Parks versus PES: Evaluating direct and incentive-based land conservation in Mexico

Protected areas (PAs) and payments for ecosystem services (PES) are the top two mechanisms available for countries to achieve international REDD agreements, yet there are few empirical comparisons of their effects. We estimate the impacts of PAs and PES on forest conservation, poverty reduction, and population change at the locality level in Mexico in the 2000s. Both policies conserved forest, generating an approximately 20–25% reduction in expected forest cover loss. PES created statistically significant but small poverty alleviation while PAs had overall neutral impacts on livelihoods. Estimates by individual policy type for the same level of deforestation risk indicate that biosphere reserves and PES balanced conservation and livelihood goals better than strict protected areas or mixed-use areas. This suggests that both direct and incentive-based instruments can be effective, and that policies combining sustainable financing, flexible zoning, and recognition of local economic goals are more likely to achieve conservation without harming livelihoods.     

A global assessment of the social and conservation outcomes of protected areas

Protected areas (PAs) are a key strategy for protecting biological resources, but they vary considerably in their effectiveness and are frequently reported as having negative impacts on local people. This has contributed to a divisive and unresolved debate concerning the compatibility of environmental and socioeconomic development goals. Elucidating the relationship between positive and negative social impacts and conservation outcomes of PAs is key for the development of more effective and socially just conservation. We conducted a global meta‐analysis on 165 PAs using data from 171 published studies. We assessed how PAs affect the well‐being of local people, the factors associated with these impacts, and crucially the relationship between PAs’ conservation and socioeconomic outcomes. Protected areas associated with positive socioeconomic outcomes were more likely to report positive conservation outcomes. Positive conservation and socioeconomic outcomes were more likely to occur when PAs adopted comanagement regimes, empowered local people, reduced economic inequalities, and maintained cultural and livelihood benefits. Whereas the strictest regimes of PA management attempted to exclude anthropogenic influences to achieve biological conservation objectives, PAs that explicitly integrated local people as stakeholders tended to be more effective at achieving joint biological conservation and socioeconomic development outcomes. Strict protection may be needed in some circumstances, yet our results demonstrate that conservation and development objectives can be synergistic and highlight management strategies that increase the probability of maximizing both conservation performance and development outcomes of PAs.     

Impact of a Community‐Based Payment for Environmental Services Intervention on Forest Use in Menabe,Madagascar

Abstract: Despite the growing interest in conservation approaches that include payments for environmental services (PES), few evaluations of the influence of such interventions on behaviors of individuals have been conducted. We used self‐reported changes in six legal and illegal forest‐use behaviors to investigate the way in which a PES for biodiversity conservation intervention in Menabe, Madagascar, influenced behavior. Individuals (n =864) from eight intervention communities and five control communities answered questions on their forest‐use behaviors before and after the intervention began, as well as on their reasons for changing and their attitudes to various institutions. The payments had little impact on individuals’ reported decisions to change behaviors, but it had a strong impact on individuals’ attitudes. Payments appeared to legitimize monitoring of behaviors by the implementing nongovernmental organization (NGO), but did not act as a behavioral driver in their own right. Although there were no clear differences between changes in behaviors in the intervention and control communities, the intervention did influence motivations for change. Fear of local forest associations and the implementing NGO were strong motivators for changing behavior in communities with the PES intervention, whereas fear of the national government was the main reason given for change in control communities. Behavioral changes were most stable where fear of local organizations motivated the change. Our results highlight the interactions between different incentives people face when making behavioral decisions and the importance of considering the full range of incentives when designing community‐based PES interventions.     

