utz and shade trees · dacryodes edulis ssp cote d’ivoire: safoutier le conseil du café-cacao...

UTZ AND SHADE TREES FINDINGS FROM LITERATURE REVIEW BY VU CENTER FOR INTERNATIONAL COOPERATION

December 2017

© UTZ Version 1.0, December 2017 2

UTZ & Shade trees Shade trees are an important part of sustainable farming. First, they are a form of climate change adaptation, as they lower the air temperature around the crops and protect the soil against erosion and heavy rainfall. In addition, with balanced use, shade trees can help in safeguarding biodiversity and have a positive influence on productivity. Also, diversification into other crops provides an additional income for farmers. This is why UTZ promotes the appropriate use of shade trees.

The UTZ Core Code of Conduct includes the promotion of

ecological diversity by protecting habitats and ecosystems

and taking measures to address important climate change

impacts identified in the risk assessment, such as planting

shade trees.

In 2017, UTZ commissioned a study to the VU Center for

International Cooperation to obtain a solid overview of the

available academic insights on the use of shade trees. Through

a meta-analysis of academic literature between 1985 and

2017 and interviews with several research institutes, key findings

were collected. In this document, we want to share the

findings from this study.

Key findings

Optimal shade coverage and number of trees to use

The overall findings support the case for using shade trees for

coffee, cocoa and tea production. Yield and shade have a

bell-shaped relationship (see Box 2), which means that there is

an optimum level of yield that can be achieved with a specific

amount of shade. Very high or very low levels of shade have a

negative influence on yield. For more information about

optimal shade coverage for different crop, see annex 1.

Shade trees benefits, constraints and trade-offs

Benefits provided by shade trees are:

o Conservation of habitat and biodiversity;

o Pest, disease and weed control;

o (Micro-) climate and soil fertility regulation;

o Climate change adaptation;

o Carbon sequestration; and

o Productivity and profitability.

Less shade trees can have a positive effect on productivity,

but will have a negative effect on the other benefits. For

instance, no or little shade in cocoa has a negative effect

on pests (except for black pod) and soil quality.

Shade trees can be a buffer for high and low temperature

extremes by 5 °C and can release substantial amounts of

Core Code of Conduct:

GB 46:

Measures are taken to improve

soil fertility according to the

nutritional needs of the crop,

including compensation for

nutrients lost from harvests.

ID 117:

The producer promotes

ecological diversity by protecting

and enhancing on-farm and/or

neighboring habitats and

ecosystems.

GD 113:

The group promotes ecological

diversity by protecting and

enhancing habitats and

ecosystems.

ID 118:

Measures are taken and docu-

mented to address important

climate change impacts

identified in the risk assessment.

GD 114:

Documented measures are

taken to assist group members in

adapting to important climate

change impacts identified in the

risk

Cocoa Module:

CO.B.1:

At least 12 shade trees per

hectare are maintained and

distributed evenly on cocoa

plots.

CO.B.2 :

Group members have access to

enough shade tree seeds or

seedlings to meet their needs. If

they cannot obtain these them-

selves, a program is in place for

distribution.

Coffee Module:

CF.B.1:

An adequate number of suitable

shade trees per hectare are

planted/ and or maintained on

coffee plots.

BOX 1: What does

the Code of Conduct

say?

3

BOX 2: Example

studies on Yields vs

Shade cover (%)

Fig. 1 - The effect of shade cover

on cocoa yields measured in 17

traditional cocoa forest gardens

in southern Cameroon1

Fig. 2 - The effect of shade cover

on coffee yields (2200 trees / ha)

measure in low-shade coffee

plots established in Mexico2

nitrogen and other plant nutrients through litter fall and

pruning residues.

Shade-grown crops can enhance connections between

forest patches or function as buffer zones for forests.

Integrating shade trees in tea, coffee and cocoa production

is a low-cost but effective carbon sequestration strategy.

The use of shade trees as a measure for climate change

adaptation is strongly recommended by various studies.

12 Predicted higher maximum dry-season temperatures

associated with climate change may lead to legal measures

to ban full-sun plantations. For this reason, adaptation might

already help farmers to align with these developments.

Prices for crops might be higher if grown under shade

because of higher quality or price premiums from

environmental certification schemes (e.g. bird-friendly

coffee).

Diversification offers farmers a strategy for risk mitigation,

reducing variability in farm income and providing economic

resilience throughout the year.

Recommendations on the use of shade trees in

agroforestry

In case of serious water shortage among crops and shade

trees, it is recommended to use better, drought-resistant

varieties of shade trees.

