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Box 4.17 Adaptive Management Applied: Sustainable Agriculture in Guatemala and Mexico In the 1990s two organizations, Defensores de la Naturaleza in Guatemala and Línea Biósfera in Mexico, wanted to understand how effectively sustainable agriculture was reducing deforestation and the conditions under which it was effective. Like many conservation or development organizations, these two groups had been using sustainable agriculture under the assumption that it would reduce forest clearing for agriculture, yet they had no concrete evidence that the use of sustainable agriculture actually led to reduced deforestation. To explore this question, Defensores de la Naturaleza and Línea Biósfera partnered with the Biodiversity Support Program to implement a learning process to determine the utility of sustainable agriculture as a conservation tool. As a first step, the organizations had to make explicit the assumptions they were using in promoting sustainable agriculture techniques. One of the main assumptions is articulated in the results chain in the figure: Promotion of sustainable agriculture techniques Farmers adopt techniques Increase in yield/unit labor Farmers reduce area planted Reduction in clearing for agriculture Forest habitat maintained The groups in both countries collected data related to each of the factors in the results chain and came up with some surprising conclusions. The assumptions in the first two rectangular boxes in the chain held, but there were differences regarding the third rectangular box, “Farmers reduce area planted.” In Guatemala, farmers who used the sustainable agriculture techniques promoted by the project planted more area to maize than farmers who did not use sustainable agriculture. In Mexico, farmers who used the same sustainable agriculture techniques planted less area (thus, the assumptions in the results chain held true in Mexico). Through more analysis, the groups were able to determine that, in Guatemala, sustainable agriculture led to decreased investments in labor per hectare, and the farmers used the saved labor to increase the amount of area planted or to establish cash crops in forested areas. In addition, access to land was an important factor affecting area planted and, thus, deforestation. In Guatemala, where land is relatively available, farmers lacked incentives to be efficient in their land use, so increased their maize production by increasing area planted. In Mexico, where land access is restricted, farmers were much more efficient in their use of land and increased maize production by increasing yield. As a result of this work, the organizations concluded that sustainable agriculture programs that promote the same techniques used in these sites are unlikely to contribute to decreased rates of deforestation if access to land is not restricted. This is an important lesson—not just for the organizations carrying out this research, but for any organization working under similar conditions and using the same sustainable agriculture techniques to discourage deforestation. Adaptive management is about testing assumptions, learning, and adapting. When project teams can identify these types of general but nontrivial principles, they are helping to promote learning beyond their own project. Source: Margoluis and others 2001. LESSONS LEARNED AND RECOMMENDATIONS FOR PRACTITIONERS Adaptive management should involve all team members, to the extent possible. 4 Plans developed by higher level managers or offices and handed down to field staff do not have buy-in from the field staff and do not represent the assumptions held by project teams familiar with the site. Encouraging an adaptive management approach will help program managers overseeing multiple projects. If the projects they are supervising have followed good adaptive management practices, managers should be able to readily assess if a project is on track and, ultimately, how well the project performed. Obviously, there is an upfront investment in helping teams do adaptive management, but that investment can make overall portfolio management easier and more reliable for program managers. Ideally, teams should integrate adaptive management into their projects from the beginning—as soon as they begin to conceptualize their project and think about who will be involved and where or on what they want to work. This helps them be explicit and systematic early on. Never- 148 CHAPTER 4: OPTIMIZING FOREST FUNCTIONS IN A LANDSCAPE
theless, it is never too late to start doing adaptive management. Because of its iterative nature, adaptive management means teams are constantly revisiting steps in the project cycle. If a team decides to take an adaptive management approach midway through a project, the team should revisit each step and modify its action and monitoring plans, if necessary. Typically, teams find it enlightening to use tools like threat ratings to determine if they are addressing priority threats, conceptual models to determine what they should be doing, and results chains to determine if the logic for what they are currently doing makes sense. Together, these tools help teams evaluate whether they are currently taking the “right” actions or if they need to change course and undertake other, more strategic actions. Although it may seem time-consuming, the process of identifying, agreeing upon, testing, and revisiting project assumptions is extremely important. Sometimes, members from the same project team will hold different assumptions about their project site and why they are doing a particular activity. It is only when they sit down together to specify their assumptions that the differences emerge. To