Local forest governance in Ethiopia: Between legal pluralism and livelihood realities

Ethiopia's montane rainforests have witnessed high rates of depletion and deforestation in the last decades. The main reasons are expansion and intensification of smallholder agriculture and forestry. Forest governance in Ethiopia is characterized by the complex interaction of factors such as nationalization of land, weak state structures, the persistence of traditional local institutions, and socio-cultural heterogeneity promoted by state-enforced resettlement. This paper aims to contribute to the understanding of forest governance in Ethiopia and the underlying reasons for and variables influencing forest depletion and deforestation by analysing a local institutional arena in a case study approach. The paper is based on local-level empirical field research conducted in the montane rainforests of southwestern Ethiopia. Methodologically, a combination of semi-structured expert interviews with forest users, local traditional decision-makers and representatives of governmental and nongovernmental organizations was used, as well as focus group discussions and visual communication techniques. The paper adopts a historical perspective, reflecting the path-dependent character of local institutions. Historically, the rainforests in the case study area, Koma forest in Kaffa zone, are divided into forest use-right plots individually held by local peasants. The nationalization of all land in Ethiopia in 1975 was a major institutional turning point. By decree, responsibility for forest management was shifted to state bodies. In practice the newly established state bodies never had the necessary resources or expertise to effectively fulfil their tasks. Instead the traditional forest use rights lingered on, backed by local community-initiated institutional systems with a status of 'tolerated illegality'. However, the research findings also indicate that local community-initiated institutional systems are limited to certain forest user groups, and exclude others. This explains their little practical assertiveness, and contributed to the creation of a local-level power vacuum that allows high rates of deforestation and forest degradation

Governing the Ethiopian Coffee Forests : A Local Level Institutional Analysis in Kaffa and Bale Mountains

