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PLANTATION
ESTABLISHMENT
IN KENYA
THE SHAMBA SYSTEM
CASE STUDY
Joram K. Kagombe
Kenya Forestry Research Institute
P.O. Box 20412-00200
Nairobi
James Gitonga
Forest Department
P.O. Box 30513-00100
Nairobi
Kenya Forests Working Group
P.O. Box 20110-00200 Nairobi, City Square
Telephone: 3874145 Forest Hotline: 3871335
Fax: 3870335
www.kenyaforests.org
September 2005
Printed on environmentally friendly avalon paper
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 3
Contents
FORWARD
ACKNOWLEDGEMENTS
EXECUTIVE SUMMARY
ABBREVIATIONS
1.0 INTRODUCTION .............................................................................................................................. 8
1.2 DEVELOPMENT OF SHAMBA SYSTEM IN KENYA ......................................................................... 8
1.3 OBJECTIVES OF THE STUDY ......................................................................................................... 9
2.0 METHODOLOGY ............................................................................................................................ 10
3.0 RESULTS AND DISCUSSION ........................................................................................................... 11
3.1 MANAGEMENT OF THE SHAMBA SYSTEM ................................................................................. 11
3.2 ALTERNATIVE FOREST PLANTATION ESTABLISHMENT METHODS ............................................ 11
4.0 TRENDS IN FOREST PLANTATION ESTABLISHMENT ...................................................................... 14
4.1 NATIONAL TRENDS IN FOREST PLANTATION IN RELATION TO THE SHAMBA SYSTEM ......... 14
4.2 FOREST PLANTATIONS STATUS IN VARIOUS DISTRICTS .......................................................... 15
4.2.1. LUGARI DISTRICT .............................................................................................................. 15
4.2.2 NYERI DITRICT ...................................................................................................................... 15
4.3 CASE STUDIES OF FOREST ESTABLISHMENT IN SELECTED STATIONS ........................................ 17
4.3.1 GOOD PRACTICES ............................................................................................................... 17
4.3.2 BAD TO GOOD PRACTICE .................................................................................................. 17
4.3.2.1 DUNDORI FOREST STATION. ....................................................................................... 17
4.3.2.2 HOMBE FOREST STATION ............................................................................................. 18
4.3.3 BAD PRACTICE ..................................................................................................................... 19
4.3.3.1.MASAITA FOREST STATION .......................................................................................... 19
4.3.3.2 NZOIA FOREST STATION .............................................................................................. 20
4.4 CONTRIBUTION OF NRC TO THE FOREST DEPARTMENT AND LOCAL COMMUNITIES ......... 26
5.5 NRC AND SUSTAINABLE FOREST MANAGEMENT ..................................................................... 22
5.0 CONCLUSIONS AND RECOMMENDATIONS ................................................................................. 27
REFERENCES .......................................................................................................................................... 28
4 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
Foreword
Since the last review of implementation and management of non-resident cultivation in the country
that was done in the year 2001, a lot of changes have taken place as concerns the shamba system.
Between 2001 and 2003, the Forest Department and other stakeholders including KEFRI and NEMA
appointed a national NRC Monitoring Committee that visited many Stations in an effort to streamline
the management of the system as recommended in the 2001 review report. During the same period,
the Forest Department with the support of cultivators put a lot of efforts in replanting the plantation
areas that were previously harvested but not replanted. Between year 2001 and mid year 2003,
about 21,000 hectares of forest plantation had been established through NRC. The effort was
supposed to continue and clear all the planting backlogs by year 2006. This did not happen however,
as in October 2003, the Government abolished NRC and ordered all cultivators out of Government
forests by December 2003.
After the implementation of this directive in the year 2003, several appeals were made to the Minister
for Environment and Natural Resources to rescind the earlier Government directive stopping non-
resident cultivation. This culminated in a visit made by the Honourable Minister Kalonzo Musyoka
to Dundori and Bahati Forest Stations in Nakuru District in August 2004. During the visit, the
Minister witnessed the failure of the 2004 planting done without NRC as compared to the very
successful 2001 and 2002 planting done through non-resident cultivation. During the visit, the
Minister granted a request made by several local politicians that plantation establishment through
the shamba system be re-tried in the two Forest Stations. The trial, through a pilot project was
started in the middle of year 2005 after a zonation exercise in the two Forest Stations was completed
to isolate the suitable plantation development areas in the two stations.
The trend of events involving NRC is an indication that the Kenyan Public and our leaders have not
reached a consensus on the shamba system that is widely acceptable.
This technical review of the shamba system (also referred to as non-resident cultivation) is an attempt
to evaluate the usefulness and the weakness of the system through case studies. The report goes
further to evaluate other methods of plantations establishment and the cost implications of the
same. The benefits of the shamba system in terms of its contribution to food security for the forest
neighbouring community were covered.
