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Project documentproject Enhancing community-based

commercial forestry in Indonesia

project number FST/2015/040

proposal phase Variation 1

prepared by Dr Digby Race, University of the Sunshine Coast (USC)

research program manager

Mr Tony Bartlett, Forestry Research Program Manager

Project proposal: Enhancing community-based commercial forestry in Indonesia

Privacy statementACIAR, as a Commonwealth government agency, is required to comply with the thirteen Australian Privacy Principles as set out in Schedule 1 of the Privacy Act 1988.

The personal information provided in this project proposal (CVs and contact details) is stored in electronic format by ACIAR. The information is reproduced internally for the purpose of meetings to consider project proposals and the names, contact details and CVs of all project members included in this proposal may be shared with external project reviewers as part of the project development cycle. It also forms part of the contract documentation exchanged with the commissioned organisation, collaborating institution(s) and partner-country government(s).

The names and contact details of Project Leaders may be listed with project details on the ACIAR web site, provided to other databases and media in the context of briefings and publicity on the ACIAR project portfolio, and used for mail-outs of ACIAR corporate publications.

ACIAR endeavours to keep this information as up to date as possible, with the assistance of the individuals whose details are recorded.

ACIAR does not divulge any other personal information to third parties for any other purpose.

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Contents

1 Project outline...........................................................................................41.1 Funding request................................................................................................................. 4

1.2 Key contacts....................................................................................................................... 4

1.3 Project summary................................................................................................................7

2 Justification...............................................................................................92.1 Partner country and Australian research and development issues and priorities...............9

2.2 Research and/or development strategy and relationship to other ACIAR investments and other donor activities.................................................................................................10

3 Objectives................................................................................................15

4 Planned impacts and adoption pathways.............................................174.1 Scientific impacts..............................................................................................................18

4.2 Capacity impacts..............................................................................................................18

4.3 Community impacts..........................................................................................................19

4.4 Communication and dissemination activities....................................................................21

5 Operations...............................................................................................255.1 Methodology.....................................................................................................................25

5.2 Activities and outputs/milestones.....................................................................................31

5.3 Project personnel..............................................................................................................38

5.4 Intellectual property and other regulatory compliance......................................................41

5.5 Travel table.......................................................................................................................41

6 Appendix A: Intellectual property register............................................456.1 Administrative details........................................................................................................45

6.2 Categories of intellectual property and brief description...................................................45

6.3 Foreground, background and third party Intellectual Property..........................................46

7 Appendix C: Supporting documentation..............................................48

8 Appendix D: Communication and dissemination checklist................49

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1 Project outlineProject number FST/2015/040

Project title Enhancing community-based commercial forestry in Indonesia

ACIAR program area Forestry

Proposal stage Full

Commissioned organisation University of the Sunshine Coast (USC)

Project type Bilateral, large

Geographic region(s) South-East Asia

Country(s) Indonesia

Project duration 4½ years

Proposed start date 1 July 2016

Proposed finish date 31 December 2020

Time to impact Category 1: considerable impact within 5 years of project conclusion

1.1 Funding requestAmounts A$ Totals A$

Year 1 (FY 2016/17) Pay 1 $139,691$298,396

Pay 2 $158,705

Year 2 (FY 2017/18) Pay 3 $159,074$309,365

Pay 4 $150,291

Year 3 (FY 2018/19) Pay 5 $184,997$334,282

Pay 6 $149,285

Year 4 (FY 19/20) Pay 7 $153,152$297,571

Pay 8 $144,419

Year 5 (FY 20/21) Pay 9 $102,138 $102,138

Total $1,341,750

1.2 Key contacts

Project leader: Australian commissioned organisationTitle and name Dr Digby Race

Position Associate Professor – Research

Organisation The Tropical Forests and People Research Centre,University of the Sunshine Coast

Phone +61-0419 638 406

Email [email protected]

Postal address Locked Bag 4, Maroochydore DC, Queensland, 4558, Australia.


Administrative Contact: Australian commissioned organisation Title and name Mrs Kelly Murphy

Position Team Leader – Research Development

Organisation University of the Sunshine Coast

Phone +61 7 5459 4409

Centre email [email protected]

Personal email [email protected]

Postal address Locked Bag 4, Maroochydore DC, Queensland, 4558, Australia.

Project coordinator: partner countryTitle and name Dr Bambang Supriyanto

Position Director – Centre for Social, Economic, Policy and Climate Change

Organisation Forestry Research, Development and Innovation Agency (FOERDIA), Ministry of Environment and Forestry

Phone +62-251-633944

Fax +62-251-633944


Postal address Jl. Gunung Batu No. 5, Bogor 16610, West Java, Indonesia

Collaborating scientist: partner country collaborating organisationTitle and name Mr Misto

Position Director – Makassar Forestry Research Institute

Organisation FOERDIA Makassar

Phone +62-411-554058


Postal address Jl. P. Kemerdekaan Km 16, Makassar 90243, South Sulawesi, Indonesia

Collaborating scientist: partner country collaborating organisationTitle and name Prof Eko Hardiyanto

Position Senior Lecturer

Organisation Forestry Faculty, University of Gadjah Mada (UGM)

Phone +62-274-551752


Postal address University of Gadjah Mada, Yogyakarta, 55281, Indonesia.

Collaborating scientist: partner country collaborating organisationTitle and name Dr Muktasam Abdurrahman

Position Senior Lecturer

Organisation University of Mataram

Phone +62-370-625324


Postal address Jl. Pendidikan No. 37, Mataram 83125, Lombok, NTB, Indonesia.

mailto:[email protected]




Collaborating scientist: partner country collaborating organisationTitle and name Mr D Mark Schmidt

Position Program Executive

Organisation Trees4Trees

Phone +62-24-747 5998

Fax +62-24-747 5998


Postal address Jl. Gombel Indah No. 18A, Semarang, Central Java 50261, Indonesia.



1.3 Project summaryThe issueForestry is a vital component of the livelihoods of about 80 million people across Indonesia. Many millions of small-scale farmers (smallholders) also cultivate trees as an integral part of their farming systems. However, most smallholders fail to realise the full commercial potential of the forests they manage, or the trees they plant – leading to supplies of poor wood quality to industry. The changing dynamics of rural economies make it difficult for smallholders to understand the commercial value of forestry compared to other land-uses, so often they under-invest in their forest enterprises.

Indonesia has a growing population and an expanding economy, with development of the country’s natural resources, including the forestry sector, a key aspect of the government’s development strategy. Australia has a strong connection to Indonesia’s forestry sector, importing A$50 million of wood-based furniture in 2014-15, and increasingly seeking timber imports from ‘certified’ sustainable sources. The European Union has also introduced the Timber Regulation (March 2013) requiring all wood and wood-based products traded within the EU to be certified as originating from ‘legal’ sources. In response, the Indonesian government policies encourage its forest industries to source supplies from sustainably managed plantations and community-based commercial forestry (CBCF) and is progressively introducing the Timber Legality Assurance System (SVLK). However, despite ambitious targets for CBCF there has been mixed results to date, with variable returns and continuing conflict over forested lands. This project, which builds on two previous ACIAR projects, will focus on land privately owned by smallholders (hutan rakyat, HR) and state-owned land leased to smallholders (hutan tanaman rakyat, HTR), that account for the majority of CBCF across Indonesia.

Aim and Objectives This project aims to identify how community-based commercial forestry can increase the incomes of smallholders and the broader benefits from it to local communities and industries can be scaled out. The three main research objectives and associated outputs are:

Objective 1: To enhance the commercial benefits from community-based commercial forestry (CBCF) for smallholders by strengthening their business networks.

Outputs: Report on social network analysis that explains the business networks used by different smallholders; workshops conducted to forge closer links between smallholders and the local private sector; analysis of the relative value of different land-use options (agroforestry, planted forests, NTFPs, cash crops, REDD+); analysis of the value of different forest certification schemes promoted for CBCF; guidelines of requirements by different forest certification schemes.

Objective 2: To increase the capacity and number of smallholders able to make informed decisions about their silvicultural approach and likely returns from community-based commercial forestry.

Outputs: Evaluation of pilot ‘Master Tree Grower’ training courses conducted by previous project; training material prepared to support ‘Master Tree Grower’ courses for smallholders and extension staff; evaluation report on the piloting of a ‘Farmer to Farmer Mentoring’ (F2FM) approach to scale-out the community-based commercial forestry experience of leading smallholders.

Objective 3: To analyse the policy context for community-based commercial forestry and support policy reform that enables it to become a profitable investment choice for smallholders.


Outputs: Report on ‘foresight’ analysis of the major changes in rural Indonesia and implications for CBCF; workshops that translate the ‘foresight’ analysis into contemporary policy settings (national, provincial & local levels); review of the HTR program to identify key factors for ‘successful’ CBCF on state-owned land; report on how government can further enable the private sector’s involvement in community-based commercial forestry; and initiate district forums that regularly bring together smallholders, private sector entities and government agencies seeking to expanding community-based commercial forestry.

Research strategyThe project’s overall strategy will be to engage smallholders, the private sector, government agencies and other relevant stakeholders (e.g. NGOs) to identify the most effective ways for CBCF to better meet stakeholder needs. The research strategy is to conduct activities in five study sites, which offer a wide range of commercial, environmental and social conditions for community-based commercial forestry (CBCF) and then trial approaches to scaling-out its effective implementation. The research team will strengthen the business networks of smallholders by facilitating closer links to the private sector and government agencies. The project will also analyse the different feasible land-use options for smallholders in the study sites to determine the relative value of CBCF, including whether access to ‘certified’ forest markets provides additional value to smallholders. The project will build on preliminary research (FST/2008/030) of forest certification schemes by analysing the merits of different schemes for smallholders. The results from the first stage of research (Objective 1) will inform the targeted capacity building for different groups of smallholders (e.g. women, poor farmers) and how to effectively scale-out capacity building so that smallholders beyond the study sites acquire better knowledge and skills to enhance CBCF (Objective 2). Other research will focus on analysing the macro trends likely to impact on CBCF into the future and will work with senior policy makers and private sector analysts to develop strategies for optimising CBCF (Objective 3).

Project benefits (positive impacts)This project will focus on building the capacity of smallholders so they can critically appraise the commercial opportunities in CBCF and form the business partnerships that they need with the private sector. The private sector and government agencies will also benefit from this project, via improved understanding of how best to link with smallholders and the identification of options to enhance the enabling policy environment, respectively.

The specific project benefits are anticipated to include:

Improved forestry skills for 300 smallholders;

Improved business networks with the private sector for 2,000 smallholders (including 50% female farmers);

Increased financial returns from CBCF in 10 village communities with a population of 20,000 people (increased income of A$200/smallholder + A$10/m3 if certified timber x 2,000 smallholders = A$400,000/year at the project’s conclusion, becoming A$2 million/year for these smallholders 5 years after the project’s conclusion); and

Enhanced policies so government achieves targets for major programs supporting CBCF (HTR program aims to achieve CBCF on 5 million ha of state-owned land and involving 360,000 farm families).

PartnershipThe University of the Sunshine Coast (USC) will lead the project and forge a strong partnership with Indonesia’s Forestry Research Development and Innovation Agency (FOERDIA), Universities of Gadjah Mada (UGM) and Mataram (UM) and Trees4Trees (an NGO).


2 Justification

2.1 Partner country and Australian research and development issues and priorities

The area of forests and the number of people involved in community-based forestry in Indonesia is believed to be vast and increasing. While nearly 400 million ha of forest was estimated to be under community control or management in 2001 (including areas not necessarily formally recognised as community forestry), this area is expected to increase to about 740 million ha by the year 2015 – directly involving about 300 million people (Bull & White, 2002). More recent figures indicate that more than 80 million people are forest-dependent in Indonesia alone (Poffenberger, 2006). Despite the enormous scale of community forestry, several experienced analysts have expressed doubt over time about the magnitude of the social benefits that have been achieved (Obidzinski & Dermawan 2010; Maryudi et al., 2015; Gilmour 2016).

There is great potential to deepen the analysis of how to enhance the benefits of CBCF for smallholders and Indonesia’s private sector, thereby increasing the positive impacts from ACIAR’s recent investments in CBCF research. For example, the recent project focused on CBCF on privately-owned farmland (HR) and did not conduct any in-depth analysis of the potential to increase the adoption of CBCF by smallholders using state-owned land (HTR). This new project will expand the range of study sites to include CBCF on private farmland and state-owned land leased to local communities. Another research gap is that there was no comparative analysis of CBCF options with other land-use options, including the emerging policy instruments such as REDD+ (being researched by FST/2012/040).

As with many countries with a diminishing area of tropical forests, the Indonesian government is under pressure to reduce deforestation, increase the plantation estate to supply the timber industry, and to reduce rural poverty – with community forestry selected as the dominant strategy to achieve these multiple goals. In 2009, the Indonesian government launched a major strategy to involve local communities in commercial forestry with the Peoples’ Plantation Forests (known in Indonesia as Hutan Tanaman Rakyat, HTR) program. Its aim is to foster close community involvement in commercial forestry across 5.4 million ha – an ambitious target given that it would double the current total area of Indonesia’s forest plantations and need to involve 360,000 rural families, who each would be managing an average of 15 ha of forest (planted or natural).

