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Forty Years of Community-Based Forestry 176 176 FAO FORESTRY PAPER Forty years of Forty years of community-based forestry community-based forestry Forty years of community-based forestry – A review its extent and effectiveness A review of its extent and effectiveness A review of its extent and effectiveness Since the 1970s and 1980s, community-based forestry has grown in popularity, based on the concept that local communities, when granted sufcient property rights over local forest commons, can organize autonomously and develop local institutions to regulate the use of natural resources and manage them sustainably. Over time, various forms of community-based forestry have evolved in different countries, but all have at their heart the notion of some level of participation by smallholders and community groups in planning and implementation. This publication is FAO’s rst comprehensive look at the impact of community-based forestry since previous reviews in 1991 and 2001. It considers both collaborative regimes (forestry practised on land with formal communal tenure requiring collective action) and smallholder forestry (on land that is generally privately owned). The publication examines the extent of community-based forestry globally and regionally and assesses its effectiveness in delivering on key biophysical and socioeconomic outcomes, i.e. moving towards sustainable forest management and improving local livelihoods. The report is targeted at policy-makers, practitioners, researchers, communities and civil society. ISSN 0258-6150 ISBN 978-92-5-109095-4 ISSN 0258-6150 FAO FORESTRY FAO FAO 9 789251 090954 PAPER I5415E/1/02.16 176 Cover-II.pdf 1 15/02/2016 14:09 C M Y CM MY CY CMY K Cover photo: Forest User Group members participate in a thinning exercise in their larch forest, Mongolia (© Damdinsuren Enkhsaikhan) FAO FORESTRY Forty years of PAPER community-based forestry 176 A review of its extent and effectiveness Don Gilmour FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2016 The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned. The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO. ISBN 978-92-5-109095-4 © FAO, 2016 FAO encourages the use, reproduction and dissemination of material in this information product. Except where otherwise indicated, material may be copied, downloaded and printed for private study, research and teaching purposes, or for use in non-commercial products or services, provided that appropriate acknowledgement of FAO as the source and copyright holder is given and that FAO’s endorsement of users’ views, products or services is not implied in any way. All requests for translation and adaptation rights, and for resale and other commercial use rights should be made via www.fao.org/contact-us/licence-request or addressed to [email protected]. FAO information products are available on the FAO website (www.fao.org/publications) and can be purchased through [email protected]. iii Contents Foreword vii Acknowledgements viii Acronyms ix Executive summary x 1. Introduction 1 What is community-based forestry? 1 Rationale, purpose and scope of the publication 2 2. Historical overview of the emergence and evolution of CBF 5 Why CBF became popular 6 Institutional response 7 Evolution of CBF in brief 8 3. Types of CBF 13 The designations employed and the presentation of material in this information Categorizing CBF regimes 13 product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal A word on informal CBF regimes 16 or development status of any country, territory, city or area or of its authorities, or CBF objectives 17 concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference 4. Extent of CBF 21 to others of a similar nature that are not mentioned. Extent of CBF by region 21 Global extent of CBF 33 The views expressed in this information product are those of the author(s) and do not necessarily reflect the views or policies of FAO. Summary 35 ISBN 978-92-5-109095-4 5. Current trends in CBF 37 © FAO, 2016 Institutionalization of CBF into national development programmes in developing countries 37 FAO encourages the use, reproduction and dissemination of material in this information Emergence of civil society organizations to represent CBF interests 38 product. Except where otherwise indicated, material may be copied, downloaded and printed for private study, research and teaching purposes, or for use in non-commercial Restitution and privatization of forest land 41 products or services, provided that appropriate acknowledgement of FAO as the source Expansion of smallholder forestry, particularly in Asia 43 and copyright holder is given and that FAO’s endorsement of users’ views, products or services is not implied in any way. Commercialization of CBF products 45 Connections between smallholders/communities All requests for translation and adaptation rights, and for resale and other commercial and private companies 51 use rights should be made via www.fao.org/contact-us/licence-request or addressed to [email protected]. 6. Effectiveness of CBF 55 FAO information products are available on the FAO website (www.fao.org/publications) Changes in natural capital 56 and can be purchased through [email protected]. Changes in social and human capital 59 iv Changes in financial capital 62 Equity and poverty alleviation 64 Ability of CBF to enhance resilience and reduce vulnerability to shocks 68 Overall, has CBF been effective? 70 Summary 73 7. Lessons learned from analysis of CBF experiences 77 Some recent analyses 77 Requirements for effective CBF 79 Considerations for implementation of CBF 89 8. CBF in the international arena 93 Incorporation of CBF into international frameworks 93 Implications of contemporary global policy initiatives for CBF 93 Large-scale land acquisitions in the global South 103 Major CBF initiatives and opportunities for regional cooperation 104 9. Issues for the future 107 Application of existing knowledge to improve CBF outcomes 107 Recognition of tenure rights of local and indigenous communities 107 Commercialization of CBF goods and services 108 Recognition of CBF limitations 108 Data on extent and effectiveness of CBF regimes 108 Research 109 10. Conclusions 111 References 113 Appendixes 131 Appendix 1. Ten key publications on CBF 133 Appendix 2. Spectrum of generic types of CBF based on level of rights, responsibilities and empowerment 134 Appendix 3. Factors that contribute to success of CBF regimes and policy guidance for their successful adoption 137 Appendix 4. Research issues and questions emerging from the CBF review 139 v Tables 1 Key global forest-related developments that have influenced the evolution of CBF 6 2 CBF objectives reported by numerous reviewers 18 3 Extent of CBF in Africa 22 4 Extent of CBF in Asia and the Pacific 26 5 Extent of CBF in Latin America 29 6 Estimates of area of forest owned by, or with management rights held by, communities and/or indigenous peoples 33 7 Forest tenure in 52 countries 33 8 Change of ownership of production forests in China 42 9 Changes in area and ownership patterns of Acacia smallholder plantations in Viet Nam between 2002 and 2012 44 10 Typology of forestry community−company relationships 51 11 Summary of effectiveness of CBF assessed by a range of reviewers 70 Figures 1 Spectrum of CBF regimes 15 2 Area of forest under CBF regimes, by region 34 3 Keys to effective community based forestry (CBF) 80 Boxes 1 Definition of community-based forestry used in this publication 2 2 Key issues and challenges identified in previous FAO reviews of CBF 9 3 Results from a study of forest tenure regimes in 30 of the world’s most forested countries 14 4 Possibility of community concessions in the Democratic Republic of the Congo 23 5 Recent CBF initiatives in Africa 24 6 Differences in tenure rights and management outcomes of selected CBF regimes across Asia and the Pacific 27 7 Different types of CBF regimes across Latin America 28 8 Federation of Community Forestry Users Nepal: a civil society organization with a mandate to influence policy and governance practices associated with CBF 39 9 Confederation of European Forest Owners – the umbrella federation of national forest owners’ organizations in Europe 40 10 Smallholder forestry in Ciamis District, West Java, Indonesia 45 vi 11 Examples of some key constraints applying to the commercialization of products from CBF 49 12 Factors that promote effective community−company relationships in Latin America 52 13 Livelihoods − more than subsistence goods and services 55 14 Case studies or metadata analyses? Trade-offs and complementarities in assessing CBF effectiveness 56 15 A definition
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