Barrier Analyses and Enabling Framework Report for the Prioritized technologies to advance climate change adaptation in the Forestry sector.

Barrier Analyses and Enabling Framework Report for the
Prioritized technologies to advance climate change
adaptation in the Forestry sector.
By: Dr. Joshua Zake (Ph.D), TNA Consultant, Forestry.
Telephone: +256773057488
Email: joszake@gmail.com
Personal website: https://ug.linkedin.com/in/dr-joshua-zake-18104523

Outline of the presentation
1.0 Introduction
2.0 Background and context
3.0 Technical considerations – methodology
4.0 List of barriers identified per prioritized technology
5.0 Classification of the barriers into hierarchy of categories:
6.0 Ranking of the identified barriers – criteria
7.0 Ranking of the identified barriers – Most essentialimportant barrier based on the criteria/key considerations
8.0 Problem & solution tree analyses for each of the barriers

1.0 Introduction/Context
• This is a report of the Phase II of the process of Technology Needs Assessment for the Forestry sector in
Uganda. This phase focused on barrier analyses and enabling framework identification for the prioritized
technologies for advancing climate change adaptation in the forestry sector in Uganda. The report therefore,
presents the key barriers and associated root causes for each of the prioritized technology and related
measures/strategies for addressing them.
• It also highlights the methods, approaches and tools which were applied in the process of barrier analyses and
enabling framework identification that was largely based on the publication titled, ‘Overcoming Barriers to the
Transfer and Diffusion of Climate Technologies,’ by Nygaard and Hansen, (2015).
Thus, this largely focused on the following:
a) Identification and prioritization the barriers using the following Barrier Analysis (BA) tools: review of
relevant literature (policies, action plans, annual reports, technical reports), informal/bilateral meetings,
brainstorming, a site visit, and the Logical Framework Analysis (LFA), also known as ‘Problem Tree’ to decompose
barriers and complete root cause analysis;
b) Assessment of the possible measures to address the barriers for the transfer and diffusion of each
technology and;
c) Identification of the enabling environment and support to enhance the uptake of the technologies.

• Uganda is a Party to the United Nations Framework Convention on Climate Change (UNFCCC). Thus, the UNFCCC
emphasizes the role of technology in stabilizing greenhouse gas (GHG) emissions and ultimately addressing the issue of
climate change. Uganda received support to conduct a technology needs assessment (TNA), from the Global Environment
Facility (GEF).
• The Global Technology Needs Assessment project is a Strategic Program on technology transfer, designed to
support countries to carry out Technology Needs Assessments (TNAs) within the framework of the UNFCCC and under
the Paris Agreement – to avert the risks and impacts of climate change and to reduce national GHG emissions.
• The project is being funded by the GEF and executed by UN Environment, in collaboration with the UN Environment
DTU (Technical University of Denmark) Partnership Centre on Energy, Climate and Sustainable Development (UDP).
This support is implemented by the UNEP DTU Partnership, Denmark and coordinated by Uganda National Council for
Science and Technology (UNCST) which is the national designated entity (NDE) for the Climate Technology Centre and
Network (CTCN),
• TNAs present an opportunity to track evolving needs for equipment, techniques, practical knowledge and skills which are
necessary to mitigate greenhouse gas (GHG) emissions and/or reduce vulnerability of sectors and livelihoods to the adverse
impacts of climate change. The TNA process is country driven; aligned to national development objectives and heavily
dependent on engagement with relevant stakeholders. As you may recall, stakeholders in August 2018 identified 4 priority
sectors, namely: Agriculture, Forestry, Water and Energy for the TNA process in Uganda. National experts were since
engaged to identify potential technologies for prioritisation in the respective sectors.

