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Special Issue "Incentives and Constraints of Community and Smallholder Forestry"

A special issue of Forests (ISSN 1999-4907).

Deadline for manuscript submissions: closed (15 September 2015)

Special Issue Editors

Guest Editor
Prof. Dr. Wil de Jong

Center for Integrated Area Studies, Kyoto University 46 Shimoadachicho, Yoshida, Sakyoku, Kyoto 606-1805, Japan
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Interests: environmental governance; forest policy; smallholder and community forestry; forest transition; forest rehabilitation.
Guest Editor
Dr. Pia Katila

The Natural Resources Institute Finland, Viikinkaari 4, FI-00790 Helsinki, Finland
E-Mail
Interests: forest policy and governance; international forest policy; land tenure; development
Guest Editor
Dr. Glenn Galloway

Director, Master of the Sustainable Development Practice (MDP) Program, Center for Latin American Studies/Center for African Studies, University of Florida 32605, USA
E-Mail
Phone: 3523923292
Interests: community-based natural resource management; sustainable development; multi-stakeholder cooperation; forest plantations; education and capacity building
Guest Editor
Dr. Pablo Pacheco

CIFOR, Jalan CIFOR, Situ Gede, Bogor Barat 16115, Indonesia
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Interests: land and forest governance; landscape and agrarian change; rural development

Special Issue Information

Dear Colleagues,

Since the 1990s, the forestry sector has been reformed in a large number of countries. In many of these countries, the reforms have aimed to promote forest-based development, or at least, to allow local communities and smallholders to legally benefit from the forests they had customarily been relying on, at least partially, for their daily subsistence. More recently, forests and forest lands are being re-valued and re-appropriated as a repository of carbon stocks or as areas for expanding agro-industries or bio-energy production.

The proposed Special Issue brings together case studies of communities that have been subjected to specific efforts for promoting community forestry, or communities that have adapted to new opportunities for transforming forest management activities as a strategy for improving their own livelihoods. The proposed Special Issue will include case studies from tropical Latin America, Africa, and Asia. The cases analyze how efforts to promote community forestry have panned out, and why they have generated positive outcomes, where that has happened. They examine the on-going policy or regulatory constraints that communities face and/or the persistent limitations along forest product value chains. The papers further examine how constraints limit local forest-based entrepreneurship, and how communities have responded to these newly emerging constraints. Together, the papers present an invaluable perspective on the prospects for forestry activities to progressively contribute to improving rural livelihoods when efforts to promote the latter coincide with a reassessment of the value of forests as global commons or territories for new productive options.

Prof. Dr. Wil de Jong
Dr. Pia Katila
Dr. Glenn Galloway
Dr. Pablo Pacheco
Guest Editor

Manuscript Submission Information

Manuscripts should be submitted online at www.mdpi.com by registering and logging in to this website. Once you are registered, click here to go to the submission form. Manuscripts can be submitted until the deadline. All papers will be peer-reviewed. Accepted papers will be published continuously in the journal (as soon as accepted) and will be listed together on the special issue website. Research articles, review articles as well as short communications are invited. For planned papers, a title and short abstract (about 100 words) can be sent to the Editorial Office for announcement on this website.

Submitted manuscripts should not have been published previously, nor be under consideration for publication elsewhere (except conference proceedings papers). All manuscripts are thoroughly refereed through a single-blind peer-review process. A guide for authors and other relevant information for submission of manuscripts is available on the Instructions for Authors page. Forests is an international peer-reviewed open access monthly journal published by MDPI.

Please visit the Instructions for Authors page before submitting a manuscript. The Article Processing Charge (APC) for publication in this open access journal is 1200 CHF (Swiss Francs). Submitted papers should be well formatted and use good English. Authors may use MDPI's English editing service prior to publication or during author revisions.