truly practice adaptive management, an open learning culture needs to be in place to encourage project teams to question their actions, share both successes and failures, and learn from their actions. Teams should not be afraid to admit mistakes, but at the same time, they should seek ways to remedy them and improve the project. It is important to share lessons with the team and beyond. Lessons learned through adaptive management can improve not only the project under consideration but other projects operating under similar conditions and with similar goals. Finally, adaptive management is not a trial-and-error process or a license to try whatever the team wants. Adaptive management requires a systematic and explicitly experimental—or scientific—approach to project management. NOTES 1. This note focuses primarily on a couple of useful tools for testing assumptions—a key feature of an adaptive management approach. Those readers who are looking for more in-depth guidance on adaptive management or other tools should review Margoluis and Salafsky (1998) and visit the Web sites of Foundations of Success (http://www.fosonline.org/) and the CMP (http://www.conservation measures.org/). The CMP is a partnership of conservation NGOs that seek better ways to design, manage, and measure the impacts of their conservation actions. 2. For further information on these tools, review the Selected Reading and References and cited lists and also visit www.Miradi.org for updates on the piloting of Miradi Adaptive Management Software, which includes a component to help build conceptual models and rank threats. 3. Adaptive management requires that project team members execute the design, management, implementation, and adaptation. 4. The Open Standards for the Practice of Conservation (Conservation Measures Partnership 2004) provides an extensive list of guidance and principles for doing adaptive management. SELECTED READINGS Conservation Measures Partnership. 2004. “Open Standards for the Practice of Conservation.” Conservation Measures Partnership, Washington, DC. http://www. conservationmeasures.org/CMP/Library/CMP_Open_ Standards_v1.0.pdf. Margoluis, R., and N. Salafsky. 1998. Measures of Success: Designing, Managing, and Monitoring Conservation and Development Projects. Washington, DC: Island Press. Salafsky, N., R. Margoluis, and K. Redford. 2001. “Adaptive Management: A Tool for Conservation Practitioners.” Publication No. 112, Biodiversity Support Program, Washington, DC. http://www.fosonline.org/Site_Docs/ AdaptiveManagementTool.pdf. The Nature Conservancy. “Conservation Action Planning <strong>Resource</strong>s.” http://conserveonline.org/workspaces/ cbdgateway/cap/resources. World Wildlife Fund (WWF). Guides for Implementing the WWF Standards of Conservation Project and Programme Management. http://www.panda.org/standards. REFERENCES CITED Conservation Measures Partnership. 2004. “Open Standards for the Practice of Conservation.” Conservation Measures Partnership, Washington, DC. http://www .conservationmeasures.org/CMP/Library/CMP_Open_S tandards_v1.0.pdf. ———. 2007. Miradi Adaptive Management Software. www.Miradi.org Foundations of Success. 2005. “Basic Guidance for Tools: Results Chains.” <strong>Resource</strong>s for Implementing the WWF Standards, Worldwide Fund for Nature (WWF), Gland, Switzerland. Gunderson, L. H., C. S. Holling, and S. S. Light, eds. 1995. Barriers and Bridges to the Renewal of Ecosystems and Institutions. New York: Columbia University Press. NOTE 4.3: USING ADAPTIVE MANAGEMENT TO IMPROVE PROJECT IMPLEMENTATION 149
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INTRODUCTION OPPORTUNITIES AND CHAL
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Forest law enforcement and governan
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■ Protecting vital local and glob
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Figure 3 Commitment from the World
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Figure 6 Regional Distribution of I
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management and biodiversity conserv
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PART I Priority Themes and Operatio
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Angelsen and Wunder 2003; and Malli
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harvesting forest products that are
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forest management and ownership hav
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Institutional development of capaci
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Contreras-Hermosilla, A., and M. Si
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Box 1.4 Poverty-Forest Linkages Too
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Box 1.6 An Overview of the Tools fo
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NOTE 1.2 Community-Based Forest Man
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the biophysical resource through fo
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Box 1.12 Andhra Pradesh Community F
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Box 1.14 Community Forestry in Mexi
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World Bank, 1978. Forestry. Sector
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[Indigenous Peoples’] rights of o
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inappropriate. Thus, development pr
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nity territory into individual plot
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LESSONS LEARNED AND RECOMMENDATIONS
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Borrini-Feyerabend, G., M. Pimbert,