It is my expectation that from the contents of this report, policy makers and implementers will be
able to reach informed decisions regarding the shamba system and sustainability of forest plantation
development in Kenya. This will enable us get out of the past trend where decisions have been
made without adequate information basis.
I would like to appreciate the inputs made by the Kenya Forestry Research Institute and the Kenya
Forests Working Group in the compilation and publication of this report.
D.K. Mbugua
Ag. Chief Conservator of Forests
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 5
The authors of this report would like to acknowledge the support of the Director of the Kenya
Forestry Research Institute (KEFRI) and Kenya’s Chief Conservator of Forests for providing the
necessary facilities and a conducive professional environment during the compilation and the
writing of this report.
Financial support from the Department for International Development (DFID) through the Kenya
Forests Working Group (KFWG) for the data collection and report compilation is also gratefully
acknowledged. KFWG coordinator Mr Michael Gachanja found time to work with the authors
both in the field and in Nairobi.
We also wish to mention the support given by the District Forest Officers and Station Foresters in
Nyeri, Kiambu, Nakuru, Lugari, Kakamega, Uasin Gishu and Kericho Districts during the collection
of the field data.
Mr CPK Mbugua, Deputy Chief Conservator of Forests, and KEFRI Deputy Director, Dr. B Kigomo,
contributed in the organising and editing of this report. Anthony Mwangi did the layout and design.
To all of you we owe much gratitude.
Joram K Kagombe and James Gitonga
Acknowledgements
6 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
In 1910, Kenya’s colonial administration introduced the shamba system, or Non-Residential
Cultivation (NRC), to provide raw materials for the expanding timber industry and reduce pressure
on natural forests. Under the shamba system, farmers grow both plantation trees and food crops
on small plots, tending the trees and harvesting the crops until the trees have become established.
In theory, everyone benefits. The Forest Department establishes tree plantations at minimal costs,
while farmers harvest food from the same land for several years as the seedlings become established.
The system worked well early on but has more recently been mismanaged, failing to establish new
plantations and, in extreme cases, causing the destruction of natural forests. In 1986 the shamba
system was banned. It was reinstated in 1994 as Non Residential Cultivation (NRC) but again
banned in 2003.
In 2005, the Kenya Forests Working Group (KFWG) facilitated the Forest Department and the
Kenya Forestry Research Institute (KEFRI) to review past studies of Kenya’s shamba system, determine
the current status of plantation establishment, establish the factors that led to both successes and
failures and make appropriate recommendations.
A review of past studies on the shamba system shows that success or failure depends on how well
government guidelines are implemented and enforced. When the system was reorganized in 2000,
success rates climbed, and again receded after the 2003 ban. Funds allocated to the FD for forest
operations are grossly inadequate, declining from Ksh 390 million in 1996 to 95 million in 2004.
Though planting has increased, fewer seedlings are surviving; rates have declined from as high as
90% to as low as 10% in some stations.
Various options exist for plantation establishment for higher growth and survival rates. Total
cultivation, though expensive, is the most appropriate. In the absence of more resources, NRC is
the most viable method. Well-managed NRC has a similar effect to total cultivation, costs are
shared by the community and the Forest Department, and both benefit.
Without a viable alternative in sight, the government should review the ban on NRC in areas
where it has been working and establish mechanisms to make it work in areas where it has failed.
Further to that the FD must recognise the importance of community participation in forest
management, and in particular the role of the NRC Management Committees.
Executive Summary
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 7
CCF Chief Conservator of Forests
DDC District Development Committee
DFO District Forest Officer
FD Forest Department
KEFRI Kenya Forestry Research Institute
KFWG Kenya Forests Working Group
KWS Kenya Wildlife Service
MENR Ministry of Environment and Natural Resources
NEMA National Environment Management Authority
NRC Non-resident cultivation
NTZDC Nyayo Tea Zones and Development Corporation
PPM Pan African Paper Mills
Abbreviations
8 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
First introduced in Kenya in 1910 as a modified form of the Taungya system used in South East
Asia, the shamba system is a method of forest plantation establishment in which farmers tend
young plantation trees as they produce food crops. In the original practice, resident forest workers
were allocated freshly cleared areas to plant food crops for 2-3 years while tree seedlings became
established.
The shamba system was originally used to convert natural forest to forest plantations, and contributed
to the establishment of 160,000 hectares of plantation forest to supply wood for industrial and
domestic use in the country and ease pressure on natural forests. The conversion of natural forest
to plantations was stopped in 1979, but the shamba system continued as Kenya’s preferred method
of re-establishing harvested plantations.
1.2 Development of the shamba system in Kenya
Shamba system practices have changed over time. From 1910 to 1975, forest cultivators were
integrated into the Forest Department (FD) as resident workers. They were allocated forest plots, or
“shambas”, and guaranteed work for nine months per year. The produce from the shambas was
considered part of workers´ emolument as they tended the young trees.
