Appendix 2

APPENDIX 2

List of variables and information to be included

Background to case study

Year of data. Provide the year that your year-specific data refers to. Although we will attempt to standardize by using data from 1998, enter a different date here if the bulk of the data does not come from 1998. Individual variables may come from different years. If that is the case, specify the year next to those variables.
Purpose of study. In a few sentences, indicate the reasons for the original study or studies. Explain if it was the result of academic research, a consulting report, or a conservation, rural development, or other project. Include a note on the scope and duration of the research.
Species name. Give the scientific name, trade name, and common name of the species in the case study. In some cases, more than one species will be mentioned. Try to provide an assessment of the relative importance in volume terms of the different species.
Locality of raw material production area. Indicate province, district, township, etc.
Country.
Latitude and longitude.
Names of collaborators. Where different collaborators are contributing different sets of data to the same case study, indicate this on the spreadsheet.

Geographic setting

Spatial extent of the raw material production area. Indicate the size of the raw material production area for the case study in square kilometers. In cases where the forest/collection area and the village area are adjacent to each other, the spatial extent is the sum of these two areas. Where the village area is embedded in the collection area, then it is the area that people in those villages use to collect the forest product.
Size of the human population. Indicate the number of people in the raw material production area for the case study, including those in adjacent settlement areas. This number includes all the people living in the area, not only those engaged in the forest product production-to-consumption system. However, large urban centres should be excluded from the raw material production area.
Trend in the growth of the human population. Has the human population in the area increased, remained stable, or decreased during the previous decade? Include changes resulting from migration. The population is considered stable if change is less than 1%.
Predominant land use. Indicate major land uses in the raw material production area, recorded in terms of absolute area in square kilometers according to the following categories: rain-fed crop production, irrigated crop production, permanent crops, pasture including savannahs/woodlands that have been reused for grazing, swidden fallow, forest, settled areas, and marsh/swamp.
Level of available transportation infrastructure. Record the total length of passable roads and rail per square kilometer in the 100,000-ha area centered on the raw material production area.
Forest type. Indicate the forest type according to the Holdridge classification system.
Elevation of raw material production area. Give the mean elevation of the raw material production area expressed as miles above sea level [Erratum].
Soil type. Note the predominant soil types derived from the FAO Soils Map of the World.
Precipitation. Record the average annual precipitation of the raw material production area in mm.

Characteristics of the product

Source of the product.
           A. Animal
               1) Whole or part of carcass, hides, i.e., harvesting kills the animal.
               2) Products made by animals, e.g., honey, silk, birds' nests, i.e., harvesting does not kill the animal.
          B. Plant
               1) Vegetative structure, e.g., leaves, branches, stem, bark, root
               2) Reproductive propagules, e.g., flowers, fruits, seeds, other.
               3) Plant product, e.g., exudate: latex, resin, gum.
               4) Product of parasitic infection of plant, e.g., stick lac, gaharu.
          C. Fungus
               1) Mushroom
          D. Forest
               1) Tourism
               2) Ecological services
Use of product. Using the list below, indicate the first, second, and third most important uses of the product on a volume basis. In this question, use includes subsistence or commercial use. Select only one product per column.
Perishability of the product. Indicate the number of days at ambient temperature, but under cover, required for the harvested forest product, air-dried if applicable, to lose 50% of its farmgate value.

