Introduction
All countries are aware of the importance of the multiple benefits of forest and tree resources, such as contributions to improved rural livelihoods, poverty alleviation and conservation of biodiversity. However, these benefits can be achieved only if there is a strong interest in promoting sustainable use, management and conservation of forests. National forest programmes should therefore not only be seen as relevant within the sector but certainly also as an important component in the design and implementation of cross-sectoral policies, as for example poverty reduction strategies.
A requirement for sustainable forest management (SFM) is the accessibility to information on forest resources. However, in many countries, only limited progress has been made in financing and building national capacity to develop comprehensive information on forests and trees. Conventional national forest inventories are narrow in scope as they are generally timber oriented and often based on costly approaches.
In order to enhance countries capacity in carrying out national assessments of forest resources, FAO initiated in 2000 a programme to support national forest resources assessments (NFA). NFA has been defined as: “A national process to collect, manage, make available and analyze information on forest resources, their management and use covering the entire country, including also analyses, evaluations and scenario development for use, e.g., in policy processes.”5. This scope was later expanded also to include other land use resources, such as agriculture and water, towards integrated land use assessments (ILUA).
FAO Support Programme to NFAs (for simplicity, the program will in this paper be referred to as NFA) provides technical assistance in data collection and processing as well as in policy analyses. During the design, planning and implementation of a NFA/ILUA, institutional, organisational and technical capacities of the country to carry out resources assessments are strengthened.
Approach to National Forest Assessment
Over the last six years the Forestry Department at FAO has had the main responsibility for developing a new approach to NFA, with a broader scope than traditional national forest inventories. This approach has been designed to meet the information needs requested by a diversity of users, at relatively low costs and within short period of time. To do this, the development of the NFA approach is fully participatory. International and national experts have participated actively in shaping the scope, the sampling design and format of the generated information as well as improving its reliability and relevance to various users at national level.
The approach is adapted to country’s specific context and encourages national partnership as well as experience sharing among countries. It has so far been applied in nine countries and proved to be cost-effective relative to the amount of data collected in the field and the variety of information generated on social, economic and environmental benefits of forests and trees.
The approach also seeks to harmonise forest related terms and definitions, within and between the countries and with international information requirements (by adopting internationally agreed upon C&Is for SFM). While focusing on enabling countries to meet national policy demand, it thereby also facilitates country reporting obligations to international processes.
Basic design
The NFA approach is based on a systematic sampling at a density that can generate relevant and reliable information for national level decision making. The sample sites are composed of clusters of four plots each. The sampling intensity varies within the range of 100 to 1000 clusters. The intensities applied so far in the countries supported by FAO do not exceed 400 clusters (Figure 1). The sampling may be stratified according to stable strata such as ecological zones to optimize sampling efficiency. The clusters are located in square tracts of 1 km2 (Figure 2). The tracts and plots are used to collect biophysical data from measurements and observations of forest and tree properties and to gather socio-economic data through interviews with key informants and focus groups. The sampling is designed to cover both forest and non-forest lands in order to capture information on all tree resources in the country.
Figure 1. Examples of NFA sampling design in some countries
Figure 2. Sampling design – Tract and plot configuration (the example of Kenya)
The NFA approach is adapted to address national information requirements on forests and trees as well as on other natural resources. Current NFA/ILUA countries have further developed their NFA methodology to include special assessments of, for example, shrubs, coppices, bamboo, rattan, wildlife, epiphytes and non-timber forest products to satisfy their national needs.
The NFA projects are designed to meet the objective of long term monitoring of the forest and tree resources. All the countries have been supporting the set up of monitoring systems, as they are interested in getting information on trends. To achieve a long term monitoring some countries (Lebanon, Bangladesh and Zambia) have considered continuous inventories to maintain the developed capacity operational and the NFA/ILUA programme active and institutionalised. Other countries (Costa Rica, Guatemala, Cameroon, Algeria, and the Philippines) have considered implementing the NFA in intervals, e.g. 5 years.
Since the original design of the approach, several components have been added and elaborated. The following sections will briefly present these improvements.
From National Forest Assessment to Integrated Land Use Assessment
In real scenario, natural resources are used in a totally integrated manner at farmer or community levels. National policies are more than ever becoming oriented towards integrated development, placing equal emphasis on the social, economic and environmental dimension of natural resources. Forests are elements in land use systems and are increasingly influenced by other forms of land uses.
Building on the NFA approach and at the request of the forestry authorities in Zambia, the Departments of Forestry and Agriculture at FAO have collaborated to design and implement an integrated land use assessment (ILUA). The project is the first of its type and has brought together several national institutions and a lot of enthusiasm, as it is the first time data is being collected by several national institutions6 in collaboration.
