Potential for co-management approaches to strengthen livelihoods of forest dependent communities: A Kenyan case

Many natural resource management researchers have focused either on institutional design and evaluation or on livelihood outcomes per se without explicitly acknowledging and rigorously examining linkages between the two. Thus, a major gap in the current literature on co-management institutional arrangements is the extent to which co-management has strengthened the livelihoods of poor forest-dependent communities. This gap is addressed in this paper by developing and testing an argument that well-designed co-management arrangements have strengthened the livelihood outcomes of poor forest-dependent communities in a Kenyan case study. The hybrid analytical framework developed for this analysis situates Ostrom's (1990) design criteria for co-management institutions in the broader context of the Sustainable Livelihood Framework. It then uses this analytical framework to evaluate the Arabuko-Sokoke Forest Reserve (ASFR) co-management initiative in Kenya, based on a three-step process. First, the paper provides an overview of current institutional arrangements for governance of the ASFR co-management regime. Second, it evaluates the extent to which these governance arrangements can be characterized as devolved collaborative governance, informed by Ostrom's (1990) design principles and; third, it evaluates the extent to which the livelihood outcomes of forest dependent communities that are participants in the co-management project have had their livelihoods strengthened as a result of the ASFR co-management governance arrangements. The paper demonstrates that the institutional arrangements for ASFR co-management are relatively nascent and emerging because the governance arrangements for the ASFR co-management project cannot be characterized as fully devolved de jure collaborative governance. Notwithstanding this, the findings reveal that participant forest-dependent communities in the co-management project had improved livelihoods compared to forest-dependent communities outside the co-management scheme. It is suggested that this is due to the de facto co-management arrangements.     

Monitoring land governance: Understanding roots and shoots

Despite a growing interest among land use policymakers to identify the indicators that measure changes in land tenure systems, little consensus exists about what framework can functionally analyze land tenure systems, and how it should be developed. The existing indicators have mainly focused on measuring the “effects” of land tenure (in)security and often neglected the “causes”. Hence, comprehensive monitoring of land tenure systems has been poorly understood and practiced. Given their multifaceted meanings, land and its related concepts have been a challenging issue for policymakers. Accordingly, the overall objective of this paper was to propose a functional and analytical framework on how to study monitoring land governance from roots to shoots through five main studies: i) understanding the historical trajectories of land, ii) recognizing institutional arrangements on land, iii) identifying land governance grammar, iv) defining land governance typology, and v) assessing land use changes. In line with this objective, the general research question of this study is how and by whom a monitoring system should be developed. Overall, this study can be considered as a conceptual framework that has been designed to conceptualize, develop, build, and apply a functional and analytical framework for formulating land governance grammar to explain how access to land is governed. Unlike previous studies, this study focuses on both causes and effects of strong land governance (SLG) and weak land governance (WLG). The paper discusses that land governance allows various stakeholders to participate in government decisions and ensures the security of their livelihoods. However, land governance could be either poor or strong depending on the government decision-making process. The paper also concluded that SLG is a precondition for economic growth and poverty alleviation in rural areas of developing countries.     

‘Forest governmentality’: A genealogy of subject-making of forest-dependent ‘scheduled tribes’ in India

This paper analyses the historical trajectories of both British colonial rule and independent India to categorise scheduled tribes and to appropriate and legalise forests in tribal areas. It builds upon Foucault's notion of governmentality to argue that the history of the scheduled tribes’ subject-making and the related history of forest demarcation is indispensable for understanding the current politics of decentralised forest management in India. Three dimensions of ‘forest governmentality’ - the history of categorisation, the politics of social identity, and the technologies of forest governance - are discussed to show how recent efforts to politicise forest tenure rights have reinforced political control over the scheduled tribes through new forms of authority, inclusion and exclusion. However, to claim their individual and community right to forestland and resources, the scheduled tribes have internalised their ‘new’ ethnic identity, thereby creating countervailing power and room to manoeuvre within the current forest governance regime. This is supported by a case study of the Bhil, a predominantly forest-dependent scheduled tribe in the semi-arid region of western India.     

