffiths C (1994) The interaction of population growth and environmental quality. Am Econ Rev 84(2):250–254 Cropper M, Griffiths C, Mani M (1997) Roads, population pressures, and deforestation in Thailand, 1976–89. World Bank, Washington, DC Culas RJ (2007) Deforestation and the environmental Kuznets curve: an institutional perspective. Ecol Econ 61(2–3):429–437 Culas R, Dutta D (2002) The underlying causes of deforestation and environmental Kuznets curve: a crosscountry analysis. In: Econometric Society of Australasia meeting (ESAM02), Queensland University of Technology, Brisbane, 7–10 Jul 2002. Damette O, Delacote P (2011) Unsustainable timber harvesting, deforestation and the role of certification. Ecol Econ 70(6):1211–1219 Dasgupta S, Deichmann U, Meisner C, Wheeler D (2005) Where is the poverty-environment nexus? Evidence from Cambodia, Lao PDR, and Vietnam. World Dev 33(4):617–638 Deininger K, Minten B (1999) Poverty, policies, and deforestation: the case of Mexico. Econ Dev Cult Chang 47(2):313–344 Deininger K, Minten B (2002) Determinants of deforestation and the economics of protection: an application to Mexico. Am J Agric Econ 84(4):943–960 Deng X, Huang J, Uchida E, Rozelle S, Gibson J (2011) Pressure cookers or pressure valves: do roads lead to deforestation in China? J Environ Econ Manag 61(1):79–94 Dinda S (2004) Environmental Kuznets curve hypothesis: a survey. Ecol Econ 49(4):431–455 Dolisca F, McDaniel JM, Teeter LD, Jolly CM (2007) Land tenure, population pressure, and deforestation in Haiti: the case of Foret des Pins reserve. J For Econ 13(4):277–289 Dwan K, Altman DG, Arnaiz JA, Bloom J, Chan A-W, Cronin E, Decullier E, Easterbrook PJ, Elm EV, Gamble C, Ghersi D, Ioannidis JPA, Simes J, Williamson PR (2008) Systematic review of the empirical evidence of study publication bias and outcome reporting bias. PLoS One 3(8):e3081 Easterbrook PJ, Gopalan R, Berlin JA, Matthews DR (1991) Publication bias in clinical research. Lancet 337(8746):867–872 Ewers RM (2006) Interaction effects between economic development and forest cover determine deforestation rates. Glob Environ Chang 16(2):161–169 Foster AD, Rosenzweig MR (2003) Economic growth and the rise of forests. Q J Econ 118(2):601–637 Foster AD, Rosenzweig MR, Behrman JR (1997) Population growth, income growth, and deforestation: management of village common land in India. Penn Institute for Economic Research working paper. Brown University and University of Pennsylvania, Rhode Island/Philadelphia Gbetnkom D (2005) Deforestation in Cameroon: immediate causes and consequences. Environ Dev Econ 10(4):557–572 Geist HJ, Lambin EF (2002) Proximate causes and underlying driving forces of tropical deforestation. BioScience 52(2):143–150 Geldmann J, Barnes M, Burgess N, Cragie I, Coad L, Hockings M (2013) Effectiveness of terrestrial protected areas in maintaining biodiversity and reducing habitat loss. Collab Environ Evid Gibson L, Lee TM, Koh LP, Brook BW, Gardner TA, Barlow J, Peres CA, Bradshaw CJA, Laurance WF, Lovejoy TE, Sodhi NS (2011) Primary forests are irreplaceable for sustaining tropical biodiversity. Nature 478(7369):378–381 Godoy R, Contreras M (2001) A comparative study of education and tropical deforestation among lowland Bolivian Amerindians. Econ Dev Cult Chang 49(3):555–574 Godoy R, Reyes-Garcia V, Vadez V, Leonard WR, Tanner S, Huanca T, Wilkie D, Team TBS (2009) The relation between forest clearance and household income among native Amazonians: results from the Tsimane’ Amazonian panel study, Bolivia. Ecol Econ 68(6):1864–1871 Page 24 of 27