Combining Auctions and Performance‐Based Payments in a Forest Enrichment Field Trial in Western Kenya

Cost‐effectiveness is an important aspect in the assessment of payments for environmental services (PES) initiatives. In participatory field trials with communities in Western Kenya, we combined procurement auctions for forest enrichment contracts with performance‐based payments and compared the outcomes with a baseline scenario currently used by the Kenyan Forest Service. Procurement auctions were the most cost‐effective. The competitive nature of the auction reduced contracting expenses (provision costs), and the result‐oriented payments provided additional incentives to care for the planted seedlings, resulting in their improved survival rates (service quantity). These gains clearly exceeded increases in transaction costs associated with conducting an auction. The number of income‐poor auction participants and winners was disproportionately high and local institutional buy‐in was remarkably strong. Our participatory approach may, however, require adaptations when conducted at a larger scale. Although the number of contracts we monitored was limited and prohibited the use of statistical tests, our study is one of the first to reveal the benefits of using auctions for PES in developing countries. Combinando Subastas y Pagos Basados en Desempeño en un Ensayo de Campo de Enriquecimiento de Bosques en el Oeste de Kenia     

Enhancing Conservation,Ecosystem Services,and Local Livelihoods through a Wildlife Premium Mechanism

We propose the wildlife premium mechanism as an innovation to conserve endangered large vertebrates. The performance‐based payment scheme would allow stakeholders in lower‐income countries to generate revenue by recovering and maintaining threatened fauna that can also serve as umbrella species (i.e., species whose protection benefits other species with which they co‐occur). There are 3 possible options for applying the premium: option 1, embed premiums in a carbon payment; option 2, link premiums to a related carbon payment, but as independent and legally separate transactions; option 3, link premiums to noncarbon payments for conserving ecosystem services (PES). Each option presents advantages, such as incentive payments to improve livelihoods of rural poor who reside in or near areas harboring umbrella species, and challenges, such as the establishment of a subnational carbon credit scheme. In Kenya, Peru, and Nepal pilot premium projects are now underway or being finalized that largely follow option 1. The Kasigau (Kenya) project is the first voluntary carbon credit project to win approval from the 2 leading groups sanctioning such protocols and has already sold carbon credits totaling over $1.2 million since June 2011. A portion of the earnings is divided among community landowners and projects that support community members and has added over 350 jobs to the local economy. All 3 projects involve extensive community management because they occur on lands where locals hold the title or have a long‐term lease from the government. The monitoring, reporting, and verification required to make premium payments credible to investors include transparent methods for collecting data on key indices by trained community members and verification of their reporting by a biologist. A wildlife premium readiness fund would enable expansion of pilot programs needed to test options beyond those presented here. Mejora de la Conservación, Servicios del Ecosistema y Calidad de Vida Local Mediante un Mecanismo de Compensación de Vida Silvestre     

Effectiveness of Community Forestry in Prey Long Forest,Cambodia

Cambodia has 57% forest cover, the second highest in the Greater Mekong region, and a high deforestation rate (1.2%/year, 2005–2010). Community forestry (CF) has been proposed as a way to reduce deforestation and support livelihoods through local management of forests. CF is expanding rapidly in Cambodia. The National Forests Program aims to designate one million hectares of forest to CF by 2030. However, the effectiveness of CF in conservation is not clear due to a global lack of controlled comparisons, multiple meanings of CF, and the context‐specific nature of CF implementation. We assessed the effectiveness of CF by comparing 9 CF sites with paired controls in state production forest in the area of Prey Long forest, Cambodia. We assessed forest condition in 18–20 randomly placed variable‐radius plots and fixed‐area regeneration plots. We surveyed 10% of households in each of the 9 CF villages to determine the proportion that used forest products, as a measure of household dependence on the forest. CF sites had fewer signs of anthropogenic damage (cut stems, stumps, and burned trees), higher aboveground biomass, more regenerating stems, and reduced canopy openness than control areas. Abundance of economically valuable species, however, was higher in control sites. We used survey results and geographic parameters to model factors affecting CF outcomes. Interaction between management type, CF or control, and forest dependence indicated that CF was more effective in cases where the community relied on forest products for subsistence use and income. Efectividad de la Silvicultura Comunal en el Bosque Prey Long, Camboya     

