Module FOMT 1.

2 Development policy and forest

culture in tropical countries
General Questions for the exam

Prof. Pretzch
1. Explain some general organizational principles of forest
administrations and Apply it to the situation in your country. What are
the functions of the state forest administration? Where do you see
necessity for change?
The organizational structure of forest administrations is generally bureaucratic.
Because of this, the principles are as follows:
a) Specialization
b) Hierarchy of authority
c) Top-down
d) Specialized career structure
e) Permanence
f) Large Size
g) Impersonality
h) Formalized Style
i) Clear Rules
j) Discipline

2. How do you calculate the stumpage value in the natural forest? For
what is it useful? Outline the main difficulties.

Stumpage value for timber is derived by looking at market prices for finished
lumber and subtracting out costs involved in processing timber to lumber . Its
formula: stumpage value = lumber price on the market all costs for log
processing to lumber (handling costs + log transport costs + an allowance for
profit and risk, based on a normal rate of return on the investment*)
*the rate of return that could be earned on alternative investments of equal risk.
Stumpage value is the most influential determinant of the value of standing
timber (not cut forest).
First of all, stumpage value is based on lumber price but in reality forest owner
could sell his future forest for veneer production for higher price than lumber and
so, stumpage value could be higher.
Secondly, it is impossible to calculate all factors affecting costs, for instance
logging equipment used, remoteness, steepness of terrain, species, etc., thus
stumpage value could be inaccurate and often underestimated. In order to obtain
accurate stumpage value we should factor all abovementioned effects in our
costs.

3. Explain the difference between politics, policy and polity. Give

examples from forestry
Politics
Not conducted political processes, more like discourse between different
actors in different policy arenas. Politics has a procedural dimension and
focuses more on the processes during the formation of consent or conflict-
resolving, which results in a decision-making process. Not only does
implementation and enforcement belong to these processes, but also non-
decisions.
Example in forestry: measures taken by the state or the municipality to
safeguard pubic interest in regard to forests and forestry. A forest may present
one group of utilities to the individual owner but a different utilities to the
community at large.
Policy
This is objective-oriented action and covers all processes of political decision
in the fields of politics as e.g. economic policy, social policy and environmental
policy. Each policy looks at the actual situation of a field, the tasks it contains,
the goals, the realization and the expected and achieved results.
Example in forestry: policy development to solve problems of illegal logging or
overharvesting of forest resources.
Polity
Polity has a formal, value-orientated and institutional dimension and
pays attention to the organization of the state and how to manage the system to
obtain political order and stability. Parts of polity are the constitution, the
wordings of laws and the institutions of the state as administrative offices and
their tasks.
Example in forestry: property rights, forest legislation, and participative or
authoritarian structures in sector planning.

4. Discuss the policy process

The policy cycle is a tool to reach some objectives and to analyze the
development of a policy items. It starts at first examination of a problem,
formulation of the policy, determination and decision of alternatives for action,
implementation of program, evaluation and finally, correction of action/learning.

5. What do you understand by the tragedy of commons? what we can

learn from this?
In cases where there is an open access/common property, everyone uses his
rationality and tries to maximize their benefits. At first, everyone might be using
the resource with the carrying capacity in mind, but then someone reasons that
if he uses a bit more, his private benefits would increase, but the loses would be
shared by all users. If more people reason the same way, then eventually the
resource is degraded.
We can learn that in order to keep the sustainable use of the common resource,
we need to apply strong mechanism of control, use and administration.
E. Ostrom recommends 8 principles of how to manage a commons:

Define clear group boundaries.

Match rules governing use of common goods to local needs and
conditions.
Ensure that those affected by the rules can participate in modifying
the rules.
Make sure the rule-making rights of community members are
respected by outside authorities.
Develop a system, carried out by community members, for
monitoring members behavior.
Use graduated sanctions for rule violators.
Provide accessible, low-cost means for dispute resolution.
Build responsibility for governing the common resource in nested
tiers from the lowest level up to the entire interconnected system.
6. What are the preferences of market orientation versus state
intervention? How should the forest sector be conducted; by state
intervention or by the market? Give arguments. What do you
understand by Public choose theory?

Market orientation preferences are based on Smiths theory, are in favor for
competition. This principle of competition is important to drive prices.
Motivating competition we avoid monopoly.

State intervention preferences are based on a Keynesians theory, in

favor of active policy responses by the public sector, and actions by the
government to stabilize output of the business cycle.

The forest sector should be conducted by both: the market and state.
On one hand, a state plays three important roles in forest management:
stabilization, efficiency and equity. It is responsible for constant timber supply in
a country and could stabilize future timber markets. The state must invest in
innovations to make forest management efficient in order to maintain the global
competitiveness of the forest industry. And finally, the state is responsible for
people equal access to forest resources and benefits. Besides, the state also has
a role to prevent the destruction of the resource.
On the other hand, forests are no longer a monopoly of forest departments
and belong to different stakeholders (private owners, companies, communities).
Therefore the state should play important regulation role among them.

Public choice theory is the use of modern economic tools to study problems
that are traditionally in the province of political science. It studies the behavior of
voters, politicians, and government officials as self-interested agents and their
interaction in the social system. In this term state intervention is not efficient to
represent individual interests which lead to non market failures.

7. Explain the assumptions of the neo-classic market theory

Competitive markets provide an environment that involves incentives for

economic actors to learn optimal behavior, on average, in the long run. Therefore
markets are thought to heal the cognitive imperfections of actors through
evolutionary forces, compelling most of them to behave "as if" they were
rational. Neo classical economic theory is based on four important assumptions:

Clear property rights must exist

There must be a high level of information on the side of the sellers, as well
as for buyers
There must be competition between sellers and buyers
Transaction costs must be zero

8.Discuss the most important impacts of colonialism on the forestry

sector of tropical countries
 Early colonization of the Americas was much oriented towards the
exploitation of timber for ship building, construction and a number of other
uses.
Traditional rights to forest use were negated and traditional links between
rural people and nature destroyed.
Destruction of local institutions, knowledge systems dealing with forest
use and traditional rules were replaced by simple state control.
Alienation of local people from their forest environment.
Forestry was subjugated to western philosophies and knowledge systems.
In this context, the complex and holistic human-nature interactions and
forest use systems were substituted by one dimensional concepts of
financial forest benefits, without taking care of the traditional subsistence
production. European forestry models were transferred, leading to the
development of mono-cyclical natural forest management systems.
Reduction of forests biodiversity because of replacement for commercial
crops production for export, like coffee, cacao, oil palm and rubber.
Private property land titles were introduced. Forest use rights such as the
collection of non-timber forest products and firewood were placed under
strict control.
10. Explain the so called development theories

Ecological limitations: Readiness for work would increase with distance

from equator (Montiesquieu 1748). The necessity of food storage for
winter times contributed t a more planed land use. Tropics has also low
quality soils (Weischet 1997).
However, these theories can be refuted with the analysis of two big
civilizations: Mayas and Incas.
Social and physical explanations of underdevelopment: A cause for
missing development may be the lack of motivation for innovative work.
Specific human conditions like entrepreneurship may be missing. Other
authors (Hagen 1975) define that development can take place only if there
is creativity in the society. Social tension is an important element that
leads to change.
Capital accumulation as a condition for economic growth: For these
theory, a huge amount of capital is necessary for a first minimal critical
investment which will take off the economy by giving it a big push which
will incentive all the sector to develop. (MODEL OF ROSTOW).
Population growth, carrying capacity and technological limitations: Malthus
and Boserup theories. Malthus proposed a lineal growth of food production
against an exponential growth of population, this generate a deficit which
will eventually collapse the society trough wars, disease, etc. On the other
hand, Bonserup proposed that once a population has growth over the food
available, the density pressure will push the society to generate new
technologies to improve the food production.
Dualism theories: Explain the underdevelopment by differences in the
development of sectors regions and techniques of social orders :
o Social Dualism: Imported systems Vs traditional system
o Economic Dualism: Traditional (subsistence) vs modern (intensive
market contacts)
 o Technological dualism: traditional (work intensive production) Vs
modern (increase of capital increase work)
o Regional dualism: a country is divided in a development (cities) and
underdevelopment regions (rural area).

