POSTERS
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P01
Diagnóstico do consumo e suprimento de produtos madeireiros
do Setor Moveleiro de Ubá-MG e estratégia de gestão sustentável.
(Diagnosis of the consumption and supply of lumber products of the
furniture sector of Ubá-MG and strategy of sustainable management)
Abreu, L.C.M. de; Silva, M.L. da ([email protected]);
Miranda, G.M.
Universidade Federal de Viçosa - UFV, Brasil
RESUMO: O presente trabalho teve como objetivo realizar um diagnóstico florestal no setor moveleiro do município de UbáMG, terceiro pólo moveleiro do Brasil, caracterizando o consumo e suprimento de produtos madeireiros, bem como definir
uma estratégia de sustentabilidade para o setor. O levantamento do consumo e suprimento de produtos madeireiros foi feito
por meio de questionário avaliando-se três categorias de consumidores de produtos florestais: fábrica de móveis, serrarias
e comerciante de produtos florestais. O setor moveleiro apresentou as seguintes características: de toda a matéria-prima
consumida no município, 51,50% são originárias de floresta plantada (sendo o eucalipto com 36,00% e o pinus com
15,50%), e 48,50%, de essências nativas. Da matéria-prima oriunda de floresta plantada, 48% são originárias do próprio
estado, 25% do Paraná, 15% do Espírito Santo e 12% de outros estados. Da matéria-prima originária de floresta nativa, 30%
vem do Pará, 22% de Rondônia, 16% do Paraná e 17% de Minas Gerais por meio de revenda e 15% de outros estados, ou
seja, a região de Ubá não produz matéria-prima de origem nativa para suprir o pólo moveleiro. Os principais problemas
enfrentados são a instabilidade econômica, os juros elevados, política florestal, frete e a competição entre empresas. O
consumo médio de painéis foi de 10.916,12 m3, e 58,60% desse volume corresponderam somente ao aglomerado, 15,60%
ao compensado, 14,20% ao MDF e 11,60% ao laminado. As fábricas de móveis empregam diretamente 14.518 pessoas,
estando 74,70% no setor de produção e 25,30% no setor administrativo. A quantidade mensal de painéis comercializada
pela categoria comerciante de produtos florestais foi de 718,53 m3. O balanço entre consumo e suprimento de madeira de
floresta plantada (eucalipto e pinus) é negativo e apresenta um déficit mensal de 2.291,54 m3 e 2.929,98 m3 respectivamente. Como estratégia de gestão sustentável para o setor são propostos: fomentar o plantio de 983 ha/ano de eucalipto, para
atender à demanda de madeira serrada de floresta plantada; desenvolver um projeto de manejo para recuperação das
áreas degradadas da região de Ubá – MG, para que, futuramente, florestas nativas possam atender ao déficit mensal de
8.609,67 m3 de madeira serrada, que é suprido por outros estados; implantar um programa de cooperação efetiva entre
empresas, prefeitura, entidades científicas, sindicatos e demais organizações civis, com vistas a promover o treinamento
dos empregados; realizar estudos para definir melhor o uso dos resíduos, de forma a minimizar o impacto ambiental
causado pela queima e melhorar o desempenho econômico; desenvolver um programa de manutenção preventiva de
máquinas e equipamentos, aumentando a vida útil destes e diminuindo o consumo de energia elétrica; realizar o estudo de
viabilidade de uma cooperativa, para valorizar os produtos fabricados, impulsionar os pequenos empresários do setor
moveleiro e explorar o mercado externo.
ABSTRACT: The present work had as objective carry through a forest diagnosis in the furniture sector of the city of Ubá
- MG, third furniture center of Brazil, characterizing the consumption and supply of lumber products, as well as defining a
strategy of sustainability for sector. The survey of the consumption and supply of lumber products was made using a
questionnaire, evaluating three categories of consumers of forest products: plant of furniture, sawmill and trader of forest
products. The furniture sector presented the following features: 51,50% of all the raw material consumed in the city comes
from planted forests (being 36.00% of eucalyptus and 15.50% of pinus), and 48.50% are native essences. 48% of the raw
material of planted forest is originary of the proper state, 25% of the Paraná, 15% of Espirito Santo and 12% of other states.
30%, 22%, 16% and 17% of raw material from native forest comes of Pará, Rondônia, Paraná and Minas Gerais, respectively,
and the rest comes of other states. The region of Ubá does not produce raw material of native origin to supply its furniture
center. The main difficulties of the sector are economic instability, raised interests, forest politics, transportation cost and
competition between companies. The average consumption of boards was 10,916.12 m3, being 58,60%, 15,60%, 14,20%
and 11,60% of particleboard, plywood, MDF and veneer, respectively. The plants of furniture employ 14.518 people, being
74,70% in the sector of production and 25,30% in the administrative sector directly. The monthly amount of boards
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commercialized by the trading category was 718.53 m3 of forest products. Comparing the consumption and wood supplement
of planted forest, there is a monthly deficit of 2,291.54 m3 of eucalyptus and 2.929,98 m3 of pinus. As strategy of sustainable
management for the sector are considered: foment the plantation of 983 ha/year of eucalyptus, to take care of to the sawed
wood demand of planted forest; to develop a program of recuperation of degraded areas in the region of Ubá-MG, so that,
in the future, the native forests can supply the monthly deficit of 8,609.67 m3 of sawed wood, that is supplied by other
states; to implant a cooperation program accomplishes between university, companies, city hall, entities, civil organizations
and others, with sights to promote the training of the employees; to carry through studies to better define the use of the
wood residues, form to minimize the ambient impact caused by the burning and to improve the economic performance; to
develop a preventive maintenance program of machines and equipment, magnifying the useful life of these and diminishing
the consumption of electric energy; to carry through the feasibility study of a cooperative, to value the manufactured
products, to stimulate the small enterprises of the furniture sector and to explore the external market.
P02
Técnicas de gestão florestal: Uma abordagem
baseada no manejo de microbacias.
(Forest management techniques: an approach
based on the management of watersheds)
Amaral, T. M.([email protected])
Rodriguez, L.C.E.
Universidade de São Paulo – ESALQ, Brasil
RESUMO: Este trabalho consiste no desenvolvimento de um modelo matemático de gestão florestal que incorpora indicadores hidrológicos do manejo de microbacias, e analisa os custos de se implementar os planos gerados pelo modelo proposto.
São utilizados dois indicadores hidrológicos: o primeiro diz respeito a produção de água na floresta (vazão) e o segundo diz
respeito a qualidade de água (teor de sedimentos em suspensão). O modelo tem como finalidade auxiliar o processo de
tomada de decisão nas atividades de manejo e planejamento da produção florestal, indicando, quando, como e quais as
áreas que serão cortadas. A técnica adotada para a geração de planos de manejo, é a programação linear. A principal
hipótese quando considerados os indicadores hidrológicos no planejamento de povoamentos florestais voltados para o
abastecimento industrial, é que, estes afetarão o manejo, alterando o fluxo de colheita e demais intervenções silviculturais.
Ainda que se tratando de um pequeno avanço rumo ao uso sustentado dos recursos florestais, o trabalho apresenta uma
nova abordagem e se propõe a contribuir para uma adoção de intervenções mais controladas sobre os ecossistemas
florestais.
ABSTRACT: This work consists on the development of a mathematical model for the management of planted forest subject
to hydrologic factor affecting the watershed and planting cost. Two hydrologic indicators will be used: the first is related to
the water production in the forest (outflow) and the second is related to the water quality (amount of sediments in
suspension). The purpose of the models is to assist the decision support process and planning activities, indicating when,
how and which areas will be cut. The adopted technique for the generation of management plans is the linear programming
model. The main hypothesis considering the hydrological indicators affecting the planning of forest plantations, is that they
will affect the presently selected forest regimes, altering the harvest flow and other silvicultural interventions. Even though
it is a small advance toward the sustainable use of the forest resources, this work presents a new approach that considers
the adoption of more controlled interventions on the forest ecosystems.
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P03
Caracterização do processo de comercialização de quatro produtos
tipicamente presentes em sistemas agroflorestais no mercado
de produtos horti-fruti-granjeiros de Manaus - AM
(Characterization of the commercialization process of four
products typically present in agroforestry systems
in the market of Manaus – AM)
Bauch, S.C ([email protected])
Rodriguez,L.C.; Macêdo, J.L.V.de
Universidade de São Paulo – ESALQ, Brasil
RESUMO: Na Amazônia a produção agrícola é bastante limitada e os sistemas agroflorestais surgem como um modo de
produção viável econômica, ambiental e socialmente. Estes sistemas já são utilizados há muitos séculos e, apesar dos
poucos estudos realizados, percebe-se que a região tem um grande potencial para esta técnica. Este projeto obteve
informações relacionadas com aspectos de comercialização e viabilidade econômica da pupunha (Bactris gasipaes),
Cupuaçu (Theobroma grandiflorum), Banana (Musa sp) e Açaí (Euterpe sp) através da aplicação de questionários na
cidade de Manaus (AM). As informações obtidas a respeito de cada produto se referem à sazonalidade, origem, quantidade
comercializada, preço, forma de comercialização, entre outros. Estas informações são fundamentais para a elaboração de
planos de ação para a organização e o desenvolvimento de sistemas produtivos baseados na realidade local. Foram
selecionados os oito mercados mais representativos do comércio municipal para o levantamento realizado em fevereiro e
março de 2001. Dentre os resultados obtidos percebe-se que as frutas selecionadas são bastante difundidas e
comercializadas principalmente in natura. A quantidade comercializada varia de acordo com o mercado e a disponibilidade
do produto (com pico de produção nos meses de chuva para o cupuaçu e a pupunha). Já a validade do fruto é bastante
variável sendo grande parte da produção proveniente de sistemas agroflorestais de pequenas propriedades na região de
Manaus. Somente a banana é trazida do Acre e Roraima quando há queda na produção regional (nos meses de mais
chuva). O cupuaçu é comercializado por número, a pupunha em cachos e a banana em cachos ou palmas. Não foi
encontrado palmito de pupunha. Percebe-se que há um grande potencial a ser explorado tanto a nível regional como
nacional através de incentivos à produção, melhoria das condições de transporte e comercialização destes produtos, bem
como com a agregação de valor através de beneficiamento.
ABSTRACT: In the Amazon region the agricultural production is very limited and the agroforestry systems come as an
economically, environmentally and socially viable mode of production. These systems have been used for many centuries
and, in spite of the little studies made, the great potential of the region for this technique is notable. This project elucidates
some of the doubts related to the economic viability and the chain of commercialization of cupuaçu (Theobroma grandiflorum),
pupunha (Bactris gasipaes), banana (Musa sp) and açaí (Euterpe sp.) by a field study in the city of Manaus (AM). Data
related to the products are presented: season, origin, commercialized quantity, price, form of commercialization, among
others. This information is fundamental for the elaboration of action plans for the organization and development of productive
systems based on the local reality. The eight most representative markets of the city’s commerce were selected for the
study accomplished in February and March 2001. Among the obtained results it’s noted that the selected fruits are very
disseminated and commercialized, mainly raw. The commercialized amount varies according to the market and the availability
of the product (with the peak of production on the months of greater precipitation for pupunha and cupuaçu). The validity
of the products is very variable and most of the production comes from agroforestry systems of small properties in the
region of Manaus. Only the banana is brought from Acre and Roraima when the production in the region falls (this occurs
in the months of more rain). The cupuaçu is commercialized by number, the pupunha in bunches, and the banana in bunches
(cachos or palmas). The heart of palm of pupunha wasn’t found. Concluding, there’s a great potential to be explored
regionally and nationally, through incentives to production, improvement of the transportation and commercialization conditions
and with an aggregation of value by processing the fruits.
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P04
Desarrollo de una metodología práctica de seguimiento y evaluación
de la sostenibilidad del manejo forestal en bosque húmedo tropical
primario en Brasil y bosque de pinares naturales en Honduras
(Development of a practical methodology of following and evaluating
the sustainability of the forest management in primary tropical
humid forest in Brazil and natural pine forest in Honduras)
Camino V., R.; Camino B.,T.; Alvarado, A.;
Ferreira, O.; Ferreira G., S.L. ([email protected])
Universidade do Amazonas, Brasil
RESUMEN: América Latina es la Región con la mayor pérdida neta de bosques tropicales. Dada su gran biodiversidad, es
que surgen algunas iniciativas que pretenden contrarrestar la pérdida de los bosques y mejorar el manejo del recurso. Para
controlar el manejo de los recursos y no deteriorar estos sistemas productivos es necesario tener un sistema claro que
integre información y permita evaluaciones. Con el tema del desarrollo sostenible en la Agenda Mundial, y la incorporación
en la Agenda 21 de la idea de indicadores para medir el desarrollo sostenible, surge la preocupación de tener sistemas de
medición de la sostenibilidad de la producción. El desafío es el de desarrollar y proponer técnicas de monitoreo del manejo
forestal, que sean simples y fáciles de aplicar pero que permitan tener un instrumento poderoso para evaluar las dimensiones
social, ecológica y económica involucradas en el manejo de recursos naturales. El proyecto propone un estándar metodológico
para la evaluación de la sostenibilidad a nivel de unidad de manejo, en dos áreas específicas: el bosque de coníferas de
ESNACIFOR en Honduras (4158ha) y el bosque tropical de la empresa MIL Madereira en Brasil (80.571ha). Se analizó
información de los últimos 4 años (1996-1999) y se midieron algunos indicadores para 1999. Los resultados, aunque no se
logró completar la información de todos los indicadores, muestran la versatilidad de la metodología, y destacan los problemas que se presentan en el manejo de unidades forestales. Adicionalmente se realizaron algunas simulaciones que
permiten ejemplificar el funcionamiento y sensibilidad del sistema. A través de los dos proyectos, se lograron los siguientes
resultados: a) se probó una metodología para la definición de estándares para el monitoreo y evaluación de unidades de
manejo forestal; b) se desarrolló una herramienta alternativa para la valoración del manejo forestal sostenible, a través de
la aplicación de métodos formales y prácticos; c) se propone como herramienta vital para conocer el estado de la unidad,
un sistema integral de monitoreo que permita expresar en forma concreta y que muestra de manera sencilla los resultados
del monitoreo de la unidad; d) el alcance de la metodología es universal, y se ofrece un programa de cómputo para asistir
en la utilización de esta metodología, lo que facilita que otras unidades de manejo la utilicen.
ABSTRACT: The loss of tropical forests in Latin American, with its high biodiversity, is the most intensive of the world.
Because of this situation, Initiatives to maintain the forests have been implemented to ensure good natural resource
management. This initiatives include the use of monitoring systems to control forests harvesting activities. The Program 21
and the World Agenda in their sustainability discourses, include monitoring necessities for sustainable management of
natural forests. The challenge is to design simple and easy to implement monitoring techniques, for the control of forests
production, that integrate the social, economic and environmental dimensions of sustainability. The purpose of the project is
to develop and test a monitoring methodology (based on the principles, criteria and indicator system) for the evaluation of
the forest management unit, in two specific areas: ESNACIFOR Pine forests, Honduras (4158ha) and MIL Madereira tropical
forests, Brazil (80571ha). Information from 1996 to 1999 was analyzed , and some indicators for 1999 were measured in
the field. The results, although incomplete, show the usefulness and sensibility of the methodology, and highlight the
common problems of forest management units. In addition some simulations were made that show the functioning and
interpretation of the system of indicators. With the results of this two projects the following conclusions were made: a) A
methodology for the definition of standards (principles, criteria and indicators; with the upper and lower limit tolerances) for
the forest management unit were tested; b) a methodological tool was developed for the valuation of sustainable forest
management, using formal and practical techniques; c) a sustainable forest management monitoring system is proposed,
this tool shows in a very direct way the status of the forest management unit; d) The scope of the methodology proposed
is universal, and a special flexible software was developed to assist in the use of this methodology to other forest
management units.
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P05
SEIF ver 1.0 - Sistema Específico de Inventário Florestal
(SEIF ver. 1.0 – Sistema Especifico de Inventário Forestal)
Carvalho Jr. L. A ([email protected])
Cantarelli E. B; Mattos,R. B; Oliveira L. S; Figueredo O. A; Ressel F. E. H.