In addition to the biophysical and socio-economic core variables identified for the NFA, the scope of the ILUA is broadened to cover crops and livestock resources. Additional variables for these resources were identified by FAO and discussed and redefined by the concerned national institutions in Zambia. Information on these variables is mainly collected through survey of households selected randomly within or close to the tract.
The scope of data collection in the field required mobilisation of multidisciplinary teams representing the involved institutions (Forestry Department, Agriculture, Central Statistical Office and NGOs). The fieldwork also necessitated important capacity building efforts within these disciplines in order to harmonise data collection techniques amongst the teams and to ensure homogeneous interpretation of the variables and their definitions.
A similar project was also developed in Kenya where an Integrated Natural Resources Assessment (INRA) is being implemented. Alike the ILUA, the INRA covers a number of natural resources including forests, crops and crop associated biodiversity, water, wildlife and livestock. To support the INRA in Kenya the Departments of Forestry, Agriculture, Fisheries and Sustainable Development of FAO are collaborating to develop the methodology and to backstop the activities. In the country, the INRA has created a lot of interest and has gathered a wide range of national stakeholders7 to collaborate.
By addressing cross-cutting issues, these two projects aim at enhancing national inter-sectoral policy dialogue and harmonisation.
Improved socio-economic data
The NFA interview component aspires to collect valid and reliable data on the management, uses and users of tree-related products and services. This component has been evolving and adjusting to lessons learned from previous experiences in order to increase the utility and reliability of the NFA and its relevance to policy makers. While the original assessment design contained approximately 100 biophysical and socio-economic variables, the most recent ILUA approach addresses more than 250 variables, of which approximately one third focus on the socio-economic issues. This increase is mainly a result of the introduction of a complementary household survey for the ILUAs, but partly also thanks to an increased emphasis on products and services derived from the different land uses.
Increased use of remote sensing
Land use/ land cover mapping using high resolution remote sensing data has become a more frequently used component of the NFA approach. It was introduced to provide decision makers with more elaborate and highly relevant information on geographical aspects of land uses, such as:
¨ Distribution and extent of forests, crop land, rangeland, water bodies, etc.;
¨ Level of fragmentation/contiguity of forest cover and biological resources (forest integrity and naturalness in relation to biodiversity)
¨ Landscape and spatial analyses;
¨ Thematic maps with extrapolated field measurements and observations ;
¨ Assessment of changes in land use dynamics and processes.
Monitoring of forest spatial integrity is done by analysing the relationship between landscape parameters and potential management actions. In particular, landscape analyses help characterise fragmentation of forests and simulate the likely impacts of land use changes or forest restoration. The fragmentation of forest ecosystems can be analysed based on spatial indexes such as patch size, interface with non-forest, edge effects, isolation from, or interconnection with other patches.
In some of countries (Zambia, Bangladesh, Congo and Lebanon) a wall-to-wall land use/land cover mapping was or will be carried out, while in others (Costa Rica and Brazil) the remote sensing component is/will be sample based.
Technology development potential
The NFA approach is open to new concepts, and to apply various technical solutions to increase efficiency in reaching the objectives of the assessment. Investing in technologies is encouraged, as long as the robustness of the approach is not weakened and, of course, provided that funds are available.
Currently GPS receivers, analogue compasses, analogue dendrometers and clinometers (height and slope measurements), magnetic motion metal detectors and, in some countries, laser range finders are used during field measurements.
Initially the primary data were kept in spreadsheets (MS Excel), but are now stored in database applications (MS Access), which are also used for data processing. Processed data are subsequently analysed in spreadsheets (MS Excel) or in specialised statistical software.
FAO has been investigating different technical options for digital field data collection (field computers), but so far it has not been possible to implement them, due to lack of means.
Up-scaling from national to regional projects
FAO is supporting the development of two regional NFA initiatives, at the request of the concerned countries. The first is designed for the Permanent Interstate Committee for Drought Control in the Sahel (CILSS)8 region and Guinea while the second covers six countries9 in the Near East.
The support to the NFA project in the CILSS region and Guinea is titled ”Combat deforestation, assessment and integrated management of forest and trees outside forest resources”, and is being formulated through Global Environment Facility (GEF) funding.
In Near East, a project proposal for “Assessment of forests, trees and range resources to support policy harmonisation in six Near East Countries” is being prepared in collaboration with the concerned countries with the expectation that it will be financed by the countries themselves and by interested donors.
Enhanced FAO-advisory role (assisting countries with already established inventory systems)
Besides introducing new approaches and methodologies for national forest resources assessments to countries requesting it, FAO also provides technical advice and guidance to countries (Vietnam, Algeria and Brazil) where national forest assessment systems are already established. In those countries FAO’s support focuses on strengthening national capacity and on broadening assessment scope also to include, for instance, socio-economic and environmental characteristics or trees outside forest.