Rather than planting specific associated trees, it is more

effective to protect spontaneously growing trees that are of

relevance to farmers and have a neutral or positive effect

on the crop.

In areas where shade has a negative effect on the yield, it is

recommended to plant trees in clusters, allowing for gaps

rather than evenly distributing the trees over the plots. In this

way, a balance between yield and the benefits of shade

trees can be found.

It is recommended to grow tall trees with deep root systems

that interfere less with cocoa and coffee trees for nutrients

and water underground.

Diversifying farming systems with crops from shade trees

might decrease a farmer’s dependence on one principle

cash crop. An example could be to use intercropping with a

combination of fruit or timber trees and coffee or cocoa

trees. These benefits of the use of shade trees might be even

more applicable in areas with decreasing climatic suitability

1 Bisseleua, D. H. B., Missoup, A. D., & Vidal, S. (2009). Biodiversity conservation, ecosystem

functioning, and economic incentives under cocoa agroforestry intensification. 2 Soto-Pinto, L., Perfecto, I., Castillo-Hernandez, J., & Caballero-Nieto, J. (2000). Shade effect on

coffee production at the northern Tzeltal zone of the state of Chiapas, Mexico.


Conclusion UTZ sees shade trees as an important element of sustainable

farming. They are of great value for climate change adaptation,

soil fertility and the protection of biodiversity. In addition, they

can be used as an additional source of income and can provide

natural crop protection. By communicating the results from the

literature study by the VU Centre for International Cooperation,

UTZ aims to further spread knowledge on the topic of shade

trees. In addition, UTZ will take these learnings into account in its

trainings and other program activities.

Shade tree functions3

3 Jezeer, R. E., & Verweij, P. A. (2015). Shade Grown Coffee: Double dividend for biodiversity and small-scale coffee farmers in Peru.

5

Key findings for coffee, cocoa and tea

TEA AND SHADE TREES

Optimal shade coverage

For tea plantations, the integration of at least four

shade tree species is recommended in order to

prevent damage from epidemic pests and

diseases. Shade tree integration is considered an

effective strategy of carbon sequestration. The

total recommended number of shade trees per

hectare is 35 – 40, with a coverage of 25 – 85 %.

Benefits, constraints and trade-offs

Shade trees help to reduce red spider infection in

tea plantations. In addition, shade trees have a

beneficial effect on microclimate control, soil

moisture, and nutrient cycling. Shade trees provide

organic matter to the soil, which facilitates the

conservation of moisture during the winter months.

COFFEE AND SHADE TREES


For coffee, there is a general consensus that shade

levels of 35 to 50% and between 260 and 457 trees

per hectare produce the highest coffee yield.


Yield or income starts to decline only beyond a

certain level of shade has been reached. This

means that both yield and biodiversity can benefit

from a moderately shaded farm environment. In

addition, shade trees have a direct positive effect

on pest control.

Whereas as shade cover may have a negative

effect on coffee yield, the numbers of both tall

shade trees (>10 m height) and tree species have

only very small adverse yield effects while they

help control weeds, pathogenic infections and

insect pests and make significant contribution to

carbon sequestration.

Coffee vegetation management has a positive

effect on climate control.

COCOA AND SHADE TREES

Type of shade tree species

Usually, tall trees and trees with light crowns are

preferred. Trees that contribute to soil moisture

availability and trees that have value as income

or food are also desirable.


The optimal number of shade trees as concluded

from the meta-analysis is between 12 and 144

trees per hectare. In addition, a distinction can

be made between densities for fruit trees and

timber trees: 44 – 55 trees/ha for fruit trees; 15-34

trees for timber. Optimal densities reported for

Central America are higher, namely 144 trees for

cocoa plantations.


No or little shade in cocoa production has a

negative effect on pests (except for black pod)

and soil quality. The economic rotation age is 18

years for unshaded hybrid cocoa, 29 years for

shaded hybrid cocoa and 44 years for traditional

cocoa.

Predicted higher maximum dry-season

temperatures associated with climate change

may lead to legal measures to ban full-sun

plantations. For this reason, adaptation might

already help farmers to align with these

developments. The systematic use of

adaptation strategies like shade trees in cocoa

farms is recommended in order to reduce the

vulnerability of cocoa to excessive dry season

temperatures.

Where higher temperatures coincide with less

water availability in dry season, the growth of

shade trees may have to be discouraged or kept

at lower density to avoid competition for water.