Keywords

  • sustainable forest management
  • tropical forest landscapes
  • forestry development
  • forest governance and policy

Published Papers (10 papers)

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Editorial

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Open AccessEditorial Incentives and Constraints of Community and Smallholder Forestry
Forests 2016, 7(9), 209; doi:10.3390/f7090209
Received: 12 September 2016 / Accepted: 14 September 2016 / Published: 16 September 2016
PDF Full-text (668 KB) | HTML Full-text | XML Full-text
Abstract
This editorial introduces the special issue: Incentives and constraints of community and smallholder forestry. The special issue contains nine papers, listed in a table in the main text. The editorial reviews briefly some key elements of our current understanding of community and
[...] Read more.
This editorial introduces the special issue: Incentives and constraints of community and smallholder forestry. The special issue contains nine papers, listed in a table in the main text. The editorial reviews briefly some key elements of our current understanding of community and smallholder forestry. The editorial also briefly introduces the nine papers of the special issue and points out how they link to the debate among academics and specialists on community and smallholder forestry. Finally, the editorial highlights the new elements that the nine papers contribute to our understanding of community and smallholder forestry, before it concludes at the end. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)

Research

Jump to: Editorial

Open AccessArticle Smallholder Forestry in the Western Amazon: Outcomes from Forest Reforms and Emerging Policy Perspectives
Forests 2016, 7(9), 193; doi:10.3390/f7090193
Received: 20 May 2016 / Revised: 23 August 2016 / Accepted: 25 August 2016 / Published: 31 August 2016
Cited by 4 | PDF Full-text (1222 KB) | HTML Full-text | XML Full-text
Abstract
The forest reforms unfolding during the last two decades in the western Amazon have embraced policy regimes founded on the principles of sustainable forest management. The policy frameworks adopted for smallholder forestry aimed to clarify forest rights including those of the indigenous people
[...] Read more.
The forest reforms unfolding during the last two decades in the western Amazon have embraced policy regimes founded on the principles of sustainable forest management. The policy frameworks adopted for smallholder forestry aimed to clarify forest rights including those of the indigenous people and smallholders, support the adoption of sustainable forest management and put a system in place to assure a legal timber supply. The emerging forest policy regimes have significantly shaped who has access to the forest, how the forest resources are used and the benefits that are utilized. We argue that forest reforms have not addressed some critical constraints facing smallholders in managing their forests either individually or collectively. Informal timber extraction persists with contradictory effects on smallholders and forests. Local participants continue to make a significant contribution in meeting a growing demand for timber through vigorous market networks that combine legal and illegal sources of timber supply. Some recent changes to forest policy frameworks emphasize approaches towards additional integrated forest management, simplification of regulations and incentives for improved forest management. We critically reflect on the scope, implementation and expected outcomes of these policy frameworks. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
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Open AccessArticle Timber Regulation and Value Chain in Community-Based Timber Enterprise and Smallholder Forestry in the Philippines
Forests 2016, 7(8), 152; doi:10.3390/f7080152
Received: 14 April 2016 / Revised: 15 July 2016 / Accepted: 18 July 2016 / Published: 25 July 2016
Cited by 1 | PDF Full-text (2289 KB) | HTML Full-text | XML Full-text
Abstract
Forest tenure reform has no doubt attained significant gains in promoting social justice and equity in the forest sector, through legal recognition of the communities’ property rights over forest lands in many developing countries. This includes the right to harvest and market trees
[...] Read more.
Forest tenure reform has no doubt attained significant gains in promoting social justice and equity in the forest sector, through legal recognition of the communities’ property rights over forest lands in many developing countries. This includes the right to harvest and market trees that the communities planted. Along these lines, the Philippines’ community-based forest management (CBFM) and smallholder forestry have the potential to meet the country’s wood demand and contribute to its poverty alleviation goal. Realities on the ground, however, make this lofty aspiration seems too far-fetched. Formal and informal barriers along the timber value chain restrict the growth and obstruct opportunities for community-based timber enterprises (CBTEs) and smallholder forestry. Using the case of CBFM and smallholder forestry in the Visayas and Mindanao Islands in the Philippines, respectively, this paper examines the hurdles posed by regulations and informal practices, such as restrictive policies and increased transaction costs, through a segment analysis of the timber value chain. It argues that failure to address these barriers would lead to the decline of CBTEs and smallholder enterprises, thus undermining the merits of the forest tenure reform. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
