联邦制森林治理:分权管理经验和潜在影响

80%以上的发展中国家和经济转轨国家正在进行着某种形式的分权试验。以11个国家(拥有全球森林总量60%以上)为例,简要描述了实施联邦制的主要林业国家当前的森林行政管理类型以及施政形式,认为分权后强化了跨部门联系的重要性,许多政府机构都介入了有关森林资源的各项决策;有效的森林治理取决于各种管理机构的能力;私营部门和民间组织在成功治理各种森林资源中也发挥着重要作用。从11国经验中分析了各种潜在优势、潜在危险,指出分权管理减少了中央政府的官僚和决策障碍,但会使全国性的政策协调、实施和监督变得困难。     

The meanings of forest governance in Esmeraldas,Ecuador

Participatory forestry has become the most accepted way of exploiting timber resources in tropical rain forests. This paper shows the links between participatory forestry, sustainable forest management and the continuing objective of reconciling conservation with commercial development in the province of Esmeraldas, one of the poorest and most rapidly deforested regions of South America. I describe and contextualize the evolving logging programme of a leading Ecuadorian wood-processing group to show that the decentralization of the development process, the recognition of local communities as legal entities in the management of natural resources, and the active involvement of profit-oriented firms in biodiversity conservation and poverty alleviation all contribute to the emergence of new alliances between the Ecuadorian government, the logging companies, conservation and human rights organizations, and local Black and indigenous communities. My central argument is that devolution in this context leads to conflictive interpretations of regulation. I end with a discussion of the multi-scalar nature of “forest governance”, and highlight the contribution it makes to our understanding of control, regulation and management in new contexts of privatization and decentralization.     

环境分权对水环境治理效果的影响——财政分权视角下的动态面板检验

选取2002—2015年我国30个省际面板数据,应用系统GMM估计方法,实证检验了环境分权的水环境治理效应。研究结果显示,环境分权与工业废水和生活污水排放、工业废水氨氮排放量及工业废水化学需氧量三类水污染指标呈现显著且稳定的正向关系,这意味着赋予地方政府过高的环境管理自主权将不利于改善水环境治理效果;财政分权对水环境治理效果产生负向效应,随着财政分权程度的提升,环境分权对水环境治理效果的不利影响得以强化。分组检验结果表明,中央政策干预和环境管理体制改革促使财政分权对水环境治理效果的负面作用逐渐趋于不明显,且有效削弱了财政分权对环境分权与水环境治理效果两者关系的调节效应;在东部沿海地区,环境分权可一定程度上降低水污染排放,其治理效应总体上优于中西部内陆地区,而财政分权对水环境治理效果的负向作用及其调节效应在中西部内陆地区更显著。     

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.     

Is there decentralization in North Korea? Evidence and lessons from the sloping land management program 2004–2014

In the 1990s, the Democratic People’s Republic of Korea (North Korea) suffered from severe food shortages and large-scale deforestation, which triggered a stage of rural conservation reform. Since 2004, with support from the Swiss Agency for Development and Cooperation (SDC), North Korea’s Ministry of Land and Environmental Protection (MoLEP) has implemented a Sloping Land Management Program (SLMP). The SLMP established sloping land user groups and granted these groups the right to use marginal land for agroforestry development. This devolution of land rights from state control onto local groups is a landmark in North Korea, and this decentralization initiative has now expanded to over eight counties to involve thousands of households. It has also led to the launch of a National Agroforestry Policy and Strategy. Drawing from both qualitative and quantitative data collected from 2008 to 2014, this paper documents the process and effects of the SLMP. It argues that the decentralization reform in land management has contributed to not only food security with increased food crop diversity and productivity, but also notably forest recovery through an expansion of tree plantations and agroforestry practices on degraded sloping lands. However, an insufficient power transfer in the form of a lack of timber rights granted to the local user groups has hampered the effectiveness of the SLMP. There are also institutional and geopolitical challenges that are limiting further scaling-up of land-use decentralization across the country. The policy implication calls for more international investment as well as national land-use policy reforms in order to promote and facilitate further decentralization of sloping land management and to secure greater use rights for sloping land user groups.     

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.     