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Gullison RE, Frumhoff PC, Canadell JG, Field CB, Nepstad DC, Hayhoe K, Avissar R, Curran LM, Friedlingstein P, Jones CD, Nobre C (2007) Tropical forests and climate policy. Science 316:985–986 Harris NL, Brown S, Hagen SC, Saatchi SS, Petrova S, Salas W, Hansen MC, Potapov PV, Lotsch A (2012) Baseline map of carbon emissions from deforestation in tropical regions. Science 336(6088):1573–1576 Hosonuma N, Herold M, De Sy V, De Fries RS, Brockhaus M, Verchot L, Angelsen A, Romijn E (2012) An assessment of deforestation and forest degradation drivers in developing countries. Environ Res Lett 7(4):044009 Jha S (2009) Household-specific variables and forest dependency in an Indian hotspot of biodiversity: challenges for sustainable livelihoods. Environ Dev Sustain 11(6):1215–1223 Jorgenson AK (2006) Unequal ecological exchange and environmental degradation: a theoretical proposition and cross-national study of deforestation, 1990–2000. Rural Sociol 71(4):685–712 Jorgenson AK, Burns TJ (2007) Effects of rural and urban population dynamics and national development on deforestation in less-developed countries, 1990–2000. Sociol Inq 77(3):460–482 Jorgenson AK, Dick C, Austin K (2010) The vertical flow of primary sector exports and deforestation in less-developed countries: a test of ecologically unequal exchange theory. Soc Nat Res 23(9):888–897 Kahuthu A (2006) Economic growth and environmental degradation in a global context. Environ Dev Sustain 8(1):55–68 Kaimowitz D, Angelsen A (1998) Economic models of tropical deforestation: a review. CIFOR, Center for International Forestry Research, Bogor Kant S, Redantz A (1997) An econometric model of tropical deforestation. J For Econ 3(1):51–86 Kerr S, Pfaff A, Cavatassi R, Davis B, Lipper L, Sanchez A, Timmins J (2004) Effects of Poverty on Deforestation: Distinguishing behaviour from location. Agricultural and Development Economics Division of the Food and Agriculture Organization of the United Nations (FAO–ESA), Working papers, pp 04–19 Koop G, Tole L (1999) Is there an environmental Kuznets curve for deforestation? J Dev Econ 58(1):231–244 Koop G, Tole L (2001) Deforestation, distribution and development. Glob Environ Chang 11(3):193–202 Laurance WF (2007) Have we overstated the tropical biodiversity crisis? Trends Ecol Evol 22(2):65–70 Li Q, Reuveny R (2006) Democracy and environmental degradation. Int Stud Q 50(4):935–956 Lombardini C (1994) Deforestation in Thailand. In: Brown K, Pearce D (eds) The causes of tropical deforestation: the economic and statistical analysis of factors giving rise to the loss of the tropical forests. University College London Press, London Mahapatra K, Kant S (2005) Tropical deforestation: a multinomial logistic model and some countryspecific policy prescriptions. For Policy Econ 7(1):1–24 Mendes CM, Porto Junior S (2012) Deforestation, economic growth and corruption: a nonparametric analysis on the case of Amazon forest. Appl Econ Lett 19(13):1285–1291 Mertens B, Sunderlin W, Ndoye O, Lambin E (2000) Impact on macro-economic changes on deforestation in south Cameroon: integration of household survey and remotely-sensed data. World Dev 28(6):983–999 Mitinje E, Kessy JF, Mombo F (2007) Socio-economic factors influencing deforestation on the Uluguru Mountains, Morogoro, Tanzania. Discov Innov 19:139–148 Moher D, Liberati A, Tetzlaff J, Altman DG (2009) Preferred reporting items for systematic reviews and meta-analyses: the PRISMA statement. Ann Intern Med 151(4):264–269 Nelson JP, Kennedy PE (2009) The use (and abuse) of meta-analysis in environmental and natural resource economics: an assessment. Environ Resour Econ 42:345–377