Who are forest-dependent people? A taxo nomy to aid livelihood and land use decision-making in forested regions

The relationship between forests and people is of substantial interest to peoples and agencies that govern and use them, private sector actors that seek to manage and profit from them, NGOs who support and implement conservation and development projects, and researchers who study these relationships and others. The term ⿿forest-dependent people⿿ is widely used to describe human populations that gain some form of benefits from forests. But despite its long history and widespread use, there are substantial divergences in who the term refers to, what each of its constituent words mean, and how many forest-dependent people there are globally. This paper identifies the range of existing uses and definitions of the term ⿿forest-dependent people⿿, and summarizes them in a systematic taxonomy. Our taxonomy exposes the dimensions that characterize the relationships between people and forests, and leads to two conclusions: First, an absolute, universally accepted definition of the term is untenable. Rather, users of the term ⿿forest-dependent people⿿ need to comprehensively define their population of interest with reference to the context and purpose of their forest- and people-related objectives. The framework and language of our taxonomy aims to aid such efforts. Second, conservation and development program funders, designers, and implementers must reconsider whether forest dependence is an appropriate target for policy objectives.     

Sowing the seeds of sustainable rural livelihoods? An assessment of Participatory Forest Management through REDD+ in Tanzania

Participatory forest management (PFM) initiatives have emerged worldwide for a range of aims including to improve forest governance, enhance resource conservation and to increase rural people’s access to and benefits from forest resources. Some of these initiatives have also received climate finance support to enhance their impact on mitigation. However, their effects on forest governance and livelihoods are complex and remain poorly studied. In this article, we address this gap by analysing governance and livelihood changes in a PFM initiative in Tanzania that has received funding as a REDD+ pilot site. Based on qualitative governance analysis and quantitative livelihood panel data (2011–2014) that compares villages and households within and outside the project, we find that improvements to forest governance are substantial in project villages compared to control villages, while changes in income have been important but statistically insignificant, and driven by a regional sesame cash crop boom unrelated to enhanced forestry revenues. Focusing on whether PFM had enhanced other wealth indicators including household conditions and durable assets, our analysis shows again no significant differences between participant and control villages, although the participant villages do have, on average, a greater level of durable assets. Overall, our findings are positive regarding forest governance improvements but inconclusive regarding livelihood effects, which at least in the short term seem to benefit more from agricultural intensification than forestry activities, whose benefits might become more apparent over a longer time period. In conclusion we emphasize the need for moving towards longer term monitoring efforts, improving understandings of local dynamics of change, particularly at a regional rather than community level, and defining the most appropriate outcome variables and cost-effective systems of data collection or optimization of existing datasets if we are to better capture the complex impacts of PFM initiatives worldwide.     

Rethinking “development”: Land dispossession for the Rampal power plant in Bangladesh

In this article, we critically review the developmental claims made for the construction of the Rampal power plant in southwestern Bangladesh, in the light of evidence about transformations of land control related to this construction project. Land has become a heavily contested resource in the salinity-intruded southwestern coastal area of Bangladesh. Changes in land control for the construction of the Rampal power plant and similar projects have intensified decades of struggles over rights and access to land. The Rampal project is labelled as “development” and claims to contribute to the elimination of poverty. However, we find that, in reality, this project leads to a reorganization of land control, rights and access in ways that perpetuate and intensify waves of eviction and exclusion of small landholders and landless laborers, thus threatening agriculture-based rural livelihoods. We analyze how four actor groups involved in land control are differently affected by the project interventions, embedded in the context of historical land tenure developments. We find that the benefits of this “development”, primarily favoring rich and powerful social groups and investors, necessitates a critical rethinking of Bangladesh's development and its claims of poverty elimination in the light of related land control practices.     

