FORESTPOLICY ANALYSIS FOREST POLICY ANALYSIS by MAX KROTT Institute for Forest Policy and Nature Conservation, Göttingen, Germany Translated by Renée von Paschen EUROPEAN FOREST INSTITUTE A C.I.P. Catalogue record for this book is available from the Library of Congress. ISBN 1-4020-3478-4 (HB) ISBN 978-1-4020-3478-7 (HB) ISBN 1-4020-3485-7 (e-book) ISBN 978-1-4020-3485-5 (e-book) Published by Springer, P.O. Box 17, 3300 AA Dordrecht, The Netherlands. www.springeronline.com Cover picture by Achim Dohrenbusch, Göttingen, Germany Printed on acid-free paper Title of the original German edition: Krott, Politikfeldanalyse Forstwirtschaft, 1st edition © 2001 by Parey Buchverlag im Blackwell Wissenschafts-Verlag GmbH, Berlin All Rights Reserved © 2005 Springer No part of this work may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, microfilming, recording or otherwise, without written permission from the Publisher, with the exception of any material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Printed in the Netherlands. FOREWORD Although forest policy is an established course in most European university forestry curricula, apart from a special predilection of the teacher, its content varies from country to country according to the position of the forest sector in the domestic economy and society. In some countries, forestry is the backbone of a strong wood-processing industry, in others, recreational uses and amenity values of forests dominate. Despite these differences, all countries have in common the fact that the diversity of interests in forests has increased. Although timber production will not lose its importance in the future, as timber is a renewable resource, the demand for non-wood products and services has increased considerably. This is best reflected by the new notion of sustainable forest management which strives at the reconciliation of economic, ecological, social, cultural and spiritual interests in forests. In addition, the diversity of stakeholders has increased. Forestry is no longer solely the topic of forest associations and forest administration, but also of a multitude of governmental and non-governmental organisations dealing with activities which either affect forest management or are affected by it. Finally, the relationships of the various stakeholders, with diverse interests and varying empowerment, have become more complex, because in some issues the relationships are compatible, and in others, not. Bargaining on forest issues no longer takes place on a national level alone, but also on European and international levels, because many forest policy issues are transboundary. The increased diversity, variety and complexity of forest issues has rendered forest policy an independent field of political science, namely forest policy studies. With this book entitled "Forest Policy Analysis" Max Krott, Professor of Forest Policy at the Georg-August University in Göttingen, provides an introduction to this special field of political science, based on his German textbook on forest policy published in 2001.1 He applies policy analysis to the regulation of forest policy issues in Germany and the rest of Europe. Forest policy analysis divides the forest policy process into the phases of policy formulation, implementation and evaluation. At the outset of the political process there are conflicts of diverse interests in forests which should be regulated by means of the appropriate programmes. Participants in the political process are the various forest users, interest associations and 1 Krott, Max (2001): Politikfeldanalyse Forstwirtschaft: Eine Einführung für Studium und Praxis. Parey Buchverlag im Blackwell Wissenschafts-Verlag, Berlin. vi FOREWORD political parties, as well as government and public administration. They are interlinked by way of communication and exchange of their resources, and they attempt to enforce their interests by means of information, persuasion and power. For this purpose, informational instruments (e.g., advisory services, public relations), economic instruments (e.g., subsidies, certification), and regulatory instruments (e.g., laws, EU directives) are available. Policy analysis represents an appropriate reference framework for employing the theory of political science and other social sciences to explain political phenomena in the forest sector. The author intends to make the reader familiar with this approach, as well as with its potential results. The student will receive an introduction to forest policy analysis, and the forester involved in policy-making will receive orientation for hisown work. The European Forest Institute (EFI) has been supporting forest policy research and