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Open AccessArticle Tropical Forest Gain and Interactions amongst Agents of Forest Change
Forests 2016, 7(3), 55; doi:10.3390/f7030055
Received: 6 September 2015 / Revised: 16 February 2016 / Accepted: 19 February 2016 / Published: 27 February 2016
Cited by 3 | PDF Full-text (7410 KB) | HTML Full-text | XML Full-text | Supplementary Files
Abstract
The tropical deforestation literature advocates multi-agent enquiry in recognition that key dynamics arise from inter-agent interactions. Studies of tropical forest-cover gain have lagged in this respect. This article explores the roles and key aspects of interactions shaping natural forest regeneration and active reforestation
[...] Read more.
The tropical deforestation literature advocates multi-agent enquiry in recognition that key dynamics arise from inter-agent interactions. Studies of tropical forest-cover gain have lagged in this respect. This article explores the roles and key aspects of interactions shaping natural forest regeneration and active reforestation in Eastern Panama since 1990. It employs household surveys of agricultural landholders, interviews with community forest-restoration organisations, archival analysis of plantation reforestation interests, satellite image analysis of forest-cover change, and the consideration of State reforestation policies. Forest-cover gain reflected a convergence of interests and land-use trends amongst agents. Low social and economic costs of sustained interaction and organisation enabled extensive forest-cover gain, but low transaction costs did not. Corporate plantation reforestation rose to the fore of regional forest-cover gain via opportunistic land sales by ranchers and economic subsidies indicative of a State preference for autonomous, self-organising forest-cover gain. This reforestation follows a recent history of neoliberal frontier development in which State-backed loggers and ranchers similarly displaced agriculturalists. Community institutions, long neglected by the State, struggled to coordinate landholders and so effected far less forest-cover gain. National and international commitments to tropical forest restoration risk being similarly characterised as ineffective by a predominance of industrial plantation reforestation without greater State support for community forest management. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
Open AccessArticle Community Forestry Incentives and Challenges in Mozambique
Forests 2015, 6(12), 4558-4572; doi:10.3390/f6124388
Received: 4 November 2015 / Revised: 6 December 2015 / Accepted: 7 December 2015 / Published: 15 December 2015
Cited by 2 | PDF Full-text (204 KB) | HTML Full-text | XML Full-text
Abstract
Although communities have been living within forests and dependent on forest resources, in Mozambique, their role was not formally recognized until the late 1990s. The forest law of 1997 was the first to refer to communities as stakeholders in the forest sector, in
[...] Read more.
Although communities have been living within forests and dependent on forest resources, in Mozambique, their role was not formally recognized until the late 1990s. The forest law of 1997 was the first to refer to communities as stakeholders in the forest sector, in line with the national Policy and Strategy for the Development of the Forestry and Wildlife Sector. As a new element, several pilot projects were established during the late 1990s and early 2000s to produce lessons that would inform policy and technical aspects. Community forestry received most of the attention until the first decade of this century, however, it seems that while communities have gained a role in the management of the forest sector, there are still challenges to fully implementing and securing community forestry initiatives. In this study, we document the advent and evolution of community forestry in Mozambique, discuss the conditions for success in community forestry, and discuss two cases of community forestry that have survived over beyond the end of external support. We conclude that devolution and training are the basic incentives, but additional incentives, including diversification of sources of revenue from non-destructive forestry activities, are required to maintain the stability of community forestry over time. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
Open AccessArticle Restoring and Conserving Khasi Forests: A Community-Based REDD Strategy from Northeast India
Forests 2015, 6(12), 4477-4494; doi:10.3390/f6124382
Received: 20 August 2015 / Revised: 4 December 2015 / Accepted: 4 December 2015 / Published: 11 December 2015
Cited by 3 | PDF Full-text (1482 KB) | HTML Full-text | XML Full-text
Abstract
An initiative to Reduce Emissions from Deforestation and Forest Degradation (REDD) was launched in December 2007 at the Bali Conference of Parties (COP) to the United Nations Framework Convention on Climate Change (UNFCCC), yet little progress has been made in Asia in developing
[...] Read more.