• The purpose of the TNA project is to assist participant developing country Parties identify and analyse priority
technology needs, which can form the basis for a portfolio of environmentally sound technology (EST) projects and
programmes to facilitate the transfer of, and access to, the ESTs and know-how in the implementation of Article 4.5
of the UNFCCC Convention. Hence, TNAs are central to the work of Parties to the Convention on technology transfer and
present an opportunity to track an evolving need for new equipment, techniques, practical knowledge and skills, which are
necessary to mitigate GHG emissions and/or reduce the vulnerability of sectors and livelihoods to the adverse impacts of
climate change.
The main objectives of the project are:
a) To identify and prioritize through country-driven participatory processes, technologies that can contribute to mitigation and
adaptation goals of the participant countries, while meeting their national sustainable development goals and priorities;
b) To identify barriers hindering the acquisition, deployment, and diffusion of prioritized technologies;
c) To develop Technology Action Plans (TAP) specifying activities and enabling frameworks to overcome the barriers and
facilitate the transfer, adoption, and diffusion of selected technologies in the participant countries.

• This initiative is, therefore timely for advancing adaption in the forestry sector through technology development as an entry
point. There are already visible and reported impacts of climate change on the forestry sector in Uganda that is already over-
burdened in contributing to the environment, economic and social benefits at different scales i.e. community, local, national
and international.
• For instance, 250,000 Ha of trees and forests are lost every (MWE, 2016). This is largely due to major drivers of
deforestation and forest degradation such as: high population growth, which presents increased demands for forest products
and services, urbanization & settlement, conversion of forest land for agricultural production, overgrazing, wildfires, charcoal
production, wood fuel for energy, infrastructure development (FAO, 2017).
Some of the impacts of climate change on the forestry sector include:
• increased infestation and proliferation of pests and diseases, but also emergency of new pests and diseases;
• the prolonged drought seasons promote wildfires, which destroy forest biodiversity, investment and community property;
• the prolonged droughts compromise the productivity of forest plantations and hence reduced returns on investment;
• increased encroachment on protected forest entities for livelihood and survival due to limited options within forest landscapes
as a result of negative impacts of climate change e.g. escalated land degradation and soil fertility depletion.

• The TNA process therefore, targets at identifying appropriate technologies for addressing these impacts to advance
adaptation of the forestry sector to the climate change and variability. The response action in terms of developing and
promoting technology development for adaptation in the forestry sector should be anchored within the existing forest tenure
(i.e. protected forest/central forest reserves – 30% of total forest estate; Local forest reserves, community and forest on
private land) and 7 forest landscapes across the country as described in the Forest Landscape Restoration Opportunity
Assessment Report for Uganda (MWE, 2016).
Status of implementation of the TNA project in Uganda
The implementation of the TNA for Uganda took a phased approach that involves 3 phases including:
Phase 1 - Identification and prioritization of sectors;
Phase 2 - Barrier analyses and enabling framework identification; and
Phase 3 – Development of the Technology Action Plan.

• Phase 1, during which the technologies for the advancing climate
change adaptation for the forestry sector were identified and
prioritized through key stakeholder engagement and participation.
Through this process, the prioritized technologies for the forestry
sector as detailed in the TNA Report for Uganda, (2019) are
described as follows:
i) Promotion of Farmer Managed Natural Regeneration (FMNR)
for forest landscape restoration
• FMNR is a simple technique/practice of systematically
regenerating mainly tree species in the natural from living tree
stumps, roots or seedlings. It involves a process of selecting
healthy and vigorous natural seedlings and removing by proper
pruning of the unwanted ones. It promotes regeneration of
degraded forest landscapes. Thus, it’s a low-cost sustainable
landscape restoration technique aims to improve the
productivity of agricultural lands while increasing tree cover
and biodiversity.
1
•Farmer Managed
Natural
Regeneration for
restoration of
forests
2
•IPM through
mixed spp
plantations
3
•Forest-based
enterprises –
apiary, butterfly
farming, orchards,
ecotourism
Prioritized technologies for the forestry sector.
Source: TNA Report for Uganda, 2019.