Effects of payments for ecosystem services on wildlife habitat recovery

Conflicts between local people's livelihoods and conservation have led to many unsuccessful conservation efforts and have stimulated debates on policies that might simultaneously promote sustainable management of protected areas and improve the living conditions of local people. Many government‐sponsored payments‐for‐ecosystem‐services (PES) schemes have been implemented around the world. However, few empirical assessments of their effectiveness have been conducted, and even fewer assessments have directly measured their effects on ecosystem services. We conducted an empirical and spatially explicit assessment of the conservation effectiveness of one of the world's largest PES programs through the use of a long‐term empirical data set, a satellite‐based habitat model, and spatial autoregressive analyses on direct measures of change in an ecosystem service (i.e., the provision of wildlife species habitat). Giant panda (Ailuropoda melanoleuca) habitat improved in Wolong Nature Reserve of China after the implementation of the Natural Forest Conservation Program. The improvement was more pronounced in areas monitored by local residents than those monitored by the local government, but only when a higher payment was provided. Our results suggest that the effectiveness of a PES program depends on who receives the payment and on whether the payment provides sufficient incentives. As engagement of local residents has not been incorporated in many conservation strategies elsewhere in China or around the world, our results also suggest that using an incentive‐based strategy as a complement to command‐and‐control, community‐ and norm‐based strategies may help achieve greater conservation effectiveness and provide a potential solution for the park versus people conflict.     

Policy challenges and approaches for the conservation of mangrove forests in Southeast Asia

Many drivers of mangrove forest loss operate over large scales and are most effectively addressed by policy interventions. However, conflicting or unclear policy objectives exist at multiple tiers of government, resulting in contradictory management decisions. To address this, we considered four approaches that are being used increasingly or could be deployed in Southeast Asia to ensure sustainable livelihoods and biodiversity conservation. First, a stronger incorporation of mangroves into marine protected areas (that currently focus largely on reefs and fisheries) could resolve some policy conflicts and ensure that mangroves do not fall through a policy gap. Second, examples of community and government comanagement exist, but achieving comanagement at scale will be important in reconciling stakeholders and addressing conflicting policy objectives. Third, private‐sector initiatives could protect mangroves through existing and novel mechanisms in degraded areas and areas under future threat. Finally, payments for ecosystem services (PES) hold great promise for mangrove conservation, with carbon PES schemes (known as blue carbon) attracting attention. Although barriers remain to the implementation of PES, the potential to implement them at multiple scales exists. Closing the gap between mangrove conservation policies and action is crucial to the improved protection and management of this imperiled coastal ecosystem and to the livelihoods that depend on them.     

Insights for Integrated Conservation from Attitudes of People toward Protected Areas Near Hwange National Park,Zimbabwe

Increase in human settlements at the edge of protected areas (PAs) is perceived as a major threat to conservation of biodiversity. Although it is crucial to integrate the interests of surrounding communities into PA management, key drivers of changes in local populations and the effects of conservation on local livelihoods and perceptions remain poorly understood. We assessed population changes from 1990 to 2010 in 9 villages located between 2 PAs with different management policies (access to natural resources or not). We conducted semi‐directive interviews at the household level (n =217) to document reasons for settlement in the area and villager's attitudes toward the PAs. We examined drivers of these attitudes relative to household typology, feelings about conservation, and concerns for the future with mixed linear models. Population increased by 61% from 2000 to 2010, a period of political and economic crisis in Zimbabwe. Forty‐seven percent of immigrants were attracted by the area; others had been resettled from other villages or were returning to family lands. Attitudes toward PAs were generally positive, but immigrants attracted by the area and who used resources within the PA with fewer restrictions expressed more negative attitudes toward PAs. Household location, losses due to wild animals, and restrictions on access to natural resources were the main drivers of this negative attitude. Profit‐seeking migrants did not expect these constraints and were particularly concerned with local overpopulation and access to natural resources. To avoid socio‐ecological traps near PAs (i.e., unforeseen reduced adaptive capacity) integrated conservation should address mismatches between management policy and local expectations. This requires accounting for endogenous processes, for example, local socio‐ecological dynamics and values that shape the coexistence between humans and wildlife. Percepciones para Conservación Integrada a Partir de las Actitudes de las Personas hacia Áreas Protegidas cerca del Parque Nacional Hwangem Zimbabwe     