An initiative to Reduce Emissions from Deforestation and Forest Degradation (REDD) was launched in December 2007 at the Bali Conference of Parties (COP) to the United Nations Framework Convention on Climate Change (UNFCCC), yet little progress has been made in Asia in developing certified REDD projects, especially those that engage forest-dependent people. According to UNFCCC, REDD is a multilevel activity that involves both national policy and structures, as well as subnational projects involving local communities [1]. While many Asian nations are trying to create frameworks that link the national strategy to sub-national projects, in India this formal integration has yet to take place. As a consequence projects like the Khasi Hills Community REDD+ project fall outside the UNFCCC strategy and operate under voluntary standards (Plan Vivo) and markets. The project involves both avoided deforestation and reforestation components. The project is being implemented by a federation of ten Khasi tribal kingdoms, a major ethnolinguistic group in the Indian state of Meghalaya. Project experience may provide guidance regarding actions required to create a more enabling environment for community forest carbon projects in Asia. These findings may better inform the December 2015 21st UNFCCC Conference of Parties in Paris as they again address REDD strategy. The experience of this Khasi Federation [2] in designing and implementing a REDD project has led to the emergence of a modernizing forest management system that is helping to conserve and restore the Khasi’s ancestral forests. Learning from this REDD project also illustrates the barriers that the Khasi communities have faced, including those imposed by national governments, certifiers, and carbon markets, that will likely constrain the expansion and replication of community-based climate initiatives. The author suggests some alternative policies and systems that may enable greater community participation in REDD projects. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
Open AccessArticle Endurance and Adaptation of Community Forest Management in Quintana Roo, Mexico
Forests 2015, 6(11), 4295-4327; doi:10.3390/f6114295
Received: 15 September 2015 / Revised: 5 November 2015 / Accepted: 11 November 2015 / Published: 23 November 2015
Cited by 7 | PDF Full-text (751 KB) | HTML Full-text | XML Full-text
Abstract
Despite regional deforestation threats, the state of Quintana Roo has maintained over 80% of its territory in forests. Community forest management (CFM) has played a pivotal role in forest cover and biodiversity conservation in the region. In this article, we present the institutional,
[...] Read more.
Despite regional deforestation threats, the state of Quintana Roo has maintained over 80% of its territory in forests. Community forest management (CFM) has played a pivotal role in forest cover and biodiversity conservation in the region. In this article, we present the institutional, socioeconomic and environmental conditions under which community-based forest management has been consolidated in the tropical state of Quintana Roo, which occupies the eastern half of Mexico’s Yucatan Peninsula. With a focus on management for timber and other market-based development strategies, we then examine the institutional and socioeconomic factors, as well as biophysical shocks, that have constrained community forestry development in the past 25 years, challenging its persistence. Following, we discuss how forest communities and institutions have responded and adapted to changing forest policies and markets as well as major environmental shocks from hurricanes and fires. CFM in Quintana Roo has shown resiliency since its institutionalization 30 years ago. Future challenges and opportunities include biodiversity conservation, carbon management through Reducing Emissions from Deforestation and Forest Degradation (REDD+) initiatives, market strengthening, business management training as well as the implementation of alternative silvicultural systems, particularly to manage sustainable populations of commercial timber species. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
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Open AccessArticle Annual Cash Income from Community Forest Management in the Brazilian Amazon: Challenges for the Future
Forests 2015, 6(11), 4228-4244; doi:10.3390/f6114228
Received: 23 September 2015 / Accepted: 16 November 2015 / Published: 20 November 2015
Cited by 4 | PDF Full-text (880 KB) | HTML Full-text | XML Full-text
Abstract
Community forest management (CFM) is considered an alternative way to protect forests while providing income for smallholders. Since the mid-1990s, the number of CFM projects has rapidly increased in the Brazilian Amazon, although most of them still face several difficulties. In this paper,
[...] Read more.
Community forest management (CFM) is considered an alternative way to protect forests while providing income for smallholders. Since the mid-1990s, the number of CFM projects has rapidly increased in the Brazilian Amazon, although most of them still face several difficulties. In this paper, we discuss the obstacles to the financial viability of CFM in this region and propose some ways to overcome them. Based on evidence from five case studies, we assess the extent to which sustainable forest management for commercial timber production contributes to smallholder income. We show that harvesting timber only provides a limited cash income to smallholders, even though forest covers 80% of their landholding. Market access to timber is very uncertain and smallholder communities often fail to make a profit from their timber. Minimum remunerative public prices and support for timber marketing are thus needed. Simpler and more flexible procedures are required to reduce the high transaction costs of obtaining a permit and increase smallholder involvement in legal forest management for commercial purposes. Finally, a better assessment of timber potential in smallholder forest reserves through systematic inventories would be useful to avoid arousing false expectations. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