Universidade Federal de Santa Maria - UFSM, Brasil
RESUMO: Com a evolução da tecnologia e da crescente necessidade de informações mais detalhadas sobre as áreas
florestais, os inventários tornaram-se mais complexos e passaram a informar muitos detalhes adicionais, que simplesmente
o volume de madeira existente na floresta. Hoje diversificam-se as informações dos diferentes tipos de volume resultantes
do inventário como: volume comercial (PÉLLICO NETTO & BRENA, 1997).
Sendo assim, cada vez mais o inventário florestal torna-se uma ferramenta básica e indispensável para um melhor
aproveitamento dos recursos florestais com possíveis futuros planejamentos destas áreas. Além de demostrar o potencial
volumétricos de uma floresta, o inventário florestal possibilita a obtenção de dados para execução de planos de manejo
adequado, visando desta forma a obtenção de produtos florestais de melhor qualidade.
O programa SEIF ver. 1.0, foi desenvolvido, de forma a suprir a necessidade da existência de uma ferramenta que fosse
de fácil uso na área de inventários de florestas homogêneas. O mesmo usa como base para o desenvolvimento de seus
cálculos o método de amostragem de Área fixa e o processo de amostragem Aleatória simples, métodos estes aplicados
na maioria dos inventários realizados em empresas do ramo, principalmente em povoamentos de Pinus sp, e Eucalyptus sp.
O método de cubagem utilizado é o método de Smalian no qual o usuário tem oportunidade visual de ordenar ao SEIF qual
modelo deve utilizar, da mesma forma o modelo hipsométrico é determinado também (3 modelos). O SEIF ainda permite a
observação do número de árvores e o volume de cada parcela estimada, basta clicar em “VOLUME DAS PARCELAS” que
estas estimativas aparecem em uma caixa de rolagem. Este recurso é extremamente interessante no que se refere a
identificação de parcelas com problemas de representatividade no povoamento. Processando os dados no programa, é
possível imediatamente, visualizar as variáveis dendrométricas do inventário, assim como, as estimativas estatísticas. Na
opção de “RELATÓRIO”, pode-se imprimir o relatório e antes visualizar sua impressão. O programa foi desenvolvido em
linguagem Visual Basic 5.0, sendo que o processo de armazenagem de dados é a base de dados Acesses. A configuração
mínima requerida é 386/486/PentiumI/II , Windows 3.11/95/NT. Para maiores informações entre em contato:
[email protected]
RESUMEN: Con la evolución de la tecnologia y con la creciente necesidad de informaciones mas detalladas de un área con
bosques, los inventarios pasaron a ser complejos y a la vez informar mas detalles adicionales, que simplemente el volumen
de madera que existia en el bosque. Hoy en dia se diversifican las informaciones de los diferentes tipos de volumen de
madera que resultan de los inventarios forestales: Volumen comercial (PÉLLICO NETTO & BRENA, 1997). Asi es que se tiene
en la actualidad cada vez mas al inventario forestal como una herramienta básica e indispensable para un mejor
aprovechamiento de los recursos forestales com mas posibilidades en la planificación de dichas áreas. Ademas de
demostrar el potencial volumetrico de un bosque, el inventario forestal ayuda en la obtención de datos para la ejecución de
planes de manejo en forma mas adecuada, visando de esta forma una mejor calidad en la obtención de los productos
forestales. El programa computacional SEIF versión 1.0, fue desarrollado de forma a queUsted tenga una herramienta de
fácil utilización en el ára de inventarios forestales de plantaciones homogeneas. El mismo utiliza como base para desarrollar
sus cálculos el método de muestreo de área fija y el proceso de muestreo aleatorio simple; éstos métodos son aplicados en
la mayoria de los inventarios realizados por las empresas del ramo, principalemente en reforestaciones de Pinus sp, y de
Eucalyptus sp.. El método de cubicar el volumen existente esta calculado por el método de Smalian, en la cual el usuario
tiene la oportunidad de ordenar en forma visual al SEIF, cual es el modelo que debe utilizar. De esta forma también es
determinado el modelo hipsómetrico (3 modelos). El SEIF ademas permite la observación del número de árboles y el volumen
de cada parcela estimada, basta clicar en “VOLUME DAS PARCELAS” que estas estimativas aparecen en una caja de
rodage. Este recurso es extremamente interesante en lo que se refiere a identificación de parcelas con problemas de
representatividad en el bosque. Haciendo el proceso de los datos en el programa, és posible inmediatamente, visualizar las
variables dendrométricas del inventario y tambíen las estimativas estatisticas. En la opción “RELATÓRIO”, puede imprimir el
relatorio y antes visualizar su impresión. El programa fue desarrollado en lenguage Visual Basic. 5.0, siendo que el proceso
de almacenamiento de datos es a la base de datos Access. La configuración mínima requerida es 368/486/Pentium I/II,
Windows 3.11/95/NT. Para majores informaciones contactar: [email protected]
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P06
Um modelo de substituiçao de equipamentos para minimizar
custos operacionais em uma empresa florestal
(An equipment replacement model to minimize
operational costs in a forest company)
Filgueiras, J.F. ([email protected])
Leite, C.A.M.; Couto, L.
Universidade Federal da Paraíba - UFPB, Brasil
RESUMO: Desenvolveu-se, no presnte trabalho, um modelo de substituiçao de equipamentos, objetivando a minimizaçao de
custos operacionais anuais. Outrossim, no procedimento de soluçao, foram levados em consideraçao o custo de oportunidade do capital e a questao de restriçao orçamentaria. A ocorrencia de custos nao-previstos tambem foi contemplada.
Apos a definiçao da relaçao de recorrencia do modelo, para utilizaçao da programaçao dinamica no processo de soluçao
de substituiçao economica otima, utilizou-se um estudo de caso, com horizonte de planejamento que contemplou uma serie
de dados relativos a um periodo de dez anos. A analise dos resultados obtidos permitiu diversas conclusoes, quais sejam
: o modelo de substituiçao de equipamentos, com valores atualizados e utilizando o procedimento de programaçao dinamica,
mostrou ser uma soluçao economica otima mais realistica; um aumento percentual na taxa de desconto, utilizada na
atualizaçao dos valores envolvidos no procedimento de soluçao, acarretouum adiamento na substituiçao otima da capacidade de serviço da maquina, enquanto uma reduçao na mesma taxa de desconto acarretou uma antecipaçao no processo
de substituiçao;a escolha da taxa de desconto a se r utilizada no procedimento de soluçao deve ser criteriosa, refletindo,
no minimo, a taxa de mercado ou o retorno esperado do investimento, para que o processo de substituiçao apresente
coerencia com a realidade do problema; um adiamento do processo de substituiçao economica otima do equipamento
analisado no estudo de caso, em decorrencia de problemas intrinsecos a propria empresa, acarretou um aumento percentual
significativo no custo operacional equivalente anual de substituiçao; a inclusao de custos nao-previstos ou nao-controlaveis
no procedimento de soluçao do problema de substituiçao do equipamento acarretou o adiamento da substituiçao economica
otima da maquina, o que indicou a necessidade de sua inclusao no procedimento de soluçao; e o uso de taxas de desconto
muito altas, no procedimento de soluçao do modelo, podera mascarar a substituiçao otima da capacidade de serviço da
maquina, isto e, definir a substituiçao otima em um dado ponto do horizonte de planejamento fora da realidade da vida util do
equipamento. O modelo desenvolvido mostrou-se adequado para o processo de substituiçao economica otima de equipamentos, evidenciando que o planejador precisa ter ferramentas para a tomada de decisao.
ABSTRACT: This study’s objective is the development of an equipment replacement model, using as reference the
minimization of present annual operational costs. A discount rate was used to reflect the investment return or market rate.
Furthermore in the solution procedure, the capital opportunity cost and the question of constrained capital was considered.
The occurrence of unpredictable costs was also considered. After the definition of the relation of the reoccurrence model,
to be used in the dynamic programming in the process of the best economy replacement solution, a case study was used,
with a planning horizon that considered data related to a period of ten years. The results led to the following conclusions:
the equipment replacement model with discounted values showed a great, more realist, economic solution; an increased
percent in the discount rate, which were used to update the values which were involved in the solution procedure, lead to
extend the best replacement of the service capacity of the machine, while a percent decrease in the same discount rate
lead to an advance in the replacement process; the choice of the discount rates to be used in the solution procedure must
be strict, reflecting, at least, the market’s rate or expected return of the investment, to show the relation to real problems of
the replacement process; a delay of the best economic replacement process of the analyzed type of equipment, in
consequence of intrinsic problems of the company itself, lead to a significant percent increase in annual operational costs
equivalent of replacement; and the inclusion of unpredictable or uncontrolled costs in the solution procedure of the
replacement problem of a certain type of equipment caused a delay of the best economic replacement of the machine, which
indicated the necessity of its inclusion in the solution procedure; and the use of very high discount rates, in the model
solution procedure could mask the best replacement of the serviceable machine capacity, that is, to define the best
replacement in given point of the planning horizon outside of the actual service life of the equipment. The developed model
showed to be adequate to the best economic replacement of equipment problem, indicating that the manager needs to have
tools for the decision making.
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P07
Características de uma população de Pithecellobium racemosum,
Ducke, em uma floresta primária da Amazônia Oriental.
(Characteristics of a Pithecellobium racemosum’s population
in a primary forest of Eastern Amazonia)
Lima, J.A.S. ([email protected])
Gazel Filho, A.B.
Embrapa Solos, Brasil
RESUMO: O Anjelim-rajado, Pithecellobiom racemosum, Ducke, (Mimosaceae) é possivelmente uma das espécies cuja
madeira, por sua beleza, tem uma demanda alarmante, a ponto de ter sido incluída entre as ameaçadas de extinção pelo
Conselho Nacional do Meio Ambiente. Neste trabalho apresentam-se características de uma população relativamente
abundante em uma floresta primária de terra firme do Estado do Amapá, Amazônia Oriental. A mata se desenvolveu sobre
depósitos de sedimentos 45 km ao N do Rio Amazonas, a menos de 100m de altitude. È cercada por floresta, savana e um
lago. Os dados foram coletados em 1997, numa área experimental de 100ha de floresta primária de terra firme demarcada,
em meio a uma propriedade de 1000ha. A amostra constou de 12 parcelas de 1ha distribuídas, aleatoriamente, na área
experimental sendo, cada uma delas, subdividida em 100 subparcelas de 10 x 10m. Mediram-se todas as árvores com pelo
menos 10cm de diâmetro, a 1,30m de altura (diâmetro à altura do peito - DAP). A população apresentou em média 7,8
arvs.ha-1, 0,6m².ha-1 de área basal (DAP³10cm), e 0,6 arvs.ha-1 com DAP³ 50cm. Sua distribuição diamétrica gerou o
seguinte modelo de regressão linear: Nºarvs.ha-1= 45,6 - 0,64DAP(cm),com r²=0,83 (altamente significativo). A distribuição
da população em termos de solo indicam que está adaptada as condições locais uma vez que não se encontraram
diferenças significativas entre os valores médios locais do solo (pH= 4,2; Al³+; Ca2++Mg2+ e K, respectivamente 18,1; 3,9 e
0,45mmolc.dm-3; P=1,5 mg.dm-3 e argila, 505g.Kg-1) e aqueles encontrados nas parcelas da população de Anjelim-rajado. Em
termos silviculturais, 0,48 da regeneração (DAP entre 10 e 40cm) encontra-se com as copas recebendo alguma luz
superior ou parcialmente sombreada; 0,63 tem a copa completa mas, irregular; 0,8 apresentam fuste sem danos e/ou
podridão; 0,62 dos fustes apresentaram-se com aspecto comercial agora ou no futuro e 0,74 das árvores estavam livres
de cipó. A regeneração concentra-se num estrato intermediário sujeita ao sombreamento e queda de grandes ramos das
árvores do dossel o que explica a moderada iluminação e estado atual das copas. Para favorecer essa regeneração é
necessário eliminar árvores vizinhas por meio de liberação.
ABSTRACT: Pithecelobiom racemosum, Ducke, a Mimosaceae tree, is one of the species whose wood presents an
alarming demand due to its special beauty. The National Council of Environment (CONAMA) included P. racemosum in the list
of species threatened of extinction. Ecological and silvicultural characteristics of a population of the species are shown.
The site is a non-inundated (terra firme) primary forest, surrounded by savanna, a lake and extensions of neighbor forests,
including seasonally inundated forest at the edge of the lake. The site is located at the Amapá State, Eastern Amazonia. The
forest has grown on sedimentary deposits at 45km N of Amazon River on a low plateau at less than 100m of elevation. Data
was collected during the dry season of 1997. The samples were twelve plots of 1ha randomly distributed within 100ha of
the forest. Plots were subdivided in 100 subplots of 10 x 10m. Trees were measured (diameter at breast height, Dbh =
1,30m) and classified trough silvicultural parameters. Soil samples were taken from 20 subplots randomly chosen in each
plot. The population presented an average of 7,8 trees.ha-1, 0,6m². ha-1 of basal area (DAP³10cm), and 0,6 arvs. ha-1 with
DAP³50cm. The diametric distribution generated the following model of lineal regression: n.trees = 45,6-0,64 DAP(cm). The
distribution of the population along the gradients of soil fertility indicates high degree of local adaptation once no significant
difference was found between the medium values of soil characteristics (pH= 4,2; Al3+; Ca2++Mg2+ e K, respectively 18,1; 3,9
e 0,45mmolc.dm-3; P=1,5 mg.dm-3 e argila, 505g.Kg-1) and those found for the population of P. racemosum. The regeneration,
(Dbh between10cm and 40cm), showed: 0,48 of tree crowns receiving upper light or partially shaded; 0,63 complete crown
but, irregular; 0,80 were free of damages or rottenness; 0,62 of the shoots with commercial aspect now or in the future and
0,74 of the trees free of liana. The population is concentrated in a sub-canopy stratum. This position explains the moderate
ilumination and actual state of crowns that submit them to some shade and fall of canopy trees. To improve the silvicultural
state of that population it is necessary to eliminate the neighboring shadow trees by liberation methods.
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P08
Modelo de gestão sustentável de lenha em
Cachoeira de Santa Cruz, Viçosa-MG
(Model of sustainable management of firewood in
Cachoeira de Santa Cruz, Viçosa-MG)
López, J.C.F.; Silva, M.L. ([email protected]);
Souza, A.L.; Valverde, S.R.
Universidade de Viçosa - UFV, Brasil
RESUMO: Desde os tempos mais remotos e até hoje a lenha tem sido para o homem uma das principais fontes de energia
para os mais diferentes usos, seja doméstico ou industrial, representando 26% da energia total consumida no Brasil. Este
trabalho objetivou determinar o consumo e o suprimento de lenha para o distrito de Cachoeira de Santa Cruz, município de
Viçosa-MG e estabelecer uma estratégia de fornecimento sustentável de lenha e madeira para os diferentes usos no local.
Para isso, aplicou-se um questionário numa amostra da população rural e urbana que se dividiu em 3 partes: a) coleta de
dados sócio-econômicos; b) dados de consumo de lenha; e c) dados sobre o suprimento de lenha. Utilizou-se também uma
série de mapas digitalizados referentes ao uso de solo, rodovias, limites municipais, área urbana, rede de drenagem e
altimétrico. Assim, permitiu-se identificar a porcentagem de cobertura florestal da área de estudo, as áreas de preservação
permanente e as áreas de produção. Como resultados, verificou-se que o principal energético utilizado na cocção de
alimentos é a lenha, com 74,42% dos domicílios fazendo uso deste combustível. Este uso não depende do nível de
escolaridade, da renda mensal ou do número de adultos equivalentes por domicílio; ele depende mais de fatores sociais e
culturais do que econômicos. Existem, dentro da comunidade, boas práticas para a operação do fogão a lenha. Foi
observado que a principal forma de suprimento de lenha é através de sua coleta, sendo o local mais freqüente para isto a
mata nativa e as propriedades de terceiros. É utilizado maior número de espécies arbóreas quando a lenha é coletada, em
comparação com a lenha comprada. O consumo médio de lenha foi de 10,02*kg/domicílio/dia, com consumo per capita de
2,61*kg/pessoa/dia. Este consumo é diferenciado, variando segundo a forma de fornecimento, o local da coleta e a forma
de propriedade da terra. Verificou-se que a principal forma de cobertura existente é a pastagem, seguida de capoeira,
tendo a área em estudo apresentado uma cobertura vegetal maior que a exigida como reserva legal. O consumo anual de
lenha é de 1.036.991,57*kg e a produção foi de 2.105.777,97*kg, representando um superávit de 103,06%. Com esta
produção, pode-se garantir o suprimento sustentável de lenha para a comunidade. Como estratégia para gestão florestal
sustentável tem-se: a área de preservação permanente deve ser de 1.244,08*ha, dos quais 741,16*ha devem ser reflorestados para que a comunidade possa atender a legislação; para poder manter ou aumentar o consumo de lenha, é
indispensável o desenvolvimento de projetos de fomento florestal; deve ser considerado o estabelecimento de sistemas
agrossilvopastoris, de forma que se possa suprir tanto o consumo de lenha quanto o consumo de produtos agrícolas e
pecuários; uma das formas de poder melhorar esta situação é envolver a comunidade no estabelecimento de florestas
sociais para uso múltiplo, a fim de que, dessa forma, passam a valorizar mais o recurso florestal; definir, junto com a
Prefeitura Municipal de Viçosa, as áreas que poderiam ser utilizadas para o estabelecimento destas florestas sociais;
verificou-se que, em média, as pessoas utilizam 1,55*hora/dia na coleta de lenha; este tempo pode ser utilizado para se
trabalhar na floresta social e, dessa forma, garantir um suprimento de lenha mais perto e de boa qualidade; procurar reduzir
o consumo de lenha realizando cursos de capacitação, mostrando como melhorar as práticas de uso do fogão ainda mais.