The government has also recently set a target of establishing 12.7 million ha of more general community-based forestry, so local communities are actively engaged as managers and owners of forests as a strategy to reduce forest fires, land tenure conflict and illegal forest activities. In addition, community-based commercial forestry (CBCF) is also intended to provide communities with access to forest resources, as another means of improving their welfare. While Indonesia has an ambitious policy goal for CBCF it faces considerable challenges with program implementation and the variable capacity at the local level (e.g. smallholders and district extension staff being uncertain of the commercial value of CBCF, smallholders have limited understanding of commercial forestry markets, inadequate resourcing of CBCF extension capacity).

Establishing a vibrant CBCF sector is widely viewed by policy makers as a strategy to assist smallholders build productive and sustainable farming systems that include a diverse and resilient ‘package’ of commercial opportunities. An estimated 15 million smallholders manage more than 1.5 million ha of planted forests across Indonesia, with two of the most important commercial tree species being teak (Tectona grandis, grown on 15-30 year rotations) and sengon (Paraserianthes falcataria, grown on 5-7 year rotations).


While small-scale forestry is commonly an integrated component of family farms, for example comprising about 30% of farm income in Java, most smallholders fail to realise the full commercial potential of the trees they plant or appreciate the market specifications that impact on log quality and value (Irawanti et al. 2014). This situation is more acute for smallholders who tend to harvest timber and NTFPs opportunistically from state-owned land and sell into low-value local markets.

The Indonesian government is increasing its ambition for CBCF, both in terms of economic activity and rural livelihoods. However, there is currently a complex regulatory process for smallholders to follow before they can legally trade their forest products without a market broker. The regulatory complexity discourages smallholders from engaging directly with forest markets, diluting the ‘signals’ they receive about how different silvicultural options correspond to market specifications. As such, most smallholders follow traditional silvicultural practices with little regard for the market’s demand for specific product length and quality. Also, poor smallholders tend to have more limited social networks and links to market brokers, than wealthy smallholders – further constraining the capacity of CBCF to alleviate rural poverty in Indonesia. This project will address these major barriers to CBCF in Indonesia so that benefits flow for regional communities, economies and the environment.

This project is consistent with the Indonesian government’s main policy priorities for rural development, which include “…increasing farmer welfare through higher incomes (and) … increasing the competitiveness …” of agribusiness. The project is also aligned with ACIAR’s 2014-18 Strategic Plan, which includes a focus on:

enhanced market chains for smallholders; and

increased productivity, quality and market access for forestry products.

This project is strongly aligned to Australia’s Aid Policy in terms of directly addressing the challenge of how to develop profitable and sustainable farming systems suited to 20 million small-scale farmers living in poverty in Indonesia. The project’s applied research will identify how best to develop CBCF that links smallholders and the private sector’s forest-based industries for mutual benefit (working primarily with processors that purchase most resources from farmers), to strengthen rural livelihoods and surrounding regional economies. Indonesia’s existing network of village-based farmer groups and their closest extension agents (advisors) will be actively engaged in this project, to identify the most smallholder-friendly, productive and sustainable options for CBCF. Rural women are often responsible for selling the family’s forest products, so enhancing their capacity to negotiate with the private sector (market brokers and processors) will be a critical focus of this project.

2.2 Research and/or development strategy and relationship to other ACIAR investments and other donor activities

The project’s overall strategy will be to engage smallholders, the private sector, government agencies and other relevant stakeholders (e.g. NGOs) to identify the most effective ways for community-based commercial forestry (CBCF) to provide increased income to smallholders, more reliable high-quality supplies for industry, and achieve the additional policy goals of government. This project will focus on smallholder private forestry (hutan rakyat, HR) and community management of forests and plantations on state-owned leased land (timber and NTFP species, hutan tanaman rakyat, HTR), that together account for the majority of CBCF implemented across Indonesia.

The project’s research strategy will be to work closely with a range of stakeholders (e.g. smallholders, extension agents, brokers, processors, manufacturers, and government staff) at a mix of study sites. The study sites will be selected using the following criteria:


locations currently targeted for expansion of farm-based wood production by the private and public sectors (including forests within concession areas recently re-allocated for local community management);

have species widely used in commercial forestry by smallholders (e.g. acacia, sengon, teak, NTFPs);

have different market pathways for CBCF (with preliminary analysis undertaken in the recent project FST/2008/030);

are at different stages of industry development (establishment to mature plantations, established & expanding forest industries, small & large-scale processors); and

are likely to yield important lessons for the scaling-out of CBCF to other regions of Indonesia (on private and state-owned land).

The research strategy is to conduct activities at study sites in the five provinces of Central Java, Gorontalo, Lampung, South Sulawesi and Yogyakarta (activities focused in 8-10 villages). These sites offer a wide range of commercial, environmental and social conditions for CBCF, including the perceived success and constraints to CBCF (see Figure 1, below), thus enabling the key findings to be applicable at a broader scale. Approaches will be trialled to scale-out effective implementation of CBCF under different situations. The approach to be adopted will be inter-disciplinary, combining qualitative and quantitative data to provide greater precision in how to enhance the policies and practices that shape the outcomes of CBCF so smallholder livelihoods are improved. Lessons from the project’s research in the five study sites will inform how to improve the financial returns from CBCF to communities and effectively scale-out its development across Indonesia’s diverse rural communities, via the existing network of farmer groups and their primary extension agents across Indonesia.

Figure 1: General variation of project study sites

The project will introduce new approaches to analysing the socio-economic structures and behaviours of smallholders, such as by applying the methodology for ‘social network analysis’ to understand how smallholders’ existing relationships can be enhanced to


expand their commercial opportunities (Borgatti et al. 2009). As such, the project’s research reflects one of ACIAR’s key thematic areas: socio-economic and policy research (ACIAR Strategic Plan 2014-18).

The initial research by the project team, conducted between 2005 and 2007, identified the principles for mutually-beneficial community-company partnerships in the forestry sector (FST/2003/025). As CBCF continues to evolve to include greater emphasis on opportunities for communities to pursue commercialisation, the findings of this earlier research continues to be informative. The subsequent project – ‘Overcoming constraints to community-based commercial forestry in Indonesia’ (FST/2008/030), which was implemented between 2011 and 2015, expanded the project team, scope of research and the number of research locations. The recent project:

identified the common barriers facing different smallholders involved in CBCF across different provinces (i.e. poor understanding of commercial markets, limited knowledge and skills of different silvicultural options, complex regulatory system for smallholders to sell directly into commercial markets);

identified the importance of local social networks for supporting poor smallholders engaged in CBCF (who focused on timber and NTFPs that provided income within a short period), than wealthy smallholders with their more extensive connections to commercial timber markets (who focused on high-value timber crops over the long-term);

analysed the dominant value chains (market pathways) used by smallholders and the potential to add value at different market points (i.e. the variable role of local market brokers, the challenges faced by grower cooperatives, the market potential for ‘certified’ products), including revealing the important role many women have in negotiating the sale of forest products (i.e. women are often responsible for selling forest products but rarely receive market information and support from extension staff, compromising their ability to negotiate prices);

piloted an innovative approach to forestry extension with the design of the ‘Master Tree Grower’ training course that improves the silviculture skills of smallholders, enabling them to produce high-quality timber and receive higher prices from the private sector (i.e. while the pilot series of MTG courses was popular among participants, a critical evaluation is needed to assess the enduring impact of the MTG approach (e.g. what practices have been adopted by participating smallholders), further work is needed with Indonesia’s primary extension agencies involved in CBCF to explore how the MTG approach can be effectively scaled-out to new communities).

This has built a comprehensive knowledge base about the different capacities among smallholders, engaged in CBCF on privately-owned farmland (HR), to become involved in CBCF at five study sites, and improved understanding of how more effective links between smallholders and the private sector can help scale-out the benefits of CBCF to regional economies.

The project will also work with the primary extension staff from the key agencies and other organisations (e.g. NGOs, market brokers) who work closely with smallholders in the study sites to improve the quality of market information that is exchanged along the continuum from grower to processor. By strengthening the relationships along the grower-processor continuum, investment by a range of stakeholders will be better informed and sustainable. The project will also develop an approach for experienced extension staff and smallholders to share their knowledge with neighbouring communities (farmer to farmer mentoring, F2FM) to enable the scaling-out of CBCF experiences and knowledge. The project team will work closely with the lead extension agencies for CBCF in each study site to develop an approach for F2FM that is cost-efficient and effective.


Further understanding of how to effectively scale out the capacity building for smallholders living outside the study sites will be vital if the project’s key findings about optimising CBCF are to reach many of the 20,000 rural people living in the villages where the project intends to work. The project team is unaware of any existing initiatives that focus on strengthening the business skills of women involved in CBCF, despite their prominent role in linking the farm family with commercial markets. The new project will include a range of training opportunities for participating smallholders to provide a direct conduit of key findings to end-users (e.g. improving the approach used to pilot the Master Tree Grower (MTG) training courses used in FST/2008/030. The project will work via the local farmer forest groups (FFG) to directly involve 2,000 smallholders (including at least 50% female farmers, via the existing network of village-based groups for women) and at least 25 private sector members in training activities, so that the project directly improves rural livelihoods and local business viability. It is anticipated that the project will also provide flow-on benefits from CBCF to the 20,000 people living in the study sites where the project will be most active.

The project team has previously worked closely with key researchers in several other ACIAR projects, with plans to strengthen these collaborations in the new project, specifically with the following projects:

Increasing productivity and profitability of Indonesian smallholder plantations (FST/2009/051 and FST/2014/064, led by CSIRO) – by having one common research site (Gunungkidul district) and sharing emerging social and technical findings about smallholders’ concerns and interests about CBCF, and how to optimise extension services (close collaboration with Ms Murni Greenhill (CSIRO) & Mr Dwiko Permadi (UGM & UWA));

Production and marketing strategies for timber and non-timber forest products from smallholder agroforestry systems (FST/2012/039, led by WAC) – by building on the understanding about market pathways used by smallholders led by Dr Gerhard Sabastian (ICRAF) and policy analysis led by Dr Ani Adiwinata Nawir (CIFOR); and

Enhancing smallholder benefits from REDD+ (FST/2012/040, led by ANU) – by building on the policy analysis undertaken by FOERDIA researchers and the relative profitability of REDD+ as a land-use option for smallholders (convening a policy analysis workshop with Dr Zahrul Muttaqin (FOERDIA) & Dr Ani Adiwinata Nawir (CIFOR) to identify remaining gaps in recent policy analyses).

Relevance of existing and recent ACIAR projects and proposed links:

Project Focus/Outcomes Link to this project

FST/2009/051 & FST/2014/064 (led by CSIRO)

Increasing productivity and profitability of Indonesian smallholder plantations

Sharing emerging social and technical findings about smallholders’ concerns & interests about CBCF, & how to optimise extension services. Scope for some shared data collection & analysis in Gunungkidul district.

FST/2012/039 (led by ICRAF)

Production and marketing strategies for timber and non-timber forest products from smallholder agroforestry systems

Building on building on the understanding about market pathways used by smallholders & the analysis of the policy & regulatory context for accessing markets. Involve key researchers in a shared policy analysis workshop.

FST/2012/040 (led by ANU)

Enhancing smallholder benefits from REDD+

Incorporate analysis of the relative value of REDD+ as a land-use option


for CBCF. Involve key researchers in a shared policy analysis workshop.

FST/2011/076 (led by UAde)

Enhancing livelihoods for smallholders from CBCF in Nepal.

Design & facilitation of ‘policy labs’ to influence policy analysis & reform. PL to consult with Project Leader about operation of ‘policy labs’.

A point of synergy between the projects is to build on each project’s investment in analysing the policy context for commercial forestry in Indonesia and more widely in South-East Asia (e.g. FST/2012/040 smallholder REDD+ forestry policy in Indonesia and ADP/2014/047 Plantation policy in Laos and Vietnam), and conducting synthesis workshops to explore the implications of key findings as these emerge. This project will convene a workshop amongst senior policy makers, project leaders and other recognised analysts to explore how the current drivers and emerging trends will shape the policy context for CBCF in Indonesia over the next 20 years (this will be a major input for the project’s ‘foresight’ analysis, Activity 3.1).

The project also complements the broad research and development agendas of several other international organisations working in Indonesia. For example, the project has a close fit with the UK Department for International Development’s (DFID) recent commitment of £10 million to strengthen the certification of Indonesia’s timber trade, with a particular focus on helping small-scale enterprises access international timber markets worth over US$1 billion annually. One of the World Agroforestry Centre’s (WAC) Science Domains is ‘Markets, Value Chains and Institutions’ recognises that while there are expanding market opportunities for smallholders’ forest products, the enterprises that link smallholders to commercial markets often fail to consolidate into viable businesses. Understanding how smallholders can gain better access to markets is a research priority in the ICRAF-managed, ACIAR-funded ‘Kanoppi’ project (FST/2012/039).