The system was revised in 1975, when resident workers were permanently employed by the FD,
and required to rent shambas. Offers of tenancy were extended to others as well. The number of
cultivators thus rose significantly, and supervision became problematic. Many of the new cultivators
did not understand the shamba system, and tree survival rates were low. The system was
consequently banned by presidential decree in 1987, and in 1988 all forest residents were evicted
from forest areas.
After the ban, however, no arrangements were put in place to continue with plantation establishment
and management. Reforestation programmes stagnated. Less than 20% of clear-felled areas were
replanted; 80% of replanted areas were not weeded. The situation was aggravated by the 1994
civil service retrenchment programme, leading to an acute shortage of labour in forest stations.
In response to the increasing backlogs and inadequate resource capacity within the FD to re-establish
plantations, the shamba system was reorganized and reintroduced in a few districts as Non-Resident
Cultivation (NRC) in 1994. Under the new system, cultivators were not allowed to reside in forest
areas, and the final authority in the management of NRC was vested with District Development
Committees (DDC). By 1997, NRC had started in all major forest plantation districts in the country.
The new system also struggled. The strong influence of politicians and administrators in the DDCs
overshadowed advice from technical departments. By 1999, large areas - some unsuitable for
plantation establishment - had been cleared for cultivation, with little meaningful replanting of
trees.
In 2000, the FD Headquarters reissued NRC management guidelines and established an inter-
institutional task force with representation from the FD, the Kenya Forestry Research Institute (KEFRI),
Kenya Wildlife Service (KWS) and the Nyayo Tea Zones and Development Corporation (NTZDC)
to review the implementation of the NRC.
1.0 Introduction
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 9
The task force produced its report, “Review of the Implementation and Management of Non-Resident
Cultivation in Kenya”, in 2001. The team revised the NRC management guidelines and presented
recommendations for reform, with an emphasis on sound management of areas under cultivation,
close involvement of cultivators in reforestation efforts, and closure of those areas that could not be
replanted immediately. An NRC supervision team was set up at the FD to carry out day-to-day
supervision of NRC implementation.
Although there was general improvement in plantation establishment, some areas lagged behind.
The Ministry of Environment and Natural Resources (MENR) banned NRC in October 2003 (effected
in March 2004). In August 2004, the Environment Minister gave authority for NRC to be piloted in
Dundori and Bahati Forest Stations.
1.3 Justification of study
Plantations of fast growing tree species have been established to meet the demand for timber, pulp
and fuel for the growing economy and to reduce pressure on Kenya’s remaining natural forests.
Various methods of plantation establishment are employed around the world; the choice often
depends on levels of technological advancement, costs, terrain and social considerations. Opinions
and policy on Kenya’s shamba system vary widely, and are too seldom guided by sound technical
information. This study was undertaken to review the shamba system through case studies, showing
both successes and failures and providing information to enable policy makers and implementers
to make sound decisions on future plantation establishment.
1.4 Objectives of the study
The objectives of the study were to:
a. Conduct a review of the shamba system
b. Determine the current status of plantation establishment
c. Establish factors that led to successes and failures
d. Analyze contributions of NRC to the FD and local communities
10 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
2.0 Methodology
2.1 Review of Shamba System
Nine technical documents related to the shamba system were reviewed (see Annex 1).
2.2. Determine the current status of plantation establishment
Determination of the current status of plantation establishment was carried out through desk studies
and field visits. Data was collected from Lugari, Kakamega, Nakuru, Nyeri and Kiambu Districts,
and from Masaita block in Kericho District. The sampled areas were selected on the basis of their
performance as reported by the 2001 task force report, taking into consideration both good and bad
practices.
Information collected included areas under food production, areas planted in trees, areas harvested,
seedling production, available field staff and trends in plantation establishment from 1985 to 2004.
2.3 Analyze factors that led to successes and failures in the shamba system
Dundori, Hombe, Masaita and Nzoia forest stations were visited and their performances reviewed
based on field observations and previous reports.
2.4 Analyze contributions of NRC to the FD and local communities
Data on trends in food crop prices and quantities were collected in the following districts: Kiambu,
Meru Central, Nyeri, Nakuru,Uasin Gishu, Keiyo and Lugari. Benefit flows to the FD, local
communities and the general economy were analyzed.
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 11
3.1 Management of the shamba system
NRC was implemented through the District Development Committees in order to integrate the
system into the District Focus for Rural Development Strategy. This gave the Provincial
Administration and local politicians a leading role in allocating shambas in forest areas, and led to
serious abuse of the system (Wanyiri et al, 2001).
Harvested plantation areas in some places were not replanted, while in others the planted trees
were destroyed to make way for food production. These practices contributed to the accumulation
of planting backlogs, from 17,650 hectares in 1996 to about 46,000 hectares in 1999. In the same
period, overharvesting was done in all major plantating areas.