ii) Integrated pest management (IPM) in forest plantations
• It involves application of integrated approaches, which complement each for effective pests and diseases management and
control. IPM technologies have been applied widely applied in agricultural farming systems and have been reported to be
plausible. Likewise these have been applied in forestry. Pimentel (1986) described integrated pest and diseases
management as a control method that includes judicious use of pesticide and non-chemical technologies – all of which are
based on sound ecological principles.
• It consists of two basic elements including: a decision and action process. The actions/responses for pest/diseases
management/control may consist of one or more ecologically, economically and socially acceptable tactics designed to
reduce pest populations to non-damaging levels (Ciesla 1982).
iii) Promoting Forest based enterprises e.g. bee keeping/apiary; butterfly farming, fruit trees production; ecotourism
The technology is community based and established within the buffer zones and the protected forests so long as it has
minimum negative impacts on the forest in terms of degradation. Thus, overall the selected enterprises must be promoting
forest restoration and conservation and at the same time improving the livelihoods of the forest adjacent communities through
income generation and food security.
The technology is largely managed by the forest adjacent communities after they are equipped with the requisite knowledge
and skills to management the enterprises efficiently and effective.

• The objective of the barrier analysis is to analyse the market conditions for each of the prioritized technologies and to
identify the barriers to their introduction, use and diffusion. The prioritized technologies are described in Section 2 and
include:
i) Promotion of Farmer Managed Natural Regeneration (FMNR) for forest landscape restoration;
ii) Integrated pest management in natural forests and forest plantations; and
iii) Promoting Forest based enterprises e.g. bee keeping/apiary, butterfly farming, fruit trees production; ecotourism.
• Overall the methods and approaches used for barrier analyses is based on the detailed guidance available in the
publication UDP by Nygaard and Hansen, (2015) titled, ‘Overcoming Barriers to the Transfer and Diffusion of Climate
Technologies. Thus, the following key steps of the barrier analysis were followed:
• A) Identified all possible barriers for each of the prioritized technologies through review and synthesis of relevant literature
and interviews with key informants.
• B) Screened the long-list of barriers for each prioritized technology to select the most essential ones;

C) Classification of the selected essential barriers into a hierarchy of categories including: economic, financial, institutional,
legal, technical, social and cultural barriers.
D) Develop measures to overcome barriers by translating barriers into solutions;
E) Assess the costs and benefits of measures to determine whether they comply with policy objectives;
F) Select a set of complementary measures to include in programmes.
Notable is that gender analyses was a key consideration throughout all the phases of the TNA process in Uganda i.e. from
inception, through the identification and prioritization of technologies and the barrier analyses and enabling framework
identification. This is largely based on the key cause consideration that climate change impacts on the various gender
categories differently and that women and children are more vulnerable to climate change impacts compared to other gender
categories.
Particularly, during the barrier analyses and enabling framework identification phase and gender considerations were
integrated during the classification of the identified barriers specifically in the social and cultural categories. Hence,
corresponding key strategies for addressing the gender related barriers were identified.

• Likewise, representation of gender experts and related presentations and discussion of gender implications for each the
prioritized technologies was a key consideration during the stakeholder’s validation workshop. Through the above steps, the
consultants applied their own experience, supplemented by published information and learnings of similar processes in
other countries.
• They generated key outputs as barriers for each of the prioritized technology and these were consolidated into the draft
barrier analyses report, which was presented, discussed and validated during the national stakeholder’s workshop.
• Particularly, the stakeholder’s representatives reviewed and validated the following, based on stakeholders’ knowledge in
the area, experience acquired and lessons learned from local implementation (where existing) of the technology:
a) Identified barriers for each of the prioritized technology;
b) Problem and solution tree analyses for each the barriers identified for each prioritized technology.