Dependency theories: industrial country (high transfer of knowledge

between center and periphery) vs development country (low transfer)
Foreign trade theories:
o Comparative advantage: A country produces in a sector where it
has the lowest relative cost.
o Dominant economy: development countries habe big enterprises
that accelerate the segmentation of power relationship
Diabolic circle of poverty: explanation is reduced to mono causal chain

11. What models of dualism can be differentiated. Explain the special

relevance for forestry based development
Social dualism: confrontation between imported - mostly western - social
systems and traditional systems. BOEKE (1953): improvement of the village
Economic dualism: traditional subsistence sector vs. modern sector with
intensive market contacts
Technological dualism: It is based on different modes of production in the
modern and the traditional (agricultural) sector. The traditional sector is
characterised by a substitutional production function, labour is available and
capital is lacking (work-intensive production). The modern sector is
characterised by a limitational production function, the relation between the
production factors is relatively fix. The differences in the availability of
production factors determine the development opportunities.
Regional dualism: A country is divided in a developed and an
underdeveloped region. Often there is hardly any exchange relation between
the two regions. There are different opinions, to what extend there are
development incentives between the two regions. There might be positive
(spread) effects or negative (backwash) effects.
Dualism theories have special relevance to forestry based development along
the history, mainly to developing countries. In the colonial times in tropical
countries, institutions related to forestry sector, the knowledge about the
forest and traditions, as well as land rights were destroyed and/or restricted
and replaced by the western model, characterized by authoritarian
administration. Another important example of this relevance is the fact that
orientation towards market and maximum profit was considered more
important for development, and in the case of forest it led to the cultivation of
plantations in tropical territories but without any caution of techniques and
adequate technologies to tropical forests. Traditional subsistence production
system was ignored and activities were only focused on market production.
At the end, high labor inputs and low production per hectare characterized
the forestry management models that were brought from Europe.
Nowadays, this type of factors continue limiting the forestry development in
tropical countries, especially because western models continue being applied.
As technology continues to develop, private and public sector in many
tropical countries use technology for forest industrial purposes, but in some
cases previous analysis is not done correctly, so the productivity and
efficiency are lower than expected, mainly because of factors such as supply
chain, qualified labour (which is scarce), climatic conditions and others. On
the other side, in the rural areas, there are many available labour for forest
management of timber and non timber forest products, but capital is lacking,
so it becomes very difficult to promote development based on this activities.

12. What is the difference between forest revenues, taxes and forest
charges? Explain some forest revenue systems and their impacts in
forest sector. How can the level of the revenues be set?
Forest revenue: Rent for the forest resources. Have the character of a
recompense for the natural resources on state land, which are used by
private enterprises.

Forest taxes: Charges related to the forestry industry in general from the
income. Are forced duties without a direct service in return. They can be
spent anywhere in the national economy.

Forest charges: Charge for a specific activity in the forest industry, like
charges in roundwood production or fees to register the plantation or a fee
to make a concession.

The forest revenue system is an instrument used by governments to

obtain maximum benefits from the management of forest resources. Such
benefits include the stimulation of industrial development, efficiency in the
utilization of wood, promotion of private sector activities in natural forest
management and forest plantation development as a business, the
enhancement of the marketing of forest products and sustaining the diversity
of the forests.

A typical case of forest revenue is the concession which is the right the
Government grants to individuals, upon a tendering and/or bidding process,
to exploit products and services in a certain public forest, upon payment for
the use of such products and services and with the duty to practice
sustainable forest management, under rules established by the Government
and for a period of time clearly defined in a contract. The forest concession
does not imply the transfer of ownership of the land. In this case, the forest
remains a public asset. The main impact on the forestry industry are mostly
negative, the enterprise making the concession would basically take more
profit than the government and this money will be out of the country leaving
no money to reinvest in the local industry and at the end the country would
have a degradation of their resources and a few money. A positive aspect is
that concession can sometime bring high level technology and educate
human capital.

The level of the forest charges can be set in the following way (Gray, 1983):
Administratively set
Value related charges
Formula approaches
Negotiation of forest charges
 Open-bid and sealed-bid auctions
Public log markets
Minimum forest charges (if there are benefits to the seller)

13.Explain the basic need concept, its potential and limitation and
the relevance for forestry.
The concept defined an absolute minimum of resources necessary for long-term
physical well-being, satisfying those basic needs (food, shelter, health). It says that by
satisfying those needs people can be more active give more labour, act as a
consumer and move the economy.
In 1973, during the era of McNamaras presidency of the World Bank, the
development policy shifted from a growth orientation to redistribution with growth.
This reorientation led to the implementation of the basic needs approach (Streeten
and Burki 1978; ILO 1977). Apart from taking care to cover the basic needs such as
food, shelter, health and education of poor farmers and laborers, it focused on the
implementation of labor-intensive technologies, which permitted a maximum
provision of labour to the rural poor. The basic needs approach was justified partly on
the basis of ethical arguments for poverty alleviation. It was also based on the insight
that poor segments of society contribute to economic development, because they
satisfy the demand of the poor for consumption goods like mopeds and televisions,
although basic needs are not covered. Further reasons were the reduction of
population growth through the satisfaction of basic needs and the assumption that an
increasing number of poor households would lead to political instability and ecological
destruction. The approach was assessed controversially. The general improvement to
livelihood conditions contrasted with strong limitations in technology development
(Hunt 1989). It was argued that because of the low inputs in terms of capital and
technology, labour productivity might not increase significantly, which would lead to
the perpetuation of a life of poverty (Hunt 1989). The approach was also criticized for
being expensive and potentially leading to greater resort to credit and accumulation
of debt in developing countries.
14. Identify problems that are connected with the financing of
forest activities on different governances levels and scales (from
micro to macro).
It is important to note that on the expenditure side the state income can be
used for:
- Public administration
- Creation of reserves, capital accumulation and investments (or, on the
other hand, payments of debts)
- Policy intervention

Methods of creating funds to finance forestry activities are presented below:

- Accumulation of own funds (savings)

- Raise a credit
- Get subsidies from the state/public

Forest financing has to tackle some key problems:

- The time gap problem (from planting to harvesting)

- Necessity of long-term credits in forestry
- Low capital rent in most forest activities
- Difficulties to mobilize peasants for the participation in self-help
organizations

The following figure explains the key problems in forest financing (McGaughey
and Gregersen, 1983):

In the financing of forest activities three levels of intervention can be

differentiated, that create partly similar and partly different problems: 1)
local, 2) national and 3) international.

1) For local financing (formal credits) a structural problem are the high
overhead costs of the credits that make individual support of peasants
very expensive. Although the level of pay back of credits is very high with
small farmers, they are not very welcome by the banks because of these
overhead costs.

2) For the regional financing, there can be identified the peasant banks,
which have a dependency of the government and are special development
banks for small farmers with credit packages for forest management units,
but represent problems because are influenced by political issues on the
current administration. On the other hand, the creation of independent
national forest fund aloud that the money that comes from forest revenues
can be reinvested in forest management projects, but often, this is not
possible in the structure of the state administration because of corruption
or too much bureaucracy.

3) For the international financing, depends on the reputation of the country in

an economic view; in many cases the trade balances is positive, but the
 service balance is negative. The actual situation is characterized by an
increasing indebtedness of most of the tropical countries. Indicators for
the measurement of the indebtedness of a country are: debt outstanding,
debt service and debt service ratio.

21. Explain the main actors in rural forest development and their
conflicts. How does a stakeholder analysis work?

Main actors: Direct users of the forest, intermediary users, authorities and
promotion organizations, political institutions and consumers, beneficiaries,
interested parties

Conflicts among main actors

 Macro macro. Between national institutions or line departments (e.g.
forestry versus agriculture)
Macro Micro. Between national institutions and local people (e.g. forestry
department vs shifting cultivators)
Micro- Macro. Between local people and society at large or farmers and
environmental lobby groups.
Micro-Micro. Between different sets of local people (e.g. farmers vs
pastoralists over use of forest land)

How does a stakeholder analysis work?

Identify the main purpose of the analysis;

Develop an understanding of the system and decision-makers in the
system; Identify principal stakeholders.
Investigate stakeholder interests, characteristics, and circumstances;
Identify patterns and contexts of interaction between stakeholders;
Define options for management.

23. Explain the causes and consequences of migration and analyze the
possible effects to forests.

Causes.
Push factors: concepts that make people migrate from a place. These include
but are not limited to: overpopulation, religious persecution, lack of job
opportunities, agricultural decline, conflict, political persecution, natural hazards
(e.g., droughts, floods, famines, and volcanic eruptions), limits of personal
freedom, and environmental degradation.

Pull factors: concepts that make people want to migrate to a particular place.
These include but are not limited to: religion, economic opportunity, land
availability, political freedom, ethnic and family ties, and arable land.

Possible effects of migration on forests. Increase pressure on Forest

resources. Especially if migrants generally rely on natural resources in order to
sustain themselves. For example in case of refugees in the early period before
the arrival of aid.

24. What kinds of subsidies in forest production can you identify and how might they work?

Subsidy: A subsidy is a form of financial or in kind support extended to an

economic sector (or institution, business, or individual) generally with the aim of
promoting economic and social policy. Government expenses in the area of
forestry can have the character of subsidies if the main objective is to promote
forest development.