This work analyses institutional frameworks that determine the use, management and conservation of two afromontane rain forests, namely Koma Forest (Kaffa Zone, Southern Region) and Kankicho Forest (Bale Zone, Oromiya Region). The research focuses on the actual situation on the local level, the actors involved in the action arena and the specific institutional framework that impact on their interactions and behaviour. This approach reflects current processes of decentralisation and local ‘participation’ in Ethiopia. Diverse historic and present interventions of the state and non-governmental organisations (NGOs) as well as the heterogeneity of the local communities are identified and analysed as exogenous variables. In this context, relevant institutions are understood as the rules and regulations that determine who of the local peasants enjoys which use rights to particular forest resources in which forest plot to what extent. Ethiopia is known as the home country of the Coffea arabica gene-pool (Coffea arabica rubiacaeae). Until the present, both forests under investigation comprise naturally regenerating ‘wild’ populations of Coffea arabica in a unique genetic variability. Traditionally, the local peasants use this resource as a cash crop or for own consumption. In this work, Coffea arabica is considered as the flag-ship forest resource. However, the coffee forests are gradually depleted and destroyed, particularly due to use demands of local peasants. The work shows that both investigated coffee forests– although de jure nationalised and protected as “National Forest Priority Areas” – are fully segmented in use right plots that are owned and inherited by the local people. The concerning forest use and management practices are basically determined by locally-initiated structures that persisted the institutional change from ‘above’, like the elderly and iddir, a village social security fund. Nevertheless, traditional institutions are weakened due their lack of formal status as well as state-driven settlement of allochthone population with different cultural and institutional background. It becomes apparent that parallel to the perpetuation of the concept of state control of all forest and land resources in Ethiopia, the self-imposed responsibility of the state exceeds its practical capability. State structures in the field of forest use, management and conservation are defined by a low implementation competence, not only due to a lack of financial, personnel and technical resources on all levels, but institutional and structural weaknesses. In local level reality, this created a complex legal pluralism in which both - traditional as well as state structures - lack implementation competence and/or legitimation. This promotes de facto open access situations of forest utilisation. The work also evaluates the chances and limitations of a “Participatory Forest Management” (PFM) project, currently conducted by a south-NGO in Koma forest. The key initiative is to unite the local coffee forest users in a “Forest User Society” (FUS) apparelled with state-approved and exclusive forest use rights, and bound to a “Forest Management Plan” developed - under mediation of the NGO - between representatives of local state bodies and traditional authorities. The research results show disparities concerning acceptance, engagement and adherence to the FUS system between different communities as well as considerable practical difficulties in the sustainable installation of novel institutional structures. Future PFM projects are recommended to continue with the approach to formally legalise the forest use rights of local peasant communities, but thereby to not only to respect but empower locally existing institutional structures instead of developing and trying to implement new ‘artificial’ ones.Wem gehören die äthiopischen Kaffeewälder? - Eine institutionelle Analyse auf lokaler Ebene in Kaffa und Bale Mountains In der Arbeit wird der Einfluss institutioneller Rahmenbedingungen auf Nutzung, Management und Schutz zweier afromontaner Regenw älder, Koma Forest (Kaffa Zone/Südliche Region) und Kankicho Forest (Bale Zone/Oromiya Region), analysiert. Der Fokus liegt auf der aktuellen Situation auf lokaler Ebene, in der Handeln und Interaktionen von Akteuren innerhalb der Aktionsarenen von institutionellen Rahmenbedingungen beeinflusst werden. Dieser Ansatz reflektiert gegenwärtige Dezentralisierungs-, und Partizipationsprozesse in Äthiopien. Historische und aktuelle Eingriffe staatlicher Stellen und Nicht-Regierungs-Organisationen (NROs) sowie die Heterogenität der lokalen Bevölkerung werden als exogene Variablen identifiziert und analysiert. In diesem Kontext untersucht die Arbeit Gesetze und Vorschriften, die bestimmen (sollen), wer aus der lokalen Bevölkerung welche Rechte hat, welche Waldressourcen in welchem Maße zu nutzen. Äthiopien ist die Heimat des Arabica Kaffee Genpools (Coffea arabica rubiacaeae). Bis zum heutigen Tage gibt es in beiden untersuchten Wäldern sich natürlich regenerierende ‚wilde’ Kaffeepopulationen in einmaliger genetischer Vielfalt. Traditionell wird diese Ressource von lokalen Kleinbauern als cash crop oder für den Eigenkonsum genutzt. Demgemäß stellt Coffea arabica in dieser Arbeit die ‚Flaggschiff’-Waldressource dar. Allerdings werden die Kaffeewälder zunehmend degradiert und unwiederbringlich zerstört, insbesondere auf Grund des Nutzungsdrucks durch die lokale Bevölkerung. Die Arbeit zeigt, dass beide untersuchten Kaffeewälder - obgleich seit 1975 de jure verstaatlicht und als geschützte „State Forest Priority Areas“ ausgeschrieben - von der autochthonen Bevölkerung vollständig in Nutzungsparzellen aufgeteilt sind, die als Eigentum betrachtet und vererbt werden. Die Waldkaffeenutzungs- und managementpraktiken werden weitgehend durch traditionelle Regeln bestimmt die den institutionellen Wandel von ‚oben’ überdauert haben, und administrativ und juristisch von lokalen Strukturen wie dem Rat der Dorfältesten oder iddir, einer dörflichen Sozialkasse, getragen. Allerdings sind traditionelle Institutionen durch ihren fehlenden legalen Status sowie durch eine staatlich geförderte Ansiedlung allochthoner Bevölkerung mit unterschiedlichem kulturellem und institutionellem Hintergrund geschwächt. Ungeachtet des Festhaltens der Regierung am Konzept der staatlichen Kontrolle aller Wald- und Bodenressourcen wird deutlich, dass die selbstauferlegte Verantwortung die praktischen Kapazitäten übersteigt. Staatliche Strukturen im Bereich Waldnutzung, -management, und -schutz sind durch anhaltende geringe Implementierungskraft charakterisiert, neben finanziellem, personellem und technischem Ressourcenmangel auf allen Ebenen insbesondere durch grundlegende institutionelle und strukturelle Schwächen bedingt. In der lokalen Wirklichkeit ist so ein komplexer legaler Pluralismus entstanden in dem beiden - traditionellen als auch staatlichen - Strukturen die Durchsetzungskraft und/oder Legitimation fehlt. Dies begünstigt de facto Open-Access-Waldnutzungssituationen. In der Arbeit werden zudem die Chancen und Schwierigkeiten eines „Participatory Forest Management“ (PFM) Projektes, welches gegenwärtig von einer Süd-NRO in Kaffa implementiert wird, evaluiert. Im Kern geht es dabei um den Zusammenschluss der lokalen Waldnutzer in eine „Forest User Society“ (FUS), die mit staatlich anerkannten und exklusiven Waldnutzungsrechten ausgestattet und an einen „Forest Management Plan“, der - unter NRO Mediation - von Vertretern lokaler Regierungsstellen und traditioneller Autoritäten gemeinsam entwickelt wurde, gebunden ist. Die Arbeit zeigt Disparitäten bezüglich Anerkennung, Engagement, und Einhaltung des FUS Systems unter den verschiedenen Waldnutzergruppen sowie erhebliche praktische Schwierigkeiten im nachhaltigen Aufbau neuer institutioneller Strukturen auf. Zukünftigen PFM Projekten wird empfohlen den Ansatz der formellen Legalisierung von Waldnutzungsrechten weiter zu verfolgen, dabei allerdings nicht neue ‚künstliche’ Strukturen zu schaffen, sondern traditionell existierende lokale Institutionen zu stärken

Forest coffee certification in Ethiopia: Economic boon or ecological bane?

