Environmental Subsidiarity as a Guiding Principle for Forestry Governance: Application to Payment for Ecosystem Services and REDD+ Architecture

This article describes and proposes the “environmental subsidiarity principle” as a guiding ethical value in forestry governance. Different trends in environmental management such as local participation, decentralization or global governance have emerged in the last two decades at the global, national and local level. This article suggests that the conscious or unconscious application of subsidiarity has been the ruling principle that has allocated the level at which tasks have been assigned to different agents. Based on this hypothesis this paper describes the principle of subsidiarity and its application to environmental policies within forest governance and proposes the “environmental subsidiarity” principle as a critical conceptual tool for sustainable resource management. The paper explains as an example how “environmental subsidiarity” is the key principle that can link payment for ecosystem services (PES) with environmental public policies and applies this principle with all its political consequences to reducing emissions from deforestation and forest degradation, and enhancing forest carbon stocks in developing countries (REDD+) architecture. It concludes by showing how the adoption of “environmental subsidiarity” as a ethical principle could help to maximize benefits to all stakeholders involved in PES schemes such as REDD+.     

The Problem of Common Land: Towards Stakeholder Governance

This paper examines the current governance of common land with the intention of updating a story last examined in detail in studies in the late 1980s. In addition, the paper draws on recent conceptualizations of stakeholders and governance. A brief history of common land shows that governance systems are highly localized and dependent on custom and practice. Such a dependence suggests the need for governance which is based on the incorporation of stakeholders using consensus building approaches. The paper suggests that local governance systems are crucial to the successful implementation of sustainable management practices but that this may be overlooked by land managers and policy makers. Consequently, comprehensive national legislation for common land is not a viable option but legislation can play a valuable role in particular circumstances. The need to give further consideration to the role of legislation and an appropriate policy framework for commons within the context of stakeholder governance is particularly important given the significance of common land for agriculture, nature conservation, landscape, heritage and recreation across England and Wales.     

Evaluating Adaptive Governance Approaches to Sustainable Water Management in North-West Thailand

Adaptive governance is advanced as a potent means of addressing institutional fit of natural resource systems with prevailing modes of political–administrative management. Its advocates also argue that it enhances participatory and learning opportunities for stakeholders over time. Yet an increasing number of studies demonstrate real difficulties in implementing adaptive governance ‘solutions’. This paper builds on these debates by examining the introduction of adaptive governance to water management in Chiang Mai province, north-west Thailand. The paper considers, first, the limitations of current water governance modes at the provincial scale, and the rationale for implementation of an adaptive approach. The new approach is then critically examined, with its initial performance and likely future success evaluated by (i) analysis of water stakeholders’ opinions of its first year of operation; and (ii) comparison of its governance attributes against recent empirical accounts of implementation difficulty and failure of adaptive governance of natural resource management more generally. The analysis confirms the potentially significant role that the new approach can play in brokering and resolving the underlying differences in stakeholder representation and knowledge construction at the heart of the prevailing water governance modes in north-west Thailand.     

Recentralisation through regionalisation in the implementation of Rural Development Policy in Scotland

In environmental policy, good governance is pertinent when inclusive decision making is recurrently associated with effective outcomes. This paper explores the European Union's good governance principles and the extent to which these have been adopted in the Rural Development Policy in Scotland. For the programme period 2007–2013 Scotland's Rural Priorities scheme has moved towards decentralisation by introducing regional decision-making committees. This study assesses the impact of this scheme on multi-level stakeholder relationships and the implications on policy outcomes. To do so, the study adopts a mixed method approach, applying a stakeholder mapping technique, to quantify perceptions of influence and interest and triangulate with data from in-depth semi-structured interviews. Results indicate that the attempts to widen decision making has resulted in a number of stakeholders perceiving themselves as less empowered. This analytical approach can provide the baseline against which governance improvements can be measured in the formulation of future policies.     

Participatory GIS for strengthening transboundary marine governance in SIDS

In this paper we explore the challenges involved in engaging the full range of stakeholders needed for effective marine resource management in the transboundary Grenadine Islands shared by the small island developing States (SIDS) of Saint Vincent and the Grenadines and Grenada. The study describes the ways stakeholders were engaged in the development of participatory geographic information systems (PGIS), both in terms of the research approach (process) and the final geodatabase (product); it illustrates how the approach provides a practical means to strengthen aspects of marine governance, particularly in a SIDS context. We found that PGIS can provide a foundation for ecosystem‐based transboundary marine governance. The advantages of this approach are two‐fold: it provides the fullest possible range of information as input for the management of marine resources and it engages the stakeholders. This engagement takes several forms: capacity to participate in research; ownership of information produced; increased stakeholder understanding; empowerment through access to information; capacity to interact with other stakeholders for information and problem‐solving; and competence to participate in actual governance processes. Lastly, we discuss considerations for other practitioners contemplating using PGIS, particularly those working in similar resource‐limited SIDS environments.     

