Elite capture risk and mitigation in decentralized forest governance regimes

Recent scholarship focuses on elite capture as a driver of social inequality and a source of policy failure across a wide range of governance initiatives. In the context of environmental governance, concerns center on perceived links between elite capture and decentralization, particularly in developing countries where decentralized natural resource governance has been widely implemented. But, there is limited empirical knowledge regarding if, and the conditions under which, decentralization might promote elite capture, or whether institutional design factors can militate against it. We examine how local institutional arrangements under forest sector decentralization affect the risk of elite capture of forest benefits, as well as the potential for a key institutional design factor (linkages to external organizations as an accountability-building mechanism) to mitigate this risk. We analyze forest product harvesting data as well as social, ecological, and institutional data from pre- and post-decentralization across 56 forests and 174 community groups in four countries. We employ hierarchical linear modeling to test the extent to which decentralization is associated with inequities in the distribution of forest harvest benefits within communities, and to characterize the institutional arrangements that affect elite capture outcomes. We find not only strong evidence for increased local rule-making under decentralization, but also significantly higher risk of elite capture of forest harvest benefits. This risk increases with increasing time since decentralization, but it is also substantially moderated in cases where an external organization was involved in organizing the local forest institution. Our findings highlight ways in which decentralization reforms are filtered by institutional arrangements to produce different outcomes, and generate new knowledge on micro-institutional factors that can reduce the risk of elite capture in decentralized environmental governance regimes.     

Inequalities, institutions, and forest commons

This paper contributes to a growing literature on the commons that examines the relationship between inequality and commons outcomes. Our analysis of evidence on forest commons outcomes in 228 cases from South Asia (India and Nepal), East Africa (Kenya and Uganda) and Latin America (Mexico and Bolivia) suggests that local governance and collective action matter in shaping how socioeconomic inequalities affect forest conditions. In particular, we find that both inter-group and intra-group economic inequalities have consistently negative effects on forest outcomes, but that effectively functioning local institutions for collective action dampen the negative effect of inter-group inequality on forest outcomes.     

Approaching moisture recycling governance

The spatial and temporal dynamics of water resources are a continuous challenge for effective and sustainable national and international governance. The watershed is the most common spatial unit in water resources governance, which typically includes only surface and groundwater. However, recent advances in hydrology have revealed ‘atmospheric watersheds’ – otherwise known as precipitationsheds. Water flowing within a precipitationshed may be modified by land-use change in one location, while the effect of this modification could be felt in a different province, country, or continent. Despite an upwind country's ability to change a downwind country's rainfall through changes in land-use or land management, the major legal and institutional implications of changes in atmospheric moisture flows have remained unexplored. Here we explore potential ways to approach what we denote as moisture recycling governance. We first identify a set of international study regions, and then develop a typology of moisture recycling relationships within these regions ranging from bilateral moisture exchange to more complex networks. This enables us to classify different types of possible governance principles and relate those to existing land and water governance frameworks and management practices. The complexity of moisture recycling means institutional fit will be difficult to generalize for all moisture recycling relationships, but our typology allows the identification of characteristics that make effective governance of these normally ignored water flows more tenable.     

Institutional analysis of actors involved in the governance of innovative contracts for agri-environmental and climate schemes

In this study, we used institutional analysis to investigate the design of innovative contracts for agri-environmental and climate schemes. The aim of such contracts is to better incentivize farmers for the provision of environmental public goods in comparison to current ‘mainstream’ contracts. For the analysis, we differentiated four contract types: result-based, collective, land tenure, and value chain contracts. To represent each type in the analysis, we selected 19 case examples from six European countries. Cases were identified through a mix of methods, combining literature review, web search, and expert consultation. After a structured data collection based on Ostrom’s institutional analysis and development (IAD) framework, we focused our analysis on the involved actors and their roles in contract governance. Our results highlight the great diversity of public, private, and civil actors involved from the local, regional, national or international governance level, each performing one or several critical roles in contract governance. We found that it is highly context-dependent which actors assume certain roles. We also discuss how provision of environmental public goods through the contracts might potentially be impacted by certain roles and their assignment to specific actors.     