The FD staff retrenchment programme, coupled with the termination of the World Bank-funded
Kenya Forestry Development Project in 1998, greatly affected the replanting programme. About
6,000 members of staff have been retrenched since 1994. Funds allocated to the FD for forest
operations, covering seedling production, planting, weeding and general plantation maintenance,
were grossly inadequate. Funding for plantation establishment plummeted from Ksh 390 million in
1996 to Ksh 25 million in 2000.
The 2001 review showed a variety of serious weaknesses in the NRC system. Cleared areas were
often far larger than scheduled under the planting programme. NRC was being practised in prohibited
areas, record-keeping was inadequate, plots were allocated indiscriminately, and stakeholder
participation was low. To address these problems the review team recommended a series of major
reforms: matching planting programmes with NRC areas, evicting cultivators from prohibited areas,
delinking NRC from the provincial administration, involving cultivators in the allocation process,
disciplining forest officers who had abused the system, forming a national inter-institutional
monitoring team, and revising NRC guidelines.
Efforts were made to implement these recommendations. For example, NRC was closed briefly in
most stations to allow for reorganization. The revised NRC guidelines, in English and Kiswahili,
were sent to the field, disciplinary actions were meted out in areas where there was excessive
abuse, and the provincial administration was delinked from NRC management. A national NRC
monitoring committee was also established oversee implementation.
Improved progress was reported in 2003 from some stations, especially in Central and Eastern
provinces. In Rift Valley Province good progress was reported in Dundori and Bahati forest stations.
Areas where improvement was reported are those that implemented the new NRC guidelines.
3.2 Alternative forest plantation establishment methods
Since late 1980s, KEFRI has conducted extensive investigations into alternative methods of
establishing plantations, including natural regeneration, slashing, spot-hoeing, slashing and total
cultivation. Studies were conducted in Uplands Forest Station, Kiambu District, to determine the
results of various methods of site preparation and management on both the growth and cost of
plantation establishment. The growth in diameter (dbh) after 3 years varied from 1.9cm for no
preparation to 4.7cm under total cultivation (Figure 1). The high growth in total cultivation is
attributed mainly to reduced competition from weeds.
3.0 Results and Discussion
12 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
Figure 1: Growth under different tending regimes
The cost of plantation establishment per hectare for the first 3 years was as low as Ksh 6,000 for no
preparation and as high as Ksh 44,500 for total cultivation. The plantation is considered well
established after the third year, when the canopy closes in. The cost distribution for each method is
provided in Table 1.
Table 1: Cost of plantation establishment per hectare
Source: Task Rates from FD currently in use 2005
Under the shamba system most of the costs are borne by the cultivator, who benefits from the
planted food crops
.
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 13
Photo 1: Vitex seedlings in Meru Forest Station: Nursery operated by NRC farmers
Photo 2: NRC nursery at Gathiuru Forest Station: Farmers well organized in raising seedlings
14 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
4.0 Trends in forest
plantation establishment
The trends in forest plantation establishment were analyzed at the national level, and at selected
districts and forest stations.
4.1 National trends in forest plantation in relation to the shamba system
Forest plantation coverage in Kenya had attained a peak of 160,000 hectares by 1994, but this was
reduced by 40,000 hectares through excisions of the forest estate for alternative land uses, including
settlement, in the late 1990s. Today, we have 120,000 hectares of forest plantation estate. By the
year 2000, only 74,000 hectares were stocked; planting backlogs stood at 46,000 hectares. This
scenario can be attributed mainly to the ban on the shamba system between 1986 and 1996,
unsustainable harvesting in the late 1990s, and generally slow replanting rates. Other factors
include shortages of labour, low levels of funding and extensive damage of forest plantations by
fires, especially in the period between 1992 and 1999. In 1992, fire destroyed 6,170 ha of plantations;
in 1997, a further 4,726 hectares were burned. On average, backlogs reduced at a rate of 5,000
hectares per year from 2000 to 2004, through annual planting. If continued, this trend would have
cleared the backlog by 2008, but harvesting continued by companies that were exempted from the
harvesting ban. Figure 2 compares trends in planting and harvesting.
Figure 2: National trends in planting and backlogs
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 15
The FD intensified replanting efforts from the year 2000 with assistance from NRC farmers and
companies operating in the forests, such as Pan African Paper Mills (PPM) and Raiply. During the
period from 2000 to 2005, PPM and Raiply, who are exempted from the Government logging ban,
have harvested about 11,000 hectares. As of 2005, replanting backlogs stand at 20,000 hectares.
Despite successes in replanting in the year 2004 without NRC, planted areas have not been
maintained adequately. Seedling survival rates now average only 40%. Areas planted in the year
2003 are also in dire need of maintenance.