Developing and Implementing Multiple-Use Forest Management Planning in Turkey

This paper explains briefly the conceptual framework of an ecosystem-based multiple-use forest management planning focusing on biodiversity conservation and participation. Some results from a case study were documented to realize the implementation of the concept. A strong liaison between the related institutions and major stakeholders and the effective use of Geographic Information System (GIS) and Remote Sensing (RS) are necessary. Effective participation is evident only with the involvement of enthusiastic and skillful stakeholders. A case study of ??neada, Turkey, supported the idea that participation as communication has better possibilities to promote multiple-use forest management than participation as information gathering. Primary challenges relate to the effectiveness of conservation program, availability of coherent biodiversity data, capacity building; awareness, training, and common understanding of biodiversity and protected area concept; coordination among the related institutions and stakeholders; and willingness and enthusiasm of authorities to accept and implement the concept.     

Collaborative environmental governance and transaction costs in partnerships: evidence from a social network approach to water management in France

Several studies attempt to explain how collaborative environmental governance processes operate, but the question of why collaboration relationships form has received much less attention. Motivated by this need, this paper provides insights to the broad question: why does collaborative river basin management in France depend so heavily on partnerships made up around a few actors? Accordingly, our analytical framework develops a transaction cost explanation for the extent to which participatory procedures help stakeholders to identify partners and initiate collaboration, and for the causal link between the attributes of these stakeholders and their partnerships. The p2 model is implemented to investigate partnership networks of the key actors that govern the management of the Gironde estuary, the study case. The results provide evidence that environmental institutions bring together heterogeneous actors who might not be ready for collaboration, thereby actors’ perceived power similarity; their geographical proximity and co-presence in formal fora limit transaction costs.     

Development and testing a diagnostic capacity tool for improving socio-ecological system governance

The capacity to sustainably govern complex socio-ecological systems (SES) has been identified as a necessary but daunting task by SES scholars, resource stewards and stakeholders. This research sought to inform the question: What are determinant capacities and functional linkages that can be incorporated into diagnostic tools for analysts seeking to improve sustainable socio-economic system SES governance? Literature was used to identify and translate determinant capacities and functional linkages into a quantifiable metric of governance quality. The tool was developed from ecological, business, governance and decision science literature. This tool recognizes the dynamic and systemic linkages between the resources and the social systems that use and govern them for improving systems thinking and SES outcomes. The tool was tested to determine its ability to capture perceived characteristics of governance quality and problem management using Michigan’s cleanup and redevelopment program. The results of this research indicated that the exploratory tool was reliable and valid. This research contributes to the evolving body of SES frameworks, specifically the study of individual and organizational capacities for improved SES outcomes. The implications of this research suggest participatory network-based governance with higher levels of resource exchange, in the form of interdependency, trust, diplomacy and reciprocity, aligns with practitioners’ perceptions of improved program performance. Further, while some capacities and related findings of this research may be context specific, concepts associated with the development and testing of this diagnostic tool, such as the use of systems thinking, participatory network-based governance, and related competencies, may have more universal application.     

A participatory decision making framework for artisanal fisheries collaborative governance: Insights from management committees in Chile

Fisheries management is increasingly transitioning towards collaborative governance. Collaborative systems depend on stakeholders’ capacity to design and implement legitimate and scientifically robust management plans within collective action arenas. Here we propose that collaborative governance outcomes, in fisheries management, will benefit from using structured participatory decision making frameworks that enhance deliberative thinking among stakeholders. We tested our approach in the artisanal fishery of Chile, an important producer of marine resources. Recently in 2013, Chile made important changes to fisheries policies by creating multi-sectorial management committees to manage de facto open access fishing areas. We applied a structured decision making framework to inform the restructuring of a management plan within a committee. As a result, we identified goals,objectives and indicators, including social, economic, biological and ecological dimensions; we explored tradeoffs, assessing the relative importance of the objectives; finally, we created scenarios and prioritized alternatives, reflecting on the interplay between self-regulation and government control. Members of the management committee were able to rationalize the different steps of the framework and identify ways forward which highlighted the importance of self-regulation in comparison to central authorities’ control. We concluded that structured decision making promotes spaces for rational analysis of alternatives costs and benefits. Promoting deliberative thinking in fisheries management can improve equity, legitimacy and sustainability of collaborative governance.     