The montane rainforests of Ethiopia are the worldwide origin of the Coffea arabica gene-pool. However, the forests witness high rates of depletion and deforestation leading to an irreversible loss of the forest ecosystem and biodiversity. Certification of forest coffee started in Ethiopia in 2002 with the aim to conserve the coffee forests and provide the peasants with a better livelihood. This paper evaluates the forest coffee production and the related human encroachment in the forests ecosystem in certified and non-certified cooperatives and explores the benefits of certification for the producers. The findings of the paper base on interviews conducted with forest coffee producers in nine certified and non-certified coffee cooperatives in the Kaffa Zone and Bench-Maji Zone of South-western Ethiopia and other stakeholders concerned. Empirical data shows that farmers undertake considerable interventions in the forest ecosystem in order to increase their coffee yields, e.g. by removing the forests' undergrowth and cutting trees. This promotes the degradation of the forest ecosystem and biodiversity and occurs irrespective of certification. Simultaneously, the local producer prices tripled in the same period - following the world market trend. This price increase has been found to be the main incentive for producers to intensify their production. This opens a conceptual dilemma for certification: certification aims at paying higher producer prices, but higher prices encourage the farmers to intensify their production and therewith to contribute to the process of forest depletion and loss of biodiversity. Empirical data also illustrate practical difficulties of certification. For the season concerned, some cooperatives did not pay significantly higher producer prices than non-certified cooperatives. Additionally, certification is not actively promoted nor understood by those who are certified. None of the interviewed member of certified cooperatives could give a reasonable answer to the question what certification actually is or means

evidences from smallholder cooperative farmers in Jinotega, Nicaragua

This paper concerns the local payoffs of coffee certification in a case study region in Jinotega, Northern Nicaragua. It aims to answer two questions. First, does certification significantly improve the income of smallholder coffee farmers in Nicaragua? Second, if yes, how far do these income improvements help coffee farmers to find a sustainable livelihood above the poverty line? In order to answer these questions, we carried out empirical field research in which we conducted a semi-structured household survey in the Jinotega Municipality of North-central Nicaragua. A total of 238 certified and noncertified coffee farmers were selected through a stratified random sampling procedure and interviewed. Certified farmers were taken as the treatment group and non-certified ones as the control group. Both the gross margin analysis and regression analysis are employed to show the likely income and poverty differences between the treatment and control groups controlling for other relevant factors. The results reveal that the coffee certification program of Jinotega municipality does indeed improve the income of the participating farmers. However, these income improvements are not sufficient to sustainably lift the poor farmers above the poverty line.Draft pape

Urban sprawl and its impacts on land use change in Central Ethiopia

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Between Hope and Hype: Traditional Knowledge(s) Held by Marginal Communities

Traditional Knowledge (TK) systems have always been integral to the survival and adaptation of human societies. Yet, they enjoy a fairly recent recognition and popularization by scientists, the media, politicians, corporates and the wider public. In this paper we present a typology of key driving forces behind the popularization of TK held by marginal communities: an equality preference motive, a value motive, a compliance motive, a scarcity motive and a strategic motive. Secondly, through the use of a simple model, we discuss the hype's impact on marginal communities. Moreover, we critically assess the outcome of a number of policy instruments that intend, in part, to protect traditional knowledge bases of such communities. Our analysis primarily draws upon secondary literature; policy documents and case studies within economics, the social sciences, conservation biology and legal studies. We argue that whilst the public and institutional hype around TK may have resulted in its prioritization within international conventions and frameworks, its institutionalization may have adversely impacted marginalized communities, and in particular contexts, unintentionally led to the creation of 'new' marginals. We purport that the traditional innovation incentive motive does not hold for protecting TK within a private property regime. Instead we identify a conservation incentive motive and a distribution motive that justify deriving policy instruments that focus on TK to protect marginal communities

An Optimization Model for Technology Adoption of Marginalized Smallholders: Theoretical Support for Matching Technological and Institutional Innovations

The rural poor are often marginalized and restricted from access to markets, public services and information, mainly due to poor connections to transport and communication infrastructure. Despite these unfavorable conditions, agricultural technology investments are believed to unleash unused human and natural capital potentials and alleviate poverty by productivity growth in agriculture. Based on the concept of marginality we develop a theoretical model which shows that these expectations for productivity growth are conditional on human and natural capital stocks and transaction costs. Our model categorizes the rural farm households below the poverty line into four segments according to labor and land endowments. Policy recommendations for segment and location specific investments are provided. Theoretical findings indicate that adjusting rural infrastructure and institutions to reduce transaction costs is a more preferable investment strategy than adjusting agricultural technologies to marginalized production conditions