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Oyekale AS, Yusuf SA (2006) An error correction modeling (ECM) of the determinants of deforestation in Nigeria. J Sustain For 23(1):19–36 Panayotou T, Sungsuwan S (1994) An econometric analysis of the causes of tropical deforestation: the case of Northeast Thailand. In: Brown K, Pearce D (eds) The causes of tropical deforestation: the economic and statistical analysis of factors Giving rise to the loss of the tropical forests. University College London Press, London, pp 192–210 Pfaff A, Amacher GS, Sills EO (2013) Realistic REDD: improving the forest impacts of domestic policies in different settings. Rev Environ Econ Policy 7(1):114–135 Robinson BE, Holland MB, Naughton-Treves L (2011) Does secure land tenure save forests? A review of the relationship between land tenure and tropical deforestation. CCAFS working paper. CCAFS, Copenhagen Rock MT (1996) The stork, the plow, rural social structure, and tropical deforestation in poor countries? Ecol Econ 18:113–131 Rudel T (1994) Population, development and tropical deforestation: a cross-national study. In: Brown K, Pearce D (eds) The causes of tropical deforestation: the economic and statistical analysis of factors giving rise to the loss of the tropical forests. University College London Press, London Rudel TK (2008) Meta-analyses of case studies: a method for studying regional and global environmental change. Glob Environ Chang 18(1):18–25 Rudel T, Roper J (1997) The paths to rain forest destruction: crossnational patterns of tropical deforestation, 1975–1990. World Dev 25:53–65 Rudel TK, Flesher K, Bates D, Baptista S, Holmgren P (2000) Tropical deforestation literature: geographical and historical patterns. Unasylva 203(51):11–18 Rudel TK, Defries R, Asner GP, Laurance WF (2009) Changing drivers of deforestation and new opportunities for conservation. Conserv Biol 23(6):1396–1405 Samii C, Lisiecki M, Kulkarni P, Paler L, Chavis L (2013) Impact of payment for environmental services and de-centralized forest management on environmental and human welfare: a systematic review? The Campbell Collaboration Schmook B, Vance C (2009) Agricultural policy, market barriers, and deforestation: the case of Mexico’s Southern Yucatan. World Dev 37(5):1015–1025 Scrieciu SS (2007) Can economic causes of tropical deforestation be identified at a global level? Ecol Econ 62(3–4):603–612 Shafik N (1994a) Economic development and environmental quality: an econometric analysis. Oxf Econ Pap 46:757–773 Shafik N (1994b) Macroeconomic causes of deforestation: barking up the wrong tree? In: Brown K, Pearce D (eds) The causes of tropical deforestation: the economic and statistical analysis of factors giving rise to the loss of the tropical forests. University College London Press, London, pp 86–95 Shandra JM, Shircliff E, London B (2011) World Bank lending and deforestation: a cross-national analysis. Int Sociol 26(3):292–314 Sunderlin WD, Angelsen A, Resosudarmo DP, Dermawan A, Rianto E (2001) Economic crisis, small farmer well-being, and forest cover change in Indonesia. World Dev 29(5):767–782 Turner EH, Matthews AM, Linardatos E, Tell RA, Rosenthal R (2008) Selective publication of antidepressant trials and its influence on apparent efficacy. N Engl J Med 358:252–260 Uusivuori J, Lehto E, Palo M (2002) Population, income and ecological conditions as determinants of forest area variation in the tropics. Glob Environ Chang 12(4):313–323 Van PN, Azomahou T (2007) Nonlinearities and heterogeneity in environmental quality: an empirical analysis of deforestation. J Dev Econ 84(1):291–309

