OLGA ULYBINA Thesis for Printing March 2010 1
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View metadata, citation and similar papers at core.ac.uk brought to you by CORE provided by Apollo INSTITUTIONAL CHANGE IN THE FOREST SECTOR: THE RUSSIAN EXPERIENCE By Olga Ulybina This dissertation is submitted for the degree of Doctor of Philosophy To the Department of Land Economy University of Cambridge University of Cambridge Hughes Hall September 2009 ABSTRACT This dissertation explores patterns of institutional change in the Russian forest sector and examines the process of nascency and development of both formal and informal institutions. It argues that development of the Russian forest sector has been path- dependent and significantly influenced by informal institutions, which the recent reform carried out by the state also failed to transform. Using the case study of the forest sector, the dissertation (1) identifies major drivers of post-Soviet institutional change, and (2) compares different patterns of agency (particularly state forest reform and non-state ‘private modernisation’ projects). The thesis explores opportunities for institutional path-creation in the Russian forest sector and concludes that the major drivers of change in today’s Russian forest sector are: i) local ecological agency, and ii) the changing global (political, economic, ideological) environment. It is argued that roots of the problems of the recent forest reform lie in the lack of agency within (mostly federal) state structures and local communities. The dissertation argues that although non-state forms of governance (such as certification and model forests) have proved to be more powerful and effective than state initiatives in overcoming ‘path-dependent’ institutional embeddedness, their ultimate results are severely limited by and highly dependent on evolution of state agencies and more generally on the nature of relationships between state authorities and society. At the conceptual level, the research adopts the institutional (NIE) framework and combines it with classical sociological literature (on the problem of structure vs agency), as well as with a historical perspective (path-dependence vs path-creation). Moreover, it emphasizes the importance of ecological dimension of analysis for understanding societal change. As for its policy relevance, the research challenges the recently popular and overly optimistic view on the role of civil society and non-state governance in institutional modernisation. It encourages policy makers to study national history and to build upon existing initiatives taking into account the path-dependent environment and informal institutional embeddedness of implemented projects. ii PREFACE This dissertation is the result of my own work and includes nothing which is the outcome of work done in collaboration except where specifically indicated in the text and acknowledgements. This dissertation does not exceed the regulation length, including footnotes, references and appendices. iii To my parents, Alla and Alexander Ulybin iv ACKNOWLEDGEMENTS I am greatly indebted to my supervisor Dr. Shailaja Fennell, who provided invaluable guidance and comments during my work on the dissertation. Her insights on improving the structure and presentation of the argument helped clarify my ideas and boosted my academic confidence. Our discussions were a powerful source of inspiration and encouragement. I am immeasurably grateful to my parents, Alla Ulybina and Alexander Ulybin, for their love, love and love. I am immensely thankful to my sister Lyonushka for always being there for me, as well as for her invaluable help with obtaining secondary and primary sources of information in Russia. I am deeply indebted to the Senior Tutor of Hughes Hall Dr. Philip Raymont for having made the college into a particularly friendly, supportive and unique community and a place where one wants to live and work. Without the financial assistance of several institutions, this dissertation would not have been possible. I would like to thank the Cambridge Overseas Trust, the Board of Graduate Studies, and Hughes Hall. I would like to acknowledge the help and very valuable advice that I got from the Centre of Independent Social Research in St. Petersburg and in particular from Maria Tysiachniouk during my fieldwork. A special thank you goes to all the kind ‘respondents’ who dedicated their time and shared their knowledge and experience with me during interviews. I am extremely fortunate to have infinitely dedicated and supportive friends. I am particularly thankful to Rhodri Mansell, Elizaveta Burmistrova, Alexey Morozov, Yulia Yamineva, and Olga Maletz. To every person who inspired me, who taught me, or just made me smile - thank you. v TABLE OF CONTENTS Introduction.................................................................................................................2 Chapter One: Locating Environment in Sociological Theory….