The funding made available to the FD for plantation development has declined significantly over
time, from Ksh 390 million in 1996 to Ksh 25 million in the year 2000, as shown in Figure 3. The
situation began to improve in 2002 and 2003, when funding attained a level of Ksh 85 million and
Ksh 104 million, respectively. After the 2003 ban, funding levels were expected to rise further to
cater for planting and maintenance, but only Ksh 98 million was made available. This implies that
the FD cannot maintain the plantations established in 2004.
Figure 3: Funding availed for
plantations under the Forest Department
Figure 4: Plantation labour status in Forest
Department from 1996 to 2004
In addition to inadequate funding, the FD labour force has also declined over years (Figure 4).
This has adversely affected the capacity of the department in replanting and managing the
harvested areas.
4.2 Forest plantations status in various districts
There were variations in plantation establishment among districts
4.2.1. Lugari District
Lugari is one of the districts where NRC was badly abused, resulting in the clearing of 3,000
hectares by 2002 (Figure 5). Plantations were being harvested at well over the replanting rate,
especially between 1997 and 2002. This trend reached its peak in 1997, when 726 ha was clear-
felled largely by briefcase saw millers. The companies exempted from timber ban of 1999 also
continued to operate in this district, leading to further backlogs. Replanting was minimal before
2001, when some improvement was brought about through the enforcement of cultivation guidelines.
Field staff have declined from a peak of 105 in 1994 to only 32 in 2004.
The NRC report of 2000 recommended the closure of NRC in the district to allow for reorganization,
but this was not done. Positive trends in planting started only after the general elections of 2002,
when foresters began mobilizing farmers to plant trees. Farmers established tree nurseries, and the
planting area nearly doubled from 184 hectares in 2000 to 364 hectares in 2002.
16 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
4.2.2 Nyeri District
NRC was operational in Nyeri but picked up after the revised guidelines were issued in 2001. The
total area planted rose from 70 ha in 2000 to 1,467 ha in 2001. The clear-felled area reached a peak
in 1992 (977 ha) and 1997 (617 ha), creating huge planting backlogs. The replanting rate went
down after 1986 due to the absence of the shamba system, but picked up around 1995 when the
practice was reinstated. Between 1992 and 2001, the area opened up rose from 542 ha to 2,627
ha. Field staff strength in the district plummeted drastically between 1985 and 2004, from 384 staff
to only 43.
Figure 6: Trends in planting and harvesting in Nyeri District
Figure 5: Trends in planting and harvesting in Lugari District
Area opened, planted and harvested in Lugari District
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 17
4.3 Case studies of forest establishment in selected stations
The case studies for selected forest stations were categorized into good and bad practices based on
data collected from the field.
4.3.1 Good Practices
The criteria for choosing good practices in NRC were based on:
• Good working relations between FD staff and local communities
• Adherence to NRC guidelines
• Communities organising themselves into groups and committees
• Proper and transparent allocation of shambas
• Non-interference from administration and politicians
• Plantation areas established through NRC
The following forest stations maintained good practices: Ragati, Kabage, Kabaru and Nanyuki in
Nyeri District; Mucheene and Meru stations in Meru Central District; Kinale and Kereita in Kiambu
District, Njukini West in Kirinyaga District and Nabkoi in Uasin Gishu District. Selected case
studies are presented below:
The case of Nanyuki Forest Station
The total area under plantation is 1,227 ha. Between 1996 and 2002 they had planted 631 hectares,
clearing all backlogs. Survival of the planted seedlings averaged 90%. Almost all of the seedlings
were raised by farmers, as there were no permanent workers in the station.
The case of Kinale Forest Station
The total plantation area is 1,700 ha. Between 1994 and 2002 they had planted 786 ha, leaving a
backlog of about 200 ha. Survival of the planted areas was as high as 80% due to good tending
through NRC. The few available forest workers teamed up with NRC cultivators to raise seedlings.
4.3.2 From Bad To Good Practice
4.3.2.1 Dundori Forest Station
Plantation details
The total area for plantation establishment is 1,727 ha. The area planted is 518 ha, leaving a backlog
of 1,209 ha.
The situation in 2000
In 2000, most of the plantation areas had been opened up. The NRC guidelines were being ignored
and water catchment areas had been opened up for cultivation. The NRC had failed here mainly
because the station forester was not in control, due to interference by the Provincial Administration
and politicians. Other factors associated with the failure included farmer-interference with the
young plantations through debarking and over-pruning, and poor record keeping and management.
Plantation establishment after the 2003 ban on NRC
In 2004, the annual area planted by the FD declined to 88 hectares. Survival of seedlings planted in
2004 dropped to 10%. In 2003, Comply Company was authorized to harvest plantations in the
station. Comply planted 198ha, with a survival rate of 80%, using its own labour and seedlings.
The high survival rate is attributed to proper maintenance of the planted areas.