Contesting governance of indigenous forests in New Zealand: The case of the West Coast Forest Accord

This paper uses the concept of ‘governance’ and the related notion of ‘multi-layered’ forest management decision making as an overarching framework for analysis of conflict between different stakeholder groups with contrasting perceptions about ‘appropriate’ use of indigenous forests in a New Zealand case study. In New Zealand, recent institutional reforms inspired by neo-liberal policy agendas have led to substantial conflicts between segments of society over the ‘appropriate’ governance of remnant indigenous forests. This study focuses on the West Coast Forest Accord (WCFA) as an illustration of the attempt to change governance structures of indigenous forest management by re-regulating the indigenous forest industry. It is argued that by seeking to accommodate multiple stakeholder interests, in particular industry, community and environmental groups, the WCFA was doomed to fail, as multiple, and often conflicting, stakeholder agendas focused on the goal of ‘sustainable management’ of indigenous forests could no longer be reconciled. Notwithstanding the shift in emphasis from government towards governance in the recent literature, the study findings confirm a continuing strong role by the state as an actor in the forestry sector in New Zealand.     

Dynamics of local governance in natural resource conservation in the Okavango Delta,Botswana

There has been a shift in natural resource management worldwide. This paper describes how modern institutions and policies influence management and shape access to and utilization of resources by rural communities in the Okavango Delta, Botswana. It is rooted in the framework of adaptive co‐governance within social‐ecological systems, and employs a critical literature review to analyse access to and use of natural resources in rural Botswana. Prior to the establishment of community‐based natural resource management (CBNRM) in Botswana in 1989, resource governance was dominated by strong traditional institutions that were responsible for natural resource management and decision‐making. Contemporary natural resource governance is characterized by a bureaucratic system that invariably undermines the role of traditional institutions in natural resource governance. Findings indicate that policies and regulatory instruments deny rural communities adequate access to and utilization of resources available within their immediate environment. In spite of an orientation towards an anthropocentric approach to natural resource management (as in the case of CBNRM), the current governance system continues to undermine the inclusion of local resource users as legitimate stakeholders in the decision‐making process.     

Reforms from the Ground Up: A Review of Community-Based Forest Management in Tropical Developing Countries

After an initial burst of enthusiasm in the 1990s, community-based forest management (CBFM) is increasingly being viewed with a critical eye. Evidence suggests that many programs have failed to promote their stated objectives of sustainability, efficiency, equity, democratic participation and poverty reduction. A large volume of academic literature now exists on CBFM, examining both the success and failure of such initiatives in a wide variety of countries. Through analysis of key themes, concepts and issues in CBFM, this article provides a review of CBFM initiatives in tropical developing countries for policymakers, practitioners and planners wishing to gain an understanding of this wide-ranging, interdisciplinary academic literature. The article identifies key institutions and incentives that appear to significantly affect the success or failure of CBFM initiatives. In particular, it reports that consideration of institutional and socioeconomic factors along with personal characteristics of key stakeholders such as beliefs, attitudes, financial resources and skills are important determinants of CBFM outcomes. However, local incentive structures also appear to be important. There is increasing recognition in the literature of the need to consider the conditions under which local politicians entrusted with carrying out CBFM initiatives will deem it worthwhile to invest their scarce time and resources on environmental governance.     

From Forest Regulation to Participatory Facilitation: Forest Employee Perspectives on Organizational Change and Transformation in India

Despite the critical role of government agencies in decentralizing natural resource governance, little work to date has focused on the organizational aspects of the responsible government bureaucracies. Based on a qualitative investigation of the perspectives of Forest Department employees involved in India's Joint Forest Management (JFM) program, this paper aims to provide an understanding of these internal dynamics. Elaborating on why bureaucracies with a learning orientation are essential if participatory natural resource management is to succeed, the paper underlines the constraints to transforming forest agencies' hierarchical work cultures. Foresters describe JFM as a radical departure from traditional forest governance, but suggest that corresponding transformation within the Forest Department has not occurred. Foresters cite as reasons: (1) a target-based incentive system that leaves little room for establishing the relationships with local people needed for collaborative management; (2) rigid rules and regulations that prevent the flexibility needed for adaptive, site-specific problem-solving; (3) a hierarchical, top-down style of communication that prevents the upper administration from learning what is happening on the ground and stifles initiative by field staff; (4) the need for a committed leadership to reverse this hierarchical culture. They point to the few such team-oriented leaders as the key to transforming the Forest Department and enabling participatory forest management to succeed. The authors also recommend accompanying changes in training and reward systems.     