Towards understanding governance for sustainable urban water management

Shifting from traditional, large, centralised infrastructure to alternative, distributed technologies is widely accepted as essential for enabling sustainable water management. Despite technical advances in sustainable urban water management over recent decades, the shift from traditional to more sustainable approaches remains slow. Current research on socio-institutional barriers suggests this poor implementation relates to a limited understanding of the different forms of governance needed to support alternative approaches, rather than the potential ineffectiveness of the technologies and practices. While some governance scholars express preferences for ideal hierarchical, market or network governance approaches, others suggest a hybrid of these approaches may be more appropriate for achieving sustainability. Currently, there is limited commentary about the potential characteristics of sustainable urban water governance. To extend the current scholarship, this paper systematically draws on the tacit knowledge of expert sustainability practitioners to identify potential governance characteristics of sustainable urban water management. In comparison with current urban water scholarship, which is supportive of a network governance approach at a conceptual level, the results strongly suggest that sustainability practitioners see the need for hybrid governance arrangements at a practical and operational level. These hybrid arrangements tended to comprise network and hierarchical approaches with market governance instruments. These insights from practitioners to help identify future research needs, focused on examining interaction among governance approaches at a variety of scales and locations.     

Effectiveness and synergies of policy instruments for land use governance in tropical regions

Land use is regulated through various mixes of command-and-control interventions that directly affect land use via land use restrictions, and other public interventions that indirectly affect land use via agricultural, forestry, trade or macro-economic policies. More recently, coalitions of public and private actors have designed market-based and/or demand-led policy instruments to influence land use—e.g., eco-certification, geographical indications, commodity roundtables, moratoria, and payments for environmental services. These innovative instruments fall along a continuum of state involvement and interact with traditional public forms of land use regulation, leading to “hybrid” interventions. This article reviews emerging evidence on the effectiveness of the main instruments used to promote sustainable land use, and explores interactions between the new demand-led interventions and formal regulatory public policies. Although there are still insufficient rigorous studies evaluating the effectiveness of hybrid instruments, available evidence suggests some positive direct and indirect benefits. Hybrid instruments combine elements from both private and public regulatory systems, in innovative and effective ways. We propose a typology to characterize potential interactions between instruments that regulate land use. It links various types of interactions—i.e., complementarity, substitution, and antagonism—to the various stages of regulatory processes—i.e., agenda setting, implementation, and monitoring and enforcement. We give examples of governments endorsing certifications or using certification to support their own policies; governments creating enabling conditions for hybrid instruments to mature, allowing for wider adoption; and private instruments reinforcing public regulations or substituting for missing or weak governance. In some cases, governments, NGOs and corporations compete and may hinder each other's actions. With favourable institutional and governance contexts, well-designed hybrid public-private instruments can be effective. More systematic evaluation could boost the effectiveness of instruments and enhance synergistic interaction with traditional public land-use policy instruments to achieve incremental benefits as well as longer-term transformative outcomes in land-use protection.     

Evaluating sustainability transitions pathways: Bridging analytical approaches to address governance challenges

The paper sets out a proposal for bridging and linking three approaches to the analysis of transitions to sustainable and low-carbon societies: quantitative systems modelling; socio-technical transition analysis; and initiative-based learning. We argue that each of these approaches presents a partial and incomplete picture, which has implications for the quality and usefulness of the insights they can deliver for policy and practice. A framework for bridging these different approaches promises to enrich each of the approaches, while providing the basis for a more robust and complete analysis of sustainable transitions pathways that serves better to address questions and dilemmas faced by decision-makers and practitioners. We elaborate five key challenges for the analysis and governance of transitions pathways, and compare the three approaches in relation to each of these. We suggest an integration strategy based on alignment, bridging, and iteration, arguing that a structured dialogue between practitioners of different approaches is needed. In practical terms, such a dialogue would be organised around three areas of joint knowledge production: defining common analytical or governance problems to be tackled through integration; establishing shared concepts (boundary objects); and establishing operational bridging devices (data and metrics, pathways evaluation and their delivery). Such processes could include experts and societal partners. We draw conclusions about future research perspectives and the role of analysis in transitions governance.     