18 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
Lessons Learned
• The forester has to be firm in enforcing the guidelines.
• The involvement of farmers in the management of NRC is critical for success.
• Awareness creation among the farmers on NRC guidelines and the need for reforestation
contributed to a change of attitude.
• Participation of forest neighbouring communities in forest management reduced after the 2003
ban on cultivation.
• The low survival rates imply increased costs in plantation establishment by the FD in the absence
of NRC.
• The private sector can assist the FD in establishing plantations.
4.3.2.2 Hombe Forest Station
Plantation details
The total area of plantation establishment is 1,200 ha. The total area planted up to 2004 was 1,020
ha, leaving a backlog of 180 ha.
The situation in 2000
In 2000, most plantation areas were under NRC but not planted with trees. There was a lot of game
damage and lopping of young plantations, cultivation was taking place on riverbanks and water
catchment areas, and there was a persistent water problem in the nursery leading to low seedling
production. Water for nurseries came from the
National Pipeline and Water Conservation
Corporation,
which frequently disconnected the water due to non-payment of bills by the FD. The
working relationship between communities and the forester was poor. The station was therefore
rated unfavourably in the 2001 review, and NRC was to be closed here for reorganization. In
addition, there was political pressure to have the area excised for settlement. In 2001, the area was
among the listed forest excision areas, the status of which is still unclear as the case is still in court.
Reorganization of NRC
In late 2000, a new forester was posted to the station to reorganise NRC in Hombe. The forester
held meetings with communities to discuss NRC issues and forge a way forward. All agreed to
replant all cleared areas. The forest was then divided into 7 zones, each governed by a committee,
and the number and type of seedlings for each zone were determined. Later an umbrella committee
emerged to coordinate overall activities in the forest station. Each of the zone committees established
a ‘temporary bush nursery’
1
near water points, and the forester was responsible for providing
seeds, technical advice and transportation of nursery soil. By October 2001, the seven bush nurseries
had raised 1 million seedlings.
In November 2001, 600 ha were planted in only two weeks. Other stakeholders, like Serena
Mountain Lodge, established a nursery with a stock of 60,000 seedlings and planted 50 ha. By
2004 1,020 ha had been planted, with a seedling survival rate of 90%, compared with a rate of
20% in the area planted without NRC. The low rate is attributed to weed competition.
The umbrella committee has been registered as a Community-Based Organization, the Hombe
Reforestation and Agroforestry Association, and has played a key role in resisting the 2001 forest
excisions. With support from the Biodiversity Conservation Programme and the Bill Woodley Trust,
the Association has erected an electric fence to protect plantations, started an ecotourism facility,
and is engaging in beekeeping and tree seedling production. The two-strand fence has reduced
game damage to the established plantations.
(Footnotes)
1
‘Temporary bush nurseries’ were established by communities near riverbanks in the forest
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 19
Plantation establishment after the 2003 ban on NRC
Despite the ban, the communities are still involved in reforestation activities. This includes planting
through spot-hoeing and pruning, and maintaining and patrolling the electric fence. The main
challenge facing the community is the low seedling survival rate in poorly maintained areas.
Lessons Learned
• Confidence building between FD staff and communities is essential to plantation
establishment.
• NRC served as an entry point to community participation in forest management, including
advocacy against the forest excisions.
• Private sector involvement in reforestation can contribute to a reduction in backlogs
• Electric fencing of plantations to prevent game damage contributes to the good health of
plantations.
• Water users need to support forest activities.
• ‘Temporary bush nurseries’ solved the water crisis in Hombe and managed to raise a
substantial number of seedlings
4.3.3 Bad Practice
4.3.3.1.Masaita Forest Station
Plantation details
The total area for plantation establishment is 1,954 ha. The area planted is 400 ha, leaving a
planting backlog of 1,554 ha.
The situation in 2000
NRC had clearly gotten out of control in Masaita, with large areas under crop cultivation and few
young plantations. Cultivation was taking place in water catchment areas, and suspicious fires
destroyed many of the trees. The 2001 NRC review rated Masaita as a bad case and recommended
discontinuation to allow reorganization.
Reorganization of NRC
The recommendations of the NRC review were not well implemented, though there were some
attempts to streamline the system. For example, cleared catchment areas and riverbanks were closed,
and farmers were organized and involved in seedling production. Record keeping was streamlined,
making it possible to collect shamba rents. More forest guards were posted to the station in 2002.
Other cleared areas continued to be cultivated, however, with no new tree planting.
In the attempted reorganization, farmers contributed money to raise seedlings. They were unable to
raise a substantial number of seedlings because of transport problems and poor supervision, as the
forester in charge doubles up as a lecturer in Londiani College. The Masaita block is surrounded by
small-scale farmers who depend heavily on the forest for grazing. There was good seedling survival
(80%) for the seedlings planted in 2002 (120 ha) and 2003 (100 ha).