The project leader will make contact with the project leaders of these various initiatives and projects, and engage project staff in relevant activities and seminars to enhance the exchange of information (e.g. participation in the Annual Meetings). It is also proposed that the project leader will convene a 2-day seminar amongst all forestry-related ACIAR projects with a focus on enhancing smallholder livelihoods in Indonesia, and South-East Asia more generally, around the mid-point of the project (i.e. mid-2018) to exchange experience and emerging findings, and identify and synthesise generic findings to enhance CBCF.


3 ObjectivesThis project aims to identify how commercial forestry can increase the incomes of smallholders, and scale out the broader benefits of commercial forestry to local communities and industries. The project is organised around addressing three objectives, in turn answering key scientific and policy questions noted below:


What is the baseline status of the economic and social dimensions of CBCF at Lampung and Gorontalo (two new study sites)?

How do the social networks of smallholders determine their business links to markets and how can they be strengthened?

How can community-based groups and institutions be strengthened to enhance CBCF on state-leased land (HTR)?

What is the relative profitability of different CBCF arrangements for smallholders, compared to other available land-use options, so families know how they can increase their total income across all sources?

Do different forest certification schemes offered by the private sector provide greater returns for smallholders?

Activity 1.1: Conduct a baseline economic and social dimensions study (Lampung and Gorontalo) and an in-depth social network analysis at each study site to identify the business networks used by different smallholders, and build on the strengths of the different networks;

Activity 1.2: Convene workshops with smallholders in each study site (HR and HTR sites) to explore how they can strengthen their links with the relevant private sector partners;

Activity 1.3: Analyse the relative value of feasible land-use options for smallholders (e.g. agroforestry, planted forests, NTFPs, cash crops, REDD+) in the study sites, and identify optimum land-use strategies to increase household income;

Activity 1.4: Work with private sector and NGO partners interested in forest certification to assess the value of different schemes promoted for CBCF and applicability across different land tenure (e.g. the FSC, LEI and SVLK ‘certification’ schemes that operate in Indonesia’s forestry sector);

Activity 1.5: Prepare succinct guidelines for smallholders that explain the requirements for different forest certification schemes.

Objective 2: To increase the capacity and number of smallholders able to make informed decisions about their silvicultural approach and likely returns from CBCF.

What were the strengths and limitations (lessons) of the pilot MTG training courses conducted by the recent project (FST/2008/030)?

What silvicultural practices have been adopted by smallholders who participated in the pilot MTG training courses?

What aspects of silviculture are constraining the value of CBCF for different smallholders (i.e. men & women, poor farmers)?

How can recommended silviculture be made more farmer-friendly for different smallholders?

What aspects of timber markets do smallholders wish to improve their knowledge about?


How can scaling-out of effective CBCF extension programs be achieved among the network of farmer forest groups across Indonesia?

How can experienced farmers be involved in the scaling-out of CBCF?

Activity 2.1: Analyse recent experiences of pilot Master Tree Grower (MTG) training courses (conducted under FST/2008/030) to design an effective approach and training materials for CBCF extension;

Activity 2.2: Conduct 15 MTG training courses with FFGs in the study areas (3 MTG courses in each of the five provinces);

Activity 2.3: Design and implement a pilot of a ‘Farmer-to-Farmer Mentoring’ (F2FM) program to achieve the effective scaling-out of the CBCF experiences to neighbouring FFGs.


What are the major drivers of change that will influence CBCF in Indonesia over the next 20 years and how will these affect implementation of CBCF?

What are the policy impediments and opportunities for government and the private sector to support a vibrant CBCF sector?

How can the HTR program be enhanced so to achieve its targets, including what feasible recommendations can be offered to program managers?

Activity 3.1: Conduct a ‘foresight’ analysis of the major trends occurring in rural Indonesia and their implications for CBCF;

Activity 3.2: Conduct interactive workshops that translate the ‘foresight’ analysis into contemporary policy settings (national, provincial & local levels);

Activity 3.3: Review the factors that influence the success (Lampung) and constraints (Gorontalo) of the government’s HTR program that aims to foster CBCF on state-owned land;

Activity 3.4: Undertake an analysis of policies, programs and regulations that influence the adoption and viability of CBCF, integrating analyses of the government and private sectors and engaging senior policy-makers and program managers, and trial ‘policy lab’ approach;

Activity 3.5: Facilitate a multi-stakeholder discussion forum every 6 months in each study site to exchange CBCF experiences and discuss emerging research findings.


4 Planned impacts and adoption pathwaysThe project will focus on building the capacity of smallholders so they can critically appraise the commercial opportunities associated with involvement in CBCF and form the business partnerships that they need with the private sector. Analysing the policy environment at national, provincial and district levels, will enable local partners to offer policy advice to the three levels of government on how to create an appropriate enabling policy environment for CBCF, so that Indonesia’s investment in CBCF is optimised over the long-term. Smallholders will be the major beneficiaries of this project, as they often find it difficult to understand the relative value of different land-use options and the most effective market pathways to maximise the financial returns from CBCF. They will be directly involved in both research and capacity building activities in each study site. The private sector will also benefit from this project by gaining an improved understanding of how best to link with smallholders. The adoption pathway for the project is illustrated below:

Figure 2: Project’s adoption pathway

This project is designed for whole-of-stakeholder engagement, so that all the key people who influence the commercial forestry sector used by smallholders are clearly identified by the project team at the inception meeting and actively involved throughout the project. While smallholders investing in CBCF will be the primary target audience for the project, they will not be the only ones – market brokers, processors, manufacturers and government agencies and NGOs are all contributors to the market pathways for CBCF, and so need to be involved to ensure they can readily understand and adopt the key findings. For example, the project will actively engage processors in the private sector who create the local market demand for farm-grown wood. Ultimately, the project seeks to enhance the commercial, policy and social context whereby greater investment by all stakeholders is encouraged so that the CBCF sector grows throughout Indonesia.


4.1 Scientific impactsCBCF continues to expand globally as an important land-use (Gilmour 2016), so the key findings from the project are expected to make an important contribution to international scientific (e.g. via INAFOR, IUFRO) and public policy (e.g. via FAO) domains. The project seeks to provide in-depth empirical data across a mix of study sites about how to increase the social and economic benefits to rural communities and industries from CBCF, and in doing so contribute to understanding about how to use commercial forestry to reduce rural poverty. It is anticipated that the results from a number of the research activities will generate new knowledge related to the associated research questions that can be published in international journals and that this knowledge will be used more broadly by scientists, policy and program managers and development agencies to enhance the effectiveness of future CBCF research and programs.

The scientific findings from this research will assist Indonesia to enhance its approaches towards CBCF to enhance smallholder livelihoods and regional development objectives and offer researchers and policy makers with evidence of how these approaches might be implemented in other countries. At a national level, the project team includes a mix of experienced and early-career scientists from Indonesia’s leading forestry research organisations (i.e. FOERDIA, UGM), so the project will have a strong conduit to inform the way CBCF is understood at a national level. The project team is experienced at communicating research results at key science and policy forums (e.g. INAFOR and IUFRO conferences), and publishing in international peer-reviewed journals. Anecdotal feedback and independent citation data indicates that knowledge from the recent project is being used to inform extension and research staff operating at the district and provincial levels, and among policy-makers and researchers at the national and international levels.

4.2 Capacity impactsIn general, smallholders involved in CBCF in Indonesia have a poor understanding of the dynamics of commercial markets and how they should adjust their silviculture. This new project has a major objective to increase the business capacity of smallholders, particularly of female farmers who often negotiate the sale of the family’s forest products. To achieve this objective, the project will design, pilot and scale out a capacity building strategy that will empower smallholders to increase the financial returns from CBCF. The focus on building the business capacity of female farmers acknowledges the powerful role model of women confidently negotiating within commercial forestry sector for farm children, particularly for girls likely to continue to have farm-based livelihoods as adults.

In the recent project (FST/2008/030), an overwhelming majority of participants in the MTG training courses piloted reported that they had acquired the knowledge and skills to improve the quality of their CBCF. This was supported by an independent evaluation of the pilot MTG training courses, which found evidence that farmers had enhanced and expanded their investment in CBCF as a result of what they had learned from the courses (Muktasam 2015). An important part of the new project will be to conduct a critical evaluation of the pilot MTG courses to assess the enduring value of this training approach (e.g. what practices have been adopted, what lessons for future MTG courses) – capturing the views of both participating smallholders and extension agents. This evaluation will be an important step in refining the MTG training courses and developing an approach that can be scaled-out beyond the study sites and championed by forestry extension officers in the provinces where the project is active and elsewhere. This project has set a target of training 300 smallholders who are active members of their local FFG (50% being female farmers) using a refined approach for the MTG training courses.

An additional component of the new project is to design an effective process for smallholders who are confident with their CBCF practices to be involved in farmer-to-farmer extension (referred to as Farmer-to-Farmer Mentoring, F2FM). The project has


some experience with F2FM in other countries, and has found this to be an effective process for consolidating the forestry expertise within local communities (including among farmers and extension agents) and scaling out this expertise to neighbouring FFGs. The project will bring together smallholders experienced in CBCF (most likely former MTG participants) to develop an effective F2FM approach for Indonesia so that at least 2,000 smallholders are connected to the project’s activities. A feature of the design of both the MTG training courses and F2FM approach is that these initiatives engage strongly with a range of stakeholders in CBCF, such as the private sector, government agencies and NGOs.

The project team will continue to work closely with forestry staff at the district and village levels (e.g. from dinas kehutanan), who will invariably become involved in the research process as local partners and are often the primary CBCF extension agent for smallholders. In the recent project (FST/2008/030), many of these staff reported that they have learned new information about CBCF at the local level (e.g. commercial, socio-cultural & technical aspects) because of their involvement in the project, which has improved their capacity to deliver a relevant extension service. The new project will evaluate the longer term impacts of the pilot MTG training courses (assessing the initial pilot MTG courses plus courses delivered by this project), in part to gauge the extent improved knowledge changed the practices of smallholders and whether this knowledge was shared with additional smallholders.

The new project has a strong emphasis on engaging closely with the private sector, so the experienced members of the project team will work with the less experienced members to build their confidence in working with the private sector. The project will also build the capacity within the wider project team, such as supporting members from non-research organisations (e.g. Trees4Trees) to develop their research expertise (e.g. how to collect and analyse empirical data). The project will conduct two ‘scientific writing’ workshops in Indonesia to encourage the less experienced members of the project team to publish their work in relevant scientific journals and policy forums.

4.3 Community impactsIn addition to the ‘Capacity impacts’ described above, the new project expects to build the business and technical capacity of smallholders – men and women – at the family level, and also at a village level through the project’s close partnership with the existing farmer forest groups (FFGs). FFGs vary in terms of activity, capacity and influence, with the more mature and active FFGs playing a central role in the success of CBCF (e.g. negotiating collective contracts with processors, assisting agencies to implement support projects). Indonesia also has an established network of village-based female farmers’ groups (a regular forum for women to exchange experiences and knowledge about home-based enterprises), which provides the project with a valuable opportunity to deliver some of the MTG training courses tailored to the business interests of women. The project team’s Gender Development specialist – Mr Harsoyo (an experienced researcher from University of Gadjah Mada) will critically evaluate the project’s impacts on women and advise how the project should be adjusted to optimise the engagement of female farmers. The project will work through the network of local FFGs in the study areas to involve 300 smallholders in training activities (with at least 50% being female farmers), with this expected to enhance the livelihoods of the wider village population of 20,000 people where the project aims to work. The project will also directly involve at least 25 private sector members in training workshops (Activities 1.2, 3.2, 3.3 & 3.4), with a focus on businesses that purchase most of their timber resources from farmers.

4.3.1 Economic impactsThe recent project (FST/2008/030) achieved an important economic outcome by enhancing the silvicultural skills of smallholders, who in turn produced higher quality


timber and received higher prices. In Bulukumba (South Sulawesi) where the project was active, silvicultural training provided to 80 smallholders led to them producing higher quality timber for veneer products, which attracted a 16% increase in prices paid for the farm-grown wood by the downstream processor. In turn, the increased quality and volume of timber supplied by smallholders has enabled the wood processor to sell into international markets, which demand products of higher quality.

Research from the recent project (FST/2008/030) found that log prices at the village level vary significantly according to their grade or quality and location. The price of teak (a slow growing species) ranged from IDR 500,000 to IDR 5,000,000 per cubic metre (A$50-500/m3), while the price of sengon (a fast growing species) ranged between IDR 395,000 and IDR 1,115,000 per cubic metre (A$40-110/m3). The differences in timber prices due to grade or quality provide an incentive for farmer tree growers to produce better quality timber. The project found that when smallholders were shown how and why to apply better silvicultural practices (e.g. timely pruning and thinning), many chose to adopt practices that increased their financial returns from CBCF.

By extrapolating this example to the wider population of 2,000 smallholders who are members of the FFGs in the 10 villages where the recent project worked, the targeted capacity building by the new project could progressively increase the economic benefits from CBCF by IDR 2 million1 (about A$200) per year for each smallholder – equivalent to A$400,000/year for the families of these smallholders (a total increase of A$2 million income for these smallholders 5 years after the project’s conclusion). This calculation is based just on the districts of Bulukumba, Gunungkidul and Pati, where sengon is commonly grown. In other parts of Indonesia where teak is the dominant species grown by smallholders, the economic impact for farmers from the project is expected to take longer to become apparent, albeit in the longer term may generate a higher economic impact (given the higher prices paid for high-quality teak).