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Vosti SA, Witcover J, Carpentier CL (2003) Agricultural intensification by small-holders in the Western Brazilian Amazon – from deforestation to sustainable land use. Research Report No. 130, International Food Policy Research Institute, Washington DC Walker R, Moran E, Anselin L (2000) Deforestation and cattle ranching in the Brazilian Amazon: external capital and household processes. World Dev 28(4):683 White H, Waddington H (2012) Why do we care about evidence synthesis? An introduction to the special issue on systematic reviews. J Dev Eff 4(3):351–358 Wright SJ, Samaniego MJ (2008) Historical, demographic, and economic correlates of land-use change in the Republic of Panama. Ecol Soc 13(2):17 Wunder S (2001) Poverty alleviation and tropical forests – what scope for synergies? World Dev 29(11):1817–1833 Wunder S, Wertz-Kanounnikoff S, Ferraro P (2010) PES and the GEF. Prepared on behalf of the Scientific and Technical Advisory Panel (STAP) of the Global Environment Facility (GEF), Washington, DC Zandersen M, Tol RS (2009) A meta-analysis of forest recreation values in Europe. J For Econ 15(1):109–130 Zhang Y, Uusivuori J, Kuulivainen J (2001) Econometric analysis of the causes of forest land use changes in Hainan, China, vol 2001-RR2, EEPSEA research report. EEPSEA, Singapore Zhao H, Uchida E, Deng X, Rozelle S (2011) Do trees grow with the economy? A spatial analysis of the determinants of forest cover change in Sichuan, China. Environ Res Econ 50(1):61–82 Zwane AP (2007) Does poverty constrain deforestation? Econometric evidence from Peru. J Dev Econ 84(1):330–349

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Forest Market Standards and Transport Frances Maplesdena* and Steven Johnsonb a Maplesden Consulting, Rotorua, New Zealand b International Tropical Timber Organization, Yokohama, Japan

Abstract Technical and environmental standards, such as product standards and environmental credentials and codes relating to safety, health and building practices, are designed to protect the health and safety of consumers and may assist in establishing product-quality conformity among producers. Standards impacting primary and secondary tropical wood products are explored. Transportation is an important competitiveness factor for tropical wood products, with procedures and controls a key link in controlling the legality of the wood products trade. Methods of transportation and shipping, commercial contractual requirements, and sources of illicit trade in transportation are discussed.

Keywords Shipping; Standards; Timber grading; Timber smuggling; Transport; Tropical logs; Wood products

Technical and Environmental Standards Introduction Technical and environmental standards, such as product standards and environmental credentials and codes related to safety, health, and building practices, are designed to protect the health and safety of consumers and may assist in establishing product quality conformity among producers. While standards are usually voluntary, they can help reduce the risk of disputes between buyers and sellers over product quality, dimensions, performance, and safety. They are also a means of differentiating products in the marketplace and can result in increased market share and price premiums. Tropical producer countries may need to comply with the requirements of technical and environmental standards in consumer countries to access certain international markets.1 Importing country standards have the potential to create barriers to market access for tropical wood products because they are under continuous review and change, with developing countries playing, at best, only a minor role in their development. In consumer markets, national-level regulations influence the use of tropical wood for various end uses, but they are often written for temperate species and applied to imported tropical wood. Building codes and standards tend to favor a small number of locally dominant species and grades, many of which are nontropical softwoods whose technical properties have been thoroughly researched and end uses well established.

*Email: [email protected] 1 This section covers environmental standards related to wood products health and safety. Environmental standards related to the certification of forest management and chain-of-custody standards are covered in “▶ Introduction to forest certification schemes” of this Handbook. Page 1 of 23

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_253-1 # Springer-Verlag Berlin Heidelberg 2015

Principles of Standardization

A standard can be defined as “a document that provides requirements, specifications, guidelines or characteristics that can be used consistently to ensure that materials, products, processes and services are fit for their purpose” (ISO 2014). Standards are generally based on the consolidated results of science, technology, and experience, established by consensus and approved by a recognized body. Standards can be used as the technical basis for trade in end products between willing buyers and sellers and as a means of facilitating compliance with technical regulations. They are also used extensively by companies in production, product, service, and process environments. Ideally, standards are developed in a transparent, open, and consensus-based process that involves producers and consumers and other interested stakeholders and which defines fitness for purpose in the case of product standards and good practice in the case of processes. Management system standards assist organizations in managing their operations (Tissari 2010).