Com base nessas considerações espera-se melhorar a qualidade de vida da comunidade.
ABSTRACT: Since the oldest times until today the firewood has been one of the main sources of energy for the man for the
most different uses, either domestic or industrial, representing, 26% of the total energy consumed today in Brazil. The
objective of this work was to determine the firewood consumption and the supply for the Cachoeira de Santa Cruz, city of
Viçosa-MG and to establish a strategy of sustainable firewood supply. For this, a questionnaire was applied in a sample of
the rural and urban population. It was divided in 3 parts: a) social and economic data; b) firewood consumption data; and c)
firewood supply data. A series of digital maps was also used including land use, roads, limits, urban area, altimetric and
network of draining. Thus, it was possible to identify the percentage of forest covering of the studied area, the areas of
permanent preservation and the areas of production. As results, it was verified that firewood was the principal fuel for
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cooking, since 74.42% of the houses had a woodstove. This use does not depend on the education level, family income or
adults equivalents per house. This use depends on social and cultural factors, and not on an economic reason. There are
in the community good operation practices on the woodstove. It was found that the main form of firewood supply is the
collecting, and the main place for collecting is the natural forest in private land. More species are used when the firewood
is collected than when it is purchased. The average firewood consumption was of 10,02 kg/house/day, with a per capita
consumption of 2,61 kg/house/day. This consumption was different, depending of supply forms, the collecting place and the
property land. It was found that the main land use was pasture, the second was the secondary growing forest. The forest
area is more than it is requested by legal reserve but do not attend the permanent preserved areas. The annual firewood
consumption was 1.036.991,57 kg and the supply was of 2.105.777,97 kg, representing a surplus of 103.06%. With this
production, the sustainable supply of firewood for the community can be guaranteed. The strategy for sustainable forest
management must take in consideration: the area of permanent preservation was of 1.244,08 ha, being that 741,16 ha must
be reforested to attend the law; if the firewood consumption to raise is necessary the development of projects of forest
promotion; the establishment of agroforestry systems must be considered to support firewood and food consumption; one
of the ways to improve this situation is to involve the community in the establishment of social forests for multiple use, then
they can start to value more the forest resource; it is necessary to define, together with the Municipal City Hall of Viçosa,
the areas that could be used for the establishment of these social forests; it was found that, in average, the people use 1,55
hour/day in the firewood collecting and this time can be used to work in social forests, guaranteeing a closer firewood
supply and better in quality; to reduce the firewood consumption qualification courses and training would be done, showing
how to improve the woodstove practices. With base in these considerations we expect to improve the quality of life of the
community.
P09
Componentes básicos de um modelo relacional de dados para a gestão florestal
(Basic components of a relational data model for forest management)
Nobre,S.R.([email protected])
Rodriguez,L.C.E.; Silveira,L.E.; Simões,G.D.O.
Athena Recursos Naturais, Brasil
RESUMO: Os gestores de recursos florestais administram grande quantidade de informações, que são a base do seu
processo de tomada de decisões. A própria natureza da atividade florestal implica na geração contínua de dados que
alimentam grandes bases de dados, criando fluxos de informações que precisam ser compreendidos para serem adequadamente administrados. Para organizar e manter todas essas informações, os técnicos da área de tecnologia constroem
modelos para representar a parte do mundo real necessária para gerir os serviços dos seus clientes. No caso florestal
essa tarefa não tem sido trivial, e várias são as tentativas de modelagem e criação de padrões. O modelo de construção de
bancos de dados mais largamente usado é o relacional. Na fase inicial da modelagem de um banco de dados relacional
utilizam-se conceitos abstratos que constituem uma figura envolvendo entidades e relacionamentos (E-R). Este trabalho
aplica este conjunto de conceitos à modelagem da parte do mundo real que gerencia os recursos florestais de uma empresa
florestal dedicada à produção de madeira. São apresentadas quatro faces desta realidade em um exercício de modelagem:
(i) o histórico do talhão florestal em termos de ciclos e rotações florestais e as intervenções de colheita são modelados
através de conceitos de “dependência de existência”; (ii) a caracterização dos talhões quanto ao tipo de solo, por exemplo,
é modelada através de padrões de relacionamento do tipo “muitos-para-muitos”; (iii) vários conceitos florestais, como a
estratificação, definição de unidades de mapeamento de solos, definição de limitações logísticas dos talhões, e seus
relacionamentos com os talhões são modelados seguindo um padrão construído com relacionamentos entre entidades do
“tipo conceito”; e (iv) as próprias intervenções silviculturais são modeladas com o auxílio de “agregações” e “generalizações”. Mostra-se que as estruturas lógicas apresentadas podem ser usadas para a construção de um flexível e prático
modelo florestal de dados.
ABSTRACT: Forest resource managers deal with a large amount of data to support their decisions. Forestry operations
produce data that is continuously stored in data banks, creating flows of information that must be comprehended to be
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adequately managed. Information technology experts, to organize, maintain and provide good services to clients of this
information, build models representing the real world. This task is not trivial when treating forestry issues, and several
models and patterns have been suggested. One of the most widely used model technique is the relational model. In an initial
phase, abstract concepts are created to result in an entity-relationship (E-R) figure. In this paper we apply a special set of
concepts to model part of the real world of a wood-processing mill. Four realities are presented to create a modeling
exercise: (i) history of cycles and rotations of a forest management unit is modeled by the concept of “existence pendencies”;
(ii) the characterization of a forest management unit according to soil type, for instance, is modeled by relational patterns
called “many-to-many”; (iii) several forest concepts, like stratification, soil mapping units, logistic limitations and their relationship
with forest stands are modeled according to a pattern built on relations involving “conceptual” type entities; and (iv)
silvicultural interventions are modeled with the help of “aggregations” and “generalizations”. It is shown that the logical
structures presented in this paper can be used to build a flexible a practical forest data model.
P10
Caracterização da produção suberícola no Alentejo – Portugal
(Characterization of the cork production in Alentejo – Portugal)
Ramalho, M.J. ([email protected])
Anjos, O.S.
Escola Superior Agrária - ESA, Portugal
RESUMO: O Alentejo é a região de Portugal onde se encontram actualmente os maiores povoamentos de sobro, concentrando-se no Sul do País cerca de 58% da área total suberícola sobretudo nos distritos de Évora, Setúbal, Portalegre e Beja.
Apesar desta evidente concentração da espécie Quercus suber L. no Alentejo, é igualmente notório nesta região um certo
desinvestimento no sector o que é evidenciado pela dominância de povoamentos adultos e simultaneamente quase
ausência de arvoredo jovem, baixas densidades dos montados a que geralmente está associado sobre-exploração. Regra
geral coexistem sistemas agro-silvo-pastoris ou silvo-pastoris. Atendendo à importância económica do sobreiro na economia portuguesa em geral e alentejana em particular e à situação pouco favorável em que se encontram os montados na
maior zona suberícola portuguesa este estudo tem como principais objectivos: I) identificar as principais causas que estão
na origem da actual situação; ii)delinear estratégias conducentes à eliminação das actuais limitações. Para dar resposta ao
primeiro objectivo foi efectuada uma Análise de Clusters tendo-se verificado que os produtores suberícolas constituem um
grupo bastante homogéneo com profundos conhecimentos de gestão florestal e economia da produção os quais tem como
principal objectivo a maximização do lucro. Para dar resposta ao segundo objectivo foi efectuada uma Análise das
Componentes Principais , a qual identificou como principais componentes os elevados periodos de seca ede deficits
hídricos, o elevado período de retorno de investimentos na área suberícola, a existência de outras actividades agrícolas e
pecuárias exploradas conjuntamente com os montados, as dificuldades de gestão simultânea destes sistemas agro-silvopastoris e como quarta componente as dificuldades de comercialização, facto que é agravado pela existência de um
mercado de concorrência imperfeita do tipo de oligopsónio. Como principais conclusões deste estudo alerta-se para a
necessidade do ponto de vista institucional de ser dada maior importância a um sector no qual o nosso país em geral e o
Alentejo em particular tem uma enorme importância económica. Em simultâneo considera-se necessário o fomento do
associativismo como forma de resolução dos actuais estrangulamentos ao nível comercial.
ABSTRACT: Alentejo is the Portuguese region in the South of Portugal, where the bigger cork oak stands are found. This
region is responsible for 58% of the national cork-oak area, namely in the districts of Évora, Portalegre and Beja. In spite of
this evident concentration of Quercus suber L. in the Alentejo; is equally notorious in this region a certain deprivation of
investment in this sector, that is showed by the domination of adult stands and simultaneously young trees almost doesn’t
exist. In general, low-density is found which generally is associated with the super-exploitation as a common rule, agrosilvo-pastoral or silvo-pastoral systems coexist. In view on the economic importance of the cork-oak on the Portuguese
economy in general and in the Alentejo in private and in the little favorable situation in the Portuguese biggest region of corkoak trees the prime motive in this study are: 1) To identify the main reasons that originated the current situation; 2) To
delineate artifices that could eliminate the actual limitations. To answer the first goal a clusters analysis was made and
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ascertained that the cork-oak farmers constitute a quite homogeneous group with a lot of knowledge about forest management
and economics of production where the main goal is the maximization of profit. To answer the second goal a main
component analysis was made, which identified the main components namely the long dry climatic periods, the long pay
back periods of investments in cork-oak, the existence of others agricultural and cattle breeding activities, explored in
assemblage with cork-oak stands. The difficulties of management in these simultaneous agro-silvo-pastoral systems found
and the fourth component is the imperfect competition of cork trade namely an oligopoly market. As main conclusions in this
study are the alert for the necessity of the institutional point of view to give a larger consideration for the sector that, in our
country in general and in Alentejo in private, has a huge economical importance. Simultaneously encouragement of the
associative groups is needed as a form of solving the current strangulation of the commercial position. Key words: cork-oak
production, multivariate analysis, Alentejo, and economic analysis.
P11
Elaboração de planos de colheita para plantações de rápido
crescimento com base em indicadores de sustentabilidade
(Elaboración de planes de cosecha para plantaciones de rápido
crescimiento com base en indicadores de sostenibilidad)
Rodrigues, F.A. ([email protected])
Rodriguez, L.C.E.
Universidade de São Paulo - ESALQ, Brasil
RESUMO: A preocupação com um manejo mais adequado dos recursos florestais é evidente nas resoluções assinadas
junto à Comissão das Nações Unidas para o Desenvolvimento Sustentável. Esses documentos refletem uma maior apreciação das funções ecológicas e econômicas das florestas como fontes de produtos madeireiros e não madeireiros; como
habitat para grande parte da diversidade biológica do planeta; e como reguladoras das condições ambientais locais,
regionais e globais. O presente trabalho propõe uma estruturação alternativa para os modelos de planejamento florestal,
considerando os efeitos das decisões do gestor sobre a sustentabilidade. Estes efeitos se traduzem em parte por
preocupações com variações de demanda por mão de obra, períodos de rotações e viabilidade econômica do plano. Dada
a amplitude de dimensões consideradas pelo modelo, utiliza-se a teoria multicritério para sua estruturação através da
programação compromisso e programação por metas. A investigação se baseia em um estudo de caso que compara os
planos de manejo de reflorestamentos produtores de matéria-prima para uma grande indústria de celulose no Estado de São
Paulo. Os planos de curto prazo dessa indústria para o manejo desses reflorestamentos são comparados com os planos
gerados através do modelo Tipo I de programação linear e modelos que consideram os indicadores de sustentabilidade.
RESUMEN: La preocupación con un manejo mas adecuado de los recursos forestales es evidente en las resoluciones
firmadas junto a la Comisión de las Naciones Unidas para el Desarrollo Sostenible. Estos documentos reflejan una mayor
apreciación de las funciones ecológicas y económicas de los bosques como fuentes de productos mederables y no
maderables; como habitat para gran parte de la diversidad biológica del planeta; y como regulador de las condiciones
ambientales locales, regionales y globales. El presente trabajo propone una estructuración alternativa para los modelos de
planeamento forestal, considerando los efectos de las decisiones del gestor sobre la sostenibilidad. Estos efectos se
traducen en parte por la preocupación con variaciones de la demanda por la mano de obra, tiempo de rotación y viabilidad
económica del plan. Con la amplitud de las dimensiones consideradas por el modelo es utilizada la teoria multicriterio para su
estruturación através dae la programación compromiso e programación por metas. La investigación se basa en un estudio
de caso que compara los planos de manejo de bosques productores de matéria prima para una gran industria de celulose
en el Estado de São Paulo. Los planos de corto plazo de esta industria para el manejo de estos bosques son comparados
con los planos generados através del modelo Tipo I de programación linear y modelos que consideran los indicadores de
sostenibilidad.
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P12
A importância do guaraná no desenvolvimento
sustentável da agropecuária do Estado do Amazonas
(La importancia del guaraná en el desarrollo
sustentable de la agricultura del Estado de Amazonas)
Rodrigues, F.M ([email protected])
Chings, M.H.F.L.K
Embrapa Amazônia Ocidental, Brasil
RESUMO: Com o advento da Zona Franca de Manaus houve acentuado crescimento populacional e econômico da capital
e um relativo empobrecimento do interior do Estado do Amazonas. Processo que começa a dar sinais visíveis de ter
alcançado um ponto de estrangulamento, em função dos vigorosos problemas urbanos, como desemprego e aumento da
criminalidade e da difícil sobrevivência no meio rural pela perde de competitividade da produção e esgotamento de várias
espécies exploradas. Dentre as alternativas para se contrapor a esse quadro assinala-se o fortalecimento da economia do
interior, tendo como um de seus pilares a cultura do guaraná. O Amazonas é um dos principais produtores de guaraná do
País. Além disso, o guaraná se constitui em um dos principais produtos agrícolas, sendo de suma importância social e
econômica para o Estado. O estudo tem como suporte os municípios de Maués e Urucará, situados na principal região
produtora de guaraná do Estado. O instrumental metodológico utilizado nas análises foi o de custo benefício. Os dados
foram levantados através do Método de Análise Rápida, que consiste no uso intensivo de fontes secundárias, de observações in loco, amostras não-probabilísticas (intencionais) e entrevistas semi-estruturadas com pessoas chaves (especialistas, dirigentes agrícolas, pesquisadores e técnicos, entre outros) da cadeia produtiva do guaraná. Identificou-se dois
sistemas de produção predominantes: o moderno e tradicional. A análise dos dados baseou-se nos fluxos de caixa dos
referidos sistemas de produção e, constatou-se que para o sistema moderno, valores dos coeficientes TIR e VPL da ordem
de 25% e R$4.643,08, a uma taxa de juros de 10% e uma relação benefício custo de 1,70; evidenciando se tratar de uma
alternativa financeiramente atrativa. Enquanto que para o sistema tradicional, os valores da TIR e VPL situaram-se em 8%
e R$320,42, com taxa de juros de 5%; já a relação benefício custo foi de 1,16; denotando baixa rentabilidade financeira
deste sistema. O resultado do estudo mostrou que o sistema de produção moderno é uma alternativa viável para o
desenvolvimento sustentável do guaraná. Enquanto, o sistema tradicional, mesmo apresentando baixa atratividade financeira, deve receber um melhor manejo, uma vez que o guaraná é a principal fonte renda do pequeno produtor regional. Além
disso, essa política tem impacto positivo sobre o meio ambiente, uma vez que contribui para o não desmatamento de novas
áreas, onde transcorreria a prática de agricultura itinerante. Aos valores financeiros já mencionados deve-se acrescentar
a contribuição social e econômica. No primeiro caso, o estado conta com cerca de 8 mil hectares de guaraná, dos quais os
pequenos produtores disponibilizam de área cultivada em torno de um e meio hectares, ocupando aproximadamente 90%
da área, ou seja, se está gerando emprego direto para mais de sete mil famílias. Na perspectiva econômica, o custo de
implantação de um hectare de guaraná, segundo o sistema de produção moderno é da ordem R$1.061,00 por hectaremenor que diversas outras alternativa agrícola. Trata-se de uma alternativa à agricultura itinerante que, por possibilitar o uso
de uma mesma área durante longo período, é substantivamente menos prejudicial ao meio ambiente.