An Examination of Governance Arrangements at Kisakasaka Mangrove Reserve in Zanzibar

This study employs insights largely derived from critical reflections on the common pool resources (CPR) theory to examine the current governance arrangements in place to manage the mangrove forest at Kisakasaka, in Zanzibar, Tanzania. Kisakasaka was used as a site for a community-based management pilot project of forest resources in Zanzibar. After some initial success in setting up a local management structure and regulating access to the mangrove for mainly charcoal production, there are now clear indications that forest conditions have deteriorated dramatically with concomitant ongoing resource use problems for local villagers who have relied heavily on forest resources as a source of cash income. Extra-local factors, such as urban population increases and associated market pressures for charcoal, are also conjectured to overlay and interact with the institutional problems at Kisakasaka. As a result, over concern about the deterioration in the condition of the mangrove forest, the responsible government authority decided not to renew the community-based governance arrangements after an initial five-year pilot period. While revealing the inadequacies of existing governance arrangements and of its relationship to deteriorating forest conditions at Kisakasaka, this study concludes by suggesting an approach to more fully understand forces driving local resource management and use.     

Criminalization of “galamsey” and livelihoods in Ghana: Limits and consequences

The fact that the artisanal and small-scale mining (ASM) sector in Ghana is driven largely by poverty means that the sector is a major source of livelihood for people in mining communities across the country. However, given the various social and environmental problems associated with the ASM sector, there is now an emerging consensus that the formalization of the sector would not only allow for these associated problems to be addressed but also ensures that the sector contributes to sustainable development and safeguard the livelihood of local communities. While a large body of extant literature has examined the challenges and opportunities facing the process of formalization, the question of the criminalization of the sector and its consequences for local livelihood has received only limited attention. Drawing from primary data collected during fieldwork in Ghana, this study examined the livelihood implications of the ban on galamsey in the Tarkwa-Nsuaem Municipality in South-Western Ghana from the perspectives of local communities and other key stakeholders. The study reveals that the ban on galamsey has imposed significant socio-economic hardships on the people and appears to be entrenching poverty rather than sustainable development. The study considers the theoretical and practical implications of the findings for sustainable livelihood enhancement in developing countries.     

Tracking collaboration: forest planning and local participation on the San Juan National Forest,Colorado

The proliferation of community-based collaborative approaches to public land management and planning has spawned many questions regarding issues of community representation and the effects of participation for local residents. This paper presents a longitudinal assessment of local resident participation in collaborative forest planning on local community–forest relations in southwestern Colorado. Using survey data of participants involved in the San Juan National Forest's forest plan revision community study groups from 1998 to 2003, we assess participation in terms of community representation and the effects of community-based collaboration upon individuals' forest uses, forest values, and the level and form of involvement in forest management and planning activities. Results show that community representation remains slanted towards existing active stakeholders, and that while forest values, uses, and frequencies of involvement change little, participants cite positive effects in terms of the development of new knowledge, personal relationships, and greater confidence to engage in forest management affairs.     

Factors influencing the sustained participation of farmers in participatory forestry: a case study in central Sal forests in Bangladesh

Wide acceptance of sustainable development as a concept and as the goal of forest management has shifted forest management policies from a traditional to a people-oriented approach. Consequently, with its multiple new objectives, forest management has become more complex and an information gap exits between what is known and what is utilized, which hinders the sustained participation of farmers. This gap arose mainly due to an interrupted flow of information. With participatory forestry, the information flow requires a broad approach that goes beyond the forest ecosystem and includes the different stakeholders. Thus in participatory forest management strategies, policymakers, planners and project designers need to incorporate all relevant information within the context of the dynamic interaction between stakeholders and the forest environment. They should understand the impact of factors such as management policies, economics and conflicts on the sustained participation of farmers. This study aimed to use primary cross-sectional data to identify the factors that might influence the sustained participation of farmers in participatory forestry. Using stratified random sampling, 581 participants were selected to take part in this study, and data were collected through a structured questionnaire by interviewing the selected participants. To identify the dominant factors necessary for the sustained participation of farmers, logistic regression analyses were performed. The following results were observed: (a) sustained participation is positively and significantly correlated with (i) satisfaction of the participants with the tree species planted on their plots; (ii) confidence of the participants that their aspired benefits will be received; (iii) provision of training on different aspects of participatory forestry; (iv) contribution of participants' money to Tree Farming Funds. (b) The sustained participation of farmers is negatively and significantly correlated with the disruption of local peoples' interests through implementation of participatory forestry programs, and long delays in the harvesting of trees after completion of the contractual agreement period.     

