0791-C4
Jürgen Pretzsch 1
Because of increasing world population and largely differing demand for forest products and services, the structure and functioning of forest management systems become complex and difficult to control. Scientific methodologies and research strategies have to be adapted to this situation. Special emphasis is given to the co-evolution between ecological and social systems. Interrelations between the national or global level (macro) and the local forest management system level (micro) are analysed. Development on the macro level is interpreted in a diagnosis. It is shown that technocrat planning approaches have largely failed in forestry, which led to a new era of community-based forestry. The research community reacted with the fabrication of an increasing amount of case studies. These often were rather descriptive and hardly contributed towards changes in the direction of more sustainable forest management. Based on three intermediate model constructs, it is shown that theory linked case study research permits a step towards action orientation. The models presented deal with farm forest stability, strategic group approaches and community forestry development. Finally a plea for more methodological pluralism in forest research is expressed.
Tropical forest ecosystems are underlying a continuous dynamics, which can be interpreted as a co-evolution between ecological and social systems (NORGAARD 1981). Ecosystem change is caused by natural influences or - with an increasing portion - by direct or indirect impact of human activities. Existing monitoring instruments provide data on changing land cover and land use patterns on a macro-level (FAO 2001). More profound insight in the effects of these changes is based on natural-science based case studies which cover a local or a regional area on a micro level. Social system change on a national and global level is rooted in national development strategies and the corresponding policies (see Fig. 1). Actor groups, which are characterised by specific belief systems, influence decision making and policy implementation on the macro level. Like in the typical product cycle (VERNON 1966), new issues come up and replace former subjects. In the scientific sphere paradigmatic shifts are often linked to specific generations of scientists and their "school" (KUHN 1962).
Figure 1: Co-evolution between ecological and social systems
Analysis of social systems is easier on a micro level. It includes stakeholders' attitudes, behaviour and power relations, which have an influence on forest management. Social units like enterprises, co-operatives or communities adapt their organisational structure and the institutional rules for decision making continuously to the existing ecological and social environment. The further discussion is focused on possible linkages between the ecological and social systems, taking in consideration the micro and macro level.
Complexity of forest related development processes is increasing continuously. For their analysis and control an expansion of methodological approaches is necessary. Objectives are a further integration of natural and social sciences in a multidisciplinary approach and the bridging of the gap between micro- and macro-level with appropriate model constructs. Relevant theories and explanation models have to be collected outside of the traditional methodological toolbox of forest scientists. Examples are cultural ecology (BENNET 1976, BARGATZKY 1986), political ecology (ESCOBAR 1996, BRYANT 1992), institutional economics (OSTROM 1990) political economy and the strategic group approach (EVERS et al 1982), hermeneutic methods (SEELAND 1997), constructivism (BERGER & LUCKMANN 1967) and the critical theory (HABERMAS 1965, 1988). It has to be emphasised, that the rapidly increasing number of case studies contributes only marginally towards the development of theories and model constructs.
Management concepts for forestry and the respective policies were always subordinated to general socio-economic development. This is demonstrated in the following diagnostics of forest development concepts in the tropics. The historical review which is manly based on FAO documents, permits the differentiation of six historical stages (STEINLIN & PRETZSCH 1984; PRETZSCH 1995. see Fig. 2).
Traditional forest use (stage 1) is characterised 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. There is a strong discussion on the practical relevance and use of the traditional local knowledge (PRETZSCH 1987; WARREN et al 1995)
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.
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 (ROSTOW 1960). ZIVNUSKA (1966) argued that 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 organisational structures, political will and corruption (see PRETZSCH 1987).
Fig. 2: Historical stages in tropical Forestry
Influence of international organisations like the FAO and the World Bank on the forest sector increased (stage 4) Also the exchange of production factors and products shifted from bilateral relations towards more internationalisation. International organisations and big enterprises follow one common paradigm: tropical forest management as well as plantation development require mainly technological knowledge and are feasible in the framework of a good planning. A certain euphoria towards large scale state planning could be observed. This led to a more and more marginal position of local forest people.