Public perceptions of geoengineering research governance: An experimental deliberative approach

Recent attempts to conduct experiments in climate ‘geoengineering’ have demonstrated the deeply controversial nature of this field of scientific research. Social scientists have begun to explore public perceptions of geoengineering, and have documented a significant degree of concern over the effective governance of research and experimentation in this area. Yet, public perception on what constitutes a legitimate geoengineering experiment and how it should be governed remains under-researched. In this article we report on a series of experimental deliberative workshops with members of the public designed to elicit and explicate diverse understandings of geoengineering experiments and their governance. In contrast to previous methods of invited public deliberation, which privilege egalitarian-consensual models of discourse and decision-making, we test a novel approach that places majoritarian, individualistic, and consensual forms of public deliberation on an equal footing. Our study suggests that the perceived controllability of experimental interventions is central to public views on their acceptability, but that controllability is itself a complex, multifaceted quality, drawing together a set of heterogeneous concerns about the purpose and repercussions of scientific work. The citizens who participated in our workshops employed four criteria to adjudicate the acceptability of geoengineering experiments: (1) the degree of containment; (2) the uncertainty surrounding experimental outcomes; (3) the reversibility of impacts; and (4) the scientific purity of the enterprise. We theorize that the public legitimacy of geoengineering experiments depends on variable, context-specific combinations of these criteria, and that technical determinations of the proper ‘scale’ or ‘location’ for geoengineering research will be poor predictors of the sorts of public concerns that will be triggered by further experimentation in this area.     

Assisted tree migration can reduce but not avert the decline of forest ecosystem services in Europe

European forests are facing multiple natural and anthropogenic pressures that are expected to become more severe in the next decades. Tree diversity is projected to decline in many areas across the continent. How this will affect the provision of forest services remains an open question, whose answer depends, among others, on the practical and theoretical challenges of incorporating assisted migration into climate adaptation strategies. Here, we tackle the issue by combining a large dataset of tree species occurrences, future climatic projections, and data on tree functional traits and tree-specific forest services into a novel modelling framework. We estimate that, by the end of the century and under a natural dispersal scenario, the provision of forest services would decrease on average by 15% in Europe (for RCP 4.5; 23% for RCP 8.5), and up to 52% (70% for RCP 8.5) in the Mediterranean. To explore if and how management could reduce the projected losses, we simulated a suite of alternative assisted migration strategies aimed at identifying, for each locality, the tree species communities offering the best compromise in terms of resilience to climate change and delivery of specific combinations of ecosystem services. Such strategies could reduce losses of services by 10% (15%) on average in Europe, and even increase service availability in the Alpine and Boreal regions but not in the Mediterranean, where losses will remain as high as 33% (54% for RCP 8.5). Our findings highlight how science-driven management strategies could be vital to reduce an otherwise dramatic, European-wide decline of forest services. Our results are qualitatively robust to different assumptions on future carbon emissions and related climate trajectories. That is, our simulated assisted migration strategies identify similar tree species communities under different pathways (RCP 4.5 vs RCP 8.5). This makes our approach a powerful tool for forest management, as it generates advice that is valid regardless of whether, and to what extent, human society will steer away from business-as-usual emission trajectories.     