• Furthermore, the stakeholders ranked the major barriers based on relative important attached/perceived i.e. as high,
medium or low – by attaching ranks of 1, 2 & 3 respectively.
• This was as well based on the following criteria:
a) Impact of the barrier on the technology. Thus, is a major or minor barrier? The extent to which the barrier limits
technology development and transfer if not addressed. Furthermore, extent to which it promotes technology development and
transfer if addressed.
b) Ease of addressing the barrier - estimated cost, social/cultural aspects
c) Existing initiatives by various actors to address the barrier

Technology 1 - Promotion of Farmer Managed Natural Regeneration (FMNR) for forest
landscape restoration.
i) Bush burning and stray livestock destroy regenerated trees, especially in Northern Uganda, yet the
ordinances and byelaws for regulation of wildfires are lacking or inadequately implemented.
ii) The main benefits of FMNR are realized in the medium term at least five to ten years after
establishment; this means that farmers must be prepared to invest in their establishment and
management during several years before the main benefits are generated.
iii) Limited land available for investment in forest restoration within the landscapes.
iv) Limited awareness and appreciation of the technology among policy and decision makers at the
national, landscape and local levels

Technology 1 - Promotion of Farmer Managed Natural Regeneration (FMNR) for forest
landscape restoration.
v) Long-held beliefs by farmers that trees on farmland will attract pests and/or reduce yields, and so trees should
be completely cleared
vi) FMNR falls outside the mainstream of agroforestry, agriculture and forestry sub-sectors, thus making it difficult
to access structured support for up scaling, but also acceptance by the appropriate research communities (Rob et
al. 2015).
vii) Land tenure regimes especially the communal land tenure in Northern Uganda and West Nile regions where
there are common property rights that compromise effective management and hence survival of the regenerating
trees.
viii) Limited access, control of resources and decision making in respect to landuse by women and youth

Technology 2 -- Integrated pest management in natural forests and forest plantations.
i) The chemical pesticides are expensive and may not be affordable for smallholders.
ii) Inadequate knowledge and application of the IPM especially among the private individual commercial
tree growers.
iii) Non-uniformity in pest infestation, thus emerging at different stages of the tree cycle, they evolve over
time, some IPM technologies are divisible and rarely do complete ‘packages’ exist for an entire crop or
ecosystem
iv) Limited access, control of resources and decision making in respect to landuse by women and youth

Technology 3 -- Promoting Forest based enterprises e.g. bee keeping/apiary; butterfly
farming, fruit trees production; ecotourism.
i) Inability to sale products at competitive prices compromises overall revenue and profits from
the forest based enterprises
ii) Limited access to credit services by forest adjacent communities
iii) Mismanagement of resources and income by individuals,
iv) Weak negotiation capacities of collaborative forest management groups/associations

Technology 3 -- Promoting Forest based enterprises e.g. bee keeping/apiary; butterfly
farming, fruit trees production; ecotourism.
v) Low quality products, which do not meet the market preferences and standards, thus rendering them
to unfavorably compete with imported substitutes, thereby compromising overall revenue from the
enterprises.
vi) Unregulated bush burning and stray livestock destroy forest based enterprises and other properties -
especially in Northern Uganda and Wet Nile regions.
vii) Insecure tenure and land use rights.
viii) Limited access, control of resources and decision making in respect to landuse by women and youth

Technology 1 - Promotion of Farmer Managed Natural Regeneration (FMNR) for forest landscape
restoration.
Economic/financial barriers
i) The main benefits of FMNR are realized in the medium term at least five to ten years after
i) Limited land available for investment in forest restoration within the landscapes.
Institutional barriers
i) FMNR falls outside the mainstream of agroforestry, agriculture and forestry sub-sectors, thus making it
difficult to access structured support for up scaling, but also acceptance by the appropriate research
communities (Rob et al. 2015).

restoration.
Policy/legal barriers
i) Land tenure regimes especially the communal land tenure in Northern Uganda were there are common property
rights compromises effective management and hence survival of the regenerating trees;
ii) The unregulated bush burning and stray livestock destroy regenerated trees, especially in Northern Uganda, yet
the ordinances and byelaws for regulation of wildfires are lacking or inadequately implemented.
Technical barriers
i) Limited awareness and appreciation of the technology among policy and decision makers at the national,
landscape and local levels
Cultural barriers.
i) Long-held beliefs by farmers that trees on farmland will attract pests and/or reduce yields, and so trees should be
completely cleared;
ii) Limited access, control of resources and decision making in respect to landuse by women and youth