Opposing interests in the legalization of non-procedural forest conversion to oil palm in Central Kalimantan,Indonesia

Demand for forestland for non-forest uses, mostly oil palm, has increased dramatically in the past few years and has become a chief driver of deforestation in Central Kalimantan. In this paper, we aim to shed light on how multiple levels of government create a facilitating environment for oil palm expansion. In our research, we employed three different methods: content analysis of key policy documents, participant observations, and expert interviews. We found that the technical complexities of formal procedures for the conversion of forest to oil palm are relatively easy to bypass. Contradicting laws and regulations have created a situation where the Ministry of Environment and Forestry (MoEF) and local governments have relatively equal legal mandates and authority over land-use and allocation. This is further complicated by the ambiguity of the decentralization policy. Enabled by the spatial planning law and the decentralization laws, local governments have aggressively issued plantation licenses for forest areas without the formal release of the forest from the Ministry of Forestry. The issuance of plantation permits has also been legitimized by other policies within central government, which have made oil palm a national priority.     

Decentralization in a centralized system: Project-based governance for land-related public goods provision in China

The present paper describes a project-based governance approach for public goods provision in the domain of land administration, which is a new decentralized structure within the traditional centralized system in China. Project-based governance represents a new relationship between the central and local governments that aims to cooperatively provide land-related services for public interest projects. The top–down project allocation from the central government and the bottom–up project packaging by local governments together successfully improve the incentives of the local governments and, therefore, achieve the central government’s aim of providing public goods and fostering economic development. We use Fujian Province of China as an example to show the operational process of the project-based governance approach, and we discuss in detail the features and potential effects of the new governance system. The paper may provide new evidence for governance innovation regarding decentralization in a traditionally centralized system.     

Growing deep roots: Increasing Aboriginal authority in contemporary forest governance arrangements

The governance literature highlights a shift away from “government” to new and more complex governing arrangements that involve a greater set of institutions and actors in decision-making processes. According to a number of studies, this shift is ongoing in forestry. This article seeks a better understanding of contemporary forest governance by exploring the emerging role of Aboriginal peoples in the Canadian forest sector. It is well known that Aboriginal participation in forest management is crucial for achieving sustainable forestry. Yet we know little about how Aboriginal communities can induce a change in governing conditions. We examined the various governance arrangements through which the Essipit Innu First Nation in Quebec (Canada) was able to exercise authority over forest management. Using multiple qualitative data gathering techniques, our analysis shows that Essipit innovated in forest governance by creating a partnership with the forest company Boisaco and, thus, gained authority over forest management decisions at the operational level. Our analysis explains that this new governance arrangement is built on growing collaboration and interdependencies between these two parties. Common values, orientations, mechanisms and tools are also necessary conditions. Finally, this research highlights the need for greater cultural understanding.     

The contested environmental governance of Maori-owned native forests in South Island,Aotearoa/New Zealand

In this study we set out to critically examine the environmental governance of native forests owned and managed by the Maori in New Zealand, with a specific focus on ‘SILNA’ lands given to the South island Maori as compensation lands for lost ancestral tribal lands. We will interrogate reasons for different forestry pathways in terms of how the process of European colonisation unfolded politically and spatially, the response of the Maori SILNA forest owners to pressures linked to land allocation and land rights issues over time, and the repercussions of these responses for biodiversity preservation in indigenous forest management systems. In order to unravel the complex environmental governance processes at play in the New Zealand context, we will pay particular attention to ‘exogenous’ (i.e. propelling forces outside Maori communities) and ‘endogenous’ regulation mechanisms (i.e. regulation of native forest management within SILNA forest blocks). New Zealand is a particularly appropriate setting as Maori governance, forest management and land rights issues have come to the fore over the past decades. Our findings suggest that Maori SILNA forest owners have used the full spectrum of forest management pathways, ranging from outright clearfelling and associated biodiversity depletion to forest preservation. The study highlights the complex interplay between endogenous environmental governance processes (actor embeddedness with their land and the role played by trusts and committees in particular) and exogenous drivers, in particular through the influence of international logging companies, and the policy environment which has sent mixed, and at times confusing, messages to Maori SILNA native forest owners.     