Funding
The NFA approach was designed to be nationally executed with a strong national commitment in terms of funding and personnel. In most countries a substantial national contribution is provided to undertake the NFAs/ILUAs, while in a few countries governmental contribution to the NFA projects is negligible.
External funding of the NFA projects has essentially been provided by FAO. Initially NFA projects were supported through Trust Funds (Sweden) and later through the FAO TCP programme in combination with Trust Funds (Sweden and the Netherlands). In the future, it is expected that they will also be funded under GEF.
Background Paper prepared for the NFA Expert Consultation “Generating knowledge through National Forest Assessments - towards improved forest, land use and livelihood policies”.
Introduction
Information management encompasses the entire process of handling of data from its acquisition to its uses. It involves various related activities such as defining, collecting and creating, organising, evaluating, safeguarding, maintaining and disseminating information. The goal of the discipline can be phrased as:
“The goals of information management are getting the right information to the right person, at the right time, from the right source, in the right amount, in the right order, in the right form, in the right medium, with optimal accuracy – and, at the lowest reasonable cost”
Distinction is made between data, information and knowledge: data are unprocessed facts or observations, which may or may not be meaningful in themselves; information consists of assemblages of data which, taken together, answers a specific need, and knowledge is a product of information and human interpretation, and encompasses the context in which observations were made, and their inter-relationship with other activities.
The needs for updated information and knowledge on natural resources, as a base for better decisions making, are continuously increasing and in response to particular demands data are collected and analysed. These demands have become much more complex in recent years since forest policies have become more holistic, from mainly being timber production oriented towards encompassing social, economic and environmental issues.
Countries vary widely in the availability of forest information and in their information management. Some difficulties often encountered are that even when data are available at national level they are often difficult to access and their reliability is often questionable. Different institutions involved may not always be aware of each other’s activities, resulting in considerable duplication of efforts and in many cases conflicting data are reported for the same topics. Consequently to these constraints, data are often ignored and not used in any meaningful way.
Improved information management in NFA/ILUA is consequently a highly relevant topic when addressing the issue of how knowledge generated through NFA/ILUA can support policy development.
The flow of data/information in NFA/ILUA
Throughout the succession of NFA/ILUA, data are collected and information is generated in various forms and its management must be considered for each stage. Data/information generated during one stage enables additional information to be generated in the following stage. In order to adjust to new and emerging conditions and integrate specific requirements for information, a continuous communication and information sharing with stakeholders has to be established and maintained on permanent basis. Figure 3 illustrates how NFA/ILUA data and information for policy making flow and evolve throughout the cycle of a NFA/ILUA.
Figure 3 Flow of information for policy making in NFA/ILUA.
Information requirement analysis
Awareness raising, information needs and technical workshops are usually held at national level prior to the actual launch of a NFA/ILUA to allow stakeholders to provide their inputs for the formulation of NFA/ILUA methodology and scope. During the workshops, participants are given the opportunity to identify what should be the output and outcomes of the NFA/ILUA, what policies the assessment should address and to identify existing knowledge gaps.
Acquisition of data
With NFA/ILUA, information facilities are established at national level with the primary task to generate information through continuous collection of primary data and compilation of auxiliary information from other national studies (e.g. economic studies, social studies, environmental studies, etc.) that can lead to improved information on state, use/users and management of the countries’ natural resources. In response to the demands that were identified through the information requirement analysis, the assessment methodology is defined in terms of scale, degree of accuracy needed and data collection methods. The latter normally involves a combination of field inventories, interviews at different levels and remote sensing.
Data organisation, safeguarding and processing
Beside selection of appropriate software for data storage, processing and mapping exercises, the assurance of sound management and high quality of data relies on the establishment of standard methods for data quality control, validation and verification, backups and archiving. Processing of raw data is carried out simultaneously or subsequently to data entry and according to the type of requested information (e.g. if policy makers are requesting information on the contribution of forest products to household income, data should be processed with the household as unit instead of tabulating data according to land area).
Access to data and information
Once data are entered into the established information system and processed, some very raw data will become available. Although not yet processed, the raw data is a valuable asset and the very core of NFA/ILUA. Depending on user level, the access to the information varies. Generally, public access is provided to all published information while access to primary data and the data base is only given to those stakeholders who have signed a special MoA and actively contribute to the NFA/ILUA process.
Safeguarding data/information
To insure that management of data and information remains a lasting exercise in the countries, the primary prerequisite to be in place is a clear policy within and between the involved institutions on how to address the issue (e.g. frequency of updating, organisation, allocation of responsibilities, etc.). Secondly, the selected main responsible institution needs to have permanent resources (in terms of budget, staff, logistic and equipment) allocated to these responsibilities.