Direct subsidies Mechanism in Forestry production

 Low interest credit: necessary to bridge the time between forest
management expenses and harvest.

Capital donation: cash payments for production of a given good or service,

it can be assured that the capital is used economically viable

Free delivery of plants: very common in cooperation with peasants.

Extension is prerequisite to make it successful

Gift of land/plantation: such should be combined with contribution from

the side of peasants.
Free technical assistance: Management and operational plans can be
prepared with such subsidies.

Infrastructure: way to link rural area with market. For example,

construction of roads at government expense for a single logging
company.

Food for Work Program (described in question 26)

Indirect subsidies Mechanism in Forestry production

Tax liberation, but too difficult to control.

25. Explain the six historical stages of forest politics/policy development in

the tropics (PRETZSCH).

Tress and Forests in the Tropics in Pre-colonial times

This stage is characterized by a great variety of benefits which the rural
population gets from the forests. The forest products are mainly used for local
consumption and often the access to the forest resources is regulated by
informal rules. As part of these rules trees and forests can have religious and
symbolic functions, like holy forests. Often the rural population has only use
rights towards land and vegetation, the property right is in the hand of the
ancestors and of future generations.

Forests and Trees in Colonial Times

Colonial influence (stage 2) led to the far reaching dissolution of the complex
traditional forest use structure. Colonial forest policy was predominantly focused
on the satisfaction of the need of the mother countries; world market oriented
accumulation of raw materials from the forest and the creation of a land reserve
for mainly export oriented rent cultures like coffee, cacao, oil palm and rubber.
Complex and holistic forest use systems were substituted by a one-dimensional
relation colony - motherland with a reduced view of human benefits from the
forest and with reduced use rights of the local population. Private property land
titles were introduced, what created a two class society: people with and without
land title. Traditional rules were substituted by the paradigm of modern European
forestry, which was based on the maximisation of sustainable timber production.

Independence and Capital Formation

After de-colonisation in many tropical countries the European paradigm of forest
management practice was kept. In some countries, like India, even more power
was given to the state administration. Tropical forest resources were seen as a
capital stock which could be liquidated rapidly (stage 3). This thinking was
supported by western forest politicians, which argued that economic
development requires mainly capital to proceed from the stage of the traditional
society to the take off. Under the conditions of initial growth and transition
towards industrialisation the concept of sustainability is not applicable for
tropical forest management. Only by massive forest use, respective capital
investment in timber industries and later reinvestment in plantations would
permit a rapid growth of the national economy. Many countries followed this way
and mainly failed because of the lack of adequate organizational structures,
political will and corruption.

The Internationalization of Forestry

With the noticeable improvements to communication networks and the
international trade infrastructure, the tropical timber trade channels diversified
and timber production and the timber industries entered a stage of increasing
internationalization

Influence of international organisations like the FAO and the World Bank on the
forest sector increased. Also the exchange of production factors and products
shifted from bilateral relations towards more internationalisation. This led to a
more and more marginal position of local forest people.

Polarization
The dominating paradigm of large scale planning together with mainly industrial
forestry created more and more failures and respective opposition (stage 5). The
traditional western concept of forest management for timber production proved
to be not always applicable in tropical countries. International organisations
faced more and more criticism and they were forced to modify their forest
development strategy stressing more social and environmental objectives. Due
to the failure of technocrat large-scale colonisation and forest projects, a revival
of local strategies and local stakeholder involvement occurred in recent times.

Globalization
The actual development stagemay be characterised by privatisation.
decentralisation of bureaucracies and devolution of forest management rights to
the local population. This is reflected by changes in institutional rules and
organization structures. Increasing dependency of forest management on
external influences has to be understood, which makes a continuous monitoring
of determining political influences necessary. Of special interest are drastic
paradigmatic changes, which determine action on the local level.

26. Evaluate the effect of food for work programmes

Food for work programs pay workers in food (Payment in kind instead of Money).
FFW programs have long been used to protect households against the decline in
purchasing power that often accompanies seasonal unemployment, climate-
induced famine, or other periodic disruptions by providing employment
opportunities to the people.

Positive Aspects
Immediately help the poor people to combat acute food deficit
Supported poor families and communities to become food self reliant
Promoted rural infrastructure creation like roads
Compensated food deficit after civil war or natural disasters like in Nepal
Mobilized human resource and strengthened public participation in
development works and institutional buildings
Reduced migration due to creation of employment at local level during the
food deficit period

Negative Aspects
Production disincentives for individual farmers who grow less of their own
food because they have the chance to earn food on a local FFW project. A
practical reasons for such a trend is linked to time constraints; if the
farmer has to work to retain a place on a project, there may not be enough
time to farm the household land.

27. What are tariff? Give an example

A tax imposed to cover the cost of goods and services. Tariffs are used to restrict
trade, as they increase the price of imported and exported goods and services,
making them more expensive to consumers. Tariffs provide additional revenue
for governments and domestic producers at the expense of consumers and
foreign producers. They are one of several tools available to shape trade policy.
Examples
Port Handling Tariff
Storage tariff

28.. Explain the stage approach from ROSTOW and its relevance for forest
development.?

Traditional Societies
subsistence economy
existence of barter
high levels of agriculture and labor intensive agriculture; low
agriculture productivity,
Trade is regional or local
Investment share never exceed 5% of total economic production
Pre-conditions
Shift from Agriculture to industry (Slowly) e.g development of
mining/textile industries.
Trade and Commercial activities become broader
Increase in capital use in agriculture
 Surplus is utilized in industrial development rather than other use
Agriculture become mechanized and commercialized
Investment level is >5%
Take off:
Dynamic economic growth and Rapid self sustained growth; Societies
are driven by economic purposes rather that the traditions
Increasing industrialization
Some regional growth
Number employed in agriculture declines
Investment level is from 5% to over 10% of income
At this stage, industrial growth may be linked to primary industries. The
level of technology required will be low.
Drive to Maturity:
Growth becomes self-sustaining wealth generation enables further
investment in value adding industry and development
Industry more diversified
Increase in levels of technology utilised
As the economy matures, technology plays an increasing role in
developing high value added products.
High mass consumption
High output levels
Mass consumption of consumer durables
High proportion of employment in service sector
Service industry dominates the economy banking, insurance, finance,
marketing, entertainment, leisure and so on.

Relevance for Forest Development

It is assumed that the shift from traditional society to preconditions for take-off is
determined by the availability of capital and entrepreneurial potential. The
liquidation of natural forest resources is seen as one of only a small number of
options available to contribute to the formation of national capital and to induce
development. It is also assumed, that the massive exploitation of forest
resources, a subsequent investment of the raised capital in timber industries,
and a later re-investment in forest plantations, would lead to growth of the
forestry sector and the wood industry.

29. What are the main contents of the theory of MALTHUS. Do you think it
is still relevant today?

Linear growth of food production and Exponential growth of population

He argued that the number of people would increase faster than the food supply.
Population would eventually reach a resource limit (overpopulation), and any
further increase would result in a population crash, caused by famine, disease, or
war.

Malthus was not optimistic about the outcome and suggested that only moral
restraint (birth control) could prevent crisis. More recently, famines in Ethiopia
and other countries, where drought, civil war, and poverty have reduced
agricultural output, might suggest that he was correct. In the USA, the UK, and
other developed countries, the agrarian revolution boosted food production, and
contraception led to a decline in birth rate; and in some countries, such as China,
population control policies have been introduced.

Innovation of fertilizer; introduction of potatoes; increase labour in the market in

industrial development make not relevant in today world

30. What are the typical characteristics of a farm-household-system?

The household is a social unit of defined by sharing of the same abode of health
and mainly subsistence basis of their livelihood.

Small-Farmer Characteristics
They are poor and have little ready cash
Loans to them are usually unavailable or expensive
They are conscious of uncertain environment, of cash shortage, and of
family responsibilities
They are risk-averse
They often suffer cyclical labour shortage and under-employment
They have opportunities for competing off-farm employment
They are economically rational but not necessarily profit- maximizing
They have their own scales of utility
They live in countries in which the social infrastructure of markets,
supplies, and communities is often weak and nor to be relied upon
They live in societies which normally have fairly clear codes as to what is
socially acceptable and what is not.