It is recommended to grow tall trees with deep

root systems that interfere less with cocoa and

coffee trees for nutrients and water underground.

Drought resistant tree species can also be

considered in combination with drought-resistant

and improved cocoa varieties.


Recommended shade trees species for coffee, cocoa

and tea Shade trees for cocoa common names Recommended by key

institutes Countries for which species have been studied (Source: literature study)

Acacia Mangium Cote d’Ivoire: Acacia Colombia: Acacia

Le Conseil du Café-Cacao FEDECACAO

Albizia sp Albizia Coriaria

Cote d’Ivoire: Albizzia Ghana: Awiemfuo Samina

Le Conseil du Café-Cacao CRIG

Alstonia Boonei Cote d’Ivoire: Emien Ghana: Nyamedua


Cedrela odorata L. Colombia: Cedro Universität Hamburg FEDECACAO

Peruvian Amazonia

Cocos nucifera Coconut palm Cote d’Ivoire: Cocotier Colombia: Coco Ecuador: Cocoteros

University of Gent Cocoa Research Institute of Ghana, Le Conseil du Café-Cacao, FEDECACAO, INIAP

Peninsular Malaysia Ghana

Citrus spp. Orange Ecuador: Naranjo

INIAP Côte d’Ivoire

Cordia alliodora Ecuador: Laurel Colombia: Nogal cafetero

CATIE, FEDECACAO, INIAP Costa Rica and Panama

Dacryodes edulis ssp Cote d’Ivoire: Safoutier Le Conseil du Café-Cacao IITA, CIFOR

Ghana & West Africa

Durio sp. University of Gent Peninsular Malaysia

Elaeis guineensis Jacq. Cote d’Ivoire: Palmier Oilpalm

Le Conseil du Café-Cacao Universität Hamburg

Peruvian Amazonia

Entandrophragma angolense Entandrophragma utile

Cote d’Ivoire: Tiama Ghana: Edinam, Cedar, Sapele

Le Conseil du Café-Cacao Forest research Institute of Ghana, CRIG

Ghana

Erythrina fusca Erythrina poeppigiana Erythrina ssp Erythrina glauca

Colombia: Bucare de agua Bucare o cámbulo Ecuador: Bombón Ecuador: Palo prieto

University of Gent CATIE FEDECACAO

Peninsular Malaysia Indonesia (Sulawesi) Costa Rica and Panama

Funtumia Elastica Cote d’Ivoire: Arbre à caoutchouc Ghana: Ofuntum


Garcinia sp Cote d’Ivoire: Petit cola Le Conseil du Café-Cacao

Gliricidia sepium Gliricidia ssp.

Cote d’Ivoire: Gliricidia Colombia: Matarratón

University of Gent German Research Foundation CATIE, FEDECACAO

Peninsular Malaysia Indonesia (Sulawesi) Ghana, Costa Rica, Panama

Hevea brasilensis Cote d’Ivoire: Hévéa Colombia: Caucho

Le Conseil du Café-Cacao FEDECACAO

Inga edulis Mart. Ecuador: Guabo Universität Hamburg CATIE, INIAP

Peruvian Amazonia Costa Rica and Panama

Irvingia sp Cote d’Ivoire: Mangue sauvage

Le Conseil du Café-Cacao

Khaya anthotheca Khaya grandifoliola Khaya ivorensis

Cote d’Ivoire: Acajou Ghana: Mahogany

Le Conseil du Café-Cacao Forest research Institute of Ghana, CRIG

Ghana

Mangifera indica IITA, CIFOR Ghana & West Africa

Milicia excelsa Ghana: Odum Cote d’Ivoire: Iroko

CRIG

Musa sp. Musa paradisiaca Musa sapientum

Cote d’Ivoire: Bananier Colombia: Banano Colombia: Platano

Le Conseil du Café-Cacao Universität Hamburg CIRAD, CATIE, FEDECACAO

Peruvian Amazonia Costa Rica

Parkia speciosa University of Gent Peninsular Malaysia

Persea americana Pericopsis elata

Colombia: Aguacate Avocado

IITA, CIFOR, , Forest research Institute of Ghana, FEDECACAO

Ghana & West Africa Côte d’Ivoire Ghana

Peltophorum pterocarpum University of Gent Peninsular Malaysia

7

Shade trees for cocoa common names Recommended by key institutes

Countries for which species have been studied (Source: literature study)