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In what are considered public fores
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Figure 1.1 Toward Tenure Security:A
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Box 1.21 Opportunities to Advance C
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NOTE 1.5 Making Markets Work for th
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■ environmental groups to produce
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Box 1.25 Medicinal Plants as NTFPs
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CHAPTER 2 Engaging the Private Sect
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dred to tens of thousands of new jo
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Box 2.2 Since 1995, Brazilian small
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Macqueen, D., N. Armitage, M. Jaeck
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NOTE 2.1 COMPANY-COMMUNITY PARTNERS
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inputs (communities), and cost savi
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community arrangements, such as eth
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NOTE 2.2 Small and Medium Enterpris
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must be distinguished from products
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overregulation falls most heavily o
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da Amazônia (IPAM) and the Interna
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NOTE 2.3 Innovative Marketing Arran
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Table 2.2 World Bank Projects with
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payments for reforestation can enco
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Wunder, S. 2005. “Payments for En
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Box 3.1 Technical Definitions Wood
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Table 3.2 Wood Fuel Data for Select
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Page 104 and 105: NOTE 3.1 Mainstreaming Conservation
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Page 108 and 109: Box 3.7 Applying HCVF in Papua New
Page 110 and 111: Finally, any existing protections,
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Page 123 and 124: CHAPTER 4 Optimizing Forest Functio
Page 125 and 126: People and human societies are seen
Page 127 and 128: Encourage stakeholder participation
Page 129 and 130: Box 4.5 Tradeoffs Framework Used in
Page 131 and 132: Sector and Thematic Evaluation, Ope
Page 133 and 134: Identify planning team members and
Page 135 and 136: Involve relevant stakeholders in de
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Page 139 and 140: NOTE 4.2 Assessing Outcomes of Land
Page 141 and 142: Box 4.13 Possible Indicators for As
Page 143 and 144: NOTE 4.3 Using Adaptive Management
Page 145 and 146: ■ ■ ■ ■ Develop a project p
Page 147: Another important and useful proces
Page 151 and 152: CHAPTER 5 IMPROVING FOREST GOVERNAN
Page 153 and 154: Improving forest governance and leg
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Page 159 and 160: NOTE 5.1 Decentralized Forest Manag
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Page 163 and 164: Box 5.5 Nicaragua: Asymmetries Betw
Page 165 and 166: Parker, A. 1995. “Decentralizatio
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Page 169 and 170: such as designing a transparent con
Page 171 and 172: Box 5.11 Citizen Report Cards: Benc
Page 173 and 174: NOTE 5.3 Strengthening Legal Framew
Page 175 and 176: Box 5.13 Working on the Law with La
Page 177 and 178: In addition, the process of public
Page 179 and 180: ANNEX 5.3B SIX DRAFTING PRINCIPLES
Page 181 and 182: forestry policy or to promote other
Page 183 and 184: The most common fiscal incentives i
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Page 187 and 188: ANNEX 5.4A A SUMMARY OF THE DIFFERE
Page 189 and 190: NOTE 5.5 ADDRESSING ILLEGAL LOGGING
Page 191 and 192: Box 5.17 Measures Specific to Comba
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Page 197 and 198: NOTES 1. This note is based on Worl
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ANNEX 5.5B TYPICAL CONTEXTS OF ILLE
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Typical contexts Potential drivers
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Box 6.1 Indonesian Structural Adjus
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Box 6.2 Upstream Analyses on Energy
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Box 6.3 Positive Impact of Agrarian
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Box 6.4 Use of the Rapid CEA Approa
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———. 2005. “Development Pol
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NOTE 6.1 Using National Forest Prog
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Box 6.6 Basic Principles of NFP Pre
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Implementation. The implementation
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allow for each country’s differen
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limited in the coverage and duratio
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Box 6.12 The Use of DPLs to Support
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Box 6.13 Using DPLs in Lao PDR for
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OPCS. 2004. “Good Practice Notes
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OPERATIONAL ASPECTS Prioritizing th
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orientation of the DPL operations c
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Indicators are helpful in these sit