31. Explain the characteristics of traditional property rights.

Traditional property rights are the rights that are informally exiting and the whole
community agree upon these rules and institutions of property rights. There are
numerous traditional forest uses denoted by five or six f referring firewood,
fodder, fruits, food, fiber and fertilizer. Cosmic and religious values have also
played and important role. Taboos are also important institutions in traditional
property rights. According to the taboos, community decide and follow who can
or cannot access and harvest which kind of resources, when and in what
conditions. The land tenure was mostly determined by common property, which
denoted as patrimonium, the land was in the hands of the commmunity under
local chiefs or like in African countries, in the hands of the ancestors and future
generations.Land users had no ownership rights and no land title,they have
rights to access and withdrawal the resources, resulting in a stewardship or
trustee relationship. With an increasing scarcity of forest products, and to ensure
a continuous provision of food, some pre-colonial societies reacted by
establishing rules developed by chiefs and communities. Often the institutional
framework was complemented by religious and symbolic rules on an overarching
level. The systems were quite complex and efficient, including rules for
reciprocity, benefit sharing and the redistribution of benefits.
32. What conflicts do you see in relation to the appropriation of
biological resources and the respective knowledge?

34. What is the Function of NGOs in the national/ international forest

policy formulation process and what types of NGOs can be
differentiated?

NGOs play a very crucial role in policy formulation. In policy formulation, NGOs
can provide information that is vital for the development of policies that are
appropriate to the community the policy is meant to serve.
Involving NGOs in the policy-making process has essential benefits for
government and state bodies:
It helps to create a democratic basis and an opportunity for societal
participation in public life, which help to enhance government
trustworthiness in the eyes of citizens;
Open and transparent public consultations improve the quality of
regulations, and also improve compliance and reduce enforcement costs
for both governments and citizens.

Types of NGOs
Relief and welfare: help in form of food/short term basic needs satisfaction
Modernization and technology transfer: development NGOs
Community development: basic need+ participatory development=
community development
Institution building: empowerment of the target population

35. Explain the Density Theory of Boserup comparing Malthus Theory.

Malthus said that the growth of human populations always tends to outstrip the
productive capabilities of land resources. Boserup theory similarly focuses on the
relationships between these three factors: population, environment, and
technology. Her concept of 'population encompasses population density as well
as absolute size and growth. Like Malthus, her concept of environment refers
mainly to land resources and related factors such as climate and soil quality.
Since her focus is either historical civilizations or developing countries,
'technology' for Boserup, as for Malthus, the primary productive activity in these
societies. Boserup believed that people have resources of knowledge and
technology to increase food supplies. Opposite to Malthus, she suggested that
population growth has enabled agricultural development to occur. She assumes
people knew of the techniques required by more intensive systems and used
them when the population grew. By Boserup theory, demographic pressure
(population density) promotes innovation and higher productivity in use of land
(irrigation, weeding, crop intensification, better seeds) and labor(tools, better
techniques).

39. Explain reasons for market failure:

Environmental Problems are associated with Market Imperfections (Market
failure):
 Negative Externalities: Decision-makers dont calculate the full cost of
their decisions what leads to negative impacts for which they dont have
to pay. This can be bad for the future flow of benefits (e-g future
generations) or off-site impacts (e.g downstream impact). This means: for
example one company builds a big plant inside a city and the aestetic loss,
the loss in value of the estates, and maybe the noise and air pollution are
externalities for which the company not pays but which are effecting
others-> negative externalities. Market failure because the cost are not
calculated and because of that no working market and maybe wrong
decisions.
Unrestricted access to a resource and unclear property rights: to be
responsible for negative externalities and for the management you need
to have property rights, so that you are motivated to manage it
sustainable. If traditional management systems break down because of
different stresses (demographic, economic and political) this leads to
unclear property rights and that to the tragedy of the commons and to
mismanagement, wrong pricings and degradation.
Natural ressources and functions may not be traded competitively and
have no monetary value. Sometimes there are intangible values which
dont have a monetary value, like maybe Biodiversity, or fresh air(much
02). For that products, with intangible benefit and value, there is no
market-> market failure. For some products there is an value, but the
value is too low to compensate the costs or production. I think about wood
from sustainable forest management versus wood from illegal logging.
Maybe in the past there were no market for sustainable produced tropical
timber just for cheap timber doesnt matter from where, so it was a
market failure for sustainable produced tropical timber. Examples in the
text: Water, forest, grazing resources, and biodiversity.

46. What can be understood by national and local development?

Local development design and executed by privates, without any
participation of the government.
National development: government have to execute the power (top down)
development

47. Discuss the pro and contra of the tropical timber trade boycott.

The negative consequences of tropical forest exploitation led to the boycott of

tropical timber trade, which initially appeared to be successful in some European
countries, since the cost of boycotting tropical timber seems to be quite low due
to the good substitutes offered by ecological timber certification. More
importantly, the boycott can instruct people to pay more attention to the current
problem in tropical forest and its importance in global climate change and to
think about being responsible consumers for mitigating this challenge, thus, to
some extent, reducing deforestation and degradation of tropical forests.
On the contrary, there are some arguments against this timber boycott. As
decreasing number of people consume timber from tropical countries, the
livelihood of indigenous people may be influenced, bringing more
impoverishment and imbalance in global society, if without proper strategies for
trade-off of their interests. This can probably lead to breeding of illegal timber
market, especially in China. Owing to the ongoing great demand for timber from
tropical areas, there are multiple market options offered by tropical countries to
satisfy this demand, which may create confusion in the timber market and
decrease the clarity of the boycott. In this case, consumer might be lost in
determining which label is the most environmentally friendly, which may, on the
other hand, reduce the impact of the boycott with fairly small potential
influenced population.
Overall, this is not a good trend, because it neither develops a positive and
efficient market mechanism for sustainable forest utilization, nor brings benefits
to local people relying on tropical forests.

50. Identify links between the general development policy and the
forest sector development.

The development of tropical forestry strictly follows the general economic

development models, especially in the decolonization stage, when generating
income for national development in general was under great pressure.
Under the conditions of initial growth and transition towards industrialization, the
principle of sustainable forest management would be not applicable. The natural
forest resources was seen as one of the only small number of options available to
contribute to the formation of national capital and to induce development. As a
result, natural forest exploitation for timber production increased rapidly in most
tropical countries.
In general, the management of state forest administrations is largely top-down,
following a hierarchical line organization principle.

51. Explain the difference between direct and indirect taxation. Give
examples.

The difference between direct taxation and indirect taxation lies on whether the
tax is collected directly from the taxpayer who is responsible for paying tax or
someone else who bears the final bill, which means that, for direct taxation, the
taxpayer is the one who bears the economic burden, while for indirect taxation,
the taxpayer, who can transfer the actual tax burden, by raising prices, to other
organizations or individuals, like consumers, is not the one bearing the tax.
In this sense, the property tax based on simple ownership is an example of direct
taxation, while a tax on the sale of property would be considered an indirect tax.
Another example would be income taxes that are collected from the people who
actually earn their income.
Sales tax and value added tax, for instance, would not be considered as indirect
tax, because the money is collected from merchants, not from the consumers
who actually pay the tax.
All in all, a direct tax is one that cannot be shifted by the taxpayer to someone
else, whereas an indirect tax can be. And direct tax mainly refers to taxation
based on properties or ownership while indirect tax are imposed upon goods and
services.

52. How does capital formation in agriculture enterprises work?

In agricultural enterprises two ways of capital formation are common, which are
capital accumulation outside the monetary flow and that integrated in the
monetary flow.
The former way of capital formation refers to time investment by work of the
family members on the farm, time investment outside the farm (infrastructure
etc.), time investment for education and internal capital accumulation by
increasing stocks.
The latter way refers to investment in production means, accumulation (saving?),
grant credits, and payment of people for their education.