Plantation establishment after the 2003 ban on NRC
In 2004, 90 ha were planted with seedlings raised through farmers’ contributions. The areas planted
in 2003 and 2004 have stunted growth due to severe weed competition, but the survival rate is still
high as a result of well-timed planting and spot-weeding. Grazing is causing some damage to the
young saplings.
20 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
Lessons Learned
• There is need to conform to NRC guidelines. Reorganization did not succeed because large
areas were still under cultivation and the rate of replanting was low. The area under food crop
cultivation should have been reduced, commensurate with tree planting needs.
• Proper supervision is needed to manage the Masaita Block through the appointment of a full-
time forester.
• Farmers should be involved in the entire process of NRC management.
• In the absence of NRC, adequate resources are needed to maintain young plantations.
4.3.3.2 Nzoia Forest Station
Plantation Details
The total area for plantation establishment is 3,619 ha. The area planted is 1,423 ha, leaving a
planting backlog of 2,196 ha.
The situation in 2000
Large areas of Nzoia were allocated to commercial farmers, with some individuals cultivating up to
40 ha using tractors. Most of these farmers were not from forest adjacent communities. There was
political interference, including agitation for excision of the area. The station has mainly relied on
seedlings from PPM for reforestation. Large areas have been clear-felled since 1997, with little
replanting. The station was rated as a bad case in the review of 2001, and was recommended for
closure of NRC to allow for reorganization.
Reorganization of NRC
The recommendations of the NRC review were not implemented, though cultivators’ registers were
opened in 2003 and farmers were encouraged to start tree nurseries. From 2002, PPM started
supplying seedlings in containers, which in some cases had not attained plantable size. The field
officers in the district ignored instructions from the FD on NRC re-organization. It was only after
the 2002 general elections that some efforts were made towards implementing the NRC guidelines.
Plantation establishment after the 2003 ban on NRC
In 2004, 708 ha were planted with support from PPM. By end of 2004, the seedling survival rate
stood at about 72% due to well-timed planting and consistent spot-weeding using PPM funding.
However, areas planted in 2004 are now choked with weeds, stunting the growth of planted stock.
Grazing is also prevalent, and deliberate burning of 50 ha of the 2004 plantings has been reported.
Lessons Learned
• Tractors were used, contrary to NRC guidelines.
• Cleared areas were not commensurate with planting programmes.
• Commercial farmers were not interested in reforestation.
• Large-scale commercial farming should be stopped in NRC areas.
• In bad practice areas, NRC should be completely stopped for reorganization, or the introduction
of other methods for establishing plantations (e.g. private sector involvement).
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 21
Photo 5: Cypress planted in 2003 competing with weeds
Photo 6: Young plantation destroyed by fire in Nzoia
22 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
Photo 7: One-year old cypress plantation facing serious weed competition in Masaita block
Photo 8: Two-year old plantation in a trial plot where pyrethrum growing was tried
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 23
Photo 9: Successful plantations raised through NRC in Hombe Forest Station
Photo 10: Two-year old plantation: Cypress plantation established through NRC
24 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
Photo 11: Large areas opened for NRC in Nzoia Forest Station
Photo 12: Former NRC-managed nursery in Masaita
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 25
Photo 13: Successful plantations established through NRC in Hombe Forest Station
Photo 14: Livestock is a major threat to young plantations
26 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
4.4 Contribution of NRC to the FD and local communities
The FD, participating farmer and the country at large must have benefits for NRC to succeed.
Benefits to the FD
When the plantations are established through the NRC system, the FD saves on costs that they
would have incurred through total cultivation. The financial benefits to the FD in the NRC system
come in the form of savings accrued from site clearing, staking, planting and tending over a three-
year period. In addition, the FD collects annual shamba rent. Without NRC, the estimated cost for
plantation establishment up to 3 years is Ksh 44,500 per hectare. Other benefits to the FD include
higher seedling survival rates, greater protection from animal damage and reduced susceptibility to
pests and disease.
Benefits to forest adjacent communities
NRC farmers benefit mainly in the form of the food they produce for subsistence and money from
the sale of the surplus. A case study conducted in a productive plot in Kiambu District (Kagombe,
1998) showed the average net benefit for the farmers was Ksh 12,724 per quarter acre plot, which
is equivalent to Ksh 124,141 per hectare per year. Benefits vary from place to place depending on
productivity, access to markets and crop management. Most of the food crops from NRC feed the
neighbouring urban centres and contribute to national food security.
4.5 NRC and sustainable forest management
Established forest plantations should be able to supply forest products and services in perpetuity. In
a sustainably-managed plantation the age class distribution covers all ages, from seedlings to maturity.
Tree harvesting should follow a prescribed felling plan, and harvested areas must be replanted.