Standards in an International Context A standard becomes an international standard if it is adopted by an international standardizing/standards organization and is published and made available to the public. A standard has global relevance if it can be used or implemented broadly by affected industries and other stakeholders in markets worldwide. Many tropical wood-producing countries do not have national sets of standards, and governments may impose reference to international standards. Standards developed by the International Organization for Standardization (ISO) and other international and regional organizations such as the European Committee for Standardization (CEN) are therefore of significance to tropical producers. International standards development is normally carried out through ISO technical committees, with intergovernmental and nongovernmental organizations sometimes taking part in the work, in liaison with the ISO. ISO Technical Committee (TC) 218 is responsible for • Developing standards which will establish terminology and enable sawn and processed wood and floorings to be described, defined, classified, and specified in a manner that is consistently understood by, and equitable to, all active and potential traders. • Developing test method standards that will enable the physical and mechanical characteristics of hardwood and softwood round, sawn and processed wood to be determined in a globally recognized and consistent way. These test method standards will aim to provide transparency as well as “deemed to comply” requirements, where possible, to facilitate broad-based acceptance and conformity. The two ISO sets of standards of most relevance to wood products are ISO 9000:2000 Quality management systems and ISO 14000: Specification for environmental management systems. Organizations such as ISO, CEN, and Association Technique Internationale des Bois Tropicaux (ATIBT) have been attempting to harmonize the codes and standards of major markets to minimize the difficulties for exporters in supplying multiple markets with different regulations and standards. Progress has been slow to date, however. The EU has been working (through CEN) with ISO to harmonize standards on product performance and to make them universal across the EU. Member countries of the World Trade Organization (WTO) have the right to adopt standards which are considered appropriate for human life and health, the protection of the environment, or the prevention of deceptive practices. The three WTO agreements most relevant to the use of standards in the international wood products trade are • The Agreement on Technical Barriers to Trade (TBT), which seeks to ensure that regulations, standards, testing, and certification procedures, including packaging, marking, and labeling Page 2 of 23

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requirements, do not create unnecessary barriers to trade. However, the TBT also encourages member countries to use international standards where appropriate, without lowering their national levels of protection against defective products. The TBT contains a code of good practice for the preparation, adoption, and application of standards. It does not approve methods that would give domestically produced products unfair advantages, and it encourages countries to recognize each other’s testing procedures (WTO 2014). Tropical supplying countries may be disadvantaged, however, when they have insufficient or substandard laboratories with which to comply with the current best practices of industrialized countries. • The Agreement on the Application of Sanitary and Phytosanitary Measures (SPS) “recognizes that governments have the right to take sanitary and phytosanitary measures but that they should be applied only to the extent necessary to protect human, animal or plant life or health and should not arbitrarily or unjustifiably discriminate between Members where identical or similar conditions prevail” (WTO 2014). The SPS Agreement is designed to reduce the inspection, quarantine, and treatment of imported products as prohibitive measures beyond those necessary to protect domestic human, animal, and plant populations in the receiving country. • The Government Procurement Agreement (GPA), which states that technical specifications in government tenders should be based on international standards, where such exist, or otherwise on national technical regulations, recognized national standards, or building codes. Government procurement policies and guidelines have been, and are being developed, in a number of tropical wood-importing countries with the potential to impact demand for tropical wood products (Simula 2010).

Roundwood and Primary Processed Product Standards Grading rules for primary processed tropical wood products are applicable to logs, sawnwood for nonstructural uses, and sawnwood for structural uses. They are important in defining quality (and consequently value) for an intended use or purpose for the product. International standard ISO 24294:2013 Timber – Round and sawntimber – Vocabulary contains the terms and definitions to be applied in the forest and woodworking sectors, with the scope of identification of a tree and of its parts in round and sawn aspects; measurements; grading; condition; features; sizes; and various types of wood defects (Fig. 1).