55. How does a revolving fund on the local level work?

A revolving fund is a financing mechanism on the local level, is a fund set up for
specified purposes with the provision that repayments to the fund may be used
again for these purposes (is used to lend to one or more borrowers). An
additional sum can be charged to the borrower to act as a fee for providing the
service.
The fund in this case is put at the disposition of a self-help group, which can
decide freely on the use.
A clear accountability is necessary to have transparency, also local participation
and formation of cashiers from the community.
59. Explain the influence of Adam SMITH and his thinking on the forest
sector.
Smith employed natural knowledge selectively in his economic analysis. He was
all too happy to embrace evidence of benign natural cycles while systematically
rejecting evidence of ecological degradation and irreversible decline. The Wealth
of Nations made little mention of the environmental disturbances. As Smiths
fame grew and his mode of economic analysis began to shape government policy
and intellectual habits across civil society, the issue of ecological degradation on
the periphery was left unattended for others to exploit. By rendering the problem
of the Caledonian forest invisible in the Wealth of Nations, Smith may have
unwittingly helped to consolidate the economic authority of natural historians on
the margins of the nation and empire.
According to Smith, the satisfaction of individual and public demands can be
best organized by the market system, in that sense values were based on their
market exchange values. Which is difficult in the case of nature and nature
related production. Particularly, forest production can only be partly explained by
the classical or neoclassical economic theory (Adam Smith), which is due to
unclear property rights and lack of market prices for services, which are provided
by the forest.
The relevance or lack of relevance of the forest sector in the economy of the
nations is related to the fact that is impossible to account the real value, in
monetary terms, although several attempts to address this issue in order to
illuminate invisibilities in the commodification of ecosystem services. Several
problems are presented related to this fact: narrowing down the complexity of
ecosystems to a single service has serious technical difficulties and ethical
implications on the way we relate to and perceive nature; the commodification of
ecosystem services denies the multiplicity of values which can be attributed to
these services, since it requires that a single exchange-value is adopted for
trading. Finally, the process of production, exchange and consumption of
ecosystem services is characterised by power asymmetries which may
contribute to reproducing rather than addressing existing inequalities in the
access to natural resources and services.
61. Explain characteristics, structures and problems of bureocracies in
tropical countries
Riggs (1994), argues that the third world countries are in an unstable transition
process, between agrarian (fused powers) to an industrial society (diffracted
powers), a state called Prismatic (in process of diffraction).
The evidence supports the idea that state bureaucracies in developing countries
are characterized by meritocratic recruitment, rewarding career ladders are
associated with higher growth rates, especially in economically agencies.
Among the problems are that bureaucracies in many countries of the third world
are inefficient and have a tendency to corruption, an informal line of command
can easily develop along the formal line.
According to Ellefson (1992), the structural characteristics typical for
bureaucratic organizations are: specialisation, hierarchy of authority, specialised
career structure, durability or permanence and large size.
Additionally procedural characteristics can be differentiated (Ellefson, 1992):
Impersonality, formalised style, clear rules, discipline.
The bureaucratic organizations, possesses a control done by authority structures:
top down with just one person as a boss.

62. Discuss different types of NGO related to development projects.

How did NGO objectives develop from historical perspective?
The NGOs are a group against government institutions and projects that delivery
of basics services to people in need and organizing policy advocacy and public
campaign for change , these groups have an importance because put
participation in practice in which try to be innovative, flexible and not weighed
down by bureaucracy, they are more independent and autonomous ( have a free
from political pressure, corruption and some influences of local elites) and also
they normally have contact to the grassroots organizations ( civil institutions that
are closest to rural people) .
NGOs play different roles and take very different place and forms within and
across different country context, so there are a different kind of NGOs propoused
by LANE (1995) there are :
NGOs related with the relief and welfare (help in form of food short
term basic needs satisfactions (is saw as paternalistic relationship and
only constraints are seen as logistical. The only participation expected is
receipt of aid.)
Related with modernization and technology transfer (try to
concentrate the effort in development about institution way NGO (It was
thought that transfer of material resources and technology could fill
identified gaps up to the point where the economy could take off into
sustained growth. Nonparticipation was seen as ignorance, laziness,
 backwardness and evidence of the need to educate people out of
ignorance. The nature of technical assistance is likely to benefit those who
already have access to certain level of resources )
Related with community development - concentrate in basic needs
into the local communities and have a lot participatory that means focus
in development communities (To meet basic needs the participation of all
in benefits are required; participation in implementation improves
efficiency through mobilization of local resources. This model is effective in
achieving agency objectives, but luck of participatory decision making can
create dependency on the external agency).
Related with institution building -empowerment of the target
population (One important theoretical improvement is recognition that any
development takes place within a particular structure of social
organization. To meet long term goals of self-reliance and sustainability,
control and decision making power may be gradually released to the local
organization: however in practice problems often occur because of
inadequate training and dependence on outside support. A viable
alternative may be a partnership with indigenous organizations) Related
with a historical analysis (evolution) NGOs have the capacity to
innovate and adapt more quickly than national governments.
The first generation of the NGOs are most related with the priority to address
immediate needs, manly through undertaking relief and welfare work, the second
NGOs shift toward the objectives of building small scale, self reliant local
development initiatives, as they acquire more experience and building better
knowledge, and may became more influence by others agencies, such donors. A
stronger focus on sustainability emerges with the third generation, and a
stronger interest in influencing the wider institutional and policy contex through
advocacy . In the fourth generation, NGOs become more closely linked to wider
social mobements and combine local action with activities at national or global
level, aimed at long term structural change. ( Lewis &Kajanti, 2009). (the next
schema is helpful in illustrating the basic organizational history of many
development NGOs)
64. What levels of participation can be differentiate? What are the
chances and limitations of participation?
Participation makes plans more suitable to the needs and objectives of the
public, as well as it increase its acceptability. By chance the results become less
problematic since the public has higher willingness to deal with those problems.
In cases of interest conflicts between different parties, participation could
minimise the harm, as well as it assures higher satisfaction to compensations.
65. What are the impacts of food for work programs? What is the policy
behind it?
Is a direct subsidy mechanism that can produce immediate advantages for a
community in terms of food security and nutrition. At the same time, they can
help reduce risks from natural disasters and contribute to long-term benefits for
the environment and for livelihoods. This, in turn, increases a community's
resilience such as:

Improve access to food for the most vulnerable and food-insecure people
Boost access to livelihood assets that ensure early recovery, reduce
disaster risks and build long-term resilience to shocks
Promote gender equality
Helping ensure the poor have access to food even during a crisis and
addressing the root causes of food insecurity and vulnerability, FFA
programmes make important and critical contributions to the second pillar
of the Zero Hunger Challenge initiative (100% access to adequate food all
year round) whilst contributing to all of the other four pillars (WFP).

Regarding Food for Work Programmes a key question is whether providing food
as a payment for identified public works programmes IS AN OPTION TO BE
CONSIDERED ONLY FOR SHORT TERM. As a general rule Food for Work is most
effective in order to provide short-term relief assistance, which with its
development efforts can also support the recovery process (FAO), in some cases
this action could generate dependency and people that have this mechanisms
could change theirs traditional habits, because they will beginning to depend to
an external sink and replace the own food or traditional customs.

The policy behind the FFW programme is: (Work and get ration to combat
food deficit)
 Fill the gap of acute food deficit immediately
Mobilize human resources through promotion or rehabilitation of
productive or social infrastructure
Subsidy in a long term
Reduce the independency and create projects by subsidy in a long term

67. Discuss the limits between socially binding norms and expropriation
of private forest property

68. What is the LORENZ curve and how can it be describe with a
coefficient GINI?

Lorenz curve is a graphical representation of the cumulative distribution

function of the empirical probability distribution of wealth or income, and was
developed by Max O. Lorenz in 1905 for representing inequality of the wealth
distribution. The graphical representation of how is the distribution of income in a
population; taking as axes the % of population and the % of income of that
population. The GINI uses the area between a total equal distribution and a total
unequal distribution, which is divided by the Lorenz curve, in an equation (A/A+B) a
value of 0 means more equal distribution and a value of 1 means more unequal
distribution.

*Points on the Lorenz curve represent statements like "the bottom 20% of all households have
10% of the total income."

A perfectly equal income distribution would be one in which every person has the same income.
In this case, the bottom N% of society would always have N% of the income. This can be
depicted by the straight line y = x; called the "line of perfect equality."
By contrast, a perfectly unequal distribution would be one in which one person has all the income
and everyone else has none. In that case, the curve would be at y = 0% for all

x < 100%, and y = 100% when x = 100%. This curve is called the "line of perfect inequality."