RESUMEN: Com la implantación de la Zona Franca de Manaus hubo un acentuado crecimiento poblacional y económico de
la capital y un embobrecimiento real del interior del Estado de Amazonas. Proceso que comienza a dar señales visibles de
haber alcanzado un punto de estrangulamiento, en función de los problemas urbanos surgidos, como desempleo e aumento
de la violencia y la dificultad de sobrevivir en el medio rural, dada la pérdida de competición de la producción y fin de varias
especies antes exploradas. Entre las alternativas para mudar este cuadro, está el fortalecimiento de la economía interiorana,
teniendo como uno de sus pilares el cultivo de guaraná. Amazonas es uno de los principales productores de guaraná del
País. Además, el guaraná constituye uno de los principales productos agrícolas con una gran importancia social y económica
para el Estado. El estudio tiene como soporte los municipios de Maués y Urucará, situados en la principal región productora
de guaraná de Amazonas. El instrumental metodológico utilizado en los análisis fue el de costo beneficio. Las informaciones
fueron levantadas mediante el Método de Análisis Rápida, que consiste en el uso intensivo de fuentes secundarias, de
observaciones in loco, muestras no- probabilísticas (intencionales) y entrevistas semi-estructuradas com personas claves
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209
(especialistas, dirigentes agrícolas, investigadores y técnicos, entre otros) de la cadena productiva del guaraná. Fueron
identificados dos sistemas de producción predominantes: moderno y tradicional. El análisis de los dados se realizó através
de los flujos de caja de los referidos sistemas de producción y, el sistema moderno presentó valores de los coeficientes de
TIR y VPL de 25% y R$ 4.643,08, a una tasa de interés de 10% y una relación benefício costo de 1,70; demonstrando
tratarse de una alternativa finacieramente atractiva. Por outro lado, para el sistema tradicional, los valores de TIR y VPL
encontrados fueron de 8% y R$ 320,42, com tasa de interés de 5%; ya la relación beneficio costo fue de 1,16; comprobando
la baja rentabilidad financiera de este sistema. El resultado del estudio mostró que el sistema de producción moderno es una
alternativa viable para el desarrollo sustenible del guaraná. Aún que el sistema tradicional haya presentado baja atracción
financiera, debe recibir un mejor manejo, ya que el guaraná es la principal fuente de renta del pequeño agricultor regional.
Además, esa política tiene impacto positivo sobre el medio ambiente, una vez que contribuye para que no sean desmatadas
nuevas áreas, donde acontecería la práctica de la agricultura itinerante. A los valores financieros mencionados, debe
sumarse la contribución social y económica. Social, porque Amazonas posee cerca de 8 mil hectáreas de guaraná, de las
cuales los pequeños agricultores disponen de una área cultivada de 1,5 hectáreas, ocupando aproximadamente 90% de
la área, es decir, se está proporcionando empleo directo para más de siete mil familias. Económica, porque el costo de
implantación de una hectárea de guaraná, de acuerdo com el sistema de producción moderno es de la orden de R$ 1.061,00
por hectárea, menor que diversos otros cultivos. Se trata de una alternativa para la agricultura itinerante que posibilita el uso
de una misma área durante un largo período y eso perjudica substancialmente menos al medio ambiente.
P13
Avaliação econômica de quatro modelos agroflorestais em
áreas degradadas por pastagens na Amazônia Ocidental
(Economic evaluation of four agroforestry models
in degraded pasture areas in the western Amazon)
Santos, M.J.C.dos ([email protected])
Rodriguez, L.C.E.
Universidade de São Paulo – ESALQ, Brasil
RESUMO: O presente estudo teve como objetivo avaliar a viabilidade econômica de quatro sistemas agroflorestais em área
com pastagem degradada na Amazônia Ocidental. A área escolhida para o desenvolvimento desta pesquisa está localizada
na Estação Experimental da EMBRAPA/CPAA (Empresa Brasileira de Pesquisas Agropecuárias - Centro de Pesquisas
Agroflorestais da Amazônia Ocidental) no Distrito Agropecuário da SUFRAMA - DAS, km 54 da BR-174 (Manaus-Boa VistaBrasil), em áreas de terra firme. Os modelos agroflorestais analisados foram implantados seguindo delineamento experimental em blocos casualizados, com 4 tratamentos e 3 repetições, sendo a pastagem abandonada usada como testemunha, em parcelas de 3.000 m2 (60m x 50m), com uma área total de 4,5 ha. Os tratamentos foram distribuídos da seguinte
forma: ASP-1 (Sistema Agrossilvipastoril/altos insumos); SP2 (Sistema Agrossilvipastoril/baixos insumos); AS1 (Sistema
Agrossilvicultural/com base em palmeiras); AS2 (Sistema agrossilvicultural/baixos insumos multiestrato) e pastagem abandonada (testemunha). Houve aplicação de insumos para correção de acidez e fertilidade do solo. A avaliação econômica
dos sistemas agroflorestais analisados baseou-se no cálculo do valor presente líquido dos respectivos fluxos de caixa
constituídos a partir da presuposição que os mesmos podem ser repetidos perpetuamente. Os resultados obtidos, mostraram que os modelos agroflorestais utilizados são economicamente viáveis, indicando que este tipo de atividade pode
contribuir para a regeneração de áreas com nível de degradação semelhante ao observado no estudo de caso e para a
sobrevivência econômica dos agricultores da região. Observou-se que os sistema agroflorestal multiestrato (AS2), apresentou o melhor desempenho em relação aos demais sistemas utilizados na pesquisa. Dadas as condições de degradação
em que foram implantados os sistemas agroflorestais, todos comprovaram sua eficiência quanto ao restabelecimento
vegetativo e econômico. São necessários mais pesquisas com a utilização de SAFs voltadas para a realidade da região
dando ênfase à produção familiar.
210
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ABSTRACT: Agroforestry systems have been considered as a solution and/or alternative to degraded areas, to increase
the agricultural and forest productivity, and to diminish the economic risk to the farmer. Four agroforestry models were
introduced in degraded pasture and abandoned areas located in an Experimental Station of the EMBRAPA/CPAA (Empresa
brasileira de pesquisas agropecuaria/ Centro de Pesquisas Agroflorestais da Amazônia Ocidental), at km 54 BR-174
(Manaus-Boa Vista) in non flooded areas. The experimental design is a randomized complete block with 4 agroforestry
models and an abandoned pasture area as the witness. The experimental plot measured 3,000m2 and the agroforestry
treataments were: ASP1 (Agrosilvipastoral systems higt output); ASP2 (Agrosilvipastoral systems low input); AS1
(Agrosilvicultural systems with palmers tree); AS2 (Agrosilvicultural systems low output multiple). Proper amendments
were applied to control the effects of soil acidity and soil fertility. The economic evaluation was made according to the
following economical criteria: Net Present Value (NPV) and Land Expectation Value (LEV). The results showed that the
agroforestry models were economically acceptable indicating that this kind of agroforestry activity generates income and
could be used as an alternative way of use to degraded areas in Amazon. It produces agricultural benefits to the farmer and
the utilized species play an important role in the land maintenance and protection against fire use and erosion.
P14
Planejamento florestal na Suzano Papel
(Forest planning at Suzano Papel)
Soares, M.G. ([email protected])
Roncolato, L.
Cia. Suzano de Papel e Celulose, Brasil
RESUMO: A Cia Suzano de Papel e Celulose detém unidades industriais no município de Suzano SP, onde produz celulose
de fibra curta a partir de eucalipto desde 1955. Atualmente a fábrica produz 420 mil t de celulose por ano, sendo que 80%
da madeira é fornecida pelos 48 mil ha de plantio efetivo no estado de São Paulo. Cada um dos 9 Núcleos Florestais é
manejado para fornecer, de maneira sustentável, uma determinada quota de madeira. O trabalho apresenta a lógica de
planejamento da base florestal nos níveis estratégicos, tático e operacional, definindo escopo dos sistemas de informação
que os suportam, envolvendo a integração com o sistema de gestão corporativa (SAP/R3). São levantados os aspectos
econômicos que dão suporte ao planejamento florestal, particularmente o uso da fórmula da Produção Mínima da Brotação
propostas por RODRIGUEZ, 1989, visando a tomada de decisão referente a reforma de talhões. Finalmente considerações
são feitas em torno das linhas de desenvolvimento na área adotadas pela empresa.
ABSTRACT: Cia Suzano de Papel e Celulose keeps two industrial plants at Suzano, SP, Brasil, where it produces short fibre
eucalyptus pulp since 1955. Currently the mill produces 420 Ktons of pulp per year, so that 80% of wood supply proceeds
from the 48.000 ha company´s own plantation area located in the São Paulo State. Each one of the 9 Forest Centres is
managed aiming to provide a fixed quota on a sustainable basis. This paper addresses the planning routine on forest
operation, concerning strategic, tactical and operational level. The information system scope for supporting forest planning
is outlined, including the integration with company ERP (SAP R/3). Some economic aspects are raised concerning the forest
operation, particularly the application of minimum yield formula (RODRIGUEZ 1989), aiming to support the decision making on
forest renewal. Finally short term major developments in field are pointed out.
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P15
Sistemas agroflorestais em pequenas propriedades rurais: caracterização e
avaliação econômica. Estudo de caso: município de Presidente Figueiredo,
AM
Silva, L.M.S. ([email protected])
Rodriguez, L.C.E.; Macêdo, J.L.V.; Souza, G.F.
RESUMO: O presente trabalho teve como objetivo caracterizar pequenas propriedades no Município de Presidente
Figueiredo, AM quanto ao uso de sistemas agroflorestais avaliando produção e destino desta produção, tipo de
mão-de-obra empregada e distribuição das diferentes atividades de acordo com o gênero e faixa etária, fontes de
renda, investimento em bens de capital e utilização de insumos. Fizeram parte do estudo 53 propriedades
localizadas ao longo da rodovia estadual AM-240. A metodologia utilizada no levantamento incluiu conversas
informais, entrevistas orientadas por um questionário e observações de campo. As propriedades estudadas
apresentaram as seguintes características: 64,15% usam mão-de-obra estritamente familiar; 39,63% dos produtores
recebem uma aposentadoria e, os demais, realizam algum tipo de trabalho temporário ou permanente, ou recebem
algum tipo de ajuda familiar que complementa a sua renda; 86% dos produtores comercializam o excedente
produzido na roça (macaxeira e subprodutos de mandioca: farinha, pé-de-moleque, tapioca, goma e tucupi); ou no
pomar caseiro (frutas); ou no terreiro; ou no quintal da casa na vila (hortaliças) e desses, 13,04% vendem seus
produtos unicamente na feira do produtor de Presidente Figueiredo; 32,61% vendem seus produtos na propriedade
e na feira e 54,35% comercializam somente na propriedade. Em 56,52% das propriedades, os produtos são
vendidos para consumidores domiciliares; 15,22% vendem os frutos de cupuaçu para a Prefeitura Municipal de
Presidente Figueiredo e 32,61% vendem para ambos (domiciliares e prefeitura). Os sistemas agroflorestais
representam, portanto, um importante complemento a renda familiar, principalmente a partir do quarto ano em que o
produtor está na propriedade, quando, então, os plantios começam a garantir uma produção estável ao longo dos
anos. A associação de várias espécies garante, também, uma renda bem distribuída ao longo do ano. As
propriedades estudadas não são providas de modernas estruturas produtivas dependentes de máquinas e
equipamentos modernos ou de herbicidas e fertilizantes. O fato de 62,3% dos produtores não possuírem o título da
propriedade torna-os dependentes do INCRA para acesso a crédito e assistência técnica .
ABSTRACT: The objective of the present paper was to characterize small farmers and their farms in Presidente
Figueiredo, AM, evaluating their production, destiny of this production, type of labor used, distribution of the different
activities according to genus and age, source of revenue, reinvestment capacity and use of inputs. Fifty-three
farmers located along the AM-240 state road were visited during the survey. The methodology included informal
conversations, interviews based on a questionnaire and field observations. The studied properties present the
following characteristics: the labor used in 64,15% of them is strictly familiar, 39,63% of the farmers receive a
retirement pension and, the others, have temporary or permanent jobs or receive some financial aid from the family
that complements their source of revenue; 86% of the farmers commercialize the excess produced on the field
(cassava sub products); orchard (fruits); yard; or in the house’s backyard in the village (vegetables) and from these,
13,04% sell their products solely at the farmer’s market in Presidente Figueiredo; 32,61% sell their products in the
property and at the farmer’s market and 54,35% only sell their products in the property. In 56,52% of the properties,
the products are sold to house consumers; 15,22% sell cupuaçu fruits to Presidente Figueiredo’s city hall and
32,61% sell to both (houses and city hall). The agroforestry systems represent an important complement to the
family’s source of revenue, mainly for farmers occupying their farms for more than 4 years, when some of crops
begin to guarantee a stable production through the years. The fact that these systems associate many species also
guarantees a good distribution of gains along the year. The studied properties are not provided with a modern
productive structure, dependent on machines and modern equipments, or fertilizers and chemical weed controllers.
The fact that 62,3% of the farmers don’t have the property’s title turns them dependent on INCRA to obtain credit
and technical support.
212 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
P16
Forest financing in Latin America and the Caribbean
Keipi, K. ([email protected])
Especialista Sr. en Recursos Naturales - Banco Interamericano de Desarrollo
ABSTRACT: There are several essential factors affecting forest financing possibilities in Latin America and the
Caribbean. Forest investments should be profitable with an acceptable level of risk. They should competitive with
investment opportunities in other sectors, and especially with agriculture which competes with forestry in the use of
land. Political and macroeconomic stability, adequate trade policies and access to land and property rights are
essential elements affecting profitability and risk. A clear forest policy, effective and appropriate regulatory
framework, and participatory decision making in forest policy execution are additional important elements. Forests
offer significant self-financing potential especially when vertical integration of base production, related processing
and services exist. However, this potential will not be utilized if the policy framework is not adequate for the markets
to work in favor of the sector. Possibly the most potent future source of financial resources for productive forestry is
rural credit. However, in the past it has brought disappointing results in forest financing. The reason is lack of long
term sources of capital. Savings rates are low in Latin America and the Caribbean and most institutional investors
(pension funds) invest in secure government bonds. The lack of stable long term savings, plus inflationary pressures,
currency devaluation risks, and capital flow shocks make medium and long-term lending risky. Local forest investor
has been in a disadvantage because forest (neither trees nor land) has not traditionally been used as a collateral for
credit. Without clearly defined property rights, and diminished risk of invasion and deforestation the situation will not
improve. There are ways to improve rural credit systems both by working through commercial banks willing to adjust
their ways to operate according to the needs of the clients, and upgrading NGOs and informal financial services in
rural communities. Simultaneously, to finding local funding sources, there should be awareness raising among
international investors, the commercial banking system and rural credit institutions, as potentially the main sources of
business financing in forestry. Their role will depend largely on their understanding of the expected profitability and
risk of forest investments. Profitability can be increased, and risk decreased through the creation of markets, not only
to the traditional timber products but also to non-wood products and environmental products and services. With the
increasing income levels it is expected that these products and services be in high demand in the future not only in
the Latin American and Caribbean region but also in the developed countries.