Another aspect of the recent project was identifying the emerging markets for ‘certified’ timber. The recent project found evidence that certification is providing stronger market access and a price premium for smallholders growing sengon in Pati. The economic impact for smallholders growing sengon that is certified as ‘sustainably’ grown is that companies can be willing to provide an advance payment of 30% of the timber value. In addition, because timber is processed into certified products, farmers receive an additional price of IDR 100,000/m3 (about A$10/m3) for their timber.

The evidence from the recent project indicates that by enhancing the silvicultural knowledge and skills of smallholders, plus improving access to emerging markets (e.g. for certified timber), then considerable economic impacts can be generated from CBCF in a relatively short period (i.e. within 5 years of the project’s conclusion). While aiming to directly influence the CBCF practices of 2,000 smallholders, the wider rural population in the villages where the project will work is about 20,000 – suggesting the positive impacts of the project could be extended beyond the smallholders directly involved in the project’s activities.

4.3.2 Social impactsThe primary social impact sof the project will focus on increasing the business links and silvicultural knowledge and skills of smallholders, so CBCF becomes a more profitable farming enterprise. However, to achieve substantive positive impacts for smallholders, the project will strengthen the links with the private sector and facilitate reform of the policy environment. While working closely with smallholders, the new project will initiate a regular multi-stakeholder forum in the five study sites as a means to foster a stronger and more transparent discussion of the local constraints and opportunities of CBCF. This approach has been particularly successful in Bulukumba where the recent project

1 Increased yield of 2 m3/year, or improved timber quality from existing yield, equating to an increase in financial returns of IDR 2 million per year, per smallholder (approximately A$200/year/smallholder).


(FST/2008/030) facilitated this type of forum for several years, where stakeholders regularly come together to discuss aspects of CBCF, often leading to resolution of issues (e.g. understanding of permit requirements) and exploring new opportunities (e.g. sharing information about supply needs, prices and silviculture).

While the project will focus on the dominant timber species used by smallholders in the study areas, it may also include niche timber species and NTFPs where these are commonly used by smallholders,particularly poor farmers, in the study areas. As the project widens its scope to include forest species commonly utilised by poor farmers in the study sites, it will ensure the project identifies the silviculture and market pathways for poor smallholders.

Increased knowledge is often a precursor to enhanced confidence, so it is anticipated that for participants in the project’s MTG training courses who increase their knowledge will make better informed decisions about CBCF. The project will have a particular emphasis on strengthening the business acumen of female farmers involved in negotiating the sale of forest products from their family’s CBCF resource. The project aims to work through the existing network of village-based female farmers’ groups to provide training and support on the business aspects of CBCF. The Gender Development Specialist from UGM (Mr Harsoyo) will be appointed to work with the project team to design how the MTG training courses can be tailored to the needs of female farmers, so their participation is increased and business knowledge enhanced. For example, this may require the MTG training courses to focus more on a wider range of commercial markets for CBCF products (e.g. timber & NTFPs), and for the courses to be delivered over an extended period (e.g. a half-day every week, rather than as a 4-day block). Also, for the F2FM to be effective for female farmers, it is anticipated that experienced women from neighbouring villages will need to be given the opportunity to be involved.

4.3.3 Environmental impactsThe project will produce and widely distribute information on how CBCF can be enhanced and further developed, and so is expected to assist rural communities manage forested areas under their control on an environmentally sustainable basis. Although this project will have a focus on the social, economic, policy and technical aspects of CBCF to increase the benefits to smallholders’ livelihoods, some positive environmental impacts are anticipated. For example, CBCF often plays an important environmental role as a buffer between ‘protected’ (conservation) and ‘production’ forest areas, with community forestry practiced as a blended ‘conservation-production’ forest, with species and silviculture strongly determined by the needs and preferences of the local community.

The project will specifically assess the value for smallholders of investing in SFM-certified forestry, as part of the suite of CBCF land-use options evaluated. Results from this research will provide a strong analysis of how environmentally sustainable forestry practices can also be profitable for smallholders across Indonesia.

4.4 Communication and dissemination activitiesThis project is designed for ‘whole-of-value chain’ stakeholder engagement, so that all the key people who influence (dominate) the commercial forestry sector used by smallholders are actively involved. Smallholders investing in CBCF will be the primary target audience for the project, but not the only ones – market brokers, processors, manufacturers, micro-finance agents and government agencies and NGOs are all connected to the CBCF value chain, and so need to be involved to ensure the outputs reflect the various stakeholder needs and that they can readily understand and adopt them. The project team will clearly identify two broad categories of stakeholders at the project’s inception – those who should be actively engaged, and those who may only need to be kept informed. This assessment of stakeholders will assist the project team to target its communication and dissemination activities. For the key stakeholders who are identified as people to actively engage, the


project’s key findings will be communicated in a variety of modes (i.e. orally at localised workshops and MTG training courses, in succinctly written policy briefs and newsletters which will be supported by more detailed research reports, presentations at ‘policy labs’, and online with short videos posted on a project website/s).

The project team will draft a communication strategy at the project’s inception meeting (finalised within 6 months of project’s commencement), using ACIAR’s Communication and Dissemination checklist as an initial guide (Appendix D). An important consideration for the project’s communication strategy will be to ensure information is conveyed using appropriate language and relevant case studies to different smallholders (e.g. poor farmers, female & male farmers, agency & company staff).

The project will be most active at the selected study sites (district level), but will also engage with stakeholders at the national and provincial levels (e.g. via ‘policy labs’). The key stakeholders at the different levels include:

Local & provincial: smallholders who are members of farmer forest groups (FFGs), district field and planning staff of forest agencies, local government officials, non-government organisations, and staff from the range of private sector entities relevant to CBCF;

National: senior policy-makers and program managers of MoEF, executive staff of representative organisations of the private sector’s forestry and timber manufacturing companies;

International: advisors, consultants and researchers involved in CBCF in Indonesia and elsewhere in South-East Asia.

4.4.1 Project communication and stakeholder engagementActivities and products to communicate and engage with smallholders and other stakeholders involved in CBCF will include:

Preparing a 2-page bilingual newsletter of the project’s activities and emerging findings, designed to be distributed widely electronically and in hardcopy, with each newsletter uploaded to the websites of partner organisations (anticipated that a project newsletter will be prepared every 6 months, with 8 newsletters in total);

The delivery of 15 MTG training courses via local FFGs and other village-based farmer groups anticipated to involve 300 smallholders (50% to be female farmers), using the interactive learning approach and sharing the project’s key findings as these emerge. Each participant will receive an MTG training manual (written in bahasa Indonesia) to keep and share with other smallholders;

The F2FM program will support 50 smallholders who have completed the MTG Indonesia course and who feel confident with CBCF to share their experiences with a further 1,500 smallholders in their neighbouring villages (i.e. 1 smallholder shares their CBCF experience with a further 30 smallholders);

The project team will also design an MTG training manual for extension staff involved in coordinating and presenting at MTG Indonesia courses (including extension staff who attend the MoEF’s Centre for Environment & Forestry Education & Training);

An important stakeholder group for the project to engage is the private sector, with the project’s design identifying several key stages where the private sector needs to be closely involved (particularly the private sector in the 5 study sites who source a significant proportion of supplies from smallholders) (i.e. Activities 1.2, 3.2, 3.3 & 3.4);

The project team will coordinate regular forums at the district and provincial levels in the selected study sites where smallholders, private sector (see Bulukumba


example) and other stakeholders can hear the latest research findings (from this project and other relevant research) and discuss the local implications for their investment in CBCF (i.e. 1 forum held every 6 months in the 5 study sites, anticipated to include 200 stakeholders over 4 years in each study site);

The key findings of the project’s research will be translated into succinct policy briefs (<4 pages, in English and Indonesian), with presentations made and hardcopies distributed for to smallholders and other stakeholders at the regular CBCF discussion forums and the ‘policy lab’ discussion, and uploaded to the websites of project partners;

The key findings of the project’s research and development experience will be presented to senior policy-makers and program managers in the MoEF, and presented at relevant national conferences (e.g. Indonesia’s INAFOR Conferences);

The key findings of the project will be presented at relevant international conferences (e.g. IUFRO Small-scale Forestry) and published in international peer-review journals (e.g. International Forestry Review, Forest Economics and Policy, Small-scale Forestry) with the option of ‘open access’ to be adopted to increase the distribution of results with developing countries;

The project’s key Australian scientists will host a 7-day study tour for 5-10 Indonesian partners (researchers, district ageny staff, farmers) to observe first-hand the policy context and technical operations for farm-based commercial forestry in South-East Australia (tour itinerary to be negotiated with participants).

4.4.2 Internal project communicationThe Project Leader (D. Race) will meet with all members of the project team to prepare an appropriately detailed operational work plan (performance contract) for each partner organisation (including activities, personnel, responsibilities, outputs, timelines, resources), so that the project’s research is fully integrated across all the project partners and selected study sites (all work plans to be finalised within 3 months of project commencement).

At the project’s inception meeting, the Project Leader will coordinate the preparation of a monitoring and evaluation strategy so the project’s performance can be tracked throughout its operation. For example, disaggregated data on the gender, wealth status and primary occupation of participants in the project activities will be recorded. This will enable the project team to adjust its communication and engagement strategies so it targets the most relevant people and organisations.

The Project Leader will communicate directly with the nominated contact person at each partner organisation on a regular basis (anticipated to be monthly), via email, skype or telephone, to ensure all project activities are well coordinated and integrated, and any emerging issues are quickly resolved.

The Project Leader will write and distribute a succinct Project Communiqué to each member of the project team on a regular basis (anticipated to be every 3-4 months), via email, to ensure all members of the project team are kept aware of the project’s broader set of activities (recent and planned) and experiences are shared.

The project team will convene an Annual Meeting, with 1-2 days for the project team to meet face-to-face to discuss the research and any emerging issues. The Annual Meeting will also include an additional 1-2 days for the project team to discuss the emerging findings with a range of stakeholders (may include a 1-day field visit) and receive feedback on how to optimise the research. Notes from the Annual Meeting will be submitted to ACIAR’s RPM and shared with other relevant ACIAR projects. It is anticipated that the project leader will meet annually with project leaders from ANU, CSIRO, UMelb and USC to share the project’s findings as these emerge (including


convening a seminar around mid-2018 amongst forestry-related ACIAR projects with a focus on enhancing smallholder livelihoods in South-East Asia).

4.4.3 Between project communicationThe project has identified several existing projects with strong relevance, such as:

Increasing productivity and profitability of Indonesian smallholder plantations (FST/2009/051 and FST/2014/064, led by CSIRO);

Production and marketing strategies for timber and non-timber forest products from smallholder agroforestry systems (FST/2012/039, led by ICRAF); and

Enhancing smallholder benefits from REDD+ (FST/2012/040, led by ANU).

The Project Leader will meet with the respective Project Leaders of these projects and identify specific opportunities for collaboration. Opportunities may include:

participation of key researchers at the project’s annual meetings, convening a workshop to review recent policy analyses and identify gaps to be

pursued by this project, sharing relevant data and information (e.g. socio-economic characteristics of

smallholders), particularly where there is geographical coincidence (e.g. Gunungkidul), and

convening a seminar around mid-2018 amongst forestry-related ACIAR projects with a focus on enhancing smallholder livelihoods in South-East Asia.


5 OperationsTo ensure a clear and cohesive management approach, the Project Leader will prepare operational work plans with each core partner organisation (detailing activities, personnel, responsibilities, outputs, milestones, timelines, resources), to clearly the project’s implementation. The operational work plans will be consistent with the Project Proposal approved by ACIAR, and be finalised within 3 months of the project’s commencement.

A monitoring and evaluation (M&E) plan will be designed at the commencement of the project. The M&E plan will cover the whole project, so that informative data are collected during the project to enable adjustment to activities and outputs as needed. The M&E plan will include appropriate indicators for dual aim of the project (e.g. improving smallholder incomes and the effectiveness of scaling out approaches). At a broader level, the M&E plan should also include appropriate indicators to adequately assess the participation and empowerment of women in the project’s activities. The M&E plan will also be designed to inform the project’s Annual and Final Reports submitted to ACIAR. The M&E plan will also be completed within 3 months of the project’s commencement.

5.1 Methodology The project’s study sites will be in the districts of Gunungkidul (Yogyakarta), Pati (Central Java) and Bulukumba (South Sulawesi) where strong partnerships have been established, and will include two new study sites in the provinces of Gorontalo (northern Sulawesi) and Lampung (southern Sumatra) where there are emerging and established HTR sites of CBCF on state-owned land, respectively. The characteristics of each study site are summarised below:

Gunungkidul – has an established culture amongst smallholders for growing trees for commercial timber production, with a competitive market for a range of forest products traded by smallholders. However, increasing urbanisation and demographic change in rural communities has created a trend of ageing farmers, reduced availability of farm labour, and conversion of farmland to more intensive land-use (e.g. sites for new housing and industry) has seen more extensive planting of trees on farmland – reflecting a trend to less intensive farming. Yet it is uncertain whether the increasing area of farm forests will receive the necessary silviculture to produce high-quality supplies for industry. The project will continue to work with local partners in the three villages in Gunungkidul to conduct the longitudinal household survey, conduct the social network analysis, assess the value of different market pathways, evaluate and refine the MTG training courses, pilot the F2FM approach, and explore the policy context for CBCF.