Kenya’s total land area under plantations stands at 120,000 hectares. On average, plantation species
have a rotation of a period of 25 years. To ensure sustainability of these plantation areas through
NRC, 4,800 ha need to be harvested and re-established every year. Under NRC, farmers are allowed
to cultivate food crops while tending tree seedlings for up to 3 years before the canopy closes. On
average 14,400 ha should be under NRC at any one time. At present, most of the plantation areas
are under young plantations, are not planted or hold over-mature trees. This scenario is not conducive
for sustainable forest management, as all age classes are not represented. This situation is confounded
by the ban on NRC and on timber harvesting. The FD must develop a felling plan that will restore
sustainable harvesting.
In most stations where NRC has succeeded, farmers are involved in raising, planting, tending and
pruning the young trees. Once the plantation is fully established, the role of the farmer is not
defined. This is the main reason why farmers feel exploited. Farmers’ benefits must be clear even
after the plantation is established.
PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study 27
5.1 Conclusions
Inconsistency in NRC policy has affected plantation establishment in Kenya. It is evident that the
frequent bans on NRC are not backed by technical information and have disrupted forest plantation
management practices. The plantation forestry sector in Kenya is currently unsustainable.
There are both clear NRC successes and glaring failures, most of the latter caused by poor
management and inadequate enforcement of NRC guidelines. Total cultivation for plantation
establishment is expensive, but gives the highest survival and growth rate. In the absence of funding
or new technologies, NRC remains a viable option for plantation establishment. NRC benefits both
the FD and farmers, though mechanisms to ensure more benefits to farmers should be explored.
5.2 Recomendations
The country needs well-managed forest plantations for economic growth. The FD should strive to
manage these forests sustainably for continued provision of forest products and services. The
challenge is to come up with a cost-effective method for plantation establishment. NRC remains
the most viable option under the current funding scenario. In the absence of other alternatives to
plantation establishment, NRC should be reinstated in applicable areas under the following
recommendations:
a. An inter-institutional NRC supervisory committee should be reconstituted for NRC monitoring
b. Carry out zoning and mapping in all Forest Stations prior to the reintroduction of NRC to
avoid opening up sensitive forest areas such as riverbanks and indigenous forests
c. Clear NRC guidelines should be strictly enforced in order to deter abuse.
d. Allow communities to enter into collaborative forest management with the FD for equitable
cost-benefit sharing.
e. Use lessons learned from successful cases to improve NRC in other areas.
5.0 Conclusions
and Recommendations
28 PLANTATION ESTABLISHMENT IN KENYA The Shamba System Case Study
Annex 1: Reports reviewed
1. 1998, Suitability of shamba system in plantation establishment in Kiambu District: an evaluation
of socio-economic issues (Kagombe J.K.)
2. 2000, Review of implementation and management of NRC in Kenya (Task force)
3. 2003, Review of socio-economic issues important for success or failure of the shamba system
(Kagombe J.K.)
4. Comments made by KFWG members in 2002 on NRC Review and Implementation report
5. Prospects of replanting clear-felled forest plantations without the shamba system – Technical
Note No. 8 of 1990
6. Effects of site preparation and tending on growth and survival of planted seedlings under
Promotion of Sustainable Forest Management Project activities at Turbo, Londiani and Muguga
(unpublished)
7. Natural regeneration studies on cypress and pines in Londiani and Timboroa, respectively
(Technical note no’s 22 and 23 of 2002).
8. Policy brief for Members of Parliament on the Shamba System
(Forest Action Network)
9. Socio-Economic Contributions of the Shamba System to Forest Adjacent Communities in Mt
Elgon Forest, Kenya (unpublished)
Evans J. (1997) – A silvicultural assessment of Kenya’s industrial forest plantations
Michael Gachanja & Bernard Chege (2000) - Assessment of forest destruction at Eburu and Bahati
forests (Kenya Forests Working Group).
Kagombe J.K. (1998) - The suitability of shamba system in forest plantations in Kiambu District,
Kenya: An evaluation of social-economic issues. Msc thesis presented to Technical University of
Dresden, Germany
KFDP Mid - Term Review Report (1995) - Supplementary Report 3b - Report on game damage
survey – Mt. Kenya and Aberdares
Niel Rogers, Mugo Emilio, Mwathe Kennedy (2000) - Review of the management of the forest
resources of the Mt. Elgon ecosystem
Paul Njuguna, Maurice Mbegera, Daniel Mbithi (1999) - Reconnaissance survey of forest blocks
in the West and the East of the Rift Valley, Permanent Presidential Commission on Soil Conservation
and Afforestation
Wanyiri J.M. (1995) - Report on planting and silvicultural backlogs – Supplementary report 3a.
(Kenya Forestry Development Project)
Wanyiri J.M. et al (2001) - Review of the Implementation and Mananagement of
Non-Resident Cultivation in Kenya
References