RESUMEN: Existen varios factores que afectan la viabilidad de financiamiento forestal en América Latina y el
Caribe. Las inversiones forestales deberían ser rentables con un aceptable nivel de riesgo. Deberían competir con
oportunidades de inversión en otros sectores, especialmente en la agricultura, la cual compite con los bosques en el
uso de la tierra. La estabilidad política y macroeconómica, adecuadas políticas de comercio y acceso a la tierra y
derechos de propiedad son elementos esenciales que afectan la rentabilidad y el riesgo. Una política forestal
transparente, un marco regulatorio apropiado y efectivo, la participación de los afectados en la toma de decisiones
en la ejecución de políticas forestales son elementos adicionales importantes. El manejo forestal ofrece un potencial
significativo de autofinanciamiento, especialmente cuando hay una integración vertical entre el manejo del bosque
con la elaboración de productos y servicios relacionados a los consumidores. No obstante, este potencial no será
utilizado si las políticas no son adecuadas para que el mercado funcione en beneficio de este sector. El crédito rural
es uno de las fuentes potenciales de financiamiento forestal. Sin embargo, en el pasado no ha resultado ser un
instrumento adecuado para el sector. La razón ha sido la ausencia de capital de largo plazo. Tasas de ahorro son
bajas en América Latina y el Caribe, y la mayoría de las instituciones de inversión (fondos de pensión, etc.) invierten
en bonos de gobierno. La carencia de ahorros estables, mas presiones inflacionarias, riesgo de devaluación de la
moneda y otros impactos negativos al flujo de capital hacen que el crédito forestal de mediano o largo plazo esta
considerado muy riesgoso, y prácticamente no existe. Inversionistas forestales locales han estado en desventaja ya
que en el bosque ni los árboles ni la tierra tradicionalmente han sido aceptados como garantía de crédito. Sin una
definición clara de los derechos de propiedad, disminución del riesgo de invasión y deforestación, la situación no
mejorará. Sin embargo, hay todavía maneras de desarrollar los sistemas de crédito rural; una de ellas es trabajando
a través de los bancos comerciales, los cuales podrían ajustar sus formas de acuerdo a las necesidades de los
clientes, y otra es mejorando las posibilidades de operación de las ONGs y los servicios informales de
financiamiento en las comunidades rurales. Simultáneamente, con el mejoramiento de la disponibilidad en los
recursos financieros locales, tanto del sistema bancario comercial como instituciones de crédito rural, se podría
despertar el interés de los inversionistas internacionales en el financiamiento forestal en los países de la región. Su
papel dependerá mayormente del nivel de entendimiento de la rentabilidad y del conocimiento de riesgo en la
inversión forestal en dichos países. La rentabilidad podría ser incrementada y el riesgo disminuido a través de la
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creación de mercados, no solamente de productos maderables tradicionales, sino también de productos no
maderables y de servicios ambientales. Con el incremento de los niveles de ingreso se espera que estos productos
y servicios tengan una alta demanda en el futuro, tanto en América Latina y el Caribe como también en los países
desarrollados.
1. INTRODUCTION: FOREST POLICY AFFECTING INVESTMENTS1
a.
Forest Functions
About a quarter of the world's forests and over half of its tropical forests are located in
Latin America and the Caribbean. Forests cover an area of 936 million hectares in Latin
America and the Caribbean region representing more than a third of the total land use. Both
boast a tremendously rich ecological diversity housing about 85 000 plant species or some
31 percent of the world total. Most protected areas in the region are located in natural forests
covering 230 million ha but suffering from inadequate management.
Some nations favor the conversion of natural forests to other uses. Yet, in most
countries, the main functions of forests (be they natural or manmade) is to provide products
to fill the basic needs of the local population and generate income through the production of
marketable commodities. Some countries invest heavily in the establishment of forest
plantations. Still others place a higher priority on the environmental value of the forests and
favor conservation. And still other nations argue that the main opportunity for conserving
natural forests lies in recognizing and paying for the environmental services that they provide.
On the other hand, the same natural resources that form the basis for the region’s wealth are
being rapidly destroyed, a process that contributes to the persistently high levels of poverty in
rural areas. They are under threat through undue conversion to other land uses and
overexploitation in accessible areas. FAO (1999) estimates that the current rate of
deforestation is 5.8 million hectares in the region, or more than a third of the global change.
Most of deforestation is due to converting a valuable natural resource into marginal land with
little or no economic or environmental value.
Latin America’s rapid forest deterioration has important economic and environmental
consequences. In a period when the region is focusing on social development, resource
degradation is leading to increasing rural poverty. The alarm over forest resource degradation
in Latin America has led to intensified activity in the forestry sector. If the forests of Latin
America are to be managed sustainably, and areas of particular environmental value
conserved, policy changes at the national and international level must take place. Thus the
principal objective of this document is to provide ideas and discussion on how to achieve
more effective management and investments in Latin American forests through appropriate
financing.
b.
Public and Private Benefits
Forestry can be a very profitable business in Latin America. The increasing flows of
international investments in the forestry sector of the region indicate this. In looking at the
profit issue, the question of time horizon is of utmost importance in promoting sustainable
forest management. The time frames for sustainable forest practices are often longer than for
1 The text for this chapter has been adapted from Kari Keipi (Ed.) 1999a. Forest Resource Policy for Latin America.
Washington, D.C.: The Inter-American Development Bank. The other chapters have been adapted from additional
IDB reports or studies funded by the Bank. It is the intention that in later versions of this paper the different elements
of the 5 chapters will be integrated further into a concise document.
214 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
other types of investments, and affect their relative profitability compared with other land
uses. Yet the returns on this type of investment accrue much more broadly than solely to the
private investor’s pocket book. The returns also accumulate in the form of ecological and
environmental benefits to local, regional and global societies.
When forestry generates positive externalities, the investors may end up paying for
benefits that accrue to a free-riding society. Thus, as it sometimes stands now, investors may
face relatively low financial returns compared with other investments because of the longer
investment periods, and have to maintain a certain degree of altruism as they watch a portion
of those returns go to society. Therefore, even though LAC forests are a threatened and
valuable resource, their wise use and conservation is not only a private sector priority. It
should also be a priority for the area’s governments to create an economic and financial
climate that is favorable for private investment in forestry. In certain cases with very high
externalities but marginal private profitability, government plans for compensating the
providers of environmental services may be justified when considering the benefits they
provide to society.
While many types of investment strategies involve the public sector, the international
community, and various public-private partnerships, this document focuses on ways to
encourage private sector investment. Roles of the public sector, non-governmental
organizations (NGOs), and the international community are also essential in the context of
policy development and financing.
c.
Improving Policies for Increased Investments
While forest lands produce ecological and economic benefits on a global scale, the
lands are subject to laws of the countries where they exist. Therefore, domestic policies and
practices are of prime importance in optimizing forest use. International support will be
effective only if it does not conflict with local interests. Specifically, national governments
need to be cautious when creating policies that may promote settlement in forested areas, or
encourage indiscriminate forest conversion for agricultural development, or open up new
areas to unregulated resource extraction.
Public policy in much of Latin America has been moving toward deregulation in all areas,
including forest management, utilization, and trade. The choice is between public
management of forests, which in principle should protect nonmarket values, but lacks the
institutional capacity to do so; and private ownership, which is effective for management but
deficient in defending public interests. The recent democratization process has established
dialogue among various sector of civil society and encouraged the consensus-building that is
essential for sustainable forestry. As a result, coalitions have been formed between rural
inhabitants and the private sector. In response to a growing trend towards privatization, a
system of market-based incentives and regulatory mechanisms should be strengthened to
facilitate responsible management and conservation of forests.
What conditions are needed to attract investments in sustainable forestry? They include
elements outside and inside the sector: political and macroeconomic stability adequate trade
policies, access to land and secure property rights, an effective and appropriate regulatory
framework, a clear forest policy (defined in consultation with stakeholders), and participatory
decisionmaking processes in policy execution. Multilateral and bilateral lending and
development institutions can promote investment by improving the fiscal environment and
reducing the uncertainties associated with investment and financing by the private sector.
Since factors outside the forest sector often cause the sector not to be competitive
compared with agriculture, the solutions to reduce deforestation may involve policies that
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affect land use and rural development in general. As publicly financed projects treating
forests in isolation disappear, these forest-related investments should be incorporated into
broader natural resource management, rural development and environmental programs.
Increasing agricultural yields per hectare, rural education and land tenure security may be
more effective means to curb deforestation than direct forest investments.
In the past, many groups have emphasized environmental losses and dangers, rather
than focusing on how to ensure sustainable production and protection of forests through
market-based approaches. In the future, national and international efforts must continue to
raise awareness and set agendas, but must also effectively help finance the programs.
Private investment should be encouraged not only for production forests, but also for
protected areas, ecoturism development, and conservation set-asides.
Further research is essential in lesser-known areas, such as the development of forest
valuation methods and new techniques for management of natural forests. Important
methodologies are being developed already by the FAO, CIFOR, CATIE, and others (Kengen
1997). The challenges of globalization to the forest business environment should be
explored, as well as methods for expanding nature-based tourism; and more study is needed
concerning the ecological role of forests and water resources in and around urban areas.
Finally, it the global policy environment is adequate new sources of financing can be found,
based on the environmental role of forests in biodiversity and mitigating climate changes. The
objection is to shift from unsustainable to sustainable forestry through: (i) providing adequate
financing for the transition and (ii) capturing the non market value of forests for the owners so
that they are attracted to invest in sustainable forestry.
d.
Financing Needs
According to estimates of Indufor (2000) the overall financing potential in the forest
sector of the region is of the order of US$ 88.2 billion in the period 1998-2010, or US$ 6.8
billion per year. Of this total, about 72% (US$ 63.7 billion) would be in the industrial forestry
sector, including production facilities and additional industrial plantations for raw material
procurement. The cost of the management of natural forests (including protected areas)
accounts for 28 percent of the total sectoral investments amounting to US$ 4.6 billion in
1998-2010 or US$ 1.9 billion annually.
The previous estimates do not cover all the forestry activities. No comprehensive
estimates are available on the respective investment requirements in the various fields of
social and environmental forestry. As the goal in all investment should be sustainability,
industrial projects should be environmentally and socially sound as well. In the same way,
many projects where the primary goal is social (e.g., farm or agroforestry), or environmental
(e.g., watershed management, carbon sequestration, etc.), timber will be produced as one of
the outputs and it will partly be used for industrial purposes. Nevertheless, the above figures
should be complemented by estimates of the financing needs for environmental and social
forestry projects.
216 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
Natural
forest
management
18%
Protected
areas
9%
Plantations
2%
Industry
71%
Figure 1. Forest Financing Needs
in Latin America and the
Caribbean
1998-2010
(US$ 88.2 billion)
2. RURAL CREDIT: UNREALIZED PROMISE FOR FOREST FINANCING
2
Credit is the most common funding source for business development in any sector.
However, rural credit mechanisms have been plagued with many weaknesses. In the
following, some actions are proposed according to the suggestions of the Rural Finance
Strategy of the Inter-American Development Bank (IDB 2000). Forest business should be
able to tag to the resources provided by the rural banking system in Latin America and the
Caribbean.
The reasons why forestry and agroforestry financing do not appear is due to lack of
stable, low term sources of capital. Savings rates are low in LAC and most institutional
investors (pension funds) invest in government securities. The lack of stable long-term
savings, plus inflationary pressures, currency devaluation risks, and capital flow shocks make
for a very risky medium and long-term lending picture.
a.
Current Situation
Between 1950 and the early 1990s, Latin America and Caribbean countries relied on a
government-driven approach to serve the financial needs of their rural sectors. The design of
large targeted and subsidized credit programs, implemented through state-owned specialized
agricultural development banks and private commercial financial entities, was the norm. The
objective was to improve access to credit for small farmers and thereby spur agricultural
sectoral growth, income expansion, and poverty reduction. Despite the substantial efforts and
the best of intentions, the results were less than expected. Neither was access to timely
credit at reasonable terms by low income rural customers substantially improved nor were
viable financial intermediaries created.
Since the late 1980s and early 1990s, the majority of countries in the region have
initiated massive financial sector reform, which has included the liberalization of interest
2 The text for this chapter has been adopted from IDB 1999. Rural Finance Strategy.
Série Técnica IPEF, Nº 34
217
rates; the liquidation of insolvent blanks and the rehabilitation of others; the liquidation of
some insolvent state-owned banks, the reform and conversion of some entities others to
second-tier institutions; the improvement of prudential norms and supervision; the reduction
of legal reserve requirements; the elimination of targeted credit programs; and the opening of
the industry to foreign banks.3 These changes have resulted in higher investment efficiency,
greater banking competition, and a wider offering of financial products of services.
Whereas some improvement have been made in urban financial markets, rural financial
markets continue to be underdeveloped. Studies show that the amount of credit to agriculture
and forestry as a percent of the sectors'. There have been may many proposals to establish
targeted credit programs for the forestry or agricultural sector in the region. The experience
has shown that small-scale borrowers are more sensitive to the non-financial costs of the
transaction (processing fees, travel costs, and income lost due to delays in approval and
disbursement) than to the financial costs (interest payments). For forestry normal rural loan
periods are too short. Forest lands have not been accepted as a guarantee while such a
mobile resource as cattle has been used to guarantee credits. Based on recent surveys from
seven countries, access rates to formal credit continue to be low with the exception of Costa
Rica. Excluding Costa Rica's rate of 40%, the average rate was 10.3%, practically all of
which was for the agricultural sector. The predominant sources of credit continue to be the
informal sector; friends, family, and money lenders.
b.
Actions to Improve Performance
In this section, detailed actions will be recommended to remedy the major problems and
the appropriate instrument to achieve the end described. The discussion below will be divided
into four sections that correspond to (i) lack of access and availability of long term credit (ii)
inefficiency of the market and (iii) insufficient financial retail capacity.
Access and Availability to Long Term Credit
In order to improve access to formal credit, the international financial institutions such as
the IDB should support the countries in their efforts to (1) change the legal framework so that
a greater variety of collateral including forest can be used to secure credit transactions; (2)
increase land titling and registration efforts to improve tenure security (3) reduce the degree
of risk creditors face by improving the ease with which credit claims can be legally enforced;
(4) improve the flow and quality of information on rural households, firms, and rural
productive activities through investments in surveys, information dissemination services, and
the creation of credit bureaus; this lack of information is particularly serious in forestdependent communities that tend to be very poor with low levels of education; promote the
introduction of variable interest rate contracts in countries that have attained macroeconomic
stability so as to reduce risk for lenders.
Market Efficiency
In order to reduce financial market segmentation and inefficiency, the countries may (1)
revise banking and financial regulatory frameworks so that barriers to entry, transactions
3 The IDB approved 13 Financial Sector Loans and an additional 18 Investment Sector Loans, many of which had
financial sector reform components in the period of 1990 to 1998. The World Bank, similarly, financed 26 financial
sector adjustment related operations in Latin America in the period of 1985-1996. Sources: Wenner, M. 1999.
Lessons Learned in Rural Finance at the Inter-American Development Bank and The World Bank. 1998. Financial
Sector Reform: A Review of World Bank's Assistance.
218 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
costs, and constraints to technological innovation are reduced to a reasonable minimum that
still serves to protect the soundness and safety of the financial system; (2) promote linkages,
mergers, and acquisitions between urban and rural based financial institutions so as to better
diversify risk, attain economies of scale and scope; and (3) improve the variety of risk
mitigation techniques available such as insurance, hedging instruments for the client and
portfolio securization, intermediary guarantees, and emergency funds for the intermediary so
that more intermediaries will be encouraged to enter rural finance profitably. Many of these
risk mitigation instruments are underdeveloped due to legal and policy impediments in the
financial sector but would have an important impact in long term funding such as in forestry.
Financial Retail Capacity
The strengthening of financial retail capacity is a clear and fundamental need. Specific
areas of concern are governance incentives, quality of business management and
technology/contract design in financial institutions. No particular institutional type has been
dominant in terms of performance in the development finance literature.4 Therefore
institution-building interventions should be multi-pronged and guided largely by country
context, the quality of available leadership, and the level of institutional commitment to
achieving financial self-sustainability. The goal is to extend the frontier of formal finance to
incorporate rural areas based on principles of sustainability, efficiency, and significant
outreach. One alternative is to incorporate commercial banks interested in working with lowand medium- income clients. Other ways relate to the upgrading of the many informal
banking entities in the rural areas of Latin America and the Caribbean by: (i) strengthening
NGOs to regulated financial intermediaries and (ii) linking formal and informal financial
intermediaries.