studies since its foundation in 1993. Policy analysis is one of the four programme research areas aiming in particular at forest policy issues of European significance. Furthermore, the EFI has been the sponsor of the European journal “Forest Policy & Economics” of which Max Krott is the editor-in-chief. And now the EFI is presenting a series of books on forest policy studies in order to disseminate the scholarly findings in this area among potential users. With the present first volume, Max Krott continues his outstanding contributions to forest policy studies. The editors acknowledge his engagement in this field and wish him the due acceptance and dissemination of this publication. The present book constitutes an important foundation on which forest policy research can be further developed. Peter Glueck, Vienna Birger Solberg, Aas Ilpo Tikkanen, Joensuu Editors of the series “Forest Policy & Economics” August 2004 CONTENTS Page FOREWORD v CONTENTS vii TABLES AND ILLUSTRATIONS xii CHAPTER 1 PROFESSIONALIZATION OF FOREST 1 SECTOR POLICY MAKING CHAPTER 2 INTERESTS AND CONFLICTS IN THE 7 FOREST SECTOR 2.1 Interests as the Driving Force of Politics 7 2.2 Forest Policy for Regulating Conflicts of Interest 11 2.3 Conflict Resolution Based on Information and Power 13 2.4 Further Forest Policy Research 17 CHAPTER 3 PROGRAMS FOR FOREST PROTECTION 23 AND UTILIZATION 3.1 Scope of a Statement 24 3.2 Quality of Information 28 3.3 Strategies of Power 31 3.3.1 Factual and Evaluative Statements about Forests and 31 Forestry 3.3.2 Strategies for Enforcing Value-Judgements 32 3.4 Further Forest Policy Research 36 viii CONTENTS CHAPTER 4 FOREST USERS: OWNERS, WORKERS & 39 EMPLOYEES, AND THE GENERAL POPULATION 4.1 Forest Owners 41 4.1.1 The Interests of Forest Owners 46 4.1.2 Objective Setting and the Political Tasks of 52 ownership 4.1.3 The Realization of Owners' Interests 53 4.2 Forest Workers and Employees 57 4.3 The General Population 61 4.4 Further Forest Policy Research 63 CHAPTER 5 ASSOCIATIONS AND POLITICAL 69 PARTIES 5.1 Forestry Associations 70 5.1.1 The Interests of Forestry Associations 70 5.1.2 Organization of Interests 73 5.1.3. The Internal Structure of Associations 77 5.1.4 Action Taken by the Associations 81 5.1.5 Potential Influence of Associations 91 5.1.5.1 Formal Influence Potential 91 5.1.5.2 Informal Influence Potential 93 5.1.6 Cooperation with the State 98 5.2 Nature and Environmental Protection Associations 100 5.3 Hunting Associations 109 5.4 Political Parties 111 5.5 Further Forest Policy Research 115 CONTENTS ix CHAPTER 6 GOVERNMENT AND ADMINISTRATION 117 6.1 The Role of the Sate in Forestry 117 6.1.1 Tasks and Action Potential in the Modern State 117 6.1.2 Politicians and Administration 119 6.2 State Forest Administration 125 6.2.1 Administration as an Executive Body 125 6.2.2 Theory of Bureaucracy 128 6.2.3 Theory of Management 134 6.2.4 Informal Plans of Action 137 6.2.5 Work Processing in Forest Administration 140 6.3 Public Administration of Nature and Environmental 143 Protection 6.4 Further Forest Policy Research 148 CHAPTER 7 INFORMATIONAL INSTRUMENTS 151 7.1 Advisory Services 152 7.1.1 Consulting Concepts and Their Formal Impact 154 7.1.2 Informal Use of Advisory Services 158 7.2 Forest Sector Training and Education 160 7.3 Public Relations 164 7.3.1 The Public Sphere 165 7.3.2 Public Opinion in the Media 168 7.3.3 Public Relations in Forestry 175 7.4 Forest Reports as PR Tools 181 7.4.1 Content and Data in Forest Reports 181 7.4.2 Political Limitation and Impact of Forest Reports 182 7.5 Active Information Tools of the General Public 186 7.6 Further Forest Policy Research 187 x CONTENTS CHAPTER 8 ECONOMIC INSTRUMENTS 191 8.1 Self-Regulation of the Market Economy 192 8.1.1 Maximized Efficiency of the Forest Sector in the 192 Market Economy 8.1.2 Market Failure of Non-Timber Goods and Services 194 Due to External Effects 8.1.3 Regulatory Deficits of the Market Economy in 197 Allocation and Environmental Safeguarding 8.2 State Compensation for Adhering to Guidelines 198 8.2.1 Formal Regulation via Financial Support 198 8.2.2 Deficits in the Problem-Solving Potential of Financial 201 Support 8.2.3 Informal Use of State Compensation 204 8.3 Support via State Extension Services 207 8.4 Mandatory State Taxes 209 8.4.1 State Tax Revenue 209 8.4.2 Taxation as a Private Compulsory Levy 211 8.4.3 Regulatory Taxation 214 8.5 Further Forest Policy Research 215 CHAPTER 9 REGULATORY INSTRUMENTS 219 9.1 Formal Control through Regulatory Instruments 220 9.1.1 Behavioral Control through Forest Law 221 9.1.2 Control through Supply Management 226 9.1.3 Organizational Control 226 9.1.4 Process Control 227 9.2 Formal Implementation of