Sustainable agricultural intensification or Jevons paradox? The role of public governance in tropical South America

The process of global deforestation calls for urgent attention, particularly in South America where deforestation rates have failed to decline over the past 20 years. The main direct cause of deforestation is land conversion to agriculture. We combine data from the FAO and the World Bank for six tropical Southern American countries over the period 1970–2006, estimate a panel data model accounting for various determinants of agricultural land expansion and derive elasticities to quantify the effect of the different independent variables. We investigate whether agricultural intensification, in conjunction with governance factors, has been promoting agricultural expansion, leading to a “Jevons paradox”. The paradox occurs if an increase in the productivity of one factor (here agricultural land) leads to its increased, rather than decreased, utilization. We find that for high values of our governance indicators a Jevons paradox exists even for moderate levels of agricultural productivity, leading to an overall expansion of agricultural area. Agricultural expansion is also positively related to the level of service on external debt and population growth, while its association with agricultural exports is only moderate. Finally, we find no evidence of an environmental Kuznets curve, as agricultural area is ultimately positively correlated to per-capita income levels.     

Observation of gravity waves in a boreal forest

In this paper we report the results of the analysis of two 60-min wave events that occurred in a boreal aspen forest during the 1994 BOREAS (Boreal Ecosystems-Atmosphere Study) field experiment. High frequency wind and temperature data were provided by three 3-D sonic anemometer/thermometers and fourteen fine-wire thermocouples positioned within and above the forest. Wave phase speeds, estimated from information revealed by spectral analysis and linear plane wave equations, are 2.2 and 1.3 m s^-1 for the two events. The wavelengths are 130 m and 65 m respectively and are much larger than the vertical wave displacements. There is strong evidence from the present analysis and from the literature supporting our postulate that these waves are generated by shear instability. We propose that wind shear near the top of the stand is often large enough to reduce the gradient Richardson number below the critical value of 0.25 and thus is able to trigger the instability. When external conditions are favorable, the instability will grow into waves.     

Towards integrated governance for water, health and social–ecological systems: The watershed governance prism

This article proposes a shift toward the integrated governance of watersheds as a basis for fostering health, sustainability and social–ecological resilience. The authors suggest that integrated watershed governance is more likely when different perspectives, including health and well-being, are explicitly understood, communicated, and sought as co-benefits of watershed management. A new conceptual device – the watershed governance prism – is introduced in relation to the multiple facets of governance that characterize contemporary water resources management and examined as an integrative framework to link social and environmental concerns with the determinants of health in the watershed context. The authors assess the diagnostic and communicative potential of such a framework, discussing its utility as a concise depiction of multiple, interacting policy priorities and as a guide to integrate different research and policy domains into the governance of water, health and social–ecological systems.     

Rethinking barriers to adaptation: Mechanism-based explanation of impasses in the governance of an innovative adaptation measure

Many of the possible barriers in the governance of climate change adaptation have already been identified and catalogued in the academic literature. Thus far it has proven to be difficult to provide meaningful recommendations on how to deal with these barriers. In this paper we propose a different perspective, with different epistemological assumptions about cause and effect than most existing barrier studies, to analyze why adaptation is often challenging. Using the mechanismic framework, we study how the idea for an innovative “Water Plaza” was realized in the city of Rotterdam, the Netherlands. Mechanisms are understood as patterns of interaction between actors that bring about change in the governance process that lead to policy impasses. Our analysis reveals three mechanisms that explain the impasses in the first Water Plaza pilot project: the risk-innovation mechanism, the frame polarization mechanism, and the conflict infection mechanism. Only after several substantive changes in the project design, location choice, and process architecture was the project of Water Plaza's revitalized. We discuss how the short-sighted ideas about cause–effect relationships, reflected in the superficial identification of barriers, may prove to be counterproductive; if there is high uncertainty about the risks of an innovation, the solution of offering more certainty is not very helpful and could, as it happened in the case study, trigger other mechanisms, creating an even tighter deadlock. Our study also suggests that when adaptation is considered as something innovative, the chances will increase that the risk-innovation mechanism will occur. We conclude that unearthing mechanisms offers new opportunities and different types of strategic interventions in practice than most existing studies have offered.     