Ecological and Social Outcomes of a New Protected Area in Tanzania

Balancing ecological and social outcomes of conservation actions is recognized in global conservation policy but is challenging in practice. Compensation to land owners or users for foregone assets has been proposed by economists as an efficient way to mitigate negative social impacts of human displacement from protected areas. Joint empirical assessments of the conservation and social impacts of protected area establishment involving compensation payments are scarce. We synthesized social and biological studies related to the establishment of the Derema forest corridor in Tanzania's biodiverse East Usambara Mountains. This lengthy conservation process involved the appropriation of approximately 960 ha of native canopy agroforest and steep slopes for the corridor and monetary compensation to more than 1100 claimants in the surrounding villages. The overarching goals from the outset were to conserve ecological processes while doing no harm to the local communities. We evaluated whether these goals were achieved by analyzing 3 indicators of success: enhancement of forest connectivity, improvement of forest condition, and mitigation of negative impacts on local people's livelihoods. Indicators of forest connectivity and conditions were enhanced through reductions of forest loss and exotic species and increases in native species and canopy closure. Despite great efforts by national and international organizations, the intervention failed to mitigate livelihood losses especially among the poorest people. The Derema case illustrates the challenges of designing and implementing compensation schemes for conservation‐related displacement of people. Resultados Ecológicos y Sociales de un Área Protegida Nueva en Tanzania     

Synergies and trade-offs among integrated conservation approaches in Mexico

Integrated conservation approaches (ICAs) are employed by governments, communities, and nongovernmental organizations worldwide seeking to achieve outcomes with dual benefits for biodiversity conservation and poverty alleviation. Although ICAs are frequently implemented concurrently, interactions among ICAs and the synergies or trade-offs that result are rarely considered during program design, implementation, and evaluation. In support of more deliberate and effective use of ICAs, we examined interactions among four well-known strategies: biosphere reserves (BRs), voluntary protected areas (VPAs), payments for ecosystem services (PES), and community forest management (CFM). Through a comparative case study, we analyzed interactions among spatially or temporally clustered ICAs implemented on communally held and managed lands in three ecologically and socioeconomically distinct regions of Mexico. Our research methods combined policy analysis with data gathered through participant observation and semistructured interviews (n = 78) and focus groups (n = 5) with government officials, implementers, and participants involved in ICAs in 28 communities. Despite the significant differences among the regions in which they were implemented, we found that key actors at each level of involvement generally perceived interactions among ICAs as synergistic. The PES programs were perceived to strengthen protected areas by reducing forest cover loss in and around BRs, fostering proconservation attitudes, and incentivizing the establishment of VPAs. Communities that invested PES income in CFM were motivated to conserve forests beyond the duration of PES programs, and CFM in buffer zones was perceived to strengthen BRs by maintaining forest cover and generating income for communities. We also identified key social and environmental factors that can influence these interaction effects among ICAs. Based on these findings, we recommend further study of ICA interactions and intentionally complementary policy design to maximize positive environmental and social outcomes.     

Avoiding Re‐Inventing the Wheel in a People‐Centered Approach to REDD+

One important debate regarding Reducing Emissions from Deforestation and Forest Degradation (REDD+) in developing countries concerns the manner in which its implementation might affect local and indigenous communities. New ways to implement this mechanism without harming the interests of local communities are emerging. To inform this debate, we conducted a qualitative research synthesis to identify best practices (BPs) from people‐centered approaches to conservation and rural development, developed indicators of BPs, and invited development practitioners and researchers in the field to assess how the identified BPs are being adopted by community‐level REDD+ projects in Latin America. BPs included: local participation in all phases of the project; project supported by a decentralized forest governance framework; project objectives matching community livelihood priorities; project addressing community development needs and expectations; project enhancing stakeholder collaboration and consensus building; project applying an adaptive management approach; and project developing national and local capacities. Most of the BPs were part of the evaluated projects. However, limitations of some of the projects related to decentralized forest governance, matching project objectives with community livelihood priorities, and addressing community development needs. Adaptive management and free and prior informed consent have been largely overlooked. These limitations could be addressed by integrating conservation outcomes and alternative livelihoods into longer‐term community development goals, testing nested forest governance approaches in which national policies support local institutions for forest management, gaining a better understanding of the factors that will make REDD+ more acceptable to local communities, and applying an adaptive management approach that allows for social learning and capacity building of relevant stakeholders. Our study provides a framework of BPs and indicators that could be used by stakeholders to improve REDD+ project design, monitoring, and evaluation, which may help reconcile national initiatives and local interests without reinventing the wheel. Evitar la Reinvención de la Rueda en un Acercamiento a REDD+ Centrado en Personas     