3. INTERNATIONAL FINANCING FOR FOREST PRODUCTION5
a.
Public Sector Funding
Multilateral Financing
The total amount of commitments for on-going and planned projects for 1999/2000
financed by IDB, World Bank, and GEF is estimated at US$ 2.7 billion in Latin America and
the Caribbean. The World Bank is clearly the largest source of financing (72%) especially due
to its contribution to forest development in the big countries in the region, followed by IDB
(20%). Brazil is the largest recipient of the multilateral financial flows (43%), followed by
Mexico (9%), Peru (6%) and Colombia (6%).
In terms of the number of projects, IDB is the largest source with 60 interventions while
the respective figure for the World Bank is 50. GEF is reported to have 11 major projects
related to forestry in the region. The project average size is largest in the case of the World
Bank (about US$ 40 million) while the respective figure for IDB is only US$ 11.5 million. The
GEF average contribution to projects is even smaller (US$ 8.7 million).
4 General institutional types are: (1) private commercial banks; (2) specialized banks (private and state-owned); (3)
non-banks (finance companies, credit unions, etc); (4) non-governmental organizations, and (5) community or
member-owned institutions (village banks, cooperatives, Self-Help Groups, etc.)
5 The text for this chapter has been adapted from: Indufor. 2000. Forest Financing in Latin America: the Role of the
Inter-American Development Bank. Helsinki.
Série Técnica IPEF, Nº 34
219
The World Bank portfolio is heavily concentrated on Brazil (50% of the regional total)
and the commitments in six other countries are in the range of US$ 100 million or more
(Chile, Colombia, Haiti, Mexico, Peru and Uruguay). The largest IDB commitments are found
in Central America, Mexico, Venezuela and Brazil. The IDB portfolio also contains a large
number of projects, which are small, in the range of few million US dollars. The main GEF
contributions are allocated to Brazil, Argentina and Panama.
In addition to the multilateral development banks, several other international sources
provide funding for forestry projects in the LAC region. ITTO is currently financing 35 projects
valued at US$ 25.7 million in Latin America and FAO implements 14 projects in the region
with a total cost of US$ 38.6 million financed by various donors (ITTO 1999, FAO 1999). In
addition, several preproject activities and small technical cooperation projects are
implemented by these two organizations.
Bilateral Financing
Data on the bilateral sources was limited to seven donor agencies (EU, CIDA, DFID
(UK), DIDC (Finland), GTZ, NORAD and USAID). The European Commission is financing the
largest number of projects (125), with most of the funds going to much smaller projects than
those by the multilateral agencies, the average size being USD 1.1 million. The UK (DFID)
and GTZ have the next largest project portfolios. Brazil (with 67 projects from these sources),
Bolivia (24), Ecuador (22) and Peru (21) have been the most successful recipients in
attracting bilateral donor grants. In addition to the seven donor agencies that could provide
information, there are several others that are supporting forestry in the region.
b.
Private Sector Funding
Direct and Portfolio Investments
Detailed comprehensive statistics on private sector forestry financing in the region are
not available. However, there is an increasing amount of scattered information available from
various sources (e.g. OAS 1997). Commercial private sector flows, both foreign and
domestic, are generally divided into direct investments through the supply of capital goods,
purchase of land or services, portfolio investments through commercial bank loans or equity
funding.
Non-commercial private sector flows tend to be implicit investments in the form of labor,
equipment, and technical or assistance. At the international level, financial resources are
mobilized mostly through grants or concessionary financing by the NGO community and
philantrophies (Best and Jenkins 1999).
Foreign direct investment is less volatile than portfolio investment and it tends to have a
long-term time horizon as regards returns. It, together with non-commercial private sector
investment is also attractive as it does not require fixed repayment, and does not contribute
to debt burdens (Gentry 1998). According to UNCTAD (1999) the foreign direct investment
flows from five OECD countries only to the wood and wood products sector in the LAC region
were estimated at about USD 240 million in 1998. This covers and excludes some important
investors in the sector (the Nordic countries, Malaysia, New Zealand and the Republic of
South Africa). In addition, the intraregional investments are not included which are significant
in the region. Therefore, the actual level is likely to be much higher, probably in the range of
USD 500 million. In view of the region’s forest resource potential and economic growth
prospects, foreign direct investment is likely to increase in the medium term.
220 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
Forest Concessions
Traditionally, international forestry investments were mainly related to logging
concessions in natural forests. However, concessions and contracts may include also a wide
range of other forest related activities such as management of plantations concessions for
protected areas and contracts for urban forestry investments. Such concessions can, if
properly managed and supervised, contribute to the development of domestic forest sector.
Large timber utilization agreements which still constitute a lion's share of forest concessions
in the region, have often been criticized of being cut-and-run operations. Table 1 provides
information on some transnational logging companies with major concessions in Latin
America and the Caribbean. The prominence of Malaysian companies is striking.
Table 1 Some Transnational Logging Companies with Concessions in Latin America
Company
Country of origin
Berjaya Group
Malaysia
Host country
Suriname
Guyana
Holdings (hectares)
300 000
760 0006
Equatorial resources
United States
Brazil
600 000
KTS Group
Malaysia
Brazil
Kwitaro
Malaysia
Guyana
415 400
760 0007
Mafira Group
Malaysia
Guyana
760 0008
Mitsubishi Group
Japan
Brazil
MUSA
Indonesia
Suriname
800 000
NV Tacoba
Malaysia
Suriname
150 000
Primegroup Holdings Ltd.
Malaysia
Guyana
800 000
Rimbunan Hijau Group
Malaysia
Brazil
Malaysia
Guyana
Brazil
Solid Timber Sdn Bhd
Malaysia
Guyana
760 000
Tenaga Khemas Sdn Bhd
Malaysia
Guyana
793 35410
Brazil
313 719
9 984 874
Samling Corporation
WTK Group
Malaysia
Total
Source: Sugal and Mittermeier 1999
34 710
53 997
1 690 000
993 6949
Plantations and Industrial Investment
Table 2 depicts the available information on international and cross-border investors in
the establishment of forest plantations and direct investment in forest industries in Latin
America, which suggests a heavy concentration on Brazil, Argentina, Mexico and Chile.
Unfortunately, amounts of investment are not readily available. Foreign investors are mainly
multinational companies in the pulp, paper and timber business which invest in the LAC
6 exploratory lease
7 exploratory lease
8 exploratory lease
9 proposed
10 includes exploratory lease
Série Técnica IPEF, Nº 34
221
region within their raw material or marketing strategies; this is undoubtedly the largest group.
Some new players have recently come to the picture: (a) timberland investors which are
specialized in investments in forest plantation projects worldwide drawing their resources
mainly from institutional investors, (b) environmental investors who seek projects in SFM,
carbon sequestration, etc.
Less information is available on foreign portfolio investment in the Latin American
forestry sector than on direct investments but it has obviously increased its role in forestry
and forest-based industries as in other sectors. International capital markets have started to
recognize the potential offered by, and the specific characteristics of, forestry investments
(particularly fast-growing plantations). Well-informed investors rightly perceive many such
investments as relatively low-risk long-term opportunities, with positive real rates of return
that complement traditional portfolios (FORM 1999). However, there is a pressing need to
educate the international capital markets on the specific requirements of sustainable forestry,
and new funding instruments are needed to lower the overall risks on forest sector
investments (Crossley et al. 1996).
Table 2 Major Investors in Forest Plantations and Forest Industries in Latin America
Country
Argentina
Brazil
Chile
Colombia
Costa Rica
El Salvador
Guatemala
Mexico
Investors
Arauco (Chile)
CMPC (Chile)
Smurfit (Ireland)
Kimberly Clark (USA)
Klabin (Brazil)
Masisa (Chile)
Terranova (Chile)
Ahlstrom (Finland)
Arjomari-Prioux (France)
Boise Cascade (USA)
Fletcher (New Zealand)
Champion (USA)
Masisa (Chile)
Nicolaus Paper GmbH & Co. (Germany)
Peugeot (France)
Rilisa Int. Trading Co. (Belgium)
Terranova (Chile)
Japanese Consortium of 15 companies
Riverwood International Corp. (USA)
Sappi (South Africa)
Sonoco Products Co. (USA)
Stern Group (Canada)
Stora Enso (Finland/Sweden)
Westvaco (USA)
Attisholz (Switzerland)
Boise Cascade (USA)
Fletcher (New Zealand)
Shell (Netherlands)
Simpson Paper (USA)
International Paper (USA)
Kimberly-Clark (USA)
Smurfit (Ireland)
Kimberly Clark (ex-Scott Paper) (USA)
Kimberly-Clark (USA)
Simpson Timber Company (USA)
Temple Inland (USA)
Smurfit (Ireland)
Forestry
Industry
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
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
222 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
Country
Panama
Peru
Uruguay
Venezuela
Investors
Forestry
Industry
X
X
X
X
X
X
X
Kimberly Clark (USA)
Procter & Gamble (USA)
Sonoco Products Co. (USA)
Georgia Pacific Corp. (USA)
Kimberly-Clark (USA)
Krueger (Canada)
Shell (UK/Netherlands)
Weyerhaeuser (USA)
UPM-Kymmene (Finland)
Smurfit (Ireland)
Stone Container (USA)
X
X
X
X
X
X
X
Source: Indufor. 2000.
As a result of the privatization processes in the region, there is a rapid shift in the flows
from the public to private sector as part of the broader privatization processes in forest
resource management and utilization. As part of this trend, the role of public sector
international funding has been declining. It tends to be scattered through a large number of
small projects with potential for addressing the forestry problems on a required scale.
However, the potential for leveraging private sector investment through this type of public
funding is apparently far from being utilized (Gentry 1998, Best and Jenkins 1999). This is
when the IDB and other international funding agencies may have an important role to
promote the mobilization of private sector resources.
4. FINANCIAL INSTRUMENTS FOR FOREST CONSERVATION11
a.
Taxonomy of Available Tools
To realize the full development potential of its resource endowment, the countries of
Latin America must invest not only in the sustainable management of the forest resources but
also in their conservation in order to benefit from the biological diversity of the region. What
mechanisms exist to facilitate this kind of investment? How can public and private money be
channeled to help finance what has been, until now, a free good? This report will not attempt
to fully answer these questions, but aims at providing an overview of some tools and options
for financing biodiversity conservation.
A division of the financing mechanisms based on the types of funds used, as well as
their impact on the market is proposed. The mechanisms could be divided into three groups:
(i) those aimed at safeguarding forest biodiversity as a public good, (ii) those aimed at
correcting negative externalities and (iii) those aimed at stimulating businesses that protect
forest biodiversity and use it sustainably (Table 3).
11 Much of the text of this chapter has been adapted from Ricardo Bayon, Steven Lovink and Wouter Veening.
2000. Financing Biodiversity Conservation. Sustainable Development Department, ENV-134. Washington, D.C.: The
Inter-American Development Bank.
Série Técnica IPEF, Nº 34
223
Table 3 Toward a Taxonomy of Tools for Financing Conservation
As Public Good
Taxation (National and
International)
Grants and Subsidies
Loans from MDBs
Debt-related Instruments
Internalizing
Externalities
Reforming the Tax System
Removing Damaging
Subsidies
Environmental Fines
Tradable Permits and
Extraction Quotas
Deposit-Refund Schemes
User Fees/Charges
Joint Implementation and
Carbon Sequestration
As Business
Credits and Loans to “Green
Businesses” (including Export
Credits).
Venture Capital (equity or
quasi-equity) for “Green
Businesses”
Guarantees for “Green
Businesses”
Securitization
Source: Bayon et al. 2000
While there are ways of using market mechanisms to pay for the conservation, most
aspects of ecological services will always be difficult to “market”. Society will ultimately have
to foot the bill for some of these services (e.g. clean air, nutrient recycling and pollination).
This will mean the allocation (or reallocation) of public resources and increased efforts to
correct existing negative externalities.
In some cases the interests of business can coincide with the conservation of
biodiversity, provided the appropriate regulatory framework is in place. Ecotourism is a good
example of an industry whose profitability relies on scenic beauty and the conservation of
nature.
In the next section, three examples of funding mechanisms are presented for the case
where forest biodiversity is considered as a public good: environmental funds, private
philanthropy and debt related instruments.
b.
Forests as Public Good
Environmental Funds
There are three main types of environmental funds, when forest conservation is
considered to be a public good, strategy, parks and grant funds. Strategy funds are
environmental funds with a mandate to support a full range of activities included in national
environmental plans or strategies, for example, the National Environment Fund (FONAMA) in
Bolivia and the National Environmental Fund of Brazil (FNMA), financed also by the IDB in
two separate stages. Funds that support the conservation of protected areas, either specific
parks or national protected areas systems are called park funds. Examples of these are the
Fund for Natural Areas Protected by the State (PROFONANPE) in Peru and the Jamaica
National Parks Trust. Funds that make grants to others—typically nongovernmental
organizations and community groups—for conservation and/or sustainable development
projects are called grant funds. An example of a grant fund is the Fund for the Americas in
Chile. Grant funds often have objectives that include strengthening civil society organizations,
increasing environmental awareness or expanding understanding of environmental issues.
The most common sources of funds for EFs are debt-for-nature swaps and/or
multilateral institutions, especially the Global Environment Facility (GEF, 1999). They have
managed their money in one of three ways:
224 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
As endowments which invest their capital and use only income from those
investments to finance activities.
As sinking funds which are designed to disburse their entire principal and
investment income over a fixed period of time (usually 6-15 years).
As revolving funds that receive new resources on a regular basis (e.g., proceeds
of special taxes, fees or levies designated to pay for conservation programs),
which replenish or augment the original capital of the fund and provide a
continuing source of money for specific activities.
Established environmental funds sometimes also receive funding to carry out specific
projects. It is not unusual for a particular fund to combine these features as part of its overall
financial structure. For example, PROFONANPE in Peru has an endowment, several sinking
fund windows created through debt swaps and project funding. In the prevailing climate of
shrinking international aid budgets, environmental funds have begun to actively look for more
innovative sources of financing, including loans, water user fees and taxes on tourism, as
well as by instituting a petrol tax (Costa Rica), a tax on airline tickets (Algeria) (Pearce et al.,
1997) or by using the proceeds from the privatization of state industries (Ecuador).
Private Philanthropy
The general public also has a surprisingly generous willingness to pay for conservation,
provided appropriate means are available for them to exercise this choice. The amount
donated to wildlife and environment issues amounted to $3.19 billion in the United States in
1993. USAID is using matching fund mechanisms to provide bilateral resources that may
multiply the impact of philanthropy financing. With increased affluence of also the middle
class in Latin America and the Caribbean, the potential for local Philanthropy as founding
source is estimated to increase (Dourojeanni 1997).
The following case shows how philanthropy can have a sizeable impact also in
facilitating business development. A cooperative in Costa Rica established a cloud forest in
Monteverde as a private nature preserve. Through television nature programs shown in the
U.S. and Western Europe, Monteverde became a popular “ecotourist” destination in the
1980s. In the late 1980s a Scandinavian school teacher visited Monteverde. When she
returned home, she started raising money to enlarge the Monteverde forest through land
purchases. She helped found a targeted fund-raising organization called the “Children's Rain
Forest,” or “Bosque Eterno por los Niños.” Within a few years, this targeted effort was raising
approximately $6 million per year and employing 40 full-time staff in their offices near
Monteverde (Paul Weatherly interview 1992). Meanwhile, in large part because of their fundraising efforts as well as the efforts of more established conservation organizations, tourist
arrivals at Monteverde grew by more than 30% annually in the early 1990s.
Debt-Related Mechanisms
In certain cases a debt situation can be used to leverage financial resources for
biodiversity conservation. This can be done by “swapping” the debt for conservation activities
in one of a variety of ways. For instance, the debt can be bought at a discount on secondary
markets by a third party (usually an environmental NGO) and then “swapped” with the debtor
government for conservation activities or local currency. This is the kind of transaction that
most people think of when they think of “debt swaps”. But it is also possible for the creditor
Série Técnica IPEF, Nº 34
225
government to agree to forgive or exchange the debt (at a discount) in return for local
currency to be used in conservation. This is known as a “debt buy-back” or “debt forgiveness”
(Kaiser and Lambert, 1996). It is estimated that since the first debt-for-nature swap in 1987,
some $1 billion has been leveraged for conservation worldwide (UNEP and TNC, 1999).