The effectiveness of market-based conservation in the tropics: forest certification in Ecuador and Bolivia

During the last decade, forest certification has gained momentum as a market-based conservation strategy in tropical forest countries. Certification has been promoted to enhance forest management in countries where governance capacities are insufficient to adequately manage natural resources and enforce pertinent regulations, given that certification relies largely on non-governmental organisations and private businesses. However, at present there are few tropical countries with large areas of certified forests. In this study, we conducted semi-structured stakeholder interviews in Ecuador and Bolivia to identify key framework conditions that influence the costs and benefits for companies to switch from conventional to certified forestry operations. Bolivia has a much greater relative area under certified forest management than Ecuador and also significantly more certified producers. The difference in the success of certification between both countries is particularly notable because Bolivia is a poorer country with more widespread corruption, and is landlocked with less access to export routes. Despite these factors, several characteristics of the Bolivian forest industry contribute to lower additional costs of certified forest management compared to Ecuador. Bolivia has stronger government enforcement of forestry regulations a fact that increases the cost of illegal logging, management units are larger, and vertical integration in the process chain from timber extraction to markets is higher. Moreover, forestry laws in Bolivia are highly compatible with certification requirements, and the government provides significant tax benefits to certified producers. Results from this study suggest that certification can be successful in countries where governments have limited governance capacity. However, the economic incentives for certification do not only arise from favourable market conditions. Certification is likely to be more successful where governments enforce forestry laws, provide financial incentives for certified forestry, and provide land tenure security, and where large-scale and vertically integrated forestry operations are commercially feasible. For this reason, at present, there are few developing countries where forest certification is likely to achieve widespread success.     

Getting low-carbon governance right: learning from actors involved in Community Benefits

Interest in Community Benefits (CB) has increased over the past decade mainly due to the growing number of wind farms and related criticism. Because CB are a voluntary gesture by the developer, there is no standard practice or institutionalised approach for good governance of the benefits; every community has a different approach, tailored to local needs and depending on the stakeholders involved. Additionally, since CB are a rapidly emerging practice, little is known about their governance, what actors are involved and how affected communities participate in decision-making on renewable projects. Using the Farr wind farm in Scotland, one of the first to introduce CB, as a case study, this paper sheds light on the governance structures surrounding the set-up, management and allocation of funds. It also contributes to the emerging body of work regarding transparency and community participation in CB, and the extent to which these might facilitate a transition to a low-carbon future.     

Victoria's emerging framework of regional governance for sustainability: the case of catchment management authorities and regional catchment strategies

The aim of this paper is to presents a progress report on how a subnational jurisdiction, the Australian state of Victoria, is attempting to implement regional governance for sustainability through its catchment planning framework. The paper examines the lessons learnt from a best practice approach to the implementation of network governance to see whether there are actions that can be taken to improve regional governance for sustainability in Victoria. The authors argue that Victoria is implementing a network governance approach to natural resource management (NRM) as a significant component of sustainability and that this has certain advantages. In particular the emergence of Regional Catchment Strategies developed by the State's ten statutory Catchment Management Authorities as 'regional sustainability blueprints' is bringing a significant level of maturity to the state's governance framework. Furthermore the state is currently working to complete its governance for sustainability through new statewide integrating frameworks—an Environmental Sustainability Framework as well as a statewide Catchment Management and Investment Framework. The paper concludes that taking a network governance approach could have transformative potential but there are significant challenges ahead: the complex task of aligning of national, state, catchment and local government strategies through an outcomes focus; the scarcity of mechanisms and tools to assist in translation of strategies into integrated investment priorities; gaps in knowledge and understanding of natural resource management problems; limitations in the capacity of regional and local bodies, including local government; and getting the policy tools right within the framework. However, as the best practice examples illustrate, taking a gradual approach to the development of the institutions—building on successive wins in capacity—is the best and only way to proceed.