69. Describe different levels of access to forest (use rights and property
rights
- Full state ownership: No use without special permissions or contractual
arrangements
- Usage rights: Limited and specific uses with or without payment of fees
- Communal possession: Limited uses of lands and crops subject to specific
restriction
- Full communal or private ownership: Full use of land and crops subject to
restrictions by general legislation

70. Describe an optimal revenue/taxation/subsidy system for your country.

An optimal revenue system should fulfil several conditions. First, it should be efficient.
An efficient tax-benefit system insures growth, moves the economy towards a desired
distribution of income, and raises the necessary public funds for spending on publicly
provided goods with minimal distortions. This includes the avoidance of excessive
negative incentive effects for employment, investment, and innovation, as well as
proper internalisation of social costs and benefits of research and development,
human capital formation, polluting activities, and other activities that generate
positive or negative externalities. It also encompasses dynamic efficiency, i.e., the
system should not negatively impose on investment, innovation and growth. Second,
an optimal tax system should be fair as it aims at moving the economy towards a
desired distribution of income or other desired equity goals. Third, an optimal tax
system should be simple and transparent. Fourth, it should minimise incentives and
opportunities for tax avoidanceevasion and fraud. Finally, it should have low
administrative demands and low compliance costs

71. How can the instruments of revenue/taxation/subsidy be used for

structural policy in the forest sector? (chapter 6, page 57)

Tropical countries, we see forestry taxation concentrated downstream of the industry

and in particular on raw wood exports. The signals sent out by that tax structure
result in the forest resource being undervalued and thisdiscourages operators from
investing in practices which would reduce wood losses or adopting innovative
processing and marketing strategies. Forest policy has to address to increase the
development of the sector, which is usually from the economic point of view, on that
context these instrument can help focus the policies in order to improve the
conditions on the sector. A policy can include the reinvestment of the 100% revenues
of the country in the forest sector, reduction of taxation or promoting subsidies for the
sector to increase new investment.
Taxation in general: increase or reduction of taxes can have the effect of
punishment or incentive
Influence of taxation on the agrarian structure (Instead of direct redistribution
of land/ land reforms):
- Tax reduction or liberation of small peasants or settlers, co-operatives
- special taxes for absent farmers
- taxation per land unit (against big, not adequately used land properties, but can
accelerate deforestation)
- taxation of potential productivity (low taxes on unproductive forest land, hight taxes
on productive land)
- influence the relation between work- and capital intensity
- determine the relation export/ domestic consumption
Subsidies
- Special group of society can be supported (especially relate to the development
strategy)
- Reduce rural poverty and by this way avoid migration (have influence on the
push factors)
- Conduct investment decisions in structural weak rural areas with the objective to
reduce dualisms
- support special activities the include a hight level of (social) benefits for society.
Partly forest related benefits ha the character of common pool goods and of collective
goods and services. The public finance of forest activities can serve as
recompensation fo these services, which society gets for free from the forest owner.

72. How does the advocacy coalition approach work? Outline the
elements. What do ypu understand by deep core?
The advocacy coalition approach is a method of stakeholder analysis done in a
systematic way. Is used to explain stakeholder behavior and policy outcomes in
intense political conflicts in a period of time. It begins with the identification of
the problem and the stakeholders, using or defining a policy subsystem and
analyzing the actor inside the subsystems. It postulate that each stakeholder has
a beliefs that they want to conert into policies. However they are limited by their
ability to do so. Therefore they seek to form coalition to get their goals.
Deep core are empirical belifs than reach the entire policy subsystem

73. Decentralisation and devolution: Define and give examples.

Decentralisation/ deconcentration is shifting responsibilities to lower levels

of an administration (from state level to regional to local) but dont give away,
keep command structure and management.
For example: Decentralisation in State budget management in Vietnam
Previously, all spending norms, standards and regulations in this regard
are decided and issued by the central authority. However, a lot of these
 norms and standards have not been fully observed, even by some Ministry
and Provincial authorities where they issue own spending norms,
standards and regulations.
In order to tackle this situation while promoting deeper decentralisation of
the authority to decide on spending norms, standards and regulation, the
following approach has been adopted to classifying these norms,
standards and regulations into different groups: those needed to apply
universally nationwide to ensure equity shall be issued by central
authority (the Government, Ministry of Finance and or jointly with other
Ministries and agencies); those needed to be more flexible can be decided
the localities within band adopted by the central level and the last group
shall be decided by the Provincial Peoples Council to include very locally
specific norms and standards.
Delegation: transfer of responsibilities to lower level without full
control/command structure.

For example:Delegation of authority to decide on State budget estimate in

Vietnam
Prior to the amendment of the State budget law, the local Peoples council is
empowered to decide on the local state budget but within the framework of
the State budget estimate decided by the higher level administrative body.
This is the limit to the authority in state budget management of the local
Peoples council. In order to remove this limitation so as to ensure the real
power and authority to decide on the budget by the local elected body, the
State budget law (amended) provides for as follows:
- The National Assembly shall decide on the State budget in aggregate,
structure and level of expenditures for important sectors such as training and
education, science and technology.
- Local Peoples Council shall decide on the local State budget on the
aggregate and structure and the allocation of the state budget by sectors,
except for those decided by higher authority.
Devolution: transfer of authority for decision making with a certain autonomy
For example: The devolution in property rights of land and forest from full state
ownership to private ownership

75. Explain the livelihood approach and its integration in forest

policy and politics..2

The livelihood approach is an important actor-oriented perspective.The two main

components of the LA are:
a framework that support in understanding the complexities of poverty
a set of principles to guide action to address and resolve poverty problem
The SL framework put people, particularly rural poor people, at the centre of
thought that affect how these people create a livelihood for themselves and their
households, along with the resources and livelihood assets that they have access
to and use. Human, social, Natural, Physical and Financial capital
People in SLA are the main concern, rather than the resources or assets. SLA will
identify the main constraints and opportunities faced by poor people, as
articulated by them. It builds on these definitions, and then supports poor people
as they address the constraints, or take advantage of opportunities. The
framework is neither a model that aims to incorporate all the key elements of
peoples livelihoods, nor a universal solution. Rather, it is a means of stimulating
thought and analysis, and it needs to be adapted and elaborated depending on
the situation.
Notions like claims and access wereconsidered key in the livelihood approach.
These notionspoint at the possibility to call upon moral andpractical assistance
and to effectively use the resourcein practice. For example, the real opportunity
to gatherfirewood in the forest; to use water for irrigation fromthe village well.
Capitalsor assets can be held in private or as common property,rented,
borrowed, grabbed, stolen or conquered. Whatmatters is that the poor have
access to them when needed.

76. Explain the concept of internalisatio of external effects

(PIGOU) vs. Compensation payments
The two methods are used to calculate benefits from the forest products and
services without market prices.
- Internalization of external effects is a method to calculate the
willingness to pay of the individuals for respective forest services using
contingent valuation approach. The calculated value can be used in
the cost benefit calculation of forest activities
- Compensation payment is a method used in case of no individual
willingness to pay for a special service; thus, the state has to decide
about measures to guarantee the offer

77. What is the definition of institutions? Give an overview on the

North definition, including examples
Institutions are the humanly devised constraints that structure political,
economic, and social interaction. There are informal constraints such as
sanctions, taboo, customs, traditions, and code of conduct; and formal
constraints such as constitutions, law, and property rights.
80. Main issues of international forest policy
Extent of forest resources
Forest biological diversity
Forest health and vitality
Productive functions of forest
Protective functions of forest
Socio economic benefits of forest
Legal, policy and institutional framework
International cooperation and trade

81. Issues of forest policy in a multilevel system with examples on the

different levels
 Global level: free trade, environmental protection and biodiversity; forest-
related aspects and increased industrial uses through acces to new areas
Supranational level: structural changes in agriculture, protection of
environment and water supply, afforestation of marginal lands, criteria
and indicators for sustainable forest development
National level: Forestry and wood processing as productive sectors of the
economy, regulation of forest management practices
Local level: Multiple forest uses providing employement, proection and
recreation

82. Purposes/main differences of/between FAOs State of the worlds

forest and Global Forest Resource Assesmet
83. How has the forest transition hypotesys become a theory?
Kothke and collegues (2013) probe that some recorvery in forest cover is
possible due to reforestation and afforestation actions plus natural succession
process
84. Considerations for a standard design of forest restoration
What is necessary to restore?
How much of the forest restored can be used?
How much of the forest restored must be conserved?
85. Forest regime, definition, characteristics, processes, fragmentation
Forest regime are the social institutions consisting of agreed upon principles,
norms, rules, procedures and programs that govern the interactions of actors
86. Paths of influence of the international level on the national level
International rules
International norms and discourse
Markets
Direct acces to the domestic policy process
87.What are the National forest programs, their relation to/function I
the international forest regime?
national forest program: POLICY FORMULATION, PLANNING AND IMPLEMENTATIN.
IS SUBORDINATED TO THE INTERNATIONAL FOREST REGIME
to achieve the goals you need to change and shape the national forest
progrmas.
international forest regime it has no OPERATIVE role - they dont check. they
dont plan. it has to be implemented from the national lev.
88. Factors contributing to the development of the International Forest
Regime:
State of worldwide forest destruction and over-use > an acute awareness of
these problems
General consensus about the fragility of forest ecosystems
 other international environmental regimes were already existing
Environmental groups have taken on the topic and exerted political pressure
89. What are the Options for the future development of the
international forest regime?