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ANNEX 6.3A SELECT TOOLS TO ASSIST S
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NOTE 6.4 Assessing Cross-Sectoral I
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Box 6.16 The Forests Component in t
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Considering the above issues, an in
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Box 6.19 Implementation of the Keny
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World Bank SEA Web resources: http:
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Box 7.1 Monitoring Promotes Changes
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collected via remote sensing rather
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Discussions and proposals on how to
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Assessment (www.millenniumassessmen
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FAO. 2004. “Manual for Environmen
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■ ■ ■ enables implementation
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selecting the technology. Technolog
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USFS Field Guides: www.fia.fs.fed.u
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Box 7.13 System Architecture of a S
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Box 7.14 FMIS in Bosnia and Herzego
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and client-rich system, which would
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ANNEX 7.2A MODEL TERMS OF REFERENCE
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■ ■ ■ ■ ■ ■ ■ ■ ■
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NOTE 7.3 Spatial Monitoring of Fore
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■ ■ ■ ■ Availability of ref
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Box 7.19 Selecting the Appropriate
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Table 7.4 Existing Satellite Remote
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Tropical Ecosystem Environment Obse
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PART II Guidance on Implementing Fo
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forestry activities was counterprod
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waterways, or the quantity or quali
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■ ■ ■ ■ ■ an independent
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■ In the case of forest harvestin
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■ ■ harvesting supported by Wor
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However, some of the World Bank’s
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■ ■ ■ ■ ■ ■ Examine the
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Box 9.2 Participation Strategy To m
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Box 9.5 Process Framework for Invol
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Box 9.8 Market Analysis A market an
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“no-project” option); and recom
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Box 9.16 Environmental Management P
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■ ■ ■ ■ ■ ■ ■ ■ ■
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the detailed Biodiversidade Brasile
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■ ■ management plan—prepared
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CHAPTER 10 Consultation and Communi
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media, NGOs, other interest groups,
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Box 10.4 Consultation in the Democr
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Box 10.6 Elements of Communication
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Table 10.2 Listening to the Public
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■ - Preliminary research should i
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Box 10.8 Managing Risks through Str
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Bank project cycle related to Commu
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CHAPTER 11 Forest Certification Ass
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carried out under a specific certif
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once more practical experience has
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ANNEX 11A MODEL TERMS OF REFERENCE
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ANNEX 11B PROCEDURES AND TERMS OF R
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CHAPTER 12 Applying OP 4.10 on Indi
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lack of opportunities relative to o
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Box 12.2 When a project affects Ind
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ples receive social and economic be
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Bank’s supervision team must incl
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ANNEX 12A ELEMENTS OF AN INDIGENOUS
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forest monitoring, 275b social and
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FOMAS. See National Forest Sector M
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and forest certification, 335 toolk
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applying to Indigenous Peoples, 347
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strategic partnership, LFI example,
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Eco-Audit Environmental Benefits St
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