Fig. 1 Padouk and tali logs graded at the log yard, Gabon (Photo: Arnaud Ndombina)

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_253-1 # Springer-Verlag Berlin Heidelberg 2015

Table 1 ATIBT grading rules. Maximum number of penalties allowed by log grade Maximum number of penalties allowed in each grade for each type of defect I I/II II II/III III IV Shape Taper Curvature Flattened section Buttress Humps Defect Knots and knobs Inbarks, galls, blister grain, thorns, etc. Splits, cracks, breaks Cupshakes Abnormal heart Spiral grain, entangled grain, etc. Deterioration Pin holes, discoloration Grub holes, teredo holes Heart decay Off the heart rot Maximum global penalties allowed For logs up to 6 m For logs over 6 m long, and for every 3 m length over

0 1 0 0 0

1 1 0 1 0

2 2 1 2 2

2 2 2 4 4

2 3 2 5 5

2 3 2 6 6

2 0 2 0 0 0

2 1 4 2 1 1

4 2 6 3 2 2

6 3 8 4 3 3

8 5 10 5 3 6

9 6 14 5 3 9

1 0 0 0

2 0 1 1

4 2 2 2

6 3 4 4

10 4 6 6

15 5 6 6

4 2

6 2

8 3

10 3

12 4

16 6

Source: ATIBT 2012

Grading of Tropical Hardwood Logs Many different log grading rules have been developed in tropical log-producing countries, although key tropical woods are traded according to the log grading rules developed in the country of most important origin, often with the full involvement of importers. The following are some of the well-known grading rules in the tropical log trade: • ATIBT (rules intended for use in grading African logs) • Sabah log-grading rules (rules intended for use in grading logs in the state of Sabah, Malaysia) (Sabah Forestry Department 2002) • South East Asia Lumber Producers’ Association Log Grading Rules (rules intended for use in grading logs other than teak, produced by South East Asia Lumber Producers’ Association – SEALPA – member countries, i.e., Malaysia, Indonesia, Papua New Guinea, and the Philippines) (SEALPA 1981) • Myanmar Timber Enterprise Grading Rules for Teak Veneer Logs (rules intended for use in grading of Myanmar teak veneer and sawlogs) • Grading rules for African timber (involving an LM [loyale et marchande], B and C grade system) Log export bans or tightly controlled export quota systems now apply to many of the major tropical log-producing countries (see subchapter “▶ Forest Products Market Policy Issues”). A log export ban was scheduled to come into force in Myanmar in April 2014. Page 4 of 23

Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_253-1 # Springer-Verlag Berlin Heidelberg 2015

Table 2 Allocation of points by grade, ATIBT grading rules Grade 1st I/II 2nd II/III 3rd 4th

Points 10,000 8,750 7,500 6,250 5,000 2,500

Source: ATIBT 2012 Table 3 Evaluation by point scores of quality classes for export timber, ATIBT grading rules Quality Export quality (A/B) QLM Standard Seconde (B/C) Third Outgraded quality

Percentage of grade I II 50 % 50 % 50 % 35 % 20 % 60 % 50 %

III

IV

15 % 20 % 50 % 100 % 50 %

50 %

Total points 8,750 8,375 7,500 6,250 5,000 3,500

Calculation is based on the utilization percentage for each grade Source: ATIBT 2012

ATIBT log-grading rules for African tropical roundwood involve an inspection and assessment of log imperfections and anomalies with an allocation of penalty points, a maximum number of which are allowed in each grade for each type of defect (Table 1). There are six grades: I, I/II, II, II/III, III, and IV or A, A/B, B, B/C, C, and D, each of which has an associated number of points (Tables 2 and 3). Criteria for grading logs for sliced veneer are different from the common grading standards for logs, with some species having imperfections which make the wood unsuitable for veneer uses. In Asia, log grading is mainly done according to wood type and proposed use (e.g. for veneer or sawing). Log grading standards provide the applicable species, modes and methods of measurement, size requirements, grading and inspection requirements, and allowable defects. Grading rules for Mynamar teak logs have evolved as the location and quality of the resource has changed (Bali Teak Farms 2014), with veneer and sawlogs graded as grades 1–4 Veneer Quality and grades 1–7 Sawing Quality. International grading rules for plantation teak have been proposed which would require more precise definitions of volume and quality (Keogh 2008). Grading of Tropical Hardwood Sawnwood Sawnwood grading rules provide a set of definitions of wood characteristics together with methods for measuring them. Grading rules determine, in an orderly manner, the way in which a whole piece of wood from a certain species, or group of species, will be designated and located into any number of groups or categories. Different grading methods and criteria are applied to the grading of sawnwood for (1) nonstructural (appearance) uses and (2) structural uses. Nonstructural sawnwood is intended for use in high-quality joinery, furniture, or flooring where appearance is generally the primary selection criterion. When appearance is of secondary importance but the wood is required to perform a support function (e.g., enclosed furniture or bed components), the

