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.
© UTZ Version 1.0, December 2017 4
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
Optimal shade coverage
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.
Benefits, constraints and trade-offs
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.
Optimal shade coverage
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.
Benefits, constraints and trade-offs
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.
© UTZ Version 1.0, December 2017 6
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
Le Conseil du Café-Cacao CRIG
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
Le Conseil du Café-Cacao CRIG
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
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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
Le Conseil du Café-Cacao CRIG
Xylopia aethiopica Cote d’Ivoire: Poivre long Le Conseil du Café-Cacao
Shade trees for coffee Common names Recommended by key
institutes Countries for which species have been studied (Source: literature study)
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
© UTZ Version 1.0, December 2017 8
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
institutes Countries for which species have been studied (Source: literature study)
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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