Lecture 11 + 12
Lecture 11 + 12
Lecture 11 + 12
To cite this article: K.F. Wiersum, V.J. Ingram & M.A.F. Ros-Tonen (2014) Governing access to
resources and markets in non-timber forest product chains, Forests, Trees and Livelihoods, 23:1-2,
6-18, DOI: 10.1080/14728028.2013.868676
Non-timber forest product (NTFP) governance is a recent concept denoting the process
of rule and decision-making concerning production and marketing. This paper reviews
the multiple dimensions of and recent trends in NTFP governance. It emphasises that
NTFP governance is more than rule-making and includes a broader societal process
based on social practices, values and principles. This process is characterised by the
coexistence of formal and informal institutions based on plural statutory, customary
and market norms; the combination of forestry and agrarian regimes; multilevel and
multi-actor involvement in many – but usually not all – of these arrangements; and
largely separate institutions that govern access to resources and markets. NTFP
governance is characterised by an increasingly complex and dynamic hybrid of
institutional arrangements, norms and collective social practices and by cross-scale
dynamics in space and over time.
Keywords: forest governance; non-timber forest products; governance; access rights;
markets; livelihoods; value chains; bricolage
Introduction
Forests and other natural areas have traditionally provided people living in or near them with
timber and non-timber forest products (NTFPs) for use in their daily livelihoods or for trade.
The income potential of NTFPs greatly depends on how, where and what value is added: at
the source by managing wild resources or by domesticating NTFPs in cultivation systems,
and/or further along the value chain through processing and marketing. Value addition at the
source primarily depends on access to forest resources; towards the consumer end of the
chain it essentially depends on access to markets.1
The rules, decision-making processes, institutional arrangements and measures that
govern access to sources and markets are captured in the governance concept. Wild product
governance (Laird et al. 2010) relates to wild NTFP resources, whereas NTFP governance
(Ros-Tonen & Kusters 2011) also refers to cultivation systems. Despite increasing use of the
term, NTFP governance requires further unpacking to clarify what makes it unique
compared to the related concepts of forest governance and wild product governance.
This paper, therefore, critically analyses the main components of the NTFP governance
concept, emphasising the plurality of arrangements. First, it positions the NTFP governance
concept against the broader concepts of governance and forest governance. Second, it then
unravels the diversity of the production systems and value chains and the complexity of the
institutional frameworks, which encompass both a forestry and agrarian regime and address
both access to resources and markets. Third, recent trends in NTFP governance are
identified.
chains (Kaplinsky & Morris 2001) symbolises the activities involved in bringing a product
from the production base to final consumers, including harvesting, cleaning, transport,
design, processing, production, transformation, packaging, marketing, distribution and
support services, and disposal. A chain can range from a local level to a global level and
may be implemented by various actors – harvesters, processors, traders, retailers and
service providers. Production and marketing systems interact; hence, three core concerns
require attention in NTFP governance. The first is the sustainability of the production base,
depending on factors such as (1) abundance of the species from which a product originates,
(2) anthropogenic and natural threats and vulnerabilities to species populations, (3)
inherent species vulnerability which depends on the part(s) harvested and (4) a species’
tolerance to harvesting (Cunningham 2001; Ticktin & Shackleton 2011). The second is
how access to specific resources and their markets is organised. Commercialisation of wild
species often negatively impacts their sustainability and conservation (Arnold & Ruı