Contrasting Colonist and Indigenous Impacts on Amazonian Forests

Abstract: To examine differences in land use and environmental impacts between colonist and indigenous populations in the northern Ecuadorian Amazon, we combined data from household surveys and remotely sensed imagery that was collected from 778 colonist households in 64 colonization sectors, and 499 households from five indigenous groups in 36 communities. Overall, measures of deforestation and forest fragmentation were significantly greater for colonists than indigenous peoples. On average, colonist households had approximately double the area in agriculture and cash crops and 5.5 times the area in pasture as indigenous households. Nevertheless, substantial variation in land‐use patterns existed among the five indigenous groups in measures such as cattle ownership and use of hired agricultural labor. These findings support the potential conservation value of indigenous lands while cautioning against uniform policies that homogenize indigenous ethnic groups.     

Reframing the concept of alternative livelihoods

Alternative livelihood project (ALP) is a widely used term for interventions that aim to reduce the prevalence of activities deemed to be environmentally damaging by substituting them with lower impact livelihood activities that provide at least equivalent benefits. ALPs are widely implemented in conservation, but in 2012, an International Union for Conservation of Nature resolution called for a critical review of such projects based on concern that their effectiveness was unproven. We focused on the conceptual design of ALPs by considering their underlying assumptions. We placed ALPs within a broad category of livelihood‐focused interventions to better understand their role in conservation and their intended impacts. We dissected 3 flawed assumptions about ALPs based on the notions of substitution, the homogenous community, and impact scalability. Interventions based on flawed assumptions about people's needs, aspirations, and the factors that influence livelihood choice are unlikely to achieve conservation objectives. We therefore recommend use of a sustainable livelihoods approach to understand the role and function of environmentally damaging behaviors within livelihood strategies; differentiate between households in a community that have the greatest environmental impact and those most vulnerable to resource access restrictions to improve intervention targeting; and learn more about the social–ecological system within which household livelihood strategies are embedded. Rather than using livelihood‐focused interventions as a direct behavior‐change tool, it may be more appropriate to focus on either enhancing the existing livelihood strategies of those most vulnerable to conservation‐imposed resource access restrictions or on use of livelihood‐focused interventions that establish a clear link to conservation as a means of building good community relations. However, we recommend that the term ALP be replaced by the broader term livelihood‐focused intervention. This avoids the implicit assumption that alternatives can fully substitute for natural resource‐based livelihood activities.     

The costs of avoiding environmental impacts from shale‐gas surface infrastructure

Growing energy demand has increased the need to manage conflicts between energy production and the environment. As an example, shale‐gas extraction requires substantial surface infrastructure, which fragments habitats, erodes soils, degrades freshwater systems, and displaces rare species. Strategic planning of shale‐gas infrastructure can reduce trade‐offs between economic and environmental objectives, but the specific nature of these trade‐offs is not known. We estimated the cost of avoiding impacts from land‐use change on forests, wetlands, rare species, and streams from shale‐energy development within leaseholds. We created software for optimally siting shale‐gas surface infrastructure to minimize its environmental impacts at reasonable construction cost. We visually assessed sites before infrastructure optimization to test whether such inspection could be used to predict whether impacts could be avoided at the site. On average, up to 38% of aggregate environmental impacts of infrastructure could be avoided for 20% greater development costs by spatially optimizing infrastructure. However, we found trade‐offs between environmental impacts and costs among sites. In visual inspections, we often distinguished between sites that could be developed to avoid impacts at relatively low cost (29%) and those that could not (20%). Reductions in a metric of aggregate environmental impact could be largely attributed to potential displacement of rare species, sedimentation, and forest fragmentation. Planners and regulators can estimate and use heterogeneous trade‐offs among development sites to create industry‐wide improvements in environmental performance and do so at reasonable costs by, for example, leveraging low‐cost avoidance of impacts at some sites to offset others. This could require substantial effort, but the results and software we provide can facilitate the process.     