Forest governance and economic values of forest ecosystem services in Vietnam

Forest ecosystems deliver valuable services to humanity. However, many forests are being degraded and their services have been undervalued. The main problem lies in the inadequate institutional arrangements for forest governance. This paper aims to assess the effects of alternative forest governance arrangements on the provision and economic values of forest ecosystem services (FES) in Vietnam. The study presents a framework for mapping land use and land cover (LULC) change stemming from actual and hypothetical changes in forest governance regimes, quantifies the resulting changes in the provision of FES, and estimates the associated economic values. In the context of the study site in the North Western uplands of Vietnam, we test three alternative forest governance scenarios: business as usual, with a dominant government role; a community-based governance regime; and a private, individual-based forestry governance regime. Scenarios are based quite closely on the way these regimes are (or might be expected to be) implemented in Vietnam. For each forest governance scenario, we map LULC changes based on land suitability analysis and transition likelihood for the period 2010 − 2020. The resulting maps are used as inputs into the InVEST (Integrated Valuation of Environmental Services and Tradeoffs) model, which is used to estimate the quantity of three specific FES: carbon storage/sequestration, sediment yield, and water yield. We apply economic valuation methods to value these services: the social cost of carbon is used to estimate the economic values of carbon storage/sequestration; the cost of removing sediment deposited in reservoirs is applied for valuing the reduction of sediment yield, and the residual value of water supply for hydropower generation is used for valuing water yield. The results show that forest governance regimes have a significant effect not only on forest LULC, but also on the quantity and values of FES derived from forests. The FES are differentially affected by alternative forest governance regimes: some FES increase in quantity and value under some governance regimes and decrease under others. Of the three forest governance regimes examined, there is no one regime that will always be ‘better’ than the others in terms of provisioning all considered FES. For the specific context of Vietnam, we find that the private forest governance scenario is inferior to the community-based governance scenario, as an alternative to the current state-based governance. Because our results pertain to the scenarios as constructed, rather than generally to broad categories of governance regimes, there remains the possibility that regimes can be constructed that outperform all of those examined here.     

重点国有林区改革与发展趋势的实证分析

对重点国有林区改革与发展状况进行了回顾,对影响国有林业企业“两危”的因素进行了分析,也分析探讨了国有林区出现的各种改革措施对保护和发展森林资源,增加林区职工收入的作用。指出,在国有林区,国有加工业改制进展迅速,家庭式经营管理和市场化手段成为森林资源管护和经营基本制度要素,许多新做法提高了森林培育、采伐和经营的效率,但社会保障体制严重缺位。通过多元统计分析,在一定程度上验证了利润分成机制、企业社会负担对企业创收存在过强激励,是森林资源破坏的根源。分析结果不支持农业生产等同于毁林的判断。改革方向是建立地方公有林体系,国家林业主管部门将精力集中于公共物品提供方面。深化改革需要得到政府部门的关怀和支持,使之规范化,催生林区可持续发展的新体制。     

A historical political ecology of forest access and use in Sudan: Implications for sustainable rural livelihoods

This paper analyzes and explains the development of forest governance over time and its impact on forest-dependent livelihoods in Sudan. Therefore, a qualitative historical analysis method was used to capture and interpret the analytical dimensions of the Political Ecology Approach (PEA). The historical review of the forestry development provides an insight into Sudan’s transforming governance framework for forest access and use, especially the related legislation, policies and resource administrations. This study concludes that unequally distributed forest resource access and institutional arrangements over time are detrimental factors for forest-dependent poverty and environmental degradation. Our study suggests that a more supportive governance framework, which integrates rural livelihood vulnerability with sustainability parameters, is needed thus to resolve the currently most contradictory forest management paradigms.     

Soil is brown gold in the Emilia-Romagna region,Italy

Soil is a natural resource essential to human welfare by virtue of its numerous crucial functions. In the past, soil has been taken for granted because of its widespread, albeit finite, availability. However, now that world's population is projected to exceed ten billion before the end of this century, soil is increasingly perceived as a precious commodity. Consequently, soil is increasingly under pressure by rich private investors and governments within the poorest countries to satisfy appetites for food production and biofuel. A case study is used to explore the plausibility of soil being considered as ‘brown gold’. Based on the comparison of land use maps, we estimated the value in terms of resource from raw material, carbon sink and virtual calories of the productive soil lost during the period 2003–2008 in the Emilia-Romagna Plain, one of the most productive areas of Italy. More than fifteen thousand hectares of cropland underwent land use change – in particular urbanization – over the 6-year period with an implied loss of crop production potential equivalent to the daily calorific requirement of more than 440,000 people. Taking into account that Italy is no longer self-sufficient in food production, such a loss appears to be strategically significant. Perhaps more importantly, urbanization and soil sealing has had negative ramifications on environmental sustainability, on both local and broad scales, with increased consumption of public funds. A logical framework of the socio-economic impact of land use change has been compiled and is presented as a possible example of a policy relevant approach to managing productive soils as a finite resource.     

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.     