Pati – is dominated by small-scale farmers (0.5 – 2 ha) with integrated agricultural and forestry enterprises, mainly supplying local and provincial markets. Over the past decade, sengon (maturing in 5-6 years) has become an increasingly popular timber species grown by smallholders, traded to a variety of processors within the province who in turn produce plywood for national and international markets. Some processors produce SFM certified plywood, creating a niche market for smallholders to be paid a premium price (10-30% higher prices) if they are able to meet the SFM certificiation requirements. The project will explore the feasibility of the certification market and the value different certification systems offer to smallholders within the province, and elsewhere in Indonesia. The project will continue to work with local partners in the three villages in Pati to conduct the longitudinal household survey, conduct the social network analysis, assess the value of different market pathways (especially options for timber certification),


evaluate and refine the MTG training courses, pilot the F2FM approach, and explore the policy context for CBCF.

Bulukumba – has an expanding forest processing sector, where new processors are adding to the competitiveness for forest products from smallholders. Previous work with smallholders has found them receptive to new silvivcultural approaches (FST/2008/030), which has seen smallholders producing higher quality timber and receiving higher prices. The improved timber quality produced by smallholders has enabled some processors to break into the international market for plywood products. While some smallholders have recently reported receiving higher prices, there are concerns that local farmer groups have not attained the capacity to enhance the business acumen of its members, so that farmers understand the dynamics and risks of CBCF framed around a single market. The project will continue to work with local partners in the two villages in Bulukumba to conduct the longitudinal household survey, conduct the social network analysis, assess the value of different market pathways, evaluate and refine the MTG training courses, pilot the F2FM approach, and explore the policy context for CBCF.

Gorontalo – has several communities who have recently been granted a commercial lease to participate in the HTR program. However, preliminary analysis by FOERDIA, CIFOR and other partners indicates that the local community is poorly informed about the requirements of the HTR lease (e.g. available funding, interest repayment, forestry options) and the opportunities and risks with commercial forestry. Given the long-term nature of the HTR lease (35 years), and the legally-binding nature for the local community, understanding how to enhance the community’s capacity to appraise and implement CBCF (e.g. how does CBCF compare to other feasible land-use options) seems critical. The project team has an existing relationship with the University of Gorontalo (via a CIDA, ICRAF & CIFOR project) and will initiate broader collaboration with a range of local partners (e.g. farmer groups, forest agency, NGOs, private sector) to conduct a comparative analysis of feasible land-use options and the relative value of CBCF for smallholders who have recently been granted a long-term lease of state-owned land under the HTR program. The policy context in which the HTR program is being implemented will be analysed.

Lampung – is one of the few provinces in Indonesia that has established and successful examples of the HTR program, whereby local communities deeply understand the opportunities and risks of CBCF, and have built their capacity to administer the lease arrangement with the government. Given that the HTR program has achieved less than 1% to date of its target, the experiences of the HTR program in Lampung appear to be instructive for how it may be implemented elsewhere in Indonesia, including in Gorontalo. The project will consolidate the existing partnerships FOERDIA has with CIFOR and local partners in Lampung responsible for the implementation of the HTR program (e.g. with the University of Lampung). The project will conduct a comparative analysis of feasible land-use options and the relative value of CBCF for smallholders participating in the HTR program, along with an analysis of the policy context in which the HTR program is being implemented.

The project’s methodology will essentially follow that for ‘action research’, where the research team works closely with the participants in the aspect of CBCF being studied (Mills 2000). This methodology is common in ‘real world’ situations where controlled replication of experiments is not possible. For instance, the project will deliberately seek study sites that have obvious differences to each other, so as to cover the widest range of CBCF possible within the scale and scope of the project (see Figure 1, section 2.2). As such, it is not intended that study sites will be similar, but will provide important insights about CBCF due to the different characteristics (as outline above).


The project team will undertake a household survey in Year 1 (2016) and Year 5 (2020) with the same smallholders sampled in Bulukumba, Gunungkidul and Pati during the recent project (FST/2008/030), so to provide data from three time points (i.e. 2013, 2016 & 2020). Analysis of this time series data will enable a clearer understanding of how smallholders respond to the dynamic opportunities presented by CBCF, and likely trends about future resource supplies for industry. The household survey will also contribute to the project’s monitoring and evaluation plan (to be completed within 3 months of commencement) to gauge the nature and scale of adoption by different smallholders (e.g. knowledge & skills attained by smallholders participating in MTG training courses, extent of additional activity generated via the F2FM approach). A household survey will be undertaken using the same methodology adopted for the Social Dimensions Analysis (FST/2008/030) with a stratified sample of the local communities involved (interested) in CBCF on state-owned land at the new sites in Gorontalo and Lampung, with data allowing researchers to compile a comprehensive picture of CBCF across diverse conditions and identify the influential factors driving change among smallholders’ livelihoods.

The methodology to underpin each of the project’s core objectives is described below.


Activity 1.1: Conduct a baseline economic and social dimensions study (Lampung and Gorontalo) and an in-depth social network analysis to identify the business networks used by different smallholders, and build on the strengths of the different networks.

Social network analysis (Borgatti et al. 2009) will involve assembling a stratified sample of smallholders involved in CBCF (covering diverse wealth attributes as identified in the Social Dimensions Analysis (SDA) under FST/2008/030, with the SDA research extended to cover the new sites in Gorontalo and Lampung) and conducting in-depth individual interviews to document their social connections within the local community and with ‘outsiders’ (markets). This activity will be concentrated in Bulukumba (2 villages), Gunungkidul (3 villages), Pati (3 villages), Gorontalo (1 village) and Lampung (1 village), with 30 interviews conducted in each village (total = 300 interviews). Qualitative and quantitative data will be collected and analysed to ‘map’ the social networks of smallholders and to identify the personal connections (relationships) that have the most influence over their business decisions. The social network analysis will identify critical ‘nodes’ (key individuals and institutions) that strong influence the market pathways used by smallholders, and the extent new relationships can be formed that offer improved market pathways. Published literature suggested disadvantaged smallholders (e.g. from poorer households) often have strong ties within limited social networks, whereas wealthier smallholders have more extensive social networks that often include multiple entry points to commercial markets (Borgatti et al. 2009). The research will also stratify data so the social networks of men and women can be analysed and optimal business connections identified. This research will aim to identify strategies to re-configure the social networks of disadvantaged smallholders, so that new sources of trusted information and increased cooperation lead to more extensive market opportunities and profitable CBCF.

Activity 1.2a: Convene workshops with smallholders in each study site (HR and HTR sites) to explore how they can strengthen their links with the relevant private sector partners.

Using the results from the social network analysis (Activity 1.1), workshops will be held in each village (n = 8) with smallholders to develop strategies to strengthen their links with the most relevant private sector partners. The relevant private sector partners will be identified in the social network analysis, and will be involved in the village-based workshops. The workshops will each begin by presenting the results of the social network analysis of the village, and then use interactive methods to allow participants (smallholders and private sector actors) to identify and discuss viable options for


enhancing their business networks. The workshops will discuss the importance of identifying the ‘best fit’ business networks for different smallholders (e.g. poor c/f wealthy, men c/f women) and private sector actors (e.g. small-scale c/f large-scale processors), so CBCF becomes a profitable enterprise across a diverse range of partners. The analysis will also draw on the forestry value-chain analysis conducted by the project team (as part of FST/2008/030) and new data to understand the process and quantum of payments for commercial timber along the value chain, with this work documented and presented for discussion at the Policy labs (Activity 3.4b) and Multi-stakeholder Forums (Activity 3.5).

Activity 1.2b: Analyse social and economic benefits from enhanced CBCF.

Detailed analysis of the data collected from the baseline household surveys conducted with 300 households across the selected 10 villages, with 8 of these villages involved in the previous project (FST/2008/030). The household survey will largely replicate that employed by the previous project and involve the same households to enable longitudinal data to be collected and analysed (i.e. data collected in 2013, 2017 & 2020), and the contribution to livelihoods by enhanced CBCF over time. Households were selected in the previous project to include a representative mix of ‘wealth’ categories and involvement in CBCF. Two villages will be selected at the new study sites of Gorontalo and Lampung. The household survey and sampling approach will be peer-reviewed and documented (December 2016), and preliminary (2018) and final (2020) research reports prepared for this activity.

Activity 1.3: Analyse the relative value of feasible land-use options for smallholders (e.g. agroforestry, planted forests, NTFPs, cash crops, REDD+) in the study sites, and identify optimum land-use strategies to increase household income.

A scan to identify the 4-6 most common commercial land-use options pursued by smallholders in each study site will be conducted, as informed by data and experience within the provincial agency office. Then an analysis of the relative value of the different dominant land-use options (agroforestry, planted forests, NTFPs, cash crops, REDD+) will be conducted using an accepted approach for calculating net present value (NPV) and tested against the preferences of smallholders and the perceived risks (ADB 2013). It is anticipated that the project team will adopt, or adapt, the methodology used by the Asia Development Bank (ADB 2013). The project will prepare plausible land-use scenarios in the five study sites, drawing on existing analyses where possible. For example, the project will draw on the recent ‘choice modelling’ of smallholders’ perceptions of CBCF in relation to a suite of land-use options for Gunungkidul by Permadi et al. 2015, emanating from FST/2009/051 (Mr Dwiko Permadi’s PhD research is expected to be completed in 2016). Information about the application of REDD+ in Indonesia and appropriate NPV data will be drawn from FST/2012/040 (Prof Luca Tacconi, ANU).

Activity 1.4: Work with private sector and NGO partners interested in forest certification to assess the value of different schemes promoted for CBCF and applicability across different land tenure.

The project will use the forestry options considered in the ‘Alternative Land-use Analysis’ (Activity 1.3) to assess the benefits and costs of different forest certification schemes for the private sector and smallholders (in part re-visiting the preliminary research conducted previously by FST/2008/030), with an additional economic analysis of the current and optimum potential for ‘certification’ to increase returns tosmallholders. Data for this analysis will be drawn from credible existing datasets (e.g. MoEF) and targeted in-depth interviews (n = 20) with senior company staff, NGO managers, market brokers and smallholders involved in forest certification schemes. The analysis will also explore the likelihood that existing forestry ‘certification’ schemes can be applied to the nascent development of CBCF using different approaches (e.g. HTR on state-leased land) elsewhere in Indonesia (e.g. in the new study sites of Gorontalo and Lampung).

Activity 1.5: Prepare succinct guidelines for smallholders that explain the requirements for different forest certification schemes.


The key characeristics and findings from the research report documenting the ‘Forest Certification Schemes’ (Activity 1.4) will be translated into a user-friendly brochure for smallholders that explain the requirements for different forest certification schemes.

Objective 2: To increase the capacity and number of smallholders able to make informed decisions about their silvicultural approach and likely returns from CBCF.

Activity 2.1: Analyse recent experiences of pilot Master Tree Grower (MTG) training courses (conducted under FST/2008/030) to design an effective approach and training materials for CBCF extension.

To achieve this objective, an evaluation of the adoption of knowledge by smallholders involved in the pilot MTG training courses (FST/2008/030) will be conducted by Dr Muktasam (University of Mataram) to inform the approach and content developed by this project. Based on a diverse sample population, the evaluation will explore who adopted what knowledge and/or practices as a result of their participation in the MTG training courses, and what implications the adoption of knowledge/practices will have for improving CBCF and more generally enhancing rural livelihoods. The project will use the ‘project logic’ (Patton 1997) and ‘most significant change’ (Davies & Dart 2005) evaluation frameworks to design an effective approach and training materials for CBCF extension. The evaluation will be conducted within the 1st year of the project, so the project team and partners will have adequate time to consider the lessons and refine the MTG approach before delivering the first series of courses by this project.

Activity 2.2: Conduct 15 MTG training courses with FFGs in the study areas (3 MTG courses in each of the five provinces).

The project will refine the approach for the MTG training courses and deliver 15 courses (3 in each of the 5 study sites). Also, the project team will draft, pre-test and publish a user-friendly ‘growers’ manual to be given to each participant in the MTG training courses so there is a consistent structure to the topics covered in each course. The training courses will incorporate the insights derived from Objective 1 in relation to the relative value of different land-use options and the options for accessing markets for certified timber. The project team will also prepare an ‘extension officers’ manual for staff primarily responsible for providing CBCF advice to smallholders and likely to be lead facilitators of the MTG training courses, so a consistent approach is used for all MTG training courses. The methodology to be used to achieve this objective will reflect contemporary ‘adult learning’ principles, where the MTG training courses will be most effective when they draw on the personal experiences of participants, relate subject matter to the local context, and build the confidence of participants to make informed decisions (Knowles et al. 2005). The project team will work with local extension agencies to deliver 15 MTG training courses with FFGs in the study areas (one course conducted in each study area by March 2018 to inform an evaluation by Dr Muktasam), which is anticipated to involve 300 smallholders who were not previously involved in the pilot MTG training courses (FST/2008/030), with a target of achieving 50% of female participants (women are often responsible for selling CBCF products but often miss out on receiving market information and extension support). The project will deliver one MTG course in each study site by December 2017, before holding a workshop to assess the new approach, costs, materials and impacts by March 2018. The project will work through the existing network of village-based female farmers’ groups in the study sites to deliver some of the MTG training courses, with an emphasis on the business aspects of CBCF of interest to women.