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 (see Fig. 2). Noticeable is the strong feed back to forest management related local knowledge, which in many tropical countries reaches back to pre-colonial times. The actual development stage (stage 6, see Fig. 4) may 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 organisation 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 (see Fig. 3)
Fig. 3: Paradigmatic changes in forestry development strategies
In contrast to the theory oriented explanative models on the macro level, investigation on the micro level is characterised by an increasing amount of case studies. Quick and dirty methods like Rapid Rural Appraisal (SCHÖNHUTH & KIEVELITZ 1994) have contributed to the accumulation of a huge amount of knowledge. Many of the results of these studies are fragmented, not much guided by theories and without clear links to the above mentioned macro level. That is why their relevance for the implementation of a better forest management often is limited. It is obvious, that a gap exists between the two levels As shown in the following step this might be overcome by more theory and action orientation.
Action-oriented approaches, which combine ecological and social sciences and which are linked to a macro level, permit the construction of an intermediate theoretical framework, which opens consistent new perspectives and strategies. The following case studies are linked to this intermediate framework.
Model 1: Survival strategies and behaviour of Gum arabic farmers in Sudan are analysed (TAHA 1999). In a simple stability model the needs of the farmers are compared with income generation from the different farm and forest activities (see Fig. 4).
Fig. 4: Stability model for the evaluation of farm forestry
The model permits to differentiate between financial aspects on the farm household level and economic aspect, which are related to the national development strategy of Sudan. The impact of government price policy on the farm household permits the simulation of destructive and sustainable strategies. A similar model is used to evaluate afforestation under joint forest management contracts in Bangladesh (BATEN 1998).
Model 2: Historical analysis with elements of political ecology and the strategic group approach (EVERS & SCHIEL 1988) permits the interpretation of local development in the context of sector strategies on a macro-level in Thailand. PYE (2003) analyses the counter reaction of local communities, facing the state initiated Khor-Jor-Kor-Program (see Fig. 5).
Fig.: 5: Paradigmatic shift of forest policy in Thailand
A similar situation in India is analysed by SHRIVASTAVA (1999). Forestry in India was for long time subjected to the originally from Germany imported thinking of state dominated scientific forestry and the respective forest police apparatus. Only step by step local people are able to re-establish their traditional position.
Fig. 6: Changing alliances and power relations in India
Model 3: In his study of the organisation of community forestry in the Ejidos of Quintana Roo HESS (1996) uses the model of OAKERSEN (1992) to link local development to the ecological and social environment (see Fig. 7). Study area is the state of Quintana Roo in the south of Mexico, were considerable areas of tropical rainforest are still existing. In the agrarian reform local Indian population and migrants from the north received homestead and limited agricultural land for private use and forest for their common use. As organisational units ejidos were established. For long time the people did not receive benefits from the forest, it was exploited by a company of the Federal State Government in a very exploitative way and the money partly disappeared in corrupt channels. The local community resisted to this practice and formed their own communal forest service. The peasant association took over all the production factors as chainsaws, transport facilities and sawmills. Inventory were carried out by the forest people and the benefits from forest extraction were distributed by salaries and distribution of profits to all the members of the association. (PRETZSCH & JANKA 1991).
Fig. 7: Framework for community forestry development
It can be learned, that community stability depends mainly on economic benefits which are disposable for the community members (see Fig. 7). For the achievement of this type of stability development options are necessary together with the co-operation from a super-ordinate level.
The three presented models permit a combination between the above mentioned micro and macro level and integrate ecological and social systems. Model development and empirical verification make local experiences transferable and useful for action orientation Further case study research should be less descriptive and more oriented towards overall theory development and action orientation. This is the platform for learning, strategy development and intervention.
By the implementation of more integrated and action-oriented research projects the elaboration of pro-active visions, concepts and strategies in forest management may be supported. The above mentioned theory framework, which is still fragmented, can contribute in this direction. In this field much more investigation is necessary. Using the classification of HABERMAS (1965, see Fig. 8) it can be resumed, that so far forestry focused much on the use of analytic science and knowledge. This mainly serves for the technical control of the environment.
Fig. 8: Main rationality behind forestry research
Forest related humanistic science and knowledge is still underrepresented and should be more used for theory development and to link the macro with the micro level in forest development strategies. A shift away from technology orientation towards more dispute and integration of all local stakeholder needs is urgently necessary (VAN GELDER & O`KEEFE 1995). Well understanding paradigmatic changes opens the door for action. Foresters and forest scientists should use critical science and knowledge to promote possible alternatives of social organisation, benefit distribution as well as more equal distribution of production factors, which are in their negative shaping some main causes of forest destruction. (PRETZSCH 1998)
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1 Director, Institute of International Forestry and Forest Products, University of Technology Dresden, Tharandt, Germany. [email protected]