Global forest products markets and forest sector carbon impacts of projected sea level rise

Sea level rise (SLR) is among the climate-change-related problems of greatest concern, threatening the lives and property of coastal residents and generating far-reaching economic and ecological impacts. We project that SLR will lead to an increase in the rate of new housing construction to replace destroyed structures, impact global wood products supply and demand conditions, and cause changes in global forest sector carbon mitigation potential. Findings indicate that 71 million new units will be built by 2050 to accommodate the SLR-affected global population. More than two-thirds of these new units are projected to be in Asia. The estimated extra wood products needed to build these new residential units is 1,659 million m³, assuming that all these structures would be built mainly with wood, representing a 4 % increase in total wood consumption, compared to projected reference level global wood products consumption. Increased timber removals to meet this higher construction wood demand (alternative scenario) is shown to deplete global forest carbon by 2 % by 2050 compared to the reference scenario. However, all such projected declines in forest biomass carbon could be more than offset by increased carbon sequestration in harvested wood products, avoided emissions due to substitution of wood for non-wood materials in construction, and biomass regrowth on forestland by 2050, with an estimated net emissions reduction benefit of 0.47 tCO₂e/tCO₂e of extra wood used in SLR-related new houses over 30 years. The global net emissions reduction benefit increased to 2.13 tCO₂e/tCO₂e of extra wood when price-induced changes in forest land area were included.     

A global review of the impact of forest property rights interventions on poverty

Secure property rights are widely understood as critical for socio-economic development and sustainable land management in forested areas. Policies and programs, ranging from devolution of specific resource rights to formal land titling, have therefore been implemented to strengthen forest tenure and property rights in countries around the world. Despite the prevalence and importance of these efforts, however, systematic understanding of their effects on poverty remains lacking. We address this gap by systematically reviewing evidence on the impact of forest property rights interventions on poverty worldwide. We drew from a systematic map of evidence on forest-poverty links (Cheng et al., 2019) and used a population-intervention-comparator-outcome (PICO) framework to identify relevant studies. Our final dataset included 61 articles published from 2002 to 2016 comprising 91 case studies across 24 countries. Of these, only 11 articles (22 cases) used quasi-experimental methods to control for confounders. We find that almost all studied interventions (n = 88; 97%) focused on rights to access a forest area or withdraw resources from it. Relatively few studied interventions supported the more extensive property rights of exclusion (32%) and alienation (10%). Overall, reported impacts on both income/consumption and capital/assets dimensions of poverty were generally positive or mixed. Results from more robust quasi-experimental assessments showed greater variation, with case studies as likely to report negative as positive impacts on both poverty dimensions. We find tentative support for the economic theory that more secure property rights yield positive welfare effects. However, the paucity of evidence from more robust impact assessments constrains our ability to draw generalizable conclusions about the poverty impacts of different kinds of forest property rights interventions.     

Legacies of 19th century land use shape contemporary forest cover

Historic land use can exert strong land-use legacies, i.e., long-lasting effects on ecosystems, but the importance of land-use legacies, alongside other factors, for subsequent forest-cover change is unclear. If past land use affects rates of forest disturbance and afforestation then this may constrain land use planning and land management options, and legacies of current land management may constrain future land use. Our goal was to assess if and how much land-use legacies affect contemporary forest disturbance, and the abundance of different forest types in the Carpathian region in Eastern Europe (265,000 km², encompassing parts of Poland, Slovakia, Ukraine, Romania, Hungary, and Czech Republic). We modeled contemporary forest disturbance (based on satellite image analysis from 1985 to 2010) as a function of historic land use (based on digitized topographic maps from 1860 and 1960). Contemporary forest disturbance was strongly related to historic land use even when controlling for environmental, accessibility and socio-political variation. Across the Carpathian region, the odds of forest disturbance were about 50% higher in areas that were not forested in 1860 (new forests) compared to areas that were forested then (old forests). The forest disturbance in new forests was particularly high in Poland (88% higher odds), Slovakia (69%) and Romania (67%) and persisted across the entire range of environmental, accessibility and socio-political variation. Reasons for the observed legacy effects may include extensive plantations outside forest ranges, predominantly spruce, poplar, and black locust, which are prone to natural disturbances. Furthermore, as plantations reach harvestable age of about 70 years for pulp and 120 year for saw-timber production, these are likely to be clear-cut, producing the observed legacy effects. Across the Carpathians, forest types shifted towards less coniferous cover in 2010 compared to the 1860s and 1960s likely due to extensive historic conifer harvest, and to recent natural disturbance events and clear-cuts of forest plantations. Our results underscore the importance of land-use legacies, and show that past land uses can greatly affect subsequent forest disturbance for centuries. Given rapid land use changes worldwide, it is important to understand how past legacies affect current management and what the impact of current land management decisions may be for future land use.     