Activity 2.3: Design and implement a pilot of a ‘Farmer-to-Farmer Mentoring’ (F2FM) program to achieve the effective scaling-out of the CBCF experiences to neighbouring FFGs.

A ‘farmer-to-farmer mentoring’ (F2FM) program will be established to support the effective scaling out the CBCF experiences to neighbouring FFGs. The project will identify 50 experienced and influential smallholders (likely to be smallholders involved in the pilot MTGs held in Bulukumba, Gunungkidul & Pati) will be selected and trained in how to


effectively mentor neighbouring farmers (listening to farmers concerns, sharing personal experiences). The pilot F2FM program will be evaluated by Dr Muktasam (University of Mataram, Rural Development specialist) and Mr Harsoyo (UGM, Gender Development specialist). For the F2FM program to be effective, smallholders graduating from MTG courses will need to have developed a high level of confidence in their expertise of CBCF (market knowledge & silviculture) and be willing to share their knowledge with other smallholders. An important partner in this work will be the MoEF’s Centre for Forestry Education and Training (based in Bogor) that has responsibility for professional training of forestry extension staff. Dr Muktasam will work closely with the MoEF’s Centre for Forestry Education and Training to explore how relevant the F2FM approach is to different parts of Indonesia (focus on locations where CBCF is commonly promoted), and how it might be cost-effectively developed by local agencies and other organisations (e.g. NGOs) so that both the MTG and F2FM can be scaled-out beyond the project’s immediate study sites. The project will evaluate the extent the combination of the MTG training courses and F2FM can be effectively scaled-out without external support.


Activities 3.1: Conduct a ‘foresight’ analysis of the major trends occurring in rural Indonesia and their implications for CBCF.

To analyse the major drivers of changes occurring in rural Indonesia now and over the next 20 years (e.g. migration and urbanisation, economic, land-use, policies, trade) and their implications for CBCF, the project will design and pre-test a methodology for the ‘foresight’ analysis similar to that adopted by CSIRO (McKenzie 2013; Hajkowicz & Moody 2010). This methodology involves several stages including: an initial synethsis of the recent ACIAR-funded projects that have reviewed the policy context for smallholders involved in commercial forestry; in-depth interviews with a sample of experienced analysts (n= 15) covering the broad dimensions of change noted in credible literature; facilitating an interactive workshop with a subset of the analysts to explore connections and impacts of change in multiple dimensions; and having a draft report independently reviewed.

3.2: Conduct interactive workshops that translate the ‘foresight’ analysis into contemporary policy settings (national, provincial & local levels).

When the ‘foresight’ analysis is completed, it will be presented by the project team at a series of workshops with national (1 workshop) and provincial (3 workshops) level policy makers to explore the implications for CBCF (Activity 3.2). Senior FOERDIA staff will lead the engagement with the most appropriate policy-makers at the national and provincial levels, and the results of these workshops will feed into Activity 3.4 (Policy Analysis).

Activity 3.3: Review the factors that influence the success (Lampung) and constraints (Gorontalo) of the government’s HTR program that aims to foster CBCF on state-owned land.

The project team will be led by Dr Lukas Wibowo and Dr Kristiana Wahyudiyati (FOERDIA) in its review of factors that affect the success (Lampung) and constraints (Gorontalo) of the HTR program. The project will build on the recent preliminary analysis conducted by FOERDIA, CIFOR, ICRAF and other partners at these two sites to improve understanding on how CBCF can be successfully developed with local communities using state-owned land. The project will also identify the localised factors that affect the implementation of CBCF on state-owned land, seeking insights about the prerequisites for the success of CBCF programs (e.g. the HTR program). As part of their research, the project team will explore the social dynamics of community governance (e.g. leadership, decision-making, transparency, management of funds) and participation (e.g. what type of smallholder is capable and encouraged to participate), and the influence of land tenure.


The project team will use a ‘program logic’ framework (Patton 1997) for its initial orientation for reviewing the major CBCF programs.

Activity 3.4a: Undertake an analysis of policies, programs and regulations that influence the adoption and viability of CBCF, integrating analyses of the government and private sectors, and engaging senior policy-makers and program managers.

The policy analysis will commence with a workshop to review of recently completed analyses, such as the analysis of the policy context for CBCF (FST/2012/039) and REDD+ (FST/2012/040), to ensure the project is informed by and builds on the latest understanding of the context for CBCF in Indonesia. This project will also place emphasis on incorporating an analysis of the private sector’s interest in CBCF, using a staged process: review of policy and company documents, in-depth interviews with selected senior policy makers, program managers and company staff, draft report presented and discussed at the ‘policy labs’ (workshops)a policy workshop, report revised and recommendations presented at ‘policy lab’ meetings (see Activity 3.4b below). The policy analysis will provide an overview of the current context, policy gaps and impediments, and opportunities for reform. The analysis of the policy context for CBCF in Indonesia will assist the project to recommend feasible options for strengthening the government’s major CBCF programs (e.g. the HTR program). Beyond the analysis of the HTR program (CBCF on state-owned land), the project will analyse policies, programs and regulations that influence the adoption and viability of CBCF, integrating analyses of the government and private sectors. The analysis of the policy context for CBCF will be documented (2017), as will the influence (impact) of the project’s contribution to policy reform for enhanced CBCF (2020).

This activity will draw on the experience of the parallel ACIAR project (FST/2011/076) that has initiated ‘policy labs’ as an effective approach to facilitate the project team’s analyse the interactions and implications of a suite of policies and engagement with senior policy-makers and program managers. This project proposes to facilitate an ongoing dialogue with 12-15 of Indonesia’s senior policy makers related to CBCF (e.g. program managers of the HTR program), with two ‘roundtable’ discussions held where both policy makers and project researchers give presentations and lead discussion on the policy context for CBCF, policies challenges and options for reform. The ‘policy hubs’ will be convened in each study site, with participants determined by who is most relevant to each site (may include the same national policy makers/program managers at all sites). The approach for the ‘policy labs’ will be confirmed in early-2017, with annual reports prepared about the effectiveness of the approach.

Activity 3.5: Facilitate a multi-stakeholder discussion forum every 6 months in each study site to exchange CBCF experiences and discuss emerging research findings.

Every 6 months, the project team will facilitate multi-stakeholder CBCF forums in each of the study sites that bring together smallholders, private sector entities and government agencies to analyse the local context for CBCF and discuss strategies for supporting and expanding CBCF. The preliminary findings from the project’s research will also be presented and discussed at these forums, providing valuable feedback to the project team. The project will explore options for embedding the forums in existing instutions so that it can these can be enduring beyond the project’s operating period.

5.2 Activities and outputs/milestonesSome activities and outputs are designed to enhance the project’s overall performance and are not linked to a specific research objective – these are listed in the table below.

No. Activity Outputs/Milestones

Due date of output/ milestone

Risks / assumptions

Applications of outputs


P1 Develop project’s M&E plan

M&E plan prepared & finalised (A + PC)

September 2016 Relevant data is available to inform M&E plan

M&E data will inform project’s management & reporting

P2 Develop project’s Communication strategy

Communication strategy prepared & finalised (A + PC)

December 2016 An effective Communication strategy is followed by the project team

Communication strategy will inform project’s activities

P3 Conduct scientific writing workshops

4 articles submitted & published in international journals with ‘open access’

December 2017 (workshop #1);

December 2019 (workshop #2)

Researchers have sufficient material for completing articles

Project’s research communicated to international scientific audience

P4 Assess project performance against M&E plan

M&E report on project performance

May 2018 Relevant data is available to inform M&E report

M&E report considered at MTR & used to inform project management

P5 Mid-term Review (MTR) conducted

Report on Mid-term Review (A + PC)

June 2018 Range of stakeholders available to participate in MTR & adequate data available to inform MTR

MTR to inform any adjustments required to enhance project’s performance

P6 Convene seminar among forestry-related ACIAR projects

Seminar report to document generic findings

June 2018 Sufficient interest to participate among a mix of projects

Seminar report to be made widely available

P7 Conduct study tour of SE Australia

Study tour conducted & reported (PC + A)

November 2018 Informative study tour provides an effective learning experience for participants

Study tour informs strategies for enhancing CBCF policies & practices in Indonesia

P8 Assess project performance against M&E plan

M&E report on project performance

September 2020 Relevant data is available to inform M&E report

M&E report considered at EoPR

P9 End of Project Review (EoPR) conducted

Report on EoPR (A + PC)

December 2020 Range of stakeholders available to participate in EoPR & adequate data available to inform EoPR

EoPR assesses project’s performance & impacts

Objective 1: To enhance the commercial benefits from community-based commercial forestry (CBCF) for smallholders by strengthening their business networks.No. Activity Outputs/

milestonesDue date of output/ milestone

Risks / assumptions



1.1 Conduct a baseline social dimensions study (Lampung & Gorontalo) & social network analysis in each study site

Report on social network analysis

Report on achievements in reconfiguring social networks of disadvantaged smallholders (A + PC)

June 2017;

June 2020

Relevant data is collected from purposive sample

Information will inform how social networks can be enhanced

1.2a Convene workshops with smallholders in each study site to explore how they can strengthen their links with the relevant private sector partners

Workshops conducted with smallholders & private sector

Report on opportunities for enhancing private sector collaboration & reducing timber transaction costs

Workshops conducted

Report on results of enhanced business network activities

September 2017

December 2017

September 2018

December 2019

Relevant private sector partners will be willing to be engaged in workshops

Workshops will provide the opportunity to forge stronger links between smallholders & private sector

1.2b Analyse social and economic benefits from enhanced CBCF

Report on proposed methodology

Preliminary report on economic and social outcomes at 5 study sites

Final report on economic and social outcomes from CBCF

Article published (submitted) in international journal

December 2016

April 2018

June 2020

December 2020

Appropriate methodology will be designed

Results will inform a range of stakeholders about the key economic and social variables relevant to CBCF


1.3 Analyse the relative value of feasible land-use options for smallholders in all study sites, & identify optimum land-use strategies to increase household income

Report on different land-use options & how to optimise farmer income

Report on community perspectives on alternative land-uses & implications for CBCF(PC + A)

December 2018

December 2019

Mix of primary & secondary data is available for analysis

Comparative analysis of land-use options used to inform farmers

1.4 Work with private sector & NGO partners to assess the value of different forest certification schemes promoted for CBCF & applicability across different land tenure

Report on comparative analysis of costs & benefits of different forest certification schemes

Report on application of forest certification for HTR sites (A + PC)

March 2018

March 2019

Accurate & comprehensive data available from experienced industry sources

Assessment to inform farmers & industry partners about forest certification options

1.5 Prepare succinct guidelines for smallholders that explain the requirements for different forest certification schemes

Bi-lingual brochure that can be widely distributed to FFGs (PC + A)

June 2019 Complex information can be summarised & presented clearly

Information widely distributed to farmers & industry partners

PC = partner country, A = Australia

Objective 2: To increase the capacity and number of smallholders able to make informed decisions about their silvicultural approach and likely returns from CBCF.No. Activity Outputs/

milestonesDue date of output/ milestone

Risks / assumptions


2.1 Analyse recent experiences of pilot MTG training courses (conducted under FST/2008/030) to design an effective approach for CBCF extension

Evaluation report of pilot MTG training & lessons on extension approaches (PC + A)

June 2017 High level of participation by farmers in evaluation of pilot MTG to enable comprehensive assessment

Evaluation will inform revised MTG training courses

2.2a Conduct 15 MTG training courses with FFGs in the study areas

5 MTG courses delivered & evaluated;

Remaining 10 MTG courses delivered & evaluated(A + PC)

March 2018 (5 courses conducted & evaluation reported);

December 2019 (all 15 courses conducted & evaluation reported)

High level of interest by farmers & supporting organisations to hold 15 MTG courses

MTG training courses will be up-skill farmers in markets & silviculture. Manuals allow stakeholders to deliver additional training courses


2.2b Training manuals prepared for smallholders & extension staff (separate manuals)

Training manuals designed, pre-tested & finalised for smallholders & extension staff

December 2017 (training manuals finalised)

Relevant information available for preparation of both training manuals

Manuals used to support MTG training courses – during & after courses

2.2c Empowering women engaged in CBCF

Report on experiences and strategies for empowering women engaged in CBCF

Report on outcomes from women’s empowerment activities

March 2018

December 2019

Sufficient women participate in the project activities at each study site

Understanding of how to effectively engage women in the development of CBCF

2.3 Design & implement a pilot of a ‘Farmer-to-Farmer Mentoring’ (F2FM) program to achieve the effective scaling-out of the CBCF experiences to neighbouring FFGs