Traditional agricultural land use and some changing trends in Maridi district, southern Sudan

This article looks at the differences in land use management in Maridi District, southern Sudan, and asserts that these reflect not only varying socioecological and environmental circumstances, but also factors such as population pressure, sociocultural and traditional beliefs and values, economic and resource factors, opportunities and accessibility and historical trends. The article concludes that policy makers and socioeconomic development planners of the rural areas of southern Sudan should identify constraints to increases in food production. This is only possible through appropriate knowledge about the different enterprise patterns and crops grown, including information on socioecological factors, environmental resource use and farmers' perceptions and production techniques. It should be possible to offer alternative methods of analysis essential for effective rural and agricultural land use development planning in similar socioecological and environmental situations in the southern Sudan and other areas of tropical Africa.     

Regional economic transformation: Changing land and resource access on the West Coast of New Zealand’s South Island

The West Coast region of New Zealand has experienced significant structural economic changes since the 1980s. These changes have been a result of state imposed land use restrictions that limited productivist activities such as logging and mining, which in turn have been overlain by the effects of changes in national and global resource demand. This has led to both job loss and local resentment to what is seen to be external political and environmental interference in the region. Such changes overlay on-going boom-and-bust cycles experienced in the region’s resource dependent communities and the state’s pursuit of neo-liberalism from the 1980s, leading to the loss of state support and employment in the region. Regional path-dependence and ‘lock-in’ centred on productivist activities and the slow realisation of the need to diversify the economy have not helped. The region has under-performed in comparison with national trends economically and demographically reflecting and reinforcing local path dependence. The gradual growth of the service and tourism economies marks a new use for land resources and slow structural economic change. However, in the absence of governance processes that allow for collaborative planning to resolve conflicts over future trajectories for the region, conflicts over land uses, resources and access are likely to persist.     

Using a Delphi approach to identify the most efficacious interventions to improve Indonesia’s forest and land governance

Improvements to forest and land governance are key to addressing deforestation and degradation of peatlands in Indonesia. While this is a priority area, the steps to achieving good forest and land governance have been under-researched. There is a need for better links between theoretically informed academic analysis and work in the field. This study drew together a panel of experts on forest and land governance using a Delphi method to discuss the underlying drivers of deforestation and peatland degradation, and correspondingly, to identify interventions to improve land and forest governance in Indonesia. Seventeen panelists with an average of more than 12 years’ experience reached agreement over four governance interventions: increasing the capacity of local communities to manage and monitor forests and natural resources (65% of panelist’s votes); identify strengths and weaknesses of community organisations and institutions, and develop strategies to improve their performance (65% of panelist’s votes); gazetting forests to clarify land boundaries and determine which areas should be village, community and state forest zone (59% of panelist’s votes); and, integrating participatory community maps into spatial plans to protect local communities and indigenous peoples’ development needs (53% of panelist’s votes). They also supported action research involving the government, private sector and communities, and political economy approaches to researching forest and land governance issues. Panelists indicated that community level approaches such as securing community forest tenure through clarifying land claims and integrating local land tenure into spatial planning had an important role in sustainable forest management.     

Diverse local regulatory responses to a new forestry regime in forest communities in the Bolivian Amazon

Over the last decade, important land and forest governance reforms have taken place in many tropical countries, including the devolution of ownership rights over land and forests, decentralization that created mechanisms for forest dwellers to participate in decision making in lowest tiers of governments. These reforms have resulted in an intensive academic debate on governance and management of forests and how actors should be involved. An important but understudied element in this debate is the ways in which communities cope with new legislation and responsibilities. Property rights bestowed by the government leave many aspects undecided and require that local forest users devise principles of access and allocation and establish authority to control those processes. We studied 16 communities in the northern Bolivian Amazon to evaluate how forest communities develop and control local rules for resource access and use. We found that the first requirement to community rule design, enforcement, and effective forest management is the opportunity to, and equity of, access to forest resources among members. Under the newly imposed forestry regulations, communities took matters in their own hands and designed more specific rules, rights and obligations of how community members could and should use economically important resources. The cases suggest that communities hold and maintain capacity to prepare their own ownership arrangements and related rules, even if they are strongly conditioned by the regulatory reforms. Very specific local histories, that may differ from community to community, influence strongly how specific ideas are being shaped, which in northern Bolivia resulted in notable local differences. The results suggest that new regulatory regimes should create appropriate conditions for communities to define adequate or at least convenient forestry institutions that assure an acceptable level of collective coexistence according to each particular communal history.     