Open AccessArticle An Uneven Playing Field: Regulatory Barriers to Communities Making a Living from the Timber from Their Forests–Examples from Cambodia, Nepal and Vietnam
Forests 2015, 6(10), 3433-3451; doi:10.3390/f6103433
Received: 7 August 2015 / Revised: 23 September 2015 / Accepted: 24 September 2015 / Published: 29 September 2015
Cited by 6 | PDF Full-text (450 KB) | HTML Full-text | XML Full-text
Abstract
Community forestry (CF) is widely viewed as the solution to many of the challenges facing forest management and governance in the Asia-Pacific region. However, it is often felt that CF is not delivering on its potential. This paper focuses on one possible limitation:
[...] Read more.
Community forestry (CF) is widely viewed as the solution to many of the challenges facing forest management and governance in the Asia-Pacific region. However, it is often felt that CF is not delivering on its potential. This paper focuses on one possible limitation: the role of regulations in curbing communities’ ability to make a living from their timber resources. The work covers Cambodia, Nepal and Vietnam, using policy analyses, national level experts’ workshops, and focus group discussions in two CF sites in each country. The results highlight the fact that there are numerous, often prohibitive, regulations in place. One challenge is the regulations’ complexity, often requiring a level of capacity far beyond the ability of community members and local government staff. The paper puts forward various recommendations including simplifying regulations and making them more outcome-based, and facilitating key stakeholders, including government and community based organizations, working together on the design and piloting of forest monitoring based on mutually agreed forest management outcomes. The recommendations reflect the belief that for CF to succeed, communities must be allowed to make a meaningful living from their forests, a result of which would be increased investment in sustainable forest management. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
Open AccessArticle Smallholders’ Tree Planting Activity in the Ziro Province, Southern Burkina Faso: Impacts on Livelihood and Policy Implications
Forests 2015, 6(8), 2655-2677; doi:10.3390/f6082655
Received: 4 June 2015 / Revised: 22 July 2015 / Accepted: 28 July 2015 / Published: 31 July 2015
Cited by 2 | PDF Full-text (1221 KB) | HTML Full-text | XML Full-text | Supplementary Files
Abstract
Climate variability and change significantly affect smallholder farmers’ food security and livelihoods in sub-Saharan Africa. Tree planting is one of the measures promoted by development programs to mitigate and adapt to climate change. Tree planting is also believed to positively contribute to livelihoods.
[...] Read more.
Climate variability and change significantly affect smallholder farmers’ food security and livelihoods in sub-Saharan Africa. Tree planting is one of the measures promoted by development programs to mitigate and adapt to climate change. Tree planting is also believed to positively contribute to livelihoods. This paper examines factors influencing smallholders’ tree planting activities in four villages in the Ziro province, Southern Burkina Faso. Furthermore, it analyses the challenges encountered and willingness to continue tree planting under current tenure arrangements. The data was obtained through key informants, household interviews, focus group discussions, and field observations. Results indicate that the majority of farmers interviewed planted Mangifera indica (50%), Anacardium occidentale (32%) and Moringa oleifera (30%). In a number of trees planted, Eucalyptus camaldulensis, Mangifera indica and Anacardium occidentale dominated. Tree planters were mainly farmers who held large and old farm areas, were literate and relatively wealthy, had favorable attitudes toward tree planting, and with considerable years of participation in a farmers’ group. The main reasons for planting trees included income generation from the sale of tree products, access to markets and local support for tree planting. Preference for agriculture, tenure insecurity and lack of sufficient land were the main reasons cited for not planting trees. Farm households that were relatively poor, had smaller workforces and smaller farm sizes were not willing to continue tree planting. To effectively engage farmers in tree planting and to make it more attractive, policies are needed that address tenure insecurity for migrants, enable better access to markets, and support fair pricing structures for wood and other tree resources. Full article
(This article belongs to the Special Issue Incentives and Constraints of Community and Smallholder Forestry)
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