Leading smallholders trained using the F2FM approach to provide extension to other smallholders;

Evaluation completed of F2FM (A + PC)

June 2018;

December 2019

Sufficient interest by experienced farmers to develop F2FM

F2FM extends beyond project participants


Objective 3: To analyse the policy context for community-based commercial forestry and support policy reform that enables it to become a profitable investment choice for smallholders.No. Activity Outputs/

MilestonesDue date of output/ milestone

Risks / assumptions


3.1 Conduct a ‘foresight’ analysis of the major trends occurring in rural Indonesia & their implications for CBCF

Report & policy brief on ‘foresight’ analysis (A + PC)

December 2017 Access to wide range of data & expertise for in-depth analysis

‘Foresight’ analysis used to cross-reference projections of policy outcomes

3.2 Conduct interactive workshops that translate the ‘foresight’ analysis into contemporary policy settings (national, provincial & local levels)

Workshops completed;

Report on workshop outcomes & policy implications from foresight analysis(A + PC)

March 2018

June 2018

Appropriate policy makers (local, provincial & national) engaged in workshops

Workshops act as a process for policy reform to account for major trends


3.3 Review the factors that influence the success & constraints of the HTR program that aims to foster CBCF on state-owned land

Analysis of primary & secondary data completed;

Policy brief distributed to key policy staff

April 2018

December 2018

Relevant data available & HTR remains a major program of government

Policy stakeholders at multiple levels use review to refine HTR program

3.4a Undertake an analysis of policies, programs & regulations that influence the adoption & viability of CBCF, integrating analyses of the government & private sectors Undertake an analysis of policies, programs & regulations that influence the adoption & viability of CBCF, integrating analyses of the government & private sectors

Workshop to identify current policies and constraints

Report and policy brief on the policy context for CBCF (PC + A);

Report from in-depth stakeholder interviews

Report from CBCF policy roundtable workshop

Report on project’s policy related achievements(PC + A)Report and policy brief on the policy context for CBCF (PC + A);

Facilitate discussions via ‘policy labs’

Report on outcomes from policy labs.(PC + A)

December 2016

June 2017;

December 2017

March 2018

June 2020une 2017;

September 2018

March 2020

Wide range of government & private sector involvement in analysis

Information supports strong integration of efforts by the government & private sectors to expand CBCF


3.4b Trial of ‘policy lab’ approach to enhancing CBCF related policies

Design of effective ‘policy lab’ approach for study sites

Facilitate first round of CBCF policy discussions via policy labs

Review ‘policy lab’ approach

Facilitate second round of policy discussions via policy labs

Report on outcomes from policy labs.(PC + A)

March 2017

June 2018

September 2018

December 2019

March 2020

Experienced policy makers will be willing to participate

Design of an effective science-policy forum

3.5 Facilitate a multi-stakeholder discussion forum every 6 months in each study site to exchange CBCF experiences & discuss emerging research findings

District forums conducted regularly (PC + A)

December 2020 Wide cross-section of stakeholders regularly engaged in forums

Forums to provide an environment for enhanced stakeholder cooperation


NB: Outputs shown in bold are potential reportable project outputs for ACIAR Annual Operational Plans.


5.3 Project personnel

5.3.1 List of participants involved in the project

Australian commissioned and collaborating organisations Name Sex

(m/f)Agency and position Discipline and role in

projectTime input (%)

Funding

Dr Digby Race M USC, Senior Researcher Socio-economist, Project Leader

80% ACIAR (30%) & USC (50%)

Dr Hugh Stewart M Consultant/Senior Researcher

Economist & forest industry analyst, Objectives 1 & 3

70 days

ACIAR

Mr Rowan Reid M Australian Agroforestry Foundation (AAF) & UMelb

Farm forester & educator, key researcher, Objective 2

70 days

ACIAR

Prof John Herbohn

M USC, Professor of Tropical Forestry

Experienced in forest policy analysis, economic evaluation & rural development

5% USC

Partner country institution or collaborating IARCName Sex

(m/f)Agency and position Discipline and role in

projectTime input (%)

Funding

Dr Bambang Supriyanto

M FOERDIA Bogor, Director Forest policy, Indonesia project coordinator, administration & scientific leadership

10% FOERDIA

Ms Setiasih Irawanti

F FOERDIA Bogor, Researcher

Socio-economist 40% FOERDIA

Ms Aneka Prawesti Suka


Socio-economist 100% FOERDIAACIAR

Ms Setiasih Irawanti



Dr Lukas Wibowo M FOERDIA Bogor, Researcher

Forest policy analyst 20% FOERDIA

Dr Kristiana Wahyudiyati


Forest policy analyst 40% FOERDIA

TBC m/fF FOERDIA Bogor, Researcher

HTR program analyst 40% FOERDIA

Mr Misto M FOERDIA Makassar, Director

Forest policy, administration

10% FOERDIA

Mr Achmad Bisjoe M FOERDIA Makassar, Researcher

Socio-economist, Site Coordinator – Bulukumba

50% FOERDIA

Ms Nurhaedah Muin

F FOERDIA Makassar, Researcher


TBC m/f FOERDIA Makassar, Researcher

Socio-economist 40% ACIAR

Prof Eko Hardiyanto

M UGM, Senior Lecturer Forestry policy analyst 10% UGM

Ms Silvi Nur Oktalina

F UGM, Lecturer Socio-economist 40% ACIAR*


Mr Dwiko Permadi M UGM, Lecturer Socio-economist 40% ACIAR*

Mr Harsoyo M UGM, Lecturer Gender Development specialist

20% ACIAR*

Dr Muktasam Abdurrahman

M Uni Mataram, Senior Lecturer

Socio-economic analysis & rural development M&E

40% ACIAR*

Mr Achmad Darisman

M Trees4Trees, Regional Manager

Rural extension officer, Site Coordinator – Pati

50% ACIAR

Ms Novita Arianti F Trees4Trees, Social Environmental Officer

Community forestry expertise, Central Java

10% T4T

Mr Mark Schmidt M Trees4Trees, Program Director

Forest industry experience 5% T4T

* = UGM and UM staff will require funding to ‘buy out’ their teaching time, to enable them to have extended periods of involvement in the project.

Note: The contribution quantum and role of individual personnel will be confirmed when organisational workplans are developed, within 3 months of project commencement.

5.3.2 Description of the comparative advantage of the institutions involvedThe University of the Sunshine Coast has:

established effective partnerships with key forestry research organisations in Indonesia (FOERDIA, UGM, UM, T4T);

successfully administered and manages several large ACIAR-funded research projects in South-East Asia (including Indonesia), such as FST/2007/078, FST/2011/057 and FST/2014/099; and

an experienced team of post-graduate researchers undertaking social, economic, institutional and policy research, with several members likely to be involved in this project.

The Indonesian Ministry of Environment and Forestry’s (MoEF) Agency for Research, Development and Innovation (FOERDIA) has:

national authority to research the impacts of Indonesia’s major forest policies and emerging issues, and advise the MoEF of appropriate responses;

an extensive network of 15 forestry research institutes with over 2,000 staff (including more than 500 forest scientists) throughout Indonesia.

University of Gadjah Mada (UGM) is one of Indonesia’s highest ranked universities, with a world-renowned Faculty of Forestry. The Faculty has a range of expertise that is relevant to this project, such as socio-economic analysis of community forestry (Ms Silvi Oktalina & Mr Dwiko Permadi) and forestry economics (Prof Eko Hardiyanto). The project team has recently appointed Mr Harsoyo to the roleof Gender Development Specialist, with Mr Harsoyo being an experienced academic member of UGM’s Faculty of Agriculture. Close involvement of UGM will also facilitate closer cooperation with USC in relation to post-graduate exchange and training.

The University of Mataram is an established tertiary education and research institution in eastern Indonesia, with strong networks within the region. It has specialist expertise in rural development and community forestry (e.g. Dr Muktasam Abdurrahman). The University of Mataram has worked closely with WWF Indonesia and other organisations to provide advice on farmer extension programs.

Trees4Trees is an established NGO, funded by its network of timber manufacturers and retailers, and seeks to establish a sustainable supply of timber from over 13,000 smallholders across Java. Trees4Trees has an independent Board and an experienced staff, and has expressed a strong willingness to work closely with the project team to critically assess its approach to forest certification in the Pati district, Central Java.


5.3.3 Summary details of the role of each participant involvedDr Digby Race (USC, Project Leader – Australia) has more than 20 years of research

and program management experience relating to community-based and farm forestry, and has managed research projects with a combined value of more than $4 million. Dr Race has post-graduate qualifications in program evaluation and is regularly contracted as a senior consultant to evaluate regional and national programs. He also provides post-graduate teaching and supervision relating to community-based forestry, and has been the project leader of two previous ACIAR projects in Indonesia (FST/2003/025 and FST/2008/030).

Dr Bambang Supriyanto (FOERDIA, Project Coordinator Manager – Indonesia) is the Director of FOERDIA’s Centre for Social, Economic, Policy and Climate Change Research, based in Bogor. He has more than 30 years of experience across a wide range of technical forestry and forest policy areas in Indonesia. Dr Supriyanto will coordinate the involvement of a range of FOERDIA Bogor staff with forest policy and socio-economic research expertise and staff with experience of HTR program evaluation, such as Ms Setiasih Irawanti (socio-economic analysis in Objective 1), Ms Aneka Prawestisuka (social research & project communication), Dr Lukas Wibowo (forest policy analysis & HTR review) and Dr Kristiana Wahyudiyati (forest policy analysis & HTR review).

Ms Aneka Prawesti Suka (FOERDIA, Project Coordinator – Indonesia) will be seconded to the project for 100% of her time (salary funded via the project). Ms Suka will lead the design and facilitation (implementation) of the project's 'policy lab' approach (Activity 3.4b), and prepare an annual brief report on the 'policy lab' activities, participants and perceived effectiveness. Ms Suka will also play a key role in organising the internal communication between project partners in Indonesia, and between FOERDIA and the Australian project leader (D. Race). She will also lead the production of the project’s bi-lingual newsletters, general financial and business administration for FOERDIA (organising the project annual meetings among partners and invited stakeholders), and play a leading role in the baseline socio-economic assessments across the five study areas, and the social network analysis (Activities 1.1 & 1.2b).

Dr Hugh Stewart (Sub-consultant to USC) is a highly experienced economist and forest industry analyst, with more than 30 years of professional experience in industrial and small-scale forestry. He has recent experience of forestry in Indonesia as a key member of the recent ACIAR ‘CBCF in Indonesia’ project (FST/2008/030).

Mr Rowan Reid (Australian Agroforestry Foundation) is renowned for his design and coordination of the highly-regarded Australian Master Tree Grower (MTG) program, which delivers training to farmers and other landholder engaged in forest management. The MTG program has successfully trained over 1,500 tree growers in Australia, Africa and South-East Asia. He has recent experience of forestry in Indonesia as a key member of the recent ACIAR ‘CBCF in Indonesia’ project (FST/2008/030). Rowan is also an Adjunct academic with Melbourne University.

Ms Silvi Oktalina, Mr Harsoyo, Mr Dwiko Permadi and Dr Eko Hardiyanto (University of Gadjah Mada) are highly experienced in the socio-economic analysis of community forestry, rural communities and forestry economics, respectively. Ms Silvi Oktalina is expected tocomplete her PhD at UGM in October 2016, and will play a lead role in the design, collection and reporting of the baseline socio-economic data and social network analysis across all study sites (Objective 1). Mr Harsoyo is the project’s Gender Development specialist and will lead the design, collection and evaluation of the project’s engagement with farming women. Mr Permadi is currently a JAF completing his PhD study at the University of Western Australia (anticipated completion December 2016) and he will return to UGM in


2017 to be involved in the policy analysis of Objective 3. Dr Eko Hardiyanto is a highly experienced forest researcher and project manager (a lead researcher in several ACIAR projects).

Mr Misto (FOERDIA Makassar) is the Director of FOERDIA Makassar and an experienced forest scientist. Mr Misto will be actively involved to identify and communicate with national and provinancial policy-makers of relevance to the project.

Mr Achmad Rizal Bisjoe (FOERDIA Makasar) is a Research Team Leader in FOERDIA, with expertise in socio-economic and forest policy analysis, and will coordinate the involvement of several experienced researchers at FOERDIA Makassar, such as Dr Kadir Wakka (economic analysis & review of MTG training), Ms Nurhaedah Muin (social research & community participation), Mr Bugi Sumirat (social research & delivery of MTG training), Ms Nur Hayati (policy analysis) and Ms Rini Purwanti (policy analysis & delivery of MTG training).

Dr Muktasam Abdurrahman (University of Mataram) is an experienced social scientist and development specialist, and how been contracted to provide his expertise on a number of agricultural, fisheries and forestry research projects funded by ACIAR over the past 15 years.

Mr Achmad Darisman and Ms Novita Arianti (Trees4Trees) are an experienced program manager and field officer, respectively, in community-based forestry across Indonesia. Mr Mark Schmidt (T4T’s Program Executive) will also provide strategic advice to the project team, as requested. Mr Schmidt has worked in Indonesia’s industrial wood processing sector for more than two decades.