The forest transition: Towards a more comprehensive theoretical framework

Building on the contributions of Mather and others, this paper offers an approach for developing a more comprehensive theory of the forest transition. We argue that long-run changes in forest cover in a country or region cannot be separated from the overall pattern of land use changes. Moreover, this pattern is determined by relative land values; forest cover changes over time as the value of one land use relative to the value of its competing use changes over time. However, the actual values that are used to allocate land may be far from optimal; that is, the presence of market, policy and institutional failures can distort economic and political incentives that can lead to bias in favour of one type of land use over the other, and may ultimately explain why a forest transition may be delayed unnecessarily in some countries and regions.     

Farmers’ land use decision-making in the context of changing land and conservation policies: A case study of Doi Mae Salong in Chiang Rai Province,Northern Thailand

In Thailand, land use planning and policy decision-making were—and to some extent still are—organized in a hierarchical and disjointed fashion. This is also true for the utilization of public lands, including forest reserves in the northern uplands that are often settled by ethnic minorities. There are, however, instances of change in land policies and regulations and in the way decisions and plans are made. Doi Mae Salong (DMS) in Northern Thailand, where there is a trend towards land use for conservation purposes, is a case in point. This paper aims to explore decision-making by farmers in DMS in the context of changing land regulations and policies from the 1950s to the present. The Institutional Analysis and Development (IAD) framework, together with a historical perspective and with narratives on land management through time, were applied by using in-depth interviews of key informants and group farmers’ discussions as tools. The time period under investigation was divided into three periods of change: The first period, before the year 1960, was an era of security concern. In contrast, the second period, from 1961 to 1996, was an era of emerging conservation priorities. Finally, the third period, from 1997 to the present, is an era of lessons learned from the conservation era. Land use decision outcomes reveal that the decision-making processes of farmers are influenced both by the hierarchical decisions of higher authorities and by horizontal linkages among multiple stakeholders. However, while farmers participate readily in forest conservation activities, they do not play an active role in the process of changing policies.     

Performance of success and failure in grassroots conservation and development interventions: Gender dynamics in participatory forest management in India

Co-governance of forests, or participatory forest management, has been a wide-spread conservation and development (C&D) intervention in India for over two decades. The practice began in the 1990s as Joint Forest Management (JFM), where local communities – organised into forest protection committees (FPCs) – worked in cooperation with various state forest departments. Later on, this intervention took shape of Community Forest Management (CFM), where communities managed their forests largely independent of the forest departments. Under both the JFM and CFM models, gender mainstreaming – enabling equal distribution of opportunities and services across genders – held a pivotal position. This study shows that despite continued marginalisation, female FPC members often performed as if initiatives were successful. Thus, the central question investigated in this paper is: "Why women performed success in participatory forest management interventions while experiencing marginalisation in the FPC?” This paper adopts an ethnographic case study methodology (immersion), utilising in-depth ethnographic case studies from three states of India for analysing performances of success and the resulting dynamics of participation, to explain the gendered nuances of the grassroots conservation and development interventions. The concept of 'situated agency' of community actors is explored to understand the practices around the performances of success in C&D interventions in forest-dependent communities in India. The paper argues that these performances hold the promise of a slow, but steady progress towards the creation of a gender-sensitive system in an otherwise patriarchal social structure.     