Petersanthus macrocarpa Cote d’Ivoire: Abalé Le Conseil du Café-Cacao

Psidium quayava Cote d’Ivoire: Goyavier Le Conseil du Café-Cacao

Pycnanthus angolense Ghana: Otie CRIG

Riconodendron heudelotti Cote d’Ivoire: Akpi Le Conseil du Café-Cacao

Tabebuia rosea Colombia: Flor morado CATIE Costa Rica and Panama

Terminalia superba Terminalia ivorensis

Cote d’Ivoire: Fraké Ghana: Ofram/Framo Cote d’Ivoire: Framiré Ghana: Amiré

Le Conseil du Café-Cacao IITA, CIFOR, STCP, AVRDC, RCA, CATIE, CRIG

Ghana & West Africa Costa Rica, Panama

Tieghemella heckelli Cote d’Ivoire: Makoré Ghana: Baku/Makore


Xylopia aethiopica Cote d’Ivoire: Poivre long Le Conseil du Café-Cacao

Shade trees for coffee Common names Recommended by key


Arecaceae fam. Palm Wageningen University Mexico, Costa Rica

Albizzia Wageningen University Mexico Costa Rica

Bignoniaceae Wageningen University Brazil

Calathea CATIE Mexico

Calliandra sp. Smithsonian Migratory Bird Center

Indonesia

Cariniana legalis Incaper Brazil

Casuarina equisetifolia Wageningen University FAPEMIG

Brazil

Chamaedorea cataractarum CATIE Mexico

Citrus spp. Orange International Center for Tropical Agriculture (CIAT)

Guatemala, Peru, Colombia, Mexico, El Salvador

Chrysophyllum Mexicanum CATIE Mexico

Dalbergia latifolia Smithsonian Migratory Bird Center

Indonesia

Erythrina Erythrina subumbrans Erythrina peopiggiana

Wageningen University Smithsonian Migratory Bird Center CATIE

Indonesia Costa Rica

Eugenia Uniflora FAPEMIG Brazil

Euphorbiaceae Wageningen University Brazil

Ficus spp. Ficus thonningii

fig tree International Center for Tropical Agriculture (CIAT)

Rwanda

Grevillea robusta Wageningen University Mexico Costa Rica

Glyricidia sepium Glyricidia maculata

Wageningen University Smithsonian Migratory Bird Center

Indonesia Ghana

Heliocarpus Donell-smithi CATIE Mexico

Inga spp Inga Latibracteata

Wageningen University International Center for Tropical Agriculture (CIAT)

Mexico, , Costa Rica Brazil, El Salvador

Leucaena Wageningen University and Research Centre

Mexico Costa Rica

Licania tomentosa FAPEMIG Brazil

Lippia myriocephala CATIE Mexico

Musa Sapientum Banana tree Wageningen University International Center for Tropical Agriculture (CIAT)

Mexico, Guatemala, Peru, Colombia, El Salvador

Myrtaceae Wageningen Universtiy Brazil

Persea Americana Avocado CIRAD/ICIPE Kenya Rwanda, El Salvador


Shade trees for coffee Common names Recommended by key institutes

Countries for which species have been studied (Source: literature study)

Rutacea Wageningen University Brazil

Samanea CATIE Nicaragua

Simarouba CATIE Nicaragua

Tabebuia CATIE Nicaragua

Tectona grandis Incaper Brazil

Terminalia Amazonia CATIE Costa Rica

Toona ciliata Incaper Brazil

Shade trees for tea Recommended by key


Accacia lenticularis Tea Research Association India

India/Assam

Acer oblongum China

Adenanthera pavonina (temporary)

Tea Research Association India

India/Assam

Albizzia moluccana Albizzia chinensis (“Sau”) Albizzia odoratissima Albizzia procera Albizzia lucida (temporary) Albizzia lebek (temporary)

Tea Research Association India

Sri Lanka Kenya India/Assam

Castanopsis platyacantha China

Dalbergia henryana Dalbergia sissoo

China India/Northern

Delberzia sericea (temporary) Tea Research Association India

India/Assam

Derris robusta Tea Research Association India

India/Assam

Eucalyptus spp. India/Northern

Euphatorium innulifolium Faculty of Agriculture, University of Peradeniya, Sri Lanka

Sri Lanka

Eurya groffii China

Grevillea robusta Sri Lanka Tea Research Institute Malawi Tea Research Institute IACR-Rothamsted, UK

Kenya, Malawi Sri Lanka, India

Ilex godajam China

Pongamia pinnata India/Northern

Populus spp. India/Northern

Prosopis juliflora India/Northern

Quercus glauca China

Radermachera pentandra China

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