The importance of local forest benefits: Economic valuation of Non-Timber Forest Products in the Eastern Arc Mountains in Tanzania

Understanding the spatial distribution of the quantity and economic value of Non-Timber Forest Product (NTFP) collection gives insight into the benefits that local communities obtain from forests, and can inform decisions about the selection of forested areas that are eligible for conservation and enforcement of regulations. In this paper we estimate transferable household production functions of NTFP extraction in the Eastern Arc Mountains (EAM) in Tanzania, based on information from seven multi-site datasets related to the behaviour of over 2000 households. The study shows that the total benefit flow of charcoal, firewood, poles and thatch from the EAM to the local population has an estimated value of USD 42 million per year, and provides an important source of additional income for local communities, especially the poorest, who mainly depend on subsistence agriculture. The resulting map of economic values shows that benefits vary highly across space with population density, infrastructure and resource availability. We argue that if further restrictions on forest access to promote conservation are considered, this will require additional policies to prevent a consequent increase in poverty, and an enforced trade-off between conservation and energy supply to rural and urban households.     

多年冻土区森林大火对生态服务功能的影响研究

在气候变暖背景下,大兴安岭森林大火导致多年冻土退化,植被发生更新和演替,对森林生态系统服务功能造成重要影响。文中选取大兴安岭北部多年冻土区满归和阿龙山火烧区为研究对象,通过定量方法计算了林火后,固碳释氧效益损失;净化环境效益损失,包括吸收SO₂和粉尘净化价值;水文效益损失,包括防洪和涵养水源效益;小气候效益损失;保护野生生物以及游憩效益损失。研究发现,满归和阿龙山火烧后,生态系统服务效益损失重大。其中,固碳释氧效益和净化环境效益损失较大,分别占总效益损失的42.34%和41.94%;水文效益和保护野生生物效益损失较小,分别为2.82%和0.80%;小气候效益和游憩效益居中,分别占8.61%和3.49%。即使针叶林生态系统恢复到阔叶林生态系统,净化环境效益损失仍然可达69.3%。由此看来,保护多年冻土区的针叶林,减少森林火灾的发生对维持多年冻土区森林生态系统的稳定性和可持续发展至关重要。     

Nighttime convection in the interior of a dense Douglas fir forest

Infrared radiative surface temperatures as observed over a dense Douglas fir forest during stable atmospheric conditions are analyzed. It is shown that the concept of a single surface temperature to describe both the thermal coupling and the radiative coupling between atmosphere and forest fails when longwave cooling is large and wind speeds are low. In such cases a decoupling of the radiative surface temperature from the air temperature aloft is observed. Conditions for decoupling are formulated in terms of an appropriate Richardson number. It is shown that a convective surface temperature comes into play that is coupled to the forest interior air temperature. Observed radiative surface temperature is then composed of this convective surface temperature and the aerodynamic surface temperature. Forest interior air temperature during nighttime is, in general, lower than air temperature above the canopy. A simple two-layer canopy model is used to explain this phenomenon in terms of the distribution of atmospheric sensible heat flux and storage heat flux over the two canopy layers.