Governance of non-wood forest products in Russia and Ukraine: Institutional rules,stakeholder arrangements,and decision-making processes

Aspects of governance of non-wood forest products (NWFPs) include institutional rules, stakeholder arrangements, and decision-making processes that govern production systems from access to resources, their use, and to markets. Compared with other forest products, few studies have investigated the governance of NWFPs in European post-socialistic countries transitioning from a planned to a market economy. This study compares institutional frameworks and stakeholder arrangements related to NWFPs in Russia and Ukraine using a case study approach. Both countries have a legacy of top-down forest government, state-owned forests, and rural communities with a long dependence on plant- and animal-based NWFPs. We analysed legal documents for NWFPs in each country and conducted expert interviews with stakeholders from the public, private, and civil sectors involved in the decision-making process of NWFPs. Institutional frameworks for NWFPs in both countries are complex, unclear, and overlap. Multiple legal documents contain restrictions regarding the extraction and sustainability of NWFPs. However, no special laws or policies are solely for NWFPs; all measures are included in legislation that regulates nature conservation and forest management. The government of both countries tends to overlook non-industrial forest use undertaken by marginal local communities, even if economic, social, and cultural values of NWFPs are relatively high for local and regional development. A misfit is observed between legal frameworks and forest companies’ business policies with customary rights. This phenomenon caused a shift to introduce new stakeholder arrangements related to NWFPs as a special type of resource in areas where NWFPs are heavily used both for subsistence and for generating household income by local communities. Landscape approach initiatives such as model forests and biosphere reserves may empower local communities to find means to protect their rights, needs, interests, and values related to NWFPs.     

How and why large scale agricultural land investments do not create long-term employment benefits: A critique of the ‘state’ of labour regulations in Ghana

Support for large scale agricultural investments in Africa has been mainly premised on their employment prospects for local populations. However, despite earlier calls by Tania Li to centre labour in the land grabs debate, labour is generally invisible in both mainstream policy and academic research. This paper, through a governance lens, draws attention to the implications of the global land rush on wage labour. In principle, policy frameworks that emphasise the labour potentials from large-scale land investments also gravitate towards regulations that seek to facilitate capital accumulation and mitigate negative impacts on communities – congruent with Ghana’s policy direction. This paper assesses the political-economic context of the legislative gaps in the current governance framework for wage labour and large-scale agriculture in Ghana; characterised mainly by absent, illusively present and repressive institutions. It is supported with empirical findings from the nature of farm workers’ incorporation into a transnational oil palm plantation in Ghana, their struggles over the nature of the investment, and the political orientation of the existing regulatory institutions. The study calls for policy measures which address power relations that shape the distribution of benefits from land investments, and also recognise structural inequalities that exist in and outside of agriculture.     

This land is your land,maybe: A historical institutionalist analysis for contextualizing split estate conflicts in U.S. unconventional oil and gas development

In the 21st century, the U.S. has experienced a boom in unconventional oil and gas development (UOGD). In part due to advances in technology, this rapid increase in UOGD has moved extraction practices into geographic areas that have previously seen little or no oil and gas development. As a result, conflicts over property rights have erupted—particularly in relation to split estate situations. To understand this controversy, we must situate it in the conditions which have shaped land use and mineral rights. We argue that past federal and state level governance decisions have created the conditions for UOGD conflicts today. Here, we utilize historical institutionalism (HI) to review the historical actors, processes, and institutions that have shaped how mineral rights have developed in the context of split estates in the U.S. We suggest that tracing this legislative and judicial history through HI is an essential foundation for exploring issues related to UOGD. Most importantly, we highlight these processes of governance as a bedrock for understanding spatial inequality inherent in current split estate law that grants the mineral estate dominance over the surface estate. We suggest that this codification of spatial inequality is problematic both in and beyond the context of split estates in UOGD.     

Exploring land use changes and the role of palm oil production in Indonesia and Malaysia