A new formal, but non-binding Instrument (treaty, agreement)

A new legally binding global instrument for all types of forests
(convention)
Legally binding framework convention with regional and/ or thematic
supplements
Forest protocol under Convention on Biological Diversity
Maintaining the Status Quo (voluntary implementation of resolutions and
hitherto existing decisions)
Reinforcement of existing regional, bilateral and Intergovernmental
agreements and partnerships (e.g. FSC, Congo Basin Partnership )

90. What are the reasons for the fact that no forest convention has
been adopted up to now?
The different stakeholders which have different goals and approaches to deal
with the forest, huge dilemma between productive and conservation. Each
country use and manage the forest in different ways, also the there are rights of
the forest (indigenous) that are hard to handle. Carbon sequestration is another
dilemma should the forest be used to storage or be use be people living from
them
91. To whom do the world forest belongs?
The world has two different ownership pattern on its fo rest s - in the North, in
most of the developed countries forests are in some way private property and
managed mainly for industrial purposes. In the South, in tropical warm regions
where the world has its remaining and highly diverse forest characterized by a
large number of indigenous communities relied on it for their survival, forests are
in some extent common property, though in some places government have still
significant control over it!

92.
93.
94. Illegal logging (definition, reason, effects, driving factors,..)
Definition: Illegal operations in the forest sector when wood is harvested,
transported, processed, bought or sold in violation of national laws and
sometimes when timber trafficking is involved, it is also a violation of
international laws
Reason:
Need-based: Occurs in grassroots levels by poor people mainly due
to livelihood insecurity; i.e. poverty, hunger, unemployment etc.
 Greed-based: In higher levels among politicians, foresters, logging
companies mainly due to corruption/greediness
Effects:
- Social consequences: restricted access
- Environmental consequences: Habitat loss, disruptions of ecosystem
functions and services
- Economic losses: costing governments an estimated $ 10 billion every
year in lost revenue (FLEGT Briefing Notes No.1)
- Violation of rights: the indigenous communities, public/private property
rights, management guidelines and other treaties for private and public
forests, regulation for transport and trade, regulation for the processing
of wood, regulation of finance accounting and tax

Driving Factors:
Lure of financial profits
Imbalances between industrial supply and demand (especially an
increasing demand for exotic hardwoods)
Limitation of information and knowledge
Failures of the law
Limitations of government agencies
Corruption
Inadequate safeguards relating to developments in other sectors (e.g.
transportation, mining, oil extraction)
95. FLEGT partnership agreement
Establish legality licensing for timber exports to EU.
Legality = appropriate laws of partner country
Will allow EU Customs to exclude timber if it does not have a FLEGT
license from the partner country.

Will include capacity-building measures and measures to mitigate negative

impacts on poor people

Apply to a limited range of product categories, but there is scope for

partner countries to expand this

96. CERTIFICAFTION (definition, reason, effects, driving factors)

Definition: the process by which an independent third party certifies that a

forest management process or product conforms to agreed standards and
requirements.

Reasons for certification:

Inability of ITTO to improve forest management practices in the tropics

Failure of UNCED talks on a global forest convention
Growing concern over the potentially perverse effects of tropical timber
boycott campaigns
Effects of certification:
Positive and often significant impacts on FMU management systems,
forest condition, as well as social, biodiversity and other environmental
aspects
Indirect impacts on policies, governance and stakeholders possibly more
important than direct impacts
Market impacts have been positive or mixed
Variety of schemes has addressed different needs
Key areas of concern: natural tropical forest management, NIPFOs(non
industrial private forest owners, community forests, disadvantaged social
groups
Enhancing impacts would require removal of constraints which are
common to SFM

Driving factors of certification: this is based on four different types of

stakeholders (NOT REALY SURE)
1. Forest companies-market access
price premium
price and market stability
social license to operate
secure tenure /concession
policy recognition and influence
share holder staff/staff confidence
efficiency, capacity strengthening

2. ENGOs-
improved forest management
rewarding good procedures and shutting out bad procedures
influencing consumers
influencing policy and institutional development
3. Government
stakeholder agreement on SFM
improved forest management and capacities
reduced enforcement and monitoring costs
4. Consumers
choose wood products based on origin/production processes

97. Why are most certified forest situated in the northern hemisphere?

98. Certification /verification systems: purpose of third parties and

fourth parties
The purpose of third parties are to certificate or to verificate the legality and
sustainability of timber production. However, this third parties need to be
authorized by the fourth parties.

99. The difference between certification and verification

Certification is the process by which an independent third party certifies that a
forest management process or product conforms to agreed standards and
requirements.

100. European timber regulation (EUTR 2013): principle, how can the
origin of products been assessed?
Principles
Due diligence obligation
Prohibition to place illegaly harvested timber or timber products on the EU
market
Traceability

Traders shall, throughout the supply chain, be able to identify:

(a) the operators or the traders who have supplied the timber and timber
products; and
(b) where applicable, the traders to whom they have supplied timber and timber
products.
Traders shall keep the information for at least five years and shall provide that
information to competent authorities if they so request.

101.Definitions for cultures, Why exist there so many definitions?

Culture refers to all historically created designs for living, explicit and
implicit, rational, irrational and nonrational, which exist at any given time
as potential guides for the behavior of men. (Kluckhohn et al.1945)
Culture is the learned and shared knowledge that specific groups use to
generate their behavior and interpret their experience of the world. It
includes communication, beliefs, rituals, roles, practices, languages,
customs etc.
Culture in general is the complex of all skills and habits that a human
belonging to a society has gained.
The word is so broad to be defined

102. What are the elements of culture? What are the characteristics of
culture?
Elements:
Social organization, customs and tradition, religion, language, arts and
literature, expected behavior, etc.
Characteristics:
Transferred through language (communication, music, body language
and art)
 Changing (improving, adapting and taking things from outside)
Learned
Shared

103.Wich relationship between nature and culture are know to you?

Explain
Segregative and integrative views
104.Typical basic social organizations for culture anthropologists; and
related lifestyles
Forest dwellers (hunters and gatherers):
Groups tend to be nomadic, moving to new parts of the forest several
times during the year and carrying all their possessions.

No accumulation of prestigeous goods

Nomadic lifestyle allows the group to move without over-exploiting the

local game and forest resources

Women do most of the gathering

Men concentrate on hunting and the collection of honey

No political hierarchy

Strong pressure through acculturation

Nomads:
Ownership of animals (animals are also prestige objects)
High mobility
In regions where farming is difficult
Pastoral nomads follow a seasonal migratory pattern that can vary from
year to year
Transhumance pastoralists follow a cyclical pattern of migrations
Use of milk
Social organisation more complex than by forest dwellers
Skilled specialists/ Individual ownership/ Institutions for political
power/Celebrations (for human and animals)

Farmers:
Tendency to stable groups
Investment in environment
Extensive shifting cultivation
Intensive improvement of the soil agriculture
The farmer is a specialist of food production
Land ownership and relation to special part of the land
Agro - industrial Agriculture:
Ownership and control of resources
High energy input (fertilizer, pesticides, machines)
Most energy consuming (coal, oil, gas)
Fossil fuel allows the use of machines
Machines need ways, similar floor space
 Loss of biodiversity, local knowledge
State organised societies complex division of work
Complex political systems
Specification of work

105.Define acculturation and enculturation. Give examples!

Acculturation is the assimilation of a different culture, enculturation is the
learning of a own culture

106.Differences between segregative and integrative view

Segregative:
objective, rational, systematic, investigates the working of nature with a
view from outside
Integrative:
based on the idea that nature is nothing objective but a cultural construct
that is historically arranged and permanently changed

107.Understanding of Biocultural diversity. How could it be mainained/

managed?
Biocultural diversity is the diversit of culture + Biological diversity

Ways to maintain/ manage

108.Concepts of taboo, how they work, different types of taboos,

examples (negi)
Taboo is a class of informal institution which forbids some kind of use or access
to resource
Types of taboo:
Segment taboo: lower castes are forbidden to enter sacred forest
Temporal taboo: Exploitation of resource on a seasonal basis
Method taboo: Hunting wild animals on Tuesday, Friday and Saturday
Life history taboo: hunting of pregnant does
Species specific taboo: hunting a specif specie
Habitat taboo: restriction of acces to some kind of habitat

109.Explain the orderly adaptive structure from Bargatzy- use an

example
The ecological anthropologist Bargatzky (1986) used this model to classify and to
structure values. The pyramid consists of several hierarchically arranged sub-
systems. The subsystem of the lower level denote specific and exact task, eg,
who is allowed to harvest honey in which part of the forest. On the top point of
the hierarchy the most abstract ideas are located. They are at the same time the
most lasting ones. The ideas about the sense of the world or God are placed
there. Here we will find the expression that the forest and the honey have been
given by God to the Ogiek. Changes of these highest sacred ideas take time.
Changes of the lower level will occur much faster. On the other side- once
disturbed or destroyed the highest sacred values cant be reestblished within a
few days. Therefore as long as the ogiek perceive honey in its various
expressions as a cultural important symbol, it is advisable to maintain these
cultural perception. It will benefit the forest and the people.
The ecological anthropologist Bargatzky (1986) used this model to classify and to
structure values. The pyramid consists of several hierarchically arranged sub-
systems. The subsystem of the lower level denote specific and exact task, eg,
the use of Yam by Samoa.