Perceived barriers to and drivers of community participation in protected‐area governance

Protected areas (PAs) are a frequently used conservation strategy, yet their socioeconomic impacts on local communities remain contentious. A shift toward increased participation by local communities in PA governance seeks to deliver benefits for human well‐being and biodiversity. Although participation is considered critical to the success of PAs, few researchers have investigated individuals’ decisions to participate and what this means for how local people experience the costs and benefits of conservation. We explored who participates in PA governance associations and why; the perceived benefits and costs to participation; and how costs and benefits are distributed within and between communities. Methods included 3 focus groups, 37 interviews, and 217 questionnaire surveys conducted in 3 communities and other stakeholders (e.g., employees of a nongovernmental organization and government officials) in PA governance in Madagascar. Our study design was grounded in the theory of planned behavior (TPB), the most commonly applied behavior model in social psychology. Participation in PA governance was limited by miscommunication and lack of knowledge about who could get involved and how. Respondents perceived limited benefits and high costs and uneven distribution of these within and between communities. Men, poorer households, and people in remote villages reported the highest costs. Our findings illustrate challenges related to comanagement of PAs: understanding the heterogeneous nature of communities; ensuring all households are represented in governance participation; understanding differences in the meaning of forest protection; and targeting interventions to reach households most in need to avoid elite capture.     

Increasing the impact of collective incentives in payments for ecosystem services

Collective payments for ecosystem services (PES) programs make payments to groups, conditional on specified aggregate land-management outcomes. Such collective contracting may be well suited to settings with communal land tenure or decision-making. Given that collective contracting does not require costly individual-level information on outcomes, it may also facilitate conditioning on additionality (i.e., conditioning payments upon clearly improved outcomes relative to baseline). Yet collective contracting often suffers from free-riding, which undermines group outcomes and may be exacerbated or ameliorated by PES designs. We study impacts of conditioning on additionality within a number of collective PES designs. We use a framed field-laboratory experiment with participants from a new PES program in Mexico. Because social interactions are critical within collective processes, we assess the impacts from conditioning on additionality given: (1) group participation in contract design, and (2) a group coordination mechanism. Conditioning on above-baseline outcomes raised contributions, particularly among initially lower contributors. Group participation in contract design increased impact, as did the coordination mechanism.     

Integrating livelihoods and conservation in protected areas: understanding the role and stakeholder views on prospects for non-timber forest products,a Bangladesh case study

Protected areas (PAs) represent a key global strategy in biodiversity conservation. In tropical developing countries, the management of PAs is a great challenge as many contain resources on which local communities rely. Collection and trading of non-timber forest products (NTFPs) is a well-established forest-based livelihood strategy, which has been promoted as a potential means for enhanced conservation and improved rural livelihoods in recent years, even though the sustainability or ecological implications have rarely been tested. We conducted an exploratory survey to understand the role and stakeholder views on conservation prospects and perceived ecological feasibility of NTFPs and harvesting schemes in a northeastern PA of Bangladesh, namely the Satchari National Park. Households (n?=?101) were interviewed from three different forest dependency categories, adopting a stratified random sampling approach and using a semi-structured questionnaire. The study identified 13 locally important NTFPs, with five being critically important to supporting local livelihoods. Our study suggests that collection, processing and trading in NTFPs constitutes the primary occupation for about 18% of local inhabitants and account for an estimated 19% of their cash annual income. The household consensus on issues relating to NTFPs and their prospective role in conservation was surprisingly high, with 48% of respondents believing that promotion of NTFPs in the PA could have positive conservation value. The majority (71%) of households also had some understanding of the ecological implications of NTFP harvesting, sustainability (53%) and possible management and monitoring regimes (100%). With little known about their real application in the field, our study suggests further investigations are required to understand the ecological compatibility of traditional NTFP harvesting patterns and management.