During the active support period to NFA/ILUA, FAO has taken the main responsibility for maintaining the data base structure, and as soon as FAO has finalised its active support, this responsibility has been reassigned to the lead institution in the country.
In case the requirements for safeguarding data and information are not met (e.g. in case changed political priorities or instabilities), FAO takes the role as the solid and neutral partner providing knowledge and long term safekeeping of information through its national and regional presence and permanent programme for support to NFA/ILUA.
The long term maintenance and updating of information rely on institutional capacities at national level to carry on the NFA/ILUA activities in the future. While the main responsibility should lie at national level, FAO continuously communicates with the countries and is therefore able to provide additional assistance when requested.
Analysis and reporting (info packaging)
Processed and analysed data is, together with cartographic material, the primary output from NFA/ILUA that can be disseminated to potential users and interest groups. However, not all information is useful and/or suitable to all users and for all purposes. For each user group, the information they receive has to be relevant, adequate and presented in a comprehensible and useful way. Decisive elements in selection of format/packaging for presenting the results have therefore been to consider the intended effects of the presented information and who are the user groups to address. Depending on national settings, the diversity of interest groups varies, but in general encompasses the general public, policy makers, researchers, international organisations/processes, education institutions and NGOs. For researchers and specialised institutions (including international processes) that generally favour well documented and detailed information, NFA/ILUA results are presented with high precision and well documentation in for example scientific journals and as comprehensive reports and maps. For policy makers, who do not require same level of accuracy and amount of information, but prefer results presented in a form that is more conclusive and analytical, bulletins and booklets are prepared. Likewise, the general public, NGOs and educational institutions are approached through more digestible media, such as the press, Internet homepages and brochures or as broadcasts on television and in radio. Additional and more direct channels of communication are also applied to improve the visibility of NFA/ILUA and involvement from different user groups. Such initiatives includes: workshops, press conferences, school visits and appointment with policy makers.
Policy development
Based on NFA/ILUA information, policy makers at various levels are able to gain new knowledge upon which to base their decisions for natural resources or cross cutting issues (e.g. water management, poverty alleviation strategies, landscape planning, tenure, gender, etc.). To insure that the information that becomes available from NFA/ILUA creates the intended impact at policy level, the dissemination of information has to be communicated through the right media and in a suitable format. Most likely, the dissemination should be accompanied by additional means to raise awareness at policy level of the NFA/ILUA results. Lobbyism and use of the press are some of the tools that might be applied. To insure that the information gained through NFA/ILUA also reaches effect on the ground, managers and planning officers should be familiarized with the assessment results to be able to utilize them actively in the management decisions.
Presumably, policy makers at various levels (e.g. politicians and departmental executives at both national and provincial level) and other user groups will modify their need and requirements for information over time (maybe even within a single NFA/ILUA cycle). Existence of information gabs or requirements for updated or additional information might also be discovered, and it should therefore be considered how to respond to such changing demands. The NFA/ILUA information service has therefore to take into account how to insure that constructive feedback is received and how this can be applied to prepare and adjust the approach and scope of subsequent assessments.
Stimuli for discussion
Information from NFA/ILUA should be presented in a way that makes it easier for decision makers and stakeholders to interpret the findings. This requires writing non-technical “stories” of how the observed trends in forests affect people, their lives and their communities. The reporting must go a step further from the simple presentation of findings to the ‘so what’ analysis.
Information from NFA/ILUA should be ‘scalable’ in its presentation in order to meet the needs of a larger audience and to make it politically viable, i.e. findings should be presented with the perspective of multiple users at both national and sub-national level.
We need to ask ourselves the question - to what extent will the produced output from the NFA/ILUA realistically be used in the intended way? The answer should be taken into consideration when planning the scope of NFA/ILUA and the information packaging/dissemination.
For more information on ‘Information Management’ please visit the Knowledge Reference at: www.fao.org/forestry/site/fra-knowledgeref/en
5 Kotka IV, 2002
6 Forestry Department in partnership with representatives from Central Statistics Office, Environment, Survey Department and Ministry of Agriculture
7 Ministry of Environment and Natural Resources; Ministry of Water and Irrigation; Ministry of Agriculture; Ministry of Regional Authorities; Ministry of Tourism & Wildlife; Ministry of State for National Heritage; Ministry of Livestock & Fisheries Development; Universities and NGOs.
8 Comité Permanent Inter-Etats de Lutte Contre la Sécheresse which includes: Burkina Faso, Cap-Vert, Gambie, Guinée-Bissau, Mali, Mauritanie, Niger, Sénégal, Tchad
9 Egypt, Iran, Jordan, Oman, Syria and Yemen.