5.4 Intellectual property and other regulatory complianceThere will be no exchange of germplasm, proprietary materials or techniques during the project. Also, the project does not require any commercial foreground intellectual property to be exchanged or purchased.

5.5 Travel table

PART A Commissioned Organisation – University of the Sunshine CoastTrip no.

Person or position Estimated date of travel

From / to Purpose Duration(days)

1 D. Race (USC), Project Leader

Yr 1 Melbourne to Jakarta + field locations

Meet with project team + engage local partners

20 days

2 D. Race (USC) Yr 1 Melbourne to Jakarta + field locations

Project inception meeting + field visits

10 days

3 H. Stewart (c/- USC) Yr 1 Melbourne to Jakarta + field locations


10 days

4 R. Reid (c/- USC) Yr 1 Melbourne to Jakarta + field locations


10 days


Meet with project team + assess engagement with local partners

14 days



Meet with project team to review field data (Annual Meeting) & conduct preliminary analysis

10 days


Meet with senior staff of organisational partners

7 days


Meet with project team to review value chain data + forest certification options

7 days


Meet with project team to refine MTG approach + field visits

10 days


Meet with project team + review social network data

10 days


Meet with project team (Annual Meeting) to finalise social network analysis

7 days


Meet with project team to finalise assessment of forest certification + prepare guidelines

7 days


Meet with project team + assess MTG courses + design F2FM program

10 days


Meet with project team + assess engagement with local partners + design ‘foresight’ analysis

14 days

15 D. Race (USC) Yr 3 Melbourne to Jakarta

Meet with project team to conduct ‘foresight’ analysis

10 days


Meet with project team (Annual Meeting) + present ‘foresight’ analysis to senior policy makers

10 days


Meet with project team + conduct final evaluation of MTG courses + F2FM program

10 days


Meet with project team + assess engagement with local partners + communicate policy analysis

14 days



Meet with project team (Annual Meeting) + finalise communication with national & local partners

10 days


Meet with project team + conduct end-of-project evaluation

14 days

PART B Overseas Partner Organisation/sTrip no.

Person or position Estimated date of travel

From / to Purpose Duration(days)

1 A. Prawesti Suka, L. Wibowo & K. Wahyudiyati (FOERDIA)

Yr 1 Jakarta to Melbourne

To meet with D. Race & H. Stewart to design method for ‘policy lab’, HTR analysis & forest certification study

7 days

2 M. Abdurrahman (UMat) Yr 1 Jakarta to Melbourne + field locations

To meet with D. Race & R. Reid to design project M&E + evaluation of MTG courses

10 days

3 Study tour: 5-10 people (TBC)

Yr 2 Jakarta to Brisbane + field locations

Study tour of farm-based forestry activities & programs

7-10 days

4 M. Abdurrahman (UMat) Yr 3 Jakarta to Melbourne + field locations

To meet with D. Race & R. Reid to analyse project M&E data

7 days

5 S. Oktalina (UGM) Yr 3 Yogyakarta to Brisbane + Melbourne

To analyse social network data + prepare publications

7 days

6 B. Supriyanto (FOERDIA) Yr 4 Jakarta to Melbourne + Canberra

To meet with D. Race to draft key findings + impacts from project, presentation to ACIAR

7 days


ReferencesAsia Development Bank (2013) Cost-benefit analysis for development: A practical guide. ADB, pp. 379.

Borgatti, S.P., Mehra, A., Brass, D.J. & Labianca, G. (2009) Network Analysis in the Social Sciences. Science, 323 (5916): 892-895.

Bull, G. & White, A. (2002) Global forests in transition: Challenges and opportunities. Proceedings of Global Perspective on Indigenous Forestry: Linking Communities, commerce and conservation, 4-6 June 2002, Vancouver, Canada.

Davies, R. & Dart, J. (2005) The ‘Most Significant Change’ (MSC) Technique: A guide to its use (version 1.0). Pp: 104.

Gilmour, D. (2016) Forty years of community-based forestry: A review of its extent and effectiveness. FAO, Rome.

Hajkowicz, S. & Moody, J. (2010). Our future world. An analysis of global trends, shocks and scenarios. CSIRO, Canberra.

Irawanti, S., Ginoga, K.L., Prawestisuka, A. & Race, D. (2014) Commercialising Community forestry in Indonesia: Lessons about the barriers and opportunities in Central Java. Small-scale Forestry, 13 (4): 515-526.

Knowles, M.S., Swanson, R.A. & Holton, E.F. (2005) The adult learner: The definitive classic in adult education and human resource development (6th ed.). California: Elsevier Science and Technology Books.


Maryudi, A., Nawir, A. A., Permadi, D. B., Purwanto, R., Pratiwi, D., Syofi'i, A. & Sumardamto, P. (2015) Regulatory and market constraints facing private smallholding tree farmers in timber harvest and commercial markets: The case of Gunungkidul District, Indonesia. Forest Policy and Economics, 59: 1-6.

McKenzie, F. (2013) Welcome to the future drivers and trends that will shape Australia: A discussion paper. Australian Futures Project, La Trobe University.

Mills, G.E. (2000) Action Research: A Guide for the Teacher Researcher. New Jersey, Prentice-Hall Inc. Pp: 184.

Muktasam, A. (2015) ‘Evaluation report – Master Tree Grower Indonesia Initiative’. Unpublished report by the University of Mataram, Indonesia, pp: 24.

Obidzinski, K. & Dermawan, A. (2010) Smallholder Timber Plantation Development in Indonesia: What is Preventing Progress? International Forestry Review, 12 (4): 339-348.

Patton, Q. M. (1997). Utilization focused evaluation: The New Century Text (3rd. ed.). London: Sage Publications.

Permadi, D. et al. (2015) Farmers’ preferences for improving reforestation contract for pulpwood: Evidence from a choice experiment study in company-community partnership scheme in Indonesia. Forest Policy and Economics (under review).

Poffenberger, M. (2006) People in the forest: community forestry experiences from Southeast Asia. International Journal of Environment and Sustainable Development, 5 (1): 57-69.


6 Appendix A: Intellectual property registerInquiries concerning completion of this form should be directed to <[email protected]>.

6.1 Administrative detailsProject ID FST/2015/040

Project title Enhancing community-based commercial forestry in Indonesia

Assessment provider Dr Digby Race (USC)

If not Australian project leader, provide titleDate of assessment 1st February 2016

6.2 Categories of intellectual property and brief description

Plant or animal germplasm exchangeDoes the project involve: Yes Noprovision of germplasm by Australia to a partner country? √provision of germplasm from a partner country to Australia? √provision of germplasm from or to an IARC or another organisation and a project participant?

√

use of germplasm from a third party √material subject to plant breeders/variety rights in Australia or another country? √

If “yes” to any of the above, for each applicable country provide brief details of the material to be exchanged:

If the germplasm exchange can be finalised before the project commencement, provide a Materials Transfer Agreement.

If the specific germplasm to be exchanged cannot be identified until after project commencement, indicate the type of material likely to be exchanged.

Country Details of plant or animal germplasm exchange

Proprietary materials, techniques and informationDoes the project involve provision (from one party to another) of: Yes Noresearch materials or reagents (e.g. enzymes, molecular markers, promoters)? √

proprietary techniques or procedures? √

proprietary computer software? √

If "yes" to any of the above, for each applicable country provide:

brief details of the materials or information, the organisation providing, and the organisation receiving the materials a copy of any formal contract between the parties.

Country Details of proprietary materials, techniques and information



Other agreementsIs any aspect of the project work subject to, or dependent upon: Yes Noother materials-transfer agreements entered into by any project participant? √

confidentiality agreements entered into by any project participant? √

If "yes" to any of the above, for each applicable country provide:

brief details of the agreements and conditions

a copy of any such agreement before project commencement.

Country Details of other agreements

6.3 Foreground, background and third party Intellectual PropertyThis includes, but is not limited to patents held or applied for in Australia and/or in partner countries and/or in third countries. For example, Foreground IP includes any new germplasm, reagents (such as vectors, probes, antibodies, vaccines) or software that will be developed by the project.

Foreground IP (IP that is expected to be developed during the project)Ownership of or rights to Foreground IP other than as detailed in the ACIAR Standard Conditions must be approved by ACIAR.

Yes NoIs it expected that there will be Foreground IP? √

If "yes",

for each applicable country provide brief details of the IP and who will have rights to use the IP (e.g. Commissioned Organisation, Australian collaborating organisation/s partner countries).

If a patent, give details of patent status (provisional, application, granted), priority date and designated countries.

Country Details of foreground IP

Background IP (IP that is necessary for the success of the project but that has already been created and is owned by parties to the project)Any agreements in place regarding Background IP should be provided to ACIAR prior to project commencement.

Yes NoIs it there Background IP? √

If “yes”,are there any restrictions on the project's ability to use the Background IP?

√


would there be any restriction on ACIAR or the overseas collaborator claiming their rights to IP for the project based on the Background IP (refer ACIAR Standard Conditions)?

√

If "yes", for each applicable country provide brief details of:

the source of the Background IP.

whether the Commissioned Organisation and/or Australian collaborators and/or developing country collaborators own it.

any conditions or restrictions on its use.

country Details of background IP

Third Party IP (IP that is owned by or licensed from other parties)Agreements governing the use of third party IP can be related to research materials, research equipment or machinery, techniques or processes, software, information and databases.

Yes NoIs there any relevant Third Party IP that is essential to the project? √If “yes”, would there be any restriction on ACIAR claiming its rights to IP for the project (refer ACIAR Standard Conditions)?

√

If "yes", for each applicable country provide brief details of:

the source of the Third Party IP.

the applicable country/ies, the circumstances/agreement/arrangement under which the IP is to be obtained or used by the project partners (for example, material transfer agreement, germplasm acquisition agreement, confidentiality agreement, research agreement or other arrangements).

any conditions or restrictions on its use.

Country Details of third party IPIndonesia Confidential pricing (costs, returns) by private sector entities may be

shared with researchers under conditions of anonymity for economic analyses.

Australia None anticipated.

Other contracts, licences or legal arrangementsYes No

Are there any other contracts, licences or other legal arrangements that relate to the project?

√

If "yes", for each applicable country provide brief details.

Country Details of other contracts, licences or legal arrangements


7 Appendix C: Supporting documentation

Documents provided separately include:

Letters of support from key partner organisations; and

Curricula vitaes of key researchers.


8 Appendix D: Communication and dissemination checklist

How would you define impact within the context of the project?(e.g. farmers in project field trials adopt new variety)

Farmers receiving higher incomes from adoption of improved pactices and market pathways with CBCF.

Who are the main target groups/intended users for this research?

X FarmersX Extension workersX Policy makersX ScientistsX Commercial sectorX Non-government organisationsX Funding providers

Other

What types of outputs do you anticipate the project generating?

New crop varietiesNew management techniques (husbandry, tillage, planting cycles etc)New tools (direct drill ploughing, computer models etc)

X New coordination/management practices for accessing markets or value chainsPublication(s) (within the ACIAR scientific publications series)

X Other media (posters, brochures, DVDs, CDs etc)

X Case studiesDemonstration plots, on-farm participatory trials etc

What is the incentive or incentives for the main target groups in adopting this research?

Enhanced viability of CBCF, which is already widely practiced in rural Indonesia.

What is the anticipated time within the project until first outputs are at a point where you would want to disseminate these to end users?

ImmediatelyDuring year 1

X During year 2X During year 3X During year 4

Post project

What way do you think is best to raise awareness of outputs with end users?

PublicationMainstream/local mediaWorkshop

X Training coursesSocial media (Facebook, Twitter)Mobile phone (text messaging, mobile application)Field daysField trialsDemonstration plots

X Farmer visitsMedia engagement

What communication products would be useful for this project (ensure these are budgeted for)?

X BrochuresPosters

X WebsiteDVDsCD-ROM


X Hard copy publicationsX Events

Who are the major target groups and what mechanisms are available for disseminating project information to these groups?

List Target groups List appropriate mechanisms

Farmers Via existing networks of village-based farmer groups.

Indicate if this dissemination is a project responsibility and if so at what stage?

X YesX Pilot stage

Field trials/demonstrationsFull scale out

No

Is there an existing network, association, organisation etc in place to communicate with end users?

X YesX Village-basedX Farmer associationsX Extension servicesX Government research organisationsX University/academicX Commercial sectorX Non-government organisationsNo

Can this network be utilised by the project team for delivering outputs/information?

X YesNo

Does this network, association, organisation etc have a track record in delivering outputs/information?

X YesNo

If no what could improve the chances of this network delivering research outputs/information?

Would an on-the-ground communications person (such as an Australian Youth Ambassador for Development) help in disseminating information and outputs?

YesNo

Would engagement with a third party organisation, such as an NGO, help in delivering output information to end users?

X YesX Within the project

Scale up beyond the projectNo

If such engagement would help to disseminate information are there suitable organisations operating in this area?

X YesList: As noted above.

How would you gauge efficacy of communications activities?

Number of training/workshop participantsExtent of F2F communicationWebsite visitsBrochures/posters etc distributed to villages

Should you wish to discuss aspects of the project’s communications strategy with ACIAR, please contact the Communications Unit for advice and assistance <[email protected]>.


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