Characteristics of the production system

Importance of wild gathering in the raw material production area. Indicate the percentage of annual production in the raw material production area that is collected from the wild or naturally reproducing population vs. the managed population in a forest/natural environment and the cultivated population.
Importance of wild gathering in international production of the product. Answer yes or no to these questions: Is there significant national or international commercial production of this product that is harvested from the wild or naturally producing population? From a managed population in a forest/natural environment? In a cultivated population?
Trend toward increasing intensification in the raw material production area. Note the percentage increase in annual production from a managed/cultivated/ domesticated resource in the previous decade.
Habitat type. Indicate the percentage of annual production of product in the raw material production area from the following habitat types: primary forest, disturbed primary forest, secondary forest (> 10 yr old or part of a forest system), savannah/woodland, fallow as part of an agricultural system, agricultural fields with very few scattered trees, plantation, agroforest, coastal/wetland. If this classification does not work for your particular study site, please add and explain the appropriate categories.
Length of the biological harvesting season. Indicate the number of months per year that harvesting can be carried out based on the biological limits of the organism.
Length of the effective harvesting season. Indicate the number of months per year that harvesting can be carried out based on climatic limitations, e.g., rainy season prevents access or high humidity limits processing; cultural norms; market demands, e.g., sales only in particular festive seasons; or government regulations, e.g., hunting seasons.
Production technology and labor intensity. Calculate the average person-days per hectare per year for growing and harvesting the product, but do not include transport to/from the harvesting area.
Production technology and technology intensity. Compute the average cost in U.S. dollars of inputs other than labor per hectare per year for growing and harvesting the product. This sum should cover tools, bullets, fertilizers, pesticides, etc. The cost of large capital items that last more than a year should be averaged over the typical life of the item.
Gender representation in production. Indicate the percentage of production and harvesting labor carried out by women.
Land tenure. Indicate the percentage of production that is carried out under different types of land tenure based on these categories (note that resource rights are covered in a later section): private land, state land, communal land or common property, and open access.
Value of the land.. Calculate in U.S. dollars the value of the land if rented or sold, including concession fees.

Ecological implications of production

Geographic range. Choose the appropriate category to indicate the total global area in which the target species lives: large (> 10⁶ km²), medium (< 10⁶ but > 75,000 km²), small (< 75,000 km²).
Habitat specificity. Choose the appropriate category to indicate the the number of different habitat types (see above) in which the target species can live: wide (many habitats), moderate (2–3 habitats), narrow (1 habitat).
Regeneration period. Give the time in years from germination or birth to harvesting maturity.
Reproductive period.. Give the time in years from germination or birth to reproductive maturity.
Life span. Indicate in years the average life span of an individual.
Impact of the harvest on the individual. Describe the effects of harvesting on the individual, i.e., the individual is killed, damaged, or unaffected.
Impact of the harvest on the target species. Describe the effects of harvesting on the local population of the target species, e.g., the population is declining, stable, or increasing.
Impact of the harvest on the ecosystem. Describe the effects of harvesting on the ecosystem, e.g., negative, neutral, or positive.
Impact of the harvest on dependent organisms. Describe the effects of harvesting on dependent organisms, e.g., negative, neutral, or positive.
Exploitation history. Indicate in years the length of time a resource from the raw material production area has been exploited commercially.
Density. Indicate the number of economically harvestable individuals per hectare.
Recruitment. Indicate the percentage of mature individuals within the raw material harvesting area. Harvesting areas may be small areas used for harvesting within a larger productive forest.

Socioeconomic characteristics of the raw material production area

Average household size. Indicate the average number of people per household in the raw material production area. "Household" designates a unit of production and not a unit of social organization, although in practice these will often overlap.
Number of producers per household. Indicate the average number of people involved in production per producer-household. Producers include both collectors and harvesters.
Average annual household income. Calculate in U.S. dollars the average total annual household income, i.e., subsistence + barter + cash, in the raw material production area. Clarify the extent to which the data really represent subsistence use, e.g., many income statistics may incorporate agricultural subsistence but not income from forest products. Specify the nature of all the income data.
National annual household income for data year. Calculate in U.S. dollars the national average household income for the year of data collection. For large countries with large differences in average household incomes between states, e.g., Brazil, provide both national and state figures.
National annual household income for 1998. Calculate in U.S. dollars the national average household income for the year 1998. To explore cross-case comparability, we will attempt to get data for a common year. The previous question reflects the reality that much of the data from the studies may not come from 1998. For large countries with large differences in average household incomes between states, e.g., Brazil, please provide both national and state figures.
Integration into the cash economy. Indicate the percentage of average total income, i.e., subsistence + barter + cash, of households in the raw material production area that is earned in cash.
Local labor rate. Calculate in U.S. dollars the average daily wage for labor in the raw material production area.
Proportion of households involved in the production-to-consumption system. Indicate the percentage of households in the raw material production area that are involved in: (a) production, (b) processing, (c) marketing, and (d) production and/or processing and/or marketing. Generally, (a), (b), and (c) do not sum up to give (d) because many households may be performing more than one function.
Trend in household involvement in the production-to-consumption system. Has the percentage of households involved in production, processing, and marketing the product increased, remained stable, or decreased?
Average household income of producer households. Calculate in U.S. dollars the average annual household income, i.e., cash + subsistence + barter, of producer households in the raw material production area.
Degree to which the product contributes to the household income of producers. Indicate the percentage of average producer-household total income, i.e., subsistence + barter + cash, derived from the product.
Numbers of products in the nontimber forest product (NTFP) portfolio. How many other NTFPs are produced on average per producer household for trade, inclusive of barter? Choose the appropriate category: 0–2, 3–5, 6, or more.
Trend in income from forest product production. Has relative household income from production of the forest product increased, remained stable, or declined over the previous decade?
Social attitudes toward forest product production. Do producers of the product have high, medium, low, or no particular status in their local communities? Do producers of the product have high, medium, low, or no particular status at the national level?