This study compiles and analyses national-level data on land use change (LUC) and its causes in Indonesia and Malaysia over the past 30 years. The study also explores the role that palm oil has played in past LUC and that projected growth in palm oil production may play in LUC until 2020 and suggests strategies to minimize negative effects. Data collection for the study revealed that the quality and quantity of data on LUC on a national scale over time are low. Despite these uncertainties, the overview of past LUC indicates that large changes in land use have occurred in Indonesia and Malaysia. In Indonesia, LUC can primarily be characterized by forest cover loss on 40 million ha (Mha) of land, a 30% reduction in forest land. Deforestation in Malaysia has been smaller in both absolute and relative terms, with a forest cover loss of nearly 5 Mha (20% reduction in forest land). Other large changes in Malaysia occurred in permanent cropland (excluding oil palm), which has decreased rapidly since the early 1990s, and in land under oil palm cultivation, which experienced a sharp increase. Projections of additional land demand for palm oil production in 2020 range from 1 to 28 Mha in Indonesia. The demand can be met to a large extent by degraded land if no further deforestation is assumed. In Malaysia, expansion projections range from 0.06 to 5 Mha, but only the lowest projection of oil palm expansion is feasible when only degraded land may be used. The role of palm oil production in future LUC depends on the size of the projected expansion as well as agricultural management factors such as implementation of best management practices, earlier replanting with higher yielding plants, and establishment of new plantations on degraded land. The current use of degraded land needs to be investigated in order to reduce possible indirect LUC, land tenure conflicts, or other social impacts. In addition to minimizing direct and indirect LUC by the palm oil sector, measures that reduce deforestation triggered by other causes must also be implemented. A key element for doing so is better planning and governance of land use, which entails more appropriate demarcation of forest land and protection of land that still has forest cover, improved monitoring of land use, and more research to uncover the complexities and dynamics of the causes and drivers of LUC.     

Is Portugal’s forest transition going up in smoke?

The turnarounds from decrease to expansion in forest areas that took place during the last century have been examined through the lens of forest transition theory (FTT). Among temperate and Mediterranean European countries that have seen an expansion of forest cover, Portugal stands out as the only case in which this trend has recently been reverted. In this study, we explicitly map and document the forest transition (FT) in the country over the period 1907–2006, and investigate when and where forest transition happened de facto, and which were the land use transition pathways that resulted from the shrublands, agriculture, and forest interplay dynamics. After thematic and geometric harmonization of land cover maps from 1907, 1955, 1970, 1990, and 2006, a cluster analysis established four typologies, and a transition matrix was constructed to assess land cover dynamics. We found that up to 1955, FT occurred simultaneously with agricultural expansion, as shrubland areas diminished. Afterwards, with the retraction of agricultural area and the consequential decoupling of forest management from local actors, FT gained momentum and expanded up to the 1990s. While during the first half of the 20th century, forest expansion followed the “Scarcity” and “State Policy” pathways fostered by local socio-ecological feedback loops, throughout the second half of the century forest transition was driven by exogenous socio-economic forces, following “Economic Development” and “Globalization” pathways. We show how, despite these forces, FT can be derailed by endogenous factors such as wildfires, which limited and in some areas even reverted the afforestation process, initiating a deforestation phase. Since the necessary conditions for FT (technology shift, urbanization, agriculture retraction and public afforestation programs) were available in mainland Portugal, we advance the hypothesis that critical wildfire risk governance deficits may have been responsible for arresting FT. Considering the critical role of forests and other wooded areas in supporting climate change mitigation and sustainable development, our work provides useful evidence and insights for public decision makers on previously unaddressed dimensions of FTT.     

Forest transition in South Korea: Reality, path and drivers

While forest transition (FT) in South Korea began in 1955, when forest cover was only 35% of national land area, significant increases in both forest cover and growing stock really occurred in the early 1970s. Using reconstructed historical records, we empirically demonstrate that (1) FT in South Korea was mainly accomplished by the recovery of degraded, non-stocked forest; and (2) one-dimensional FT analysis using forest area alone has severe limitations in diagnosing meaningful changes in forest sustainability. The key driver of FT in South Korea was the government-led reforestation policy. The comprehensive reforestation plans, started in 1973, not only provided economic incentives to the general public by establishing clear quantifiable goals, they also promoted inter-agency cooperation and coordination, especially between the energy and forest sectors, to replace firewood with fossil fuels. These government-led efforts, accompanied by rural-urban migration, brought an increase in stocked forest area and a complementary rising average growing stock level. The case of South Korea shows that FTs can be cultivated in a relatively short period of time by a central authority, even with imperfect governance and low economic development.