Localizing Land Governance,Strengthening the State: Decentralization and Land Tenure Security in Uganda

Decentralization of land governance is expected to significantly improve land tenure security of small‐scale farmers in Africa, through ensuring better protection of their assets and reducing land‐related conflicts. This paper, however, cautions not to have too high expectations of transferring responsibilities for land administration and dispute resolution to local government bodies. Field research in Mbarara District in south‐western Uganda brings out how decentralization has limited impacts in terms of localizing land services provision. Nonetheless, local land governance has transformed in important ways, as decentralization adds to institutional multiplicity, and fuels competition among state and non‐state authorities, and about the rules they apply. Rather than strengthening local mechanisms for securing tenure, the reforms introduce new forms of tenure insecurity, fail to transform local conventions of dealing with land disputes and delegitimize local mechanisms for securing tenure. In practice, decentralization has had limited effects in securing tenure for the rural poor, yet reinforces the presence of the state at the local level in diverse ways.     

The disappearing chain of responsibility: Legitimacy challenges in the political governance of Finnish Forest and Park Service

This article analyses the consequences of institutional and organisational arrangements for the legitimacy of the governance of Finnish public forests. It focuses on normative legitimacy, which comprises input legitimacy (accountability), throughput legitimacy (power relationships, transparency and inclusiveness) and output legitimacy (problem-solving capacity). These components, and the challenges involved in them, are analysed in relation to the governance of the Finnish Forest and Park Service. It is a hybrid agency which combines business economic tasks with broader societal duties related to public forests. The article draws on the relevant laws, parliamentary reports and comments, policy and planning documents, as well as interviews with MPs, government officials and agency staff. The discrepancy between written regulations and policies on the one hand, and the actual governance practices and rationalities that guide informants’ interpretations and implementation of the regulations on the other, constitutes (in addition to the regulatory vagueness) the key challenge to the system's legitimacy. The Finnish case shows that assigning to Parliament a central formal role in the governance of public forests may serve more as window-dressing than providing genuine legitimacy to the decisions being made, as its actual role is dependent on how – and by whom – such decisions are prepared. The results highlight the importance of inclusiveness and transparency in the governance process; and of concrete, measurable criteria and indicators for each policy goal, against which performance may be assessed on a regular basis.     

森林可持续经营中分权管理的途径及缺陷:亚洲太平洋地区的经历

分权管理作为改进治理的民主进程和资源的公平分配或有效性的方法而受到广泛的讨论。分权管理的目标和主要原则(如辅助作用等)已是众所周知的,但付诸实施却总是不很成功。分权管理的途径有时从概念上设计得很好,但因各种原因并未按照设计去执行,从而出现了造成冲突和混乱的严重缺陷,导致目标未能实现。通过对亚太地区案例研究的正面和负面的经验进行了回顾,对森林经营和可持续性的影响给予了关注。成功的分权管理途径需要反映国家所关心的地理、文化和机构方面,以及相关的各种施政、市场和信息功能。分权管理有多种形式,其可以包含地域层次和联邦层次,也可以包括地方政府或不符合常规施政的地域。但所有的分权管理形式都必须做好准备工作,且分阶段实施非常必要。总结案例研究的教训为森林可持续经营提供了制定未来分权管理途径的基础和避免缺陷。     

参与式林业政策过程方法——一个新的林业政策形成路径

从对全球林业发展面临的焦点问题,森林功能认知的变迁,全球化、本土化和私有化对林业发展的影响,环境保护主义的兴起,以及实现千年发展目标的需要等角度,分析了参与式林业政策过程产生的背景。参与式林业政策过程包括相关利益者介入到政策制定、执行、监测和评估等不同的环节,它具有共同愿景、责任分担、部门协调、包容性和政策归属感等方面的特点。它能够有效解决政策实施的效率和利益公平分配等问题。参与式林业政策过程是国际林业政策实践和研究的新导向。     

Power relationships: Their effect on the governance of community forestry in the Philippines

This paper examines the impact of unequal power relationships on the governance of community forestry groups (CFGs) in the Philippines. Devolution of power has long been considered to be a ‘magic bullet’ in the governance of CFGs. However, poor governance which involves unequal power relationships between state agencies, forest user groups and rural people, produces unequal access in decision-making, sharing of authority and responsibility. This engenders local resistance from those who feel excluded and marginalised in the process. Drawing on Bourdieu’s notion of ‘symbolic violence’, we examine how unequal power relationships between State and local agencies have facilitated destruction of mature and newly planted timber plantations. Studies of a harvesting and a reforestation project found that the adverse effects of poor governance occurred at two tiers, first at an upper level between the government and CFGs, and second, at a lower level between CFG’s and local people. Poor governance at upper levels has triggered both symbolic and physical violence on and from people who remained marginal to the benefits of harvesting and reforestation. We conclude that a key requirement for sustainable community-managed forests is to expand benefit sharing to non-CFG local people. Our findings highlight the importance of lower-tier levels of governance within CFGs and between CFGs and local people.