Bayon et al. (2000) list 26 debt swap operations with an average face value of US$ 4.3
million in eight countries of Latin America and the Caribbean, 1987-1996. The purchasers
were international NGOs (Conservation International, The Nature Conservancy, World Wild
Life Fund, etc.) or governments (Japan, The Netherlands, Sweden, The United States).
The IDB has participated in one debt-related issue, to finance the Ecological
Conservation Program of Mexico City in 1992. Bank financing was US$ 100 in one
disbursement that was used for a “swap” through secondary market. The key activities of the
program were investment in urban trees and park management in the metropolitan area in
order to reduce the negative environmental impacts of urban sprawl and air pollution (Box 1).
Box 1
Mexico City Ecological Conservation Program Retirement of Foreign Debt
The Borrower took a 20 years loan from the IDB for US$100 million in one tranche, with a five year grace
period during which only interest, not principal, is to be repaid. After the fifth year the Borrower would repay the
principal in fixed installments over fifteen years, and would pay interest on the outstanding balance, so a series
of unequal period payments results.
The Borrower uses to the Bank loan to extinguish an outstanding foreign debt by redeeming its long term
bonds (discount bonds) in the secondary market. These bonds would sell at a discount below face value,
which in this case is 82.5 percent of face value. Hence, for every dollar loaned by the Bank, the borrower can
retire more than one dollar of its outstanding long term foreign debt. Specifically, $1.21 of outstanding debt can
be retired per dollar (because 1.21 = 1/0.825).
Finally, the face value at maturity of the securities the borrower retires on the secondary market (the
discount bonds) is guaranteed by zero coupon U.S. government securities. These U.S. Treasury bonds belong
to the Borrower, but are held in escrow.
All the proceeds of the transaction and US$100 million local counterpart financing will be used for the
funding of the Mexico City Ecological Conservation Program.
Source: IDB.1992. Mexico City Ecological Conservation Program. Loan Document.
In the following section on correcting negative externalities, tax reform, environmental
fines, tradable permits, user fees and a combination of instruments in this category are
discussed.
c.
Correcting Negative Externalities
Tax Reform
Clearly, reform of the tax system is not something that will have very predictable results
on forest conservation and biodiversity. Neither will the countries be able to achieve such
reforms overnight. Also, the problem in many developing countries (including some in Latin
America and the Caribbean) is that there is a generalized inability to collect taxes of any sort.
In a situation such as this, tax reform will be of only limited benefit. Still, a number of
countries have already instituted environmental taxes with varying degrees of success.
Panayotou (1997) highlights that the introduction of these taxes in OECD countries has been
mostly geared at raising revenue rather than changing behavior, but that the real benefit of
these taxes is in the incentives they provide to the various economic actors. Examples cited
226 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
in the literature include forestry taxes in Brazil, Colombia and Venezuela (Seroa da Motta, et
al. and Huber, 1997). These taxes impose a higher burden on forestry activities that do not
have adequate provisions for reforestation. Reforestation may have two beneficial impacts in
biodiversity: an indirect effect in reducing the exploitation of natural forests and a direct effect
when native and multiple species are used in plantation.
Several Latin American countries have used tax credits to stimulate reforestation. For
example, in Costa Rica the government has instituted a transferable tax credit (Panayotou,
1994). This credit applies to landowners who keep forests on their lands or plant native
species. Because the credit tends to benefit wealthy landowners with large tax burdens, the
system allows small landholders who reforest or plant native species to sell their credits to
those with higher tax burdens.
Environmental Fines and Tradable Permits
Brazil, where the new National Environmental Law has set up a mechanism whereby the
National Environmental Fund (FNMA) gets a portion of the environmental fines collected in
the country. By ensuring that the revenue generated by pollution fines is used to finance
projects that help conserve the environment, fines can yield a double benefit for biodiversity
conservation.
Tradable permits differ from fines in that they set an upper limit on a certain activity and
use the market to achieve the environmental objective in the most efficient way possible.
Permit systems tend to reduce compliance costs considerably and can often be more
effective at reducing pollution than more command-and-control mechanisms (though this only
applies when pollution legislation is effectively enforced). Additionally, if permits are initially
auctioned off to polluters, they can raise a modest amount of revenue that can be used to
protect the environment. Likewise, fining overpolluters can serve as a source of income for
the public sector. Pollution permit income could be used, for example, for urban greening
investments in big cities in the region.
User fees
An example of how user fees can help raise revenue for sustainable development
comes from Ecuador. In the city of Quito, the government has been working with local NGOs
and The Nature Conservancy to charge a more appropriate fee for the provision of water.
The revenues raised by the user fee will be used to capitalize a trust fund (Box 2) designed to
finance the conservation of the watershed that provides most of the water for the city. In this
way, an attempt is being made to charge a more reasonable price for one of the most
important goods (fresh water) provided by forest ecosystems.
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Box 2
Ecuador: The Watershed Conservation Fund (FONAG)
In late 1997 and early 1998, the government of the city of Quito, Ecuador, began working with The Nature
Conservancy and other national and international entities to examine the possibility of creating a conservation
fund for the watersheds that supply the city with most of its water. This fund, the Fondo para la Conservación
del Agua (FONAG), was to be capitalized by charging the citizens of Quito a nominal water user fee. The idea
is that a specialized fund can: (i) collect the money obtained by charging the user fee, (ii) raise money from
other national and international sources, (iii) manage that money so that it will generate revenues (interests
on investments) and (iv) use these funds to finance the conservation of two of Quito’s most important
watersheds, the Natural Reserves of Antisana and Cayambe-Coca.
At first, it was unclear how the water user fee would be established. To resolve this problem, the
institutions involved funded a study to calculate the fee that could be charged for the use of water in Quito.
This study found that the minimum fee to cover the costs of very basic management of the protected areas
was about $0.001 per cubic meter of water used in 1996. For the average family of five, with a monthly
consumption of 40 cubic meters of water, this would represent a payment of $0.04 per month.
By levying a user fee to capitalize FONAG, the government of Quito intends to differentiate between the
“consumptive” and “nonconsumptive” uses of water. Consumptive uses of water include drinking water and
use of the water for irrigation, while nonconsumptive uses include the generation of electricity and the use of
water in recreation. The plan for FONAG is to charge a discounted rate for the nonconsumptive use of water.
The resources thus raised would be used by FONAG for watershed conservation including developing
productive projects that help provide alternative sources of income for the people who live in the watersheds.
FONAG’s funds would be managed by a private capital management institution in order to obtain the
maximum return on the capital invested. The fund would be as efficient as possible, with administration fees
limited to around 10%-20%.
FONAG would give water resources an economic value and help make conservation projects financially
sustainable through the ongoing generation of revenues.
Sources: TNC, 1997; Echavarria, 1999.
In addition to Ecuador, several other Latin American and Caribbean countries (including
Colombia, Costa Rica and Jamaica) have begun looking at the possibility of creating water
funds or imposing conservation taxes on foreign tourists. In fact, if enough countries begin
allowing the use of charges and fees for the services of biodiversity, one can imagine that a
market in these goods and services could be established. User fees need not be limited to
water or tourism. One can envisage situations where user fees could be charged for some of
the other goods and services provided by nature, such as the use of national parks,
protection against erosion, the provision of nontimber forest products or protection against
natural disasters, among others.
Combination of Instruments
The government of Costa Rica created the National Forestry Office and the National
Forestry Fund (FONAFIFO) on the basis of the Forestry Law of 1996. The role of
FONAFIFO is to compensate forest owners and managers for reforestation and for
activities that help protect native forests. Financing for FONAFIFO comes from a variety of
sources:
228 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
a tax on gasoline,
a tax on wood products,
the emission of “forestry bonds”,
pollution and other environmental fines, and other revenues coming into the
Ministry of Energy and the Environment.
Additionally, there is the possibility that FONAFIFO will obtain money through the sale
of watershed services, for instance through an arrangement negotiated with Energia
Global, a private electricity provider, which has offered landowners in its watersheds a
payment (effected through FONAFIFO) of $10 per hectares per year to maintain forest
cover on their plots. The sale of carbon sequestration credits negotiated through Costa
Rica’s National Joint Implementation office is also a potential source of income to the fund.
Nine joint implementation projects (five in energy and four in land use) were approved by
the Climate Change Convention for Costa Rica. These were managed and coordinated by
the Costa Rican Joint Implementation Office (OCIC). Through the creation of OCIC, Costa
Rica became one of the first countries to benefit financially from the sale of carbon
sequestration services to the developed world.
FONAFIFO can use its funds to pay private landholders for reforestation (current
payment is $492 per hectare, forest management $329 per hectare, and forest protection,
($49 per hectare).The program to provide compensation for the environmental services
provided by forests started making payments in 1997; the demand has been strong and
resulted in disbursements of $14 million in 1997 for a total of 79,000 ha of forest protection,
10,000 hectares of forest management and 6,500 hectares of reforestation. An application
backlog exists of about of 70,000 hectares. As a result, clear prioritization guidelines need
to be developed (Chomitz et al 1998; Echavarria 1999; UNDP 1998).
The Costa Rica case is useful when considering a combination of financing instruments
also for other countries. In a packaging approach the various forest-related benefits need to
be weighted to provide a single “product” of intangible forest benefits. Table 4 provides a
sample which components could be combined in the “packages” under various project
intervention scenarios. The presentation below is generic; e.g. the benefits of social forestry
projects depend on whether new forest is being established as a main component, or
whether the project is based on sustainable utilization of an existing forest. Also the
alternative scenario, what would happen without the project, also influences the assessment.
Table 4 Matrix of Intangible and Indirect Benefit Packages
Type of benefit
Environmental
Watershed management
Disaster prevention
- coastal
- erosion control
Biodiversity
Landscape and scenery management
Carbon sequestration
Poverty alleviation
Benefit “package”
Type of project
Social
X
X
X
X
X
X
(X)
sum of above
Production*
(X)
(X)
(X)
(X)
(X)
X
(X)
(X)
X
sum of above
X
sum of above
Source: Indufor 2000.
Notes: X benefits occur; (X) benefits could occur under favorable conditions; * under sustainable forest management
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Considering the many productive benefits of conservation, in the following section
venture capita possibilities are discussed for conservation business.
d.
Forest Conservation as Business: the Case of Venture Capital Funds
There are many situations where the interests of business and conservation coincide.
An increasing number of business leaders now agree that the environment (and its problems)
can be looked upon as one of the most important commercial opportunities of the coming
decades. The past ten years have seen the creation of companies with missions that are both
good for business and good for the environment. This suggests that new and innovative
financial instruments can be developed which will encourage these developments and further
this trend. This will be especially important when it relates to innovative small and mediumsized biodiversity-based enterprises operating in developing countries, because the collective
impact of these enterprises on the economyand on the global environmentis huge.
Of the utmost importance in this context are certification systems (such as in the case of
certified timber and certified organic products), which inform consumers about
environmentally-friendly products and sometimes allow these products to be sold at a
premium. The so-called “green trade” that certification promotes helps pay for the added cost
of sustainable production methods and improves potential investor returns.
A way of addressing the special needs of biodiversity-based businesses is through
equity or quasi-equity investments via dedicated venture capital funds or sector investment
funds (Asad, 1997). Like traditional venture capital funds, these tools are designed to provide
capital in return for equity or quasi-equity positions in promising biodiversity-based
businesses. While green venture capital funds can be high-risk/high-return operations, they
can also serve to provide much needed capital (as well as business expertise) to small,
biodiversity-based start-ups. Two examples of recent initiatives designed to use investments
in equity or quasi-equity to stimulate the conservation and sustainable use of biodiversity are
the Terra Capital Fund with multiple sources of financing (Box 3) and the EcoEnterprises
Fund, both financed partially by the Multilateral Investment Fund (MIF) of the IDB.
Box 3
The Terra Capital Fund
In late 1998, a consortium made up of the Environmental Enterprises Assistance Fund (EEAF), a Brazilian
Bank (Banco Axial) and Sustainable Development Inc. (SDI), working with the World Bank’s International
Finance Corporation (IFC), announced that they had secured the capital necessary to establish a private, forprofit, environmental venture capital fund for Latin America called the “Terra Capital Fund”. The fund obtained
money from a variety of sources, private and multilateral (including from the IDB through the MIF, as well as
from the Swiss government), in order to invest in small, private businesses that meet a set of environmental
criteria for biodiversity funding. In addition, Terra Capital received a US$5 million grant from the GEF.
The fund will invest in mostly small- to medium-sized companies, providing funds for start-up and expansion,
anticipating the use of proceeds for restructuring, modernization, acquisition, new products development and
similar activities. Investment must comply with the environmental criteria, established by its Biodiversity
Advisory Board. The Fund will make minority investments that range from the equivalent of US$500,000 to a
maximum of 15% of the Fund’s total committed capital.
Sources: IFC, 1997; Keipi 1999.
230 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
These funds are pioneering initiatives designed to experiment with the role that venture
capital can play in supporting biodiversity conservation. Depending on their success and
profitability, they may help stimulate other such undertakings in the region. The two initiatives
are also mutually supporting. Whereas the EcoEnterprises Fund will focus on start-up
ventures, which tend to be smaller, riskier and more difficult transactions, Terra Capital will
probably end up working with larger projects. This means that projects supported by
EcoEnterprises may eventually “graduate” into support from Terra Capital.
5. ROLE OF THE IDB
a.
IDB Group
Services Offered by the Group
The mandate of the IDB Bank Group (the Bank, the Inter-American Investment
Corporation and the Multilateral Investment Facility) is to contribute to long-term economic
and social development in the region–in effect, to help its member countries put in place just
such an environment conducive to effective risk management. The IDB is now the primary
source of multilateral funds for the region, as well as an important catalyst of additional
resources. The use of these instruments is shifting towards increased private sector funding.
The Bank provides financing and technical assistance and professional services to its
member countries, as outlined in Box 4. This array of services is designed to meet the needs
of the region’s countries for short- and long-term development assistance. In an effort to
better serve its members, the Bank continually updates and modifies the mechanisms it
offers to the region. In addition to the financial instruments of Table 5, the Bank has also
recently become a channel for GEF financing.
Since 1961, the IDB has mobilized financing for projects that total over $250 billion.
Total lending reached $9.5 billion in 1999, making it the main source of multilateral funds in
the region for the sixth consecutive year. The sectoral breakdown of loans in 1999 is as
follows: social investment (44.9%), reform and modernization of the state (24.7%), productive
sectors (16.4%), physical infrastructure (11.1%), and others (2.9%) (IDB 1999).
The Bank’s Strategic Development Vision
To address the changing development needs of the region, the IDB is defining priority
areas of actions. These areas include social investments and urban development (to better
address rural poverty, urban living conditions, and social safety nets); modernization of the
state (to improve governance, ethics and transparency and to foster strategic alliances
among state, civil society and private enterprises); competitiveness (to strengthen financial
and infrastructure systems, promote private sector involvement, develop technologies and
foster trade and integration); new regional cooperation initiatives (in planning and
investments); and environmental and natural resource management.
Forest funding may have a significant role in each of these areas. In social investments
at may continue to fund social forestry, an area where most of its forestry operations have
been in the 1990s. In urban development, urban greening projects will have an important
impact. The modernization of the state includes different types of privatization processes in
forestry (from outright sale of assets to new types of concession and leasing arrangements),
decentralization and reorganization of forest institutions. In the area of competitiveness, both
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231
short terms commercial forestry financing and long term conservation funding will have
important roles. Direct and indirect support to certification schemes belongs to this category.
Regional cooperation may fund these schemes on a regional and subregional level, and
support other coordinated efforts in international policy formulation and implementation.
More effective management of the environment and natural resources is an integral part
of the strategic vision of the IDB. The Bank is helping countries to fight environmental
degradation that exacerbates the vulnerability of human settlements and economic activity in
the region. Reforesting watersheds and coastal zones, controlling soil erosion and improving
land use in cities can substantially enhances sustainable development, and among other
things, reduce the potential impacts of natural disasters. Working together with governments
in the region, the IDB can play a key role in this sector by making sure that all its projects are
environmentally sound. It can also lead initiatives that improve natural resource management
and long term social and economic well being of people, both in rural and urban areas.
Box 4
Public Sector:
• Loans: new projects and reformulations
of existing operations
• Technical cooperation: reimbursable and
nonreimbursable
Sources: Adapted from IDB 2000.