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Tropical Forestry Handbook DOI 10.1007/978-3-642-41554-8_253-1 # Springer-Verlag Berlin Heidelberg 2015

limitation of defects is generally set by the manufacturer to ensure integrity of their finished products under normal conditions. Structural sawnwood is intended primarily for use in construction, with prescribed design values, produced in accordance with grading rules which quantify allowable defects in line with assessed performance capabilities, expressly to perform a primary load-bearing function. Strength and stiffness are primary considerations for structural uses, whereas appearance grades are dictated by the size of the clear cutting (the percentage of clear, defect-free wood on a board) or the number and quality of the defects within a wood piece. There are two basic methods for grading sawnwood for nonstructural uses, adopted in slightly differing ways worldwide: • Visual assessment on the basis of the number of standard defects the piece contains in proportion to its overall size • Visual assessment of the defect-free surface area as a percentage of the total surface area of the piece (i.e., segments for cuttings grades) Both methods are suitable for distinguishing between a premium or “common” grade, and both serve the purpose of identifying the amount of best-quality sawnwood available for further processing. In producer countries, the best-known grading rules for sawnwood are the Malaysian Grading Rules (MGR) for Sawn Hardwood Timber (MTIB 2009), issued by the Malaysian Timber Industry Board,which is the grading authority in Malaysia (the Sarawak Timber Industry Development Corporation is the grading authority for Sarawak). Exports of graded sawnwood from Malaysia must conform to the MGRs. The highest grade is “prime,” and a distinction is made between heavy, medium, and light hardwoods as well as softwoods. There is also a specification in MGR 2009 for the grading of doors and window frames. In Ghana, the Sciages Avivés Tropicaux Africains (SATA) grading rules have recently been adapted for use in the Ghana grading rules for sawn timber (GSA 2013). Although the SATA rules were established for African countries, they have not been used in practice. The classification is based on clear cuttings (as used in the NHLA grades below), the grades being determined by the percentage of clear surface in the board. In consumer countries, the National Hardwood Lumber Association (NHLA) in North America has developed rules and standards to facilitate trade in the US hardwood market (Table 4) (NHLA 2014). The NHLA grades are based on the percentage of clear defect-free wood on a board (i.e., the clear cuttings). Other than the FAS (Firsts and Seconds) grades, the grade of the board is determined from the percentage of clear cuttings, and defects outside of the clear areas are not considered. The International Wood Products Association (IWPA)’s Lumber Products Committee, the Malaysian Timber Industry Board, and the Malaysian Wood Moulding Council jointly developed the Tropical hardwood machined lumber products grading rules 1987. These rules provide definitions and specifications for the premium, standard and utility grades of general mouldings, surfaced-four-sides planed lumber, and door jambs. Both natural and machine defects are specified separately. The rules include a glossary of 75 terms. They were designed, in the first instance, to facilitate trade between the United States and Malaysia, but they are now an important tool for facilitating tropical timber trade to the US market by any tropical country. ATIBT’s grading rules for tropical sawnwood comprise two volumes. The first, Grading rules for tropical timber logs and sawn timbers, published in 1982, is a grading book which separately defines rules International Commercial TERMS – a series of predefined commercial terms published by the International Chamber of Commerce that is widely used in commercial transactions. 2

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Source: Tissari 2011

No 2 COMMON

No 1 COMMON

FAS one face (F1F) SELECTS

Grade FAS (firsts and seconds)

Clear cuttings 400  50 or 300  70

Width of 400 and larger, length of 60 and longer Width of 300 and larger, length of 40 and longer Width of 300 and larger, length of 40 and longer 300  20

400  20 or 300  30 From 66.67 % (8/12ths) to 83.33 % From 50 % (6/12ths) to 66.67 % Without limits

Tolerated without limits Without limits