110.Understanding of cultural materialism by culture anthropologist

(e.g. Marvin Harris)
Material world exhibits deterministic influence over the nonmaterial
world
In the culture materialist view environmental conditions and
subsistence techniques together either determine or limit the
development of many other aspects of culture
A culture can be described as Infrastructure, Structure and Super
Structure
111.In which ways are ethical issues relevant in social science research?
Transparency of research and informed consent
Carefull with personal exectations and responsibilities
112.Which research methods are used in anthropology? Why? Explain
Field research
Case studies
Participatory observation
interviews

113. Give an overview on different religions in relation to their view of

the natural environment.
Catholics are dominant
Indians are friendy
Musmlim?

114. What may the functions of religions in the realization of

sustainable (forestry) development? Use an example to explain
Normally religious moral thinking concerning the use of land is conservatory.
Often we find a model like the garden. But this model is a model of technical
treatment of land. You have holy and protected places. But protection of
landscape by religion is very traditional and not very strong. Despite of this
modernization and technological development is an alternative to traditional land
use, so it is not enough to have confidence in traditional forms of religious
motivated protection of land, but to develop an idea of sustainable development
with respect to the older traditions of land use in specific regions

115. How important is technology transfer for cultural development?

Innovations, in the course of their development, provided that they have been
successful,
gradually become traditions. Hence, in a culture we find stable moments, quasi
frozen
developmental pathways, and dynamic pathways that are still emerging. Such
developmental
pathways are based, to a certain extent, on the conception of experimentation,
i.e. on the
experiment.
116. What constitutes adapted Thechnology?
Adapted technology (to the basic structures of the respective different, relatively
autonomous
culture areas) is the backbone for a development based on human dignity, in
consideration of the
most important respective environmental conditions. This new overall concept of
a politics makes
it compulsory to work possibly efficiently by using fewer means and is beyond
the scope of
sustainability.
117. What can historical facts contribute to understand the
development of forestry?

Colonialism
internationalization
Polatrization
Globalization

118. Knowledge about traditional forest use systems Is it of interest

and relevance today?
For people living in rural area and/or mostly attached to indigenous communities,
in my opinion, the traditional forest use system is still relevance. Given the fact
that in practice, it focuses on fulfilling daily subsistence with low capital
accumulation characterized by utilization of 5F (firewood, fruits, fodder, fiber,
and food). In addition to that, most of indigenous people still apply complex
institutional rules (holistic) in term of consumption forest product and services.
Furthermore, they have strong spiritual relations to nature. As well, land tenure
is determined by common property (patrimonium). On top of that, this
knowledge is also still relevant to forest management.

119. Globalization and forestry: what are possible interrelations?

Globalization: influence of neo-liberal politics on forest management and
markets, privatization of forest, decentralization and devolution.
Dwivedi (1992) argues that viewing forests as a "resource" leads to an excessive
weight being applied to economic value, and that it is crucial to now search out a
new concept of forest "resources." There are signs that this is occurring. It is
possible to see that the concept of "ownership" of forests is changing, in
recognition that forests are an important part of the global commons. The public
consequently has an important interest in forests and their conservation, not
only because of the dependence of life on forests but for other interests such as
ecotourism (Woodwell 1993).
Some of the major issues related to services of forests are geopolitical. Though
forests are physically located within nation states, issues surrounding their
protection go well beyond borders (Maini and Ullsten 1993). This means global
geopolitical relations play an important part in the policy context of forestry
resource management, whether through the calls for international treaties on the
banning of hardwoods, green consumerism, or access to the genetic resources of
forests by private companies. For Maini and Ullsten (1993), many geopolitical
issues can be distilled into four contexts which set the scene for forest
management and forest service maintenance:
The industrialized countries, which are responsible for major deforestation, are
advocating strong measures to conserve and protect the world's forests. Many
developing countries are rightly concerned that the industrialized countries'
preoccupation with tropical forest issues is inconsistent with the amount of
attention being paid to global warming and forest decline in developed countries.
Many developing countries view attempts to protect forests by locking up forest
resources as an intrusion on sovereign rights.
The capacity of developing countries to protect biodiversity is dependent on
receiving additional funding and technologies from richer countries.
 Many developing countries have expressed concern at the desire of some
industrialized countries to gain free access to genetic resources.
Many geopolitical issues are thus related to more general relationships between
nation states. It is often suggested that the development of agricultural lands
has been at the expense of forests. This process often involves privatizing
communally owned forests and grasslands (Repetto 1993). Two major issues
related to services of forests arise out of this. First, because the traditional land
rights claims of indigenous and local communities frequently are ignored or not
included, land at the frontier is often an open access resource. Because of this
market failure, the private price of frontier land cannot and does not reflect the
value of services performed by forests (Repetto 1993). (FAO)
120. Give an example of a sustainable traditional forest use systems.
What might be the reasons for its collapse?

Local people use the forest for hunting or collecting, In a rotation system among
the forest which allow the forest to recover.
The main reasons for a system like this to collapse is
Reduction of the forest area
Increase of population
New technologies could lead to overexploitation of a resource.

121. Explain the origins modern forest sciences in the context of the
time ( turnoff 18 th/ 19th century)
Modern forest science originated from German Royal Forest Academy in
Tharandt that transferred its knowledge to tropical countries in colonial times. It
created mono-cyclical natural forest management systems and experimental
plots with a number of silvicultural homogenization models.
The main features of modern forest science were:
1) forest usage in the interest of colonizing countries (UK, France, etc.). Thus,
modern forestry was orientated towards markets (export) and made little
account for local subsistent production;
2) crop production for export: the diversity of forest use (like in pre-colonial
time) was replaced by a small numbers of commercial crops coffee, caco,
rubber, oil palm, etc.;
3) forest as a land reserve for plantation production;
4) strict control for collection of NTFP and fire wood.

The main consequences of modern forest science were:

maximization of the timber production
partial rupture of the traditional relationship between people and nature
forest bureaucratization.

122. What are the influence of colonialism on forestry?

The quite considerable consequences of colonization in the respective countries
involve ecological problems. Colonialism has created traditions and generated
pathways of development, which even after its end are effective in large zones of
the Earth and which were not abolished by the succeeding governments, since,
as a rule, the latter benefit from them.
123. First nations minorities. In their integration in the world society
feasible? How?

First nation minorities, like Aboriginal (Indians) in Canada or Inuit in Arctic.

They have a own identity that become difficult to preserve because of influences of globalization.
Minority because they are less represented and have less influence in decision took by the country on
which their land is, but they still have some rights they want and try to defend.

Is their integration in the world society feasible ?

That will probably cause the loss of important and interesting traditional knowledge, their life-style,
rituals etc
Acculturation is already strong for some of them, for the others, a state protection, mainly about the
area they need to life, has to be considered.
Minorities and ethnic groups: own identity determined by

Ethnicity
History
Language
Religion
Art

124. Development of approaches in anthropology and forestry (political

ecology, etc)

125. Characteristics of traditional knowledge, potentials and limits

When we talk about traditional knowledge we refer to the set of assumptions,
actions and practices which is different to the instincts and are socially
constructed through the experiences and also the culture and is handed down
and absorbed from generation to generation, normally governed by overtly or
tacitly accepted rules of rituals or symbolic natural, which seem to inculcate
certain values and norms of behavior by repetition ( implies continuity with the
past).
The characteristics are related with the social patterns (age, gender, ethnicity,
social condition, power, territoriality ) that they have created with the years and
this also is related with the environment that each individual or society have
been developing or coexisting during their life.
Potentials:

Have a representation of the objects, actions schemes ( Regulations,

customs, proverbs and stories) that is necessary to understand before to
generate process.
Influence the comprehensive in Religions /ethical, political, academic and
economic systems
Social cohesion of communities.
Promoting critical thinking and development of political strategies within
local context
Establish legitimize institutions status and authorities ( + control and
respect for the rules- use for a management projects)
 Could work in function with crated collective decision that tends to be
more efficient when with talk about conservation and management.

Limits

How to combine with modern knowledge.

Sometimes is difficult to involve traditional knowledge because have a lot of

assumptions that are not compressive in the western world, can be to far
away to our reality today.

There is thousands of different traditional knowledge that is related with

local factors, so we can no generate an overview pattern for measure,
which makes their analysis more difficult.
Nowadays the traditional knowledge has been losing by acculturation and
assimilation, so talk about a traditional knowledge is difficult in this
generation needs to integrate all generations (important young).