• Regional technical cooperation:
nonreimbursable
Private Sector:
• Loans and technical cooperation
• Equity investments
• Risk capital investment funds
• Subordinated loans
• Small business venture capital funds
• Underwriting share and security issues
•
•
•
•
•
•
•
•
Innovation loan and flexible instruments
Multi-phase programs
Sectoral financing
Project preparation and execution facilities
Technical advice and dissemination of “best practices”
Environmental screening of Bank financed projects
Support to national policy dialogue
Organization of conferences at national and
international levels
• Inter- and extra-regional exchanges
• Resource mobilization and donor coordination
232 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
Table 5. Financial Instruments in Public and Private Sectors of the Inter-American
Development Bank.
Financial
Instruments
IDB
Public Sector
Finance
All economic
sectors
Areas of
Activity
Project Size
LARGE SCALE
Loans
(Debt)
Government
loans
IDB
Private Sector
Finance (via the
Public Sector)
IDB
Private
Sector
Department
IIC
Inter-American
Investment
Corporation
MIF
Multilateral
Investment
Fund
All economic
Sectors SME, micro
finance via
intermediaries
Infrastructure
Large scale
All economic
sectors
Medium scale
All economic
sectors
Small scale
Global loans
Project
finance
Project & corporate
finance
Project finance
Direct equity
investments
Risk Capital
investment funds
Subordinated loans
Warrants
Equity &
Quasi
Equity
Grants
Technical
cooperation
Global loans
Participation
in smallbusiness
venture
capital funds
Technical
cooperation
Technical cooperation
Guarantees
Partial Risk
Partial credit
Underwriting of
shares and
securities issues
Cofinancing
Syndication
Syndication
Source: Adapted from IDB 1996
b.
Past Bank Actions in Forestry12
IDB’s involvement in forestry is well established. In the 1990s there was a major shift
from production-oriented projects to environmental and social forestry. At the same time,
through its agriculture sector loans and other policy support many necessary elements to
address the problem of deforestation have been addressed. IDB has a solid track record and
several comparative advantages as a source of future financing of sustainable forest
management and agroforestry, both for small, medium size and large forest owners.in the
LAC region, but there are also a number of important constraints - linked both to the Bank
and institutional weaknesses in member countries. These hurdles should be removed
through capacity building and awareness raising, as well as development of new financing
instruments.
A total of 27 IDB-financed forestry related loan projects in 15 countries were analyzed all
of them implemented in the 1990s. Their total value was US$ 1 037 million. The average
project size was USD 38 million and the range has been from US$ 1 to 132 million. Local
financing has been an essential element in almost all the projects varying up to 50 percent of
the total and averaging at 30 percent. In ten projects there have been other international
partners in the project implementation indicating the sector’s potential for leveraging ODA
funding from other sources.
12 The text of sections b and d have been adapted from Indufor 2000. Forest Financing in Latin America: the
Role of the Inter-American Development Bank. Helsinki.
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233
In most of the cases forest management has not been the main activity/component and
in six projects it was only a marginal element. The forestry share has varied from a few
percent in environmental and rural development projects and agricultural sector loans up to
100 percent in fully-fledged forestry projects. Such projects have been financed in Ecuador,
Guatemala, Mexico, Nicaragua, Trinidad & Tobago, Uruguay and Venezuela. In the 1990s,
more than one project has been financed in this sector in Brazil, Colombia, Guatemala,
Mexico, Nicaragua and Panama.
US$ mill. (nominal)
150
150
140
140
130
130
120
120
110
110
100
100
90
90
80
80
70
70
60
60
50
50
40
40
30
30
20
20
10
10
0
0
74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96
Source: IDB. Environment Division Data Files
Figure 2
IDB Financial Commitments in Forestry Related Projects
The annual financing level of the Inter-American Development Bank in the forestry
sector has dropped from a maximum of US$ 100 million to the level of US$ 20 to 40 million in
the second half of the 1990s which is inadequate to address the widespread problem of
deforestation, and to tap the investment opportunities offered by sustainable forest
management in Latin America and the Caribbean (LAC).
The reasons for the decline are several. The recipients of IDB loans have traditionally
been the governments. With the privatization process in the region new private sector
windows have been established for the Bank. However, these projects tend to be smaller
than the traditional government loans. The governments, on the other hand, have shifted their
priorities from environment to social programs in the loan portfolios with the IDB. At the same
time, although grant funding in general has been diminishing, in forestry its relative
importance in institution building, training, study financing, etc. has remained high (between
US$1-2 million a year).
234 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
c.
Mission Statement for Sustainable Forestry
All the above named elements of the Bank's strategic development vision are highly
relevant and applicable also to forest sector operations of the Bank. Forestry can contribute
to the socioeconomic well-being of both rural and urban people in the region. The sector can
significantly expand its output based on the enhancement of the competitive advantages of
the region as a producer of forest-based products. Forests and their management are
essential to the environmental sustainability of the region. In the modernization of the state,
the responsibility for the production of forest-based public goods and services can be
increasingly shifted to the private sector. Regional integration in forest-related policies,
particularly trade and investments, would be essential to allow individual countries make
progress in achieving sustainable management of their forests.
Based on this background, a mission statement has been proposed for the Bank in
financing of sustainable forest management (Box 5). This mission statement is based heavily
on one developed for the conservation and sustainable use of biodiversity in Latin America
and the Caribbean by Bayon et al. (2000).
Box 5
IDB: Proposed Mission Statement for Sustainable Forestry
The Bank seeks to promote conservation and sustainable management of forest resources in Latin America
and the Caribbean through improvement of its existing instruments and adopting new and innovative financial
mechanisms, capitalizing on the economic, social and environmental values of forests, drawing on publicprivate partnerships and participation of stakeholders (including the civil society, indigenous people and the
private sector), as well as capacity building.
Source: Indufor 2000
d.
Key Areas of Forestry Support
With regard to their main objectives, forest investments can be divided into primarily
productive, social and environmental . Productive forest investments are mainly related to
private sector development. The borderlines are not, however, clear-cut, as various
objectives overlap and get mixed. Production can be an integral part of all types of projects,
while social and environmental requirements need also to be taken into account in productive
forestry. The key issues are (a) how financing can help forest owners and managers shift
from unsustainable to sustainable practices although the former tend to be more profitable in
the short run, and (b) how to make the environmental services and values of forests, which
are currently considered externalities, to pay for ensuring their future maintenance.
Production Forestry
The Bank can offer a package of services to its borrowing member countries for the
development of production forestry, both in plantation and natural forests, for enhancing
growth and competitiveness through loan and technical cooperation projects with the
following possible components:
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Support to the establishment of property rights on forest lands which would allow
long-term investment for sustainable forest management
Development and implementation of forest policy instruments to promote
production forestry
Improvement of information and monitoring systems
Research into biotechnology and processing
Financing plantations, sustainable forest management, processing facilities for
forests products and services forestry-related infrastructure
Development of appropriate modalities to involve private landowners and
communities in industrial forestry schemes engaging small-scale private
landowners as partners in large-scale investment projects
Training, extension and other capacity building in such key skills as management
planning, plantation establishment and management, reduced impact logging of
natural forests, organization of communities as forest producers, etc.
Facilitating dialogue between international private investors and representatives
of Latin America informing about investment opportunities.
An increasing attention could be given to the certification of forest management as a
promising tool towards sustainability contributing to internalizing social and environmental
costs. The Bank group could make use of certification not only in financing through individual
projects, financed through its private sector windows (Inter-American Investment Corporation
and Multilateral Investment Fund) but also through its mainstream financing to the
governments.
Some Latin America countries are already advanced in the development of certification
(notably Brazil and Bolivia), while many others still need assistance to build up capacity. The
following areas of intervention could be relevant: (i) development of national certification
standards, (ii) local capacity building, (iii) improvement of forest management to achieve
sustainability, (iv) support to pioneer enterprises implementing certification, (v) development
of systems to verify the chain-of-custody, (vi) market promotion of certified products, and, (vii)
development of suitable financing schemes and other incentives to promote sustainable
forest management with certification as a complementary instrument.
Social Forestry
In the financing of social forestry, the Bank could give attention to the following possible
interventions which could lead directly to poverty alleviation:
Farm forestry financing where the focus is to create economically viable
production units combining farming on agricultural land and sustainable forest
management on forest lands. These units could be based on the establishment of
association of individual farmers on community forestry on traditional common
ownership of the resource
Agroforestry funding where trees are grown together with agricultural crops
(agroforestry) or grazing (silvo-pastoralism) in small farms.
Since forest dependent communities tend to be the poorest in rural areas, support
to social entrepreneurship programs in these communities which are located
forest areas.
236 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
Rural microcredits where forestry producers could have a preferential access to
technical assistance in order to be able to adopt appropriate production
technologies and marketing skills.
Urban forestry and agriculture for the benefit of low income city dwellers
Environmental Forestry
As a new avenue, institutional strengthening and policy development would be needed
to build up capacity in the borrowing member countries to design and implement new and
innovative schemes for commercialization of environmental services from forests. This would
be crucial for achieving an improved valuation of forest resources, which is expected to
positively contribute to the profitability of forestry projects. Such schemes and projects
include e.g., (i) establishment of user fees for downstream water users in favor of upstream
watershed protection, (ii) payment from forest-based nature tourism/ecotourism, (iii)
compensation from carbon sequestration, and (iv) income from biodiversity prospecting.
In environmental forestry, projects related to water, soil and biodiversity protection and
risk mitigation of natural disasters, interventions in urban forestry and ecoturism will remain
relevant:
Forest management and conservation for watershed protection and erosion
control
Urban greening for recreation and natural disaster mitigation
Protected forest areas and parks
Forest based nature tourism
While the environmental benefits, if commercialized, can tip many marginal industrial
(and social) forestry projects profitable, other means may often have to be found for activities
where environmental conservation is the primary objective. Such projects have to be funded
by the public sector (domestic and foreign) based on environmental values (public goods)
which are perceived to warrant the use of these resources. International financing entities,
such as from IDB, could eventually play a vital role in national-level capacity building for
forest based carbon sequestration projects. The actual investments would be made by the
private sector or governments in industrialized countries. It is not yet clear if IDB could also
play a role as an intermediary, for instance, in the same way as the World Bank may
participate through its Prototype Carbon Fund.
e.
Inducing Demand for Forest Financing
The demand is for financing is largely depend on the expected profitability.
Consequently, the most important measure to induce demand for financing, in broad terms, is
making it clearly understood how the forestry sector operations can be made profitable and
competitive with other sectors. The purpose is not to create new direct subsidies for lower
interest rates and other softer financing terms. Neither is the goal to establish expectations of
lower profitability requirements new direct subsidies for forestry investments but directing the
financing to areas with high levels of private and socioeconomic profitability. Because of the
strong role of positive externalities, which are present in many forest investments, there is a
need to broaden the view of profitability assessment beyond the traditional financial
measures.
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The problem of limited demand for IDB lending to forestry does not lie among the
national authorities which have been entrusted with the responsibility for the conservation
and utilization of forests. The bottleneck is the lack of awareness and understanding of the
opportunities offered by forests in the sustainable development of nations among decision
makers in the ministries of finance, national planning agencies, and national financial
institutions, etc.
The following lines of action have been proposed in order to facilitate public sector
interest by the Latin America and Caribbean countries:
Facilitate and support private sector investment in forestry which will also create
internal pressures for policy reforms and institutional strengthening
Create adequate awareness among macro-level decision makers of the forestry
sector’s potential in contributing to economic development and poverty alleviation
in the countries of the region
Use national forest programs as entry points to the Bank’s financing within an
appropriate institutional framework
Pioneer and promote the use of new financing instruments for sustainable forest
management and conservation
Strengthen existing and develop new strategic alliances at national and
international levels within the region.
Contribute to, and distill the implications of the international forest policy
processes in view of meeting the needs for assistance by the Bank member
countries.
The following proposals for action are made in the area of cooperation with the private
sector and promotion of private investments in forest-based activities:
Assistance to governments to create enabling conditions for private sector
investment in forestry; they would include regulation combined with appropriate
incentives (linked with socioenvironmental externalities provided by the
investments).
Support through technical assistance to private sector organizations in forestry
and forest industry.
Support private sector cooperation and business development through the
organization of business meetings and workshop involving potential investors and
foreign buyers of forest products.
Promote public-private partnership-based investment in forestry; apply
certification as an instrument to ensure sustainability provisions in forestry
financing.
Monitor the future work related to the development of investment promotion
facilities/entities targeted to sustainable forestry at international and country levels
and assess the feasibility of such instruments as part of the Bank-supported
activities.
The key measures to induce private sector investments in forestry are related to the
reduction of barriers to sustainable forestry due to inadequate policy framework or
operational constraints (markets skilled labor force, information on production potential,
participation of stakeholders, etc.). National policies and legislation need to provide
238 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
internationally competitive and conducive business environment. Secure land tenure is
fundamental but also reduction of unnecessary regulations and bureaucracy (licenses and
permits), and tax reforms are important issues in many countries of the region. However,
conducive business environment does not mean laissez-faire. Adequate forest management
standards need to be in place and enforced to ensure sustainability.
The forest sector's capability for self-financing is significant, but the potential is far from
being reached due to the undervaluation of forest resources. Underlying policy and market
failures should be corrected. Private sector operations can range from timber production to
non-timber forest products, ecotourism, and production of various services (such as
watershed protection). Emerging new financing instruments have unexplored potential. These
instruments are aimed at increasing the trade of both global and local environmental services
offered by forests. The role of the private sector should be enhanced, as public sector funding
is falling short of the financing needs of forestry development and conservation.
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meeting of the World Bank Group on Financial Mechanisms for the Environment. Mimeo.
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Best, C. & M. Jenkins. 1999. Opportunities for Investment Capital Markets and Sustainable Forestry. The Pacific
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Chomitz, K. et al. 1998. Financing Environmental Services: The Costa Rican Experience, Economic Notes, Number
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240 I SIAGEF - Porto Seguro - De 04 a 07 de Julho de 2001
P17
A Cadeia Produtiva de Carvão Vegetal no Estado de São Paulo, Brasil
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Brito, J.O. ([email protected])
Universidade de São Paulo - ESALQ/USP
RESUMO: O Pró-Carvão é um programa de qualificação e certificação da cadeia produtiva do carvão vegetal no
Estado de São Paulo. A iniciativa é do Sindicato do Comércio Varejista de Carvão Vegetal e Lenha no Estado de
São Paulo – SINCAL, Serviço de Apoio às Micro e Pequenas Empresas do Estado de São Paulo – SEBRAE – SP,
contando com o apoio técnico da Universidade de São Paulo (ESALQ/USP) e Instituto de Pesquisas e Estudos
Florestais – IPEF, visando contribuir para com a garantia de sobrevivência das empresas vinculadas ao setor de
carvão vegetal. Em sua primeira fase foi realizado o diagnóstico do setor, que objetivou a geração de subsídios
para a implantação de um sistema de certificação do carvão vegetal, baseado nas condições reais das empresas
que compõem a sua cadeia produtiva. Tais informações estão servindo para nortear a tomada de decisões em
relação ao setor. Os resultados do diagnóstico da cadeia trazem informações inéditas sobre o setor, que vive uma
série de problemas em relação aos processos de produção, qualidade dos produtos, aspectos de legislação,
sociais, ambientais e quanto a ausência de ações estratégicas para o seu fortalecimento. O pioneirismo deste
diagnóstico transcende a geração de dados, revela a realidade de um setor até então pouco conhecido, instigando
e abrindo espaço para a realização de diversos trabalhos de pesquisa e de geração de políticas públicas.
ABSTRACT: Pro-charcoal is a certification program to qualify the charcoal productive chain in the state of São
Paulo, Brazil. It is a cooperative initiative coordinated by the Union of Charcoal and Firewood Retailers and Sellers
of the State of São Paulo (SINCAL), the Supporting Service to Micro and Small Enterprises of the State of São Paulo
(SEBRAE), the University of São Paulo (ESALQ/USP) and the Forestry Research Institute (IPEF), aiming to the
development of actions that will guarantee the participation of small firms in the charcoal market. In a first phase, a
diagnostic generated the basic information needed to propose the baselines of a charcoal certification program,
which was based on the study of the real conditions of all firms involved in the production chain. The results show
first hand information about a sector that faces several problems, affecting the production processes, the quality of
the product, legal aspects, and social, environmental and strategic aspects. This work breaks new grounds and
transcends data generation, revealing the reality of a not suffciently studied sector in Brazil, opening space for new
research projects on public policies.