Technology 2 - Integrated pest management in forest plantations through promoting mixed species
plantations.
Technical barriers
i) Inadequate knowledge and application of the IPM especially among the private individual commercial
tree growers.
Social barriers
i) Limited access, control of resources and decision making in respect to landuse by women and youth
Environmental barriers
i) Non-uniformity in pest infestation, thus emerging at different stages of the tree cycle, they evolve over
time, some IPM technologies are divisible and rarely do complete ‘packages’ exist for an entire crop or
ecosystem (Muniappan and Heinrichs 2016).

Technology 3 - Promoting Forest based enterprises e.g. bee keeping/apiary; butterfly farming, fruit
trees production; ecotourism.
i) Inability to sale products at competitive prices compromises overall revenue and profits from the forest based
enterprises.
iii) Mismanagement of resources and income by individuals,
Institutional barriers
i) Weak negotiation capacities of collaborative forest management groups/associations
ii) Weak enforcement of guidelines and standards for quality at different scales.
Policy/legal barriers
i) Unregulated bush burning and stray livestock destroy forest based enterprises and other properties - especially in
Northern Uganda and Wet Nile regions.
ii) Insecure tenure and land use rights – especially for the forest adjacent communities.

Technology 3 - Promoting Forest based enterprises e.g. bee keeping/apiary; butterfly farming, fruit
Technical barriers
i) Low quality products, which do not meet the market preferences and standards, thus rendering them to
unfavorably compete with imported substitutes, thereby compromising overall revenue from the enterprises.
Social barriers
i) Few women own land and therefore make decisions in respect to land use.
ii) Limited access, control of resources and decision making in respect to landuse by women and youth
Cultural barriers.
i) The technology promotes participation of both men and women in terms of application. The challenge is that
women may not own the enterprises because often few women own the land on which these enterprises are
established.

6.0 Ranking of the identified barriers – criteria
Consider the most essential/important barrier – based on the following criteria:
a) Impact of the barrier on the technology. Thus, is a major or minor barrier? The extent to which the
barrier limits technology development and transfer if not addressed. Furthermore, extent to which it
promotes technology development and transfer if addressed.
b) Ease of addressing the barrier - estimated cost, social/cultural aspects
c) Existing initiatives by various actors to address the barrier

7.0 Ranking of the identified barriers – most essentialimportant barrier based on the
criteria
restoration.
i) Limited awareness and appreciation of the technology among policy and decision makers at the
national, landscape and local levels
ii) The main benefits of FMNR are realized in the medium term at least five to ten years after

criteria
Technology 2 -- Integrated pest management in forest plantations through promoting mixed species
plantations.
ii) Inadequate knowledge and application of the IPM especially among the private individual commercial
tree growers.

criteria
Technology 3 -- Promoting Forest based enterprises e.g. bee keeping/apiary; butterfly farming, fruit
i) Inability to sale products at competitive prices compromises overall revenue and profits from the forest
based enterprises

8.0 Problem & solution tree analyses for each of the barriers
• Problem tree analyses were done for each of the barriers to understand the root causes of the
barriers.
• Solution tree analyses were done for each of the barriers to identify the strategies for addressing the
root causes of the barriers.
• NB: the Problem and solution trees for each the barriers are attached as annexes to the report
and hence available for validation, comments and any further inputs.

Thank you for Listening.
Looking forward to your feedback –
questions- clarification – further
information!!

Barrier Analyses and Enabling Framework Report for the Prioritized technologies to advance climate change adaptation in the Forestry sector.

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Barrier Analyses and Enabling Framework Report for the Prioritized technologies to advance climate change adaptation in the Forestry sector.