……………...………………….9 1.1 ‘Methodological Individualism’……………………………………………….....10 1.2 Structuralism……………………………………………………………………..12 1.3 ‘Communicative Action’…………………………………………………………19 1.4 ‘Power Analytics’……………………………………………………….………..22 1.5 Integrative Approaches and ‘Resource Model’…………………………….….....23 Conclusion……………………………………………………………………………25 Chapter Two: Institutional Change and Natural Resource Management……………………….27 2.1 Why Institutions?...................................................................................................27 2.2 Western Political Economy Perspective…………………………………………31 2.2.1 Path-Dependence Theory………………………………………………31 2.2.2 The Role of the State…………………………………………………...33 2.2.3 The Role of the Civil Society…………………………………………..36 2.2.4 Non-State Governance for Natural Resource Management……………37 2.3 Western Environmental Perspective……………………………………………..43 2.3.1 Environmental Sociology………………………………………………43 2.3.2 Human Ecology………………………………………………………...44 2.3.3 Political Ecology……………………………………………………….47 2.4 Russian Perspective………………………………………………………………48 Conclusion……………………………………………………………………………56 Chapter Three: Institutional Development in Russia: Historical Perspective….59 3.1 Conceptualising the Russian State ………………….…………………………...59 vi 3.2 The Forest Sector in Historical Perspective ……………………….....................76 3.3 Analytical Framework…………………………………………………………...82 Conclusion…………………………………………………………………………...85 Chapter Four: Methodology……………………………………………………….87 4.1 Methodological Considerations…………………………………………………..87 4.2 Positionality of the Researcher…………………………………………………...89 4.3. Research Strategy and Approach………………………………………………..91 4.3.1 Inter-Disciplinarity of Research………………………………………..91 4.3.2 Main Stages of the Research…………………………………………...92 Conclusion…………………………………………………………………………..107 Chapter Five: Forest Sector Reform……………………………………………..108 5.1 Instroduction…………………………………………………………….………108 5.2 Tools of the Forest Reform …………………………………………………….113 5.2.1 Legislation…………………………………………………………….115 5.2.2 'State' vs 'Market' Tools……………………………………………….130 5.3 Process of the Forest Reform…………………………………………………...132 5.4 Cost and Consequences of the Forest Reform………………………………….143 5.4.1 Cost of the Forest Reform…………………………………….143 5.4.2 Consequences of the Forest Reform…………………………..147 Conclusion…………………………………………………………………………..154 Chapter Six: Model Forests and Forest Certification…………………………...158 6.1 Model Forests…………………………………………………………………...158 vii 6.1.1 Drivers of Model Forests……………………………………………...158 6.1.2 Perception and Interpretation of the Idea of Model Forests…………..160 6.1.3 Consequences of Model Forests………………………………………163 6.2 Forest Certification……………………………………………………………...165 6.2.1 Drivers and Perception of Voluntary Forest Certification……………166 6.2.2 Effects and Challenges of Institutionalising the Forest Sector………..171 6.2.3 Certification versus Other Processes in the Forest Sector…………….181 6.3 Path-Dependence as a Limitation to Change…………………………………...183 Conclusion…………………………………………………………………………..187 Chapter Seven: Interaction of State and Non-State Actors…………………….191 7.1 Private Sector and NGOs……………………………………………………….191 7.1.1 Drivers of Change. Why Cooperation?.................................................191 7.1.2 Forms of Private Sector - NGO Interaction…………………………...195 7.1.3 Challenges of Private Sector - NGO Cooperation…………………….199 7.1.4 Consequences of Private Sector - NGO Interaction…………………..202 7.2. Private Sector and the State…………………………………………………….207 7.2.1 Nature and Forms of Private Sector - State Interaction……………….207 7.2.2 Challenges of Private Sector - State Cooperation….…………………213 7.3 NGOs and the State……………………………………………………………..216 7.3.1 Enhancing Cooperation…………………………………………….…216 7.3.2 Challenges of NGO-State Cooperation……………………………….219 Conclusion………………………………………………………………………….222 viii Chapter Eight: Conclusion….…………………………………………………….227 Bibliography……………………………………………………………………….235 Appendix A: Locations and Respondents………………………………………..266 Appendix B: Interview Questionnaire……………………………………………271 Appendix C: Major Forestry Laws………………………………………………277 ix LIST OF FIGURES AND BOXES Figure 1 Analytical Framework for Analysis of Institutional Change in the Russian Forest Sector………………………………………………………………………….84 Box 1 Major Post-Soviet Forestry Laws……………………….…………………...114 Box 2 Forest Certification Schemes………………………………………………...165 x ABBREVIATIONS BROC Bureau for Regional Outreach Campaigns, a regional environmental NGO CISR Centre for Independent Social Research FLEG Forest Law Enforcement and Governance FLEGT Forest Law Enforcement, Governance and Trade FSB Federal Security Service (Russia) FSC Forest Stewardship Council GOK Gorno-obogatitel’ny