Institutional characteristics of producers

Level of organization among raw material producers. Is there a raw material producers' organization that deals with the product in question? Choose from the following: no, informal, formal.
Effectiveness of the organization. Is the raw material producers' organization effect on the producers generally positive, neutral, or negative?
Age of the organization. If there is a producers' organization, how many years has it been in existence?
Degree of participation in the organization. Indicate the percentage of forest product producers who participate in a producers' organization.
Barriers that prevent new households from getting involved in producing the product. Are there barriers that make it difficult for new producers to enter the market? If yes, choose one or more of the following: social barriers, e.g., local rules, restrictions of caste, family, or ethnic ties; economic barriers, e.g., the costs of entry are too high for some; technical barriers, e.g., production/processing requires special skills or knowledge; regulatory barriers, e.g., laws preventing entry.
Customary rules governing forest/product use. Are there local, i.e., traditional or customary, nonstatutory, rules governing access to and management of the product? Answer yes or no.
Respect by the community of their customary laws. Answer yes or no to these questions: Do raw material producers generally respect the traditional rules governing access to and management of the product? Are the rules effectively enforced?
Effectiveness of customary rules. Is the effect of traditional rules governing access and management of the forest product generally positive, neutral, or negative in influencing exploitation of the resource for the product in question? Positive would mean resource exploitation tends to be sustainable. Do these rules promote equitable access to the resource? If not, which groups dominate resource access? Do these rules affect total production?

Policies affecting raw material production

Government regulations. Answer yes or no to the following questions: Are there current government regulations or rules that are intended to influence the production of the product or raw material? If yes, is their effect generally positive, neutral, or negative in influencing exploitation of the resource for the product in question? Positive would mean resource exploitation tends to be sustainable. Do these regulations promote equitable access to the resource? If not, which groups dominate resource access? Do these regulations affect total production?
Incentives, e.g., tax, subsidies. Are there taxes, fees, or subsidies that are intended to influence the production of raw materials? If yes, is their effect generally positive, neutral, or negative in influencing exploitation of the resource for the product in question? Positive would mean resource exploitation tends to be sustainable. Do these incentives promote equitable access to the resource? If not, which groups dominate resource access? Do these incentives affect total production?
Direct investment by government in research, extension, direct ownership, etc. Is there government investment to support, encourage, or develop the production of raw materials? If yes, is its effect generally positive, neutral, or negative in influencing exploitation of the resource for the product in question? Positive would mean resource exploitation tends to be sustainable. Does this government investment promote equitable access to the resource? If not, which groups dominate resource access? Does government investment affect total production?
State intervention. Has state intervention in the production of raw materials generally increased, remained unchanged, or decreased during the past decade?
Legal recognition/resource tenure. Answer yes or no to these questions: Do raw material producers have the recognized legal right to harvest the product for trade? Do raw material producers have the recognized legal right to change the land use to another production system?
Legal recognition. Have the legal rights of raw material producers to harvest the product for commercial purposes improved, remained unchanged, or worsened over the last decade?
Community knowledge of legal rights. Are the raw material producers in the community generally aware of the nature of their legal rights to harvest the product for commercial purposes?
Legal action to claim land. Have there been any official claims by producers to increase land/resource rights over the past decade?
Relationship between state and traditional (local) laws. Are state laws and traditional (local) rules conflicting, complementary, or neutral to each other with regard to the product in question?

Characteristics of the processing industry

If there is more than one important end product, this section would be repeated for the most important by volume and the second most important commercialized end product. The questions in this section refer to the entire production-to-consumption system, not just to the raw material production area. Indicate the most important product and the second most important product, e.g., for a case of the baobab tree, bark might be the most important product and fruit the second most important product.

Product. Use the categories in the geographic setting section in question 2.
Degree of transformation from raw material to finished product. Rank the degree of processing that is required as low, e.g., fruit, bush meat, or other products that can be used directly by the consumer; medium, e.g., fiber from grass used for weaving or handicrafts, wood for carvings; or high, e.g., essential oil extracted from a plant and used in incense or as a chemical component in medicine.
Proportion of the value of the forest product in the finished product. Indicate what percentage of the value of the final product in the main market is represented by the value of the raw material (farmgate price).
Processing steps. Indicate how many major processing steps, e.g. drying, powdering, distilling, packaging, are performed inside the country and outside of the country? Please list the steps in comments. Omit the out-of-country information if it is too difficult to obtain.
Size of processing unit.Choose one of the following to indicate the average number of employees, including household members, per processing unit in the step with the largest number per processing unit: 1–5, 6–10, 11–50, > 50). In some cases a processing unit will be a household-run operation, in others a factory that hires employees. How many employees are inside the country and outside of the country?
Gender representation in processing. Indicate what percentage of the processing labor is carried out by women.
Total number of processors. Indicate how many processing units use raw materials originating in the raw material production area.
Level of organization among processors. Answer yes or not to the following question: Is there a formal organization concerned with the processing of the product in question among the processors at the lowest level (primary processors)?
Age of organization. If there is such an organization, how many years has it been in existence?
Degree of participation in the organization. Indicate how many processing units participate in the processors' organization.
Effectiveness of processors' organization. Does the processing organization have a positive, neutral, or negative effect on the bargaining power of processors?
Barriers to entry. Are there barriers that make it difficult for new processing units to enter the industry? If yes, are these social barriers, e.g., local rules, restrictions of caste, family or ethnic ties; economic barriers, e.g., the costs of entry are too high for some; technical barriers, e.g., processing requires special skills or knowledge; or regulatory barriers, e.g., laws preventing entry.
Regulations. Are there current regulations/rules that are intended to influence the processing subsector? If yes, is their effect on total production generally positive, neutral, or negative?
Incentives, e.g., tax, subsidies, etc. Are there taxes, fees, or subsidies that are intended to influence the processing sector? If yes, is their effect on total production generally positive, neutral, or negative?
Direct investment, e.g., research, extension, direct ownership, etc. Is there government investment to support, encourage, or develop the processing of the product? If yes, is the effect on the total output of processed product generally positive, neutral, or negative?
State intervention. Has state intervention in the processing of the product increased, remained unchanged, or decreased during the past decade?

Characteristics of trade and marketing

If there is more than one important final product, this section should be repeated for the most important end product by volume and for the second most important end product.

Product. Use the categories in the geographic setting section in question 2.
Age of market. Indicate how many years the product has been traded from the raw material production area.
Market trend. Has the market or the production-to-consumption system for this product expanded, remained stable, contracted, or shown boom/bust characteristics during the past decade?
Total number of raw material traders in the production-to-consumption system. Indicate the absolute number of first-order traders, i.e., traders who buy from producers of raw materials; second-order traders, i.e., traders who buy from first-order traders; and third-order traders, i.e., traders who buy from second-order traders, in the production-to-consumption system who are involved in trading products that originate in the raw material production area?
Trade opportunities for raw material producers. To what extent can raw material producers choose whom they sell their product to? Choose from among the following: they can sell to 1 buyer, 2–4 buyers, or more than 4 buyers.
Price of raw material. Indicate in U.S. dollars the average price/kg of the raw material at the farm or forest gate.
Distance to transportation network. Indicate in kilometers the walking distance from the raw material production area to the nearest road, river, or rail transport.
Distance to markets. Indicate in hours how much time is required to travel from the raw material production area to market. What is the mode of travel?
Value of trade in the raw material production area. Indicate in U.S. dollars the total annual farmgate value of the trade in the raw material originating from the raw material production area.
Value of national trade. Indicate in U.S. dollars the total annual farmgate value of the national trade in the raw material in the country, including all production areas.
Value of the export trade in raw materials and semi-processed products. Indicate in U.S. dollars the value of total national exports of raw materials and semi-processed products using Free on Board (FOB) prices.
Total number of traders of finished products in the production-to-consumption system.. Indicate the absolute number of first-order traders, i.e., traders who buy from manufacturers; second-order traders, i.e., traders who buy from first-order traders; and third-order traders, i.e., traders who buy from second-order traders, in the production-to-consumption system who are involved in trading products that originate in the raw material production area. This question is especially relevant for handicrafts, e.g., wood carving, basket making, etc.
Value of the export trade in finished products. Indicate in U.S. dollars the value of total national exports of finished products using the raw material from all production areas, not only the raw material production area of the case.
Market transparency. Indicate the percentage of raw material producers who have an accurate knowledge of what the product is used for, the percentage of raw material producers who have an accurate knowledge of the price paid for raw materials by second-order traders, and the percentage of raw material producers who have an accurate knowledge of the grading standards used by second-order traders.
Perishability of the finished product. Indicate the number of days required for the finished product to lose 50% of its value under typical storage conditions.
Product adulteration. Is the finished product subject to adulteration, e.g., the addition of water or other substances? Choose from the following: Always, occasionally, never.
Price variation. Indicate as a percentage how much higher the price is for high-priced finished products compared to low-priced finished products of the same kind/function.
Importance of "vertical integration." Indicate the percentage of processing firms that have ownership in firms supplying their raw materials and/or export and marketing firms. (In this question we are considering processing firms that use raw materials from the raw material production area.)
Level of organization among traders. Is there a formal trade organization?
Age of organization. If yes, indicate the number of years the trade organization has been in existence.
Degree of participation in the organization. Indicate the percentage of traders who participate in the trade organization.
Barriers to entry. Are there barriers that make it difficult for new traders to enter the business? If yes, are these social barriers, e.g., local rules, restrictions of caste, family or ethnic ties; economic barriers, e.g., the costs of entry are too high for some; technical barriers, e.g., marketing requires special skills or knowledge; or regulatory barriers, e.g., laws preventing entry.
Intensity of state involvement affecting forest product trade. Does the state try to influence the sector through policy instruments such as regulations governing the trade of the product? If yes, is the effect of state involvement generally positive, neutral, or negative in influencing the trade of the product in question? Are there incentives such as taxes, fees, or subsidies intended to influence the trade of the product? If yes, is their effect generally positive, neutral, or negative? Is there direct government investment intended to support, encourage, or develop the trade of the product? If yes, is the effect on total trade generally positive, neutral, or negative?
State intervention. Has state intervention in the trade of the product increased, remained unchanged, or decreased during the past decade?
Corrupt practices. Do the regulations create conditions that encourage illegal costs for the trade?

Outside intervention

External support for forest product production/producers/processing/trading. Have external donors or nongovernment organizations intervened to support the production-to-consumption system by providing assistance of a financial; technical, e.g., training, technical backstopping, etc.; organizational, e.g., capacity building; or political and/or advocacy nature?
Targets of external support. Has external support from donors or non-governmental organizations been targeted to (a) raw material producers, (b) traders, (c) processing/manufacturing industry, or (d) retail/export industry.
Trend toward increasing or decreasing outside support. Has outside support from the donors or nongovernment organizations increased, remained stable, or decreased to raw material producers, traders, the processing/manufacturing industry, or the retail/export industry?
External support for forest product production/producers/processing/trading. Have there been outside interventions from the private sector to support the production-to-consumption system in terms of financial support; technical support, e.g., training, technical backstopping, etc.; organizational support, e.g. capacity building; or political support or advocacy?
Target of external support. Has external support from the private sector been targeted to raw material producers, traders, the processing/manufacturing industry, or the retail/export industry?
Trend toward increasing or decreasing outside support. Has outside support from the private sector increased, remained stable, or decreased to raw material producers, traders, the processing/manufacturing industry, or the retail/export industry?
Source of external support. Which is the main source of external support: local/national nongovernment organizations, international nongovernment organizations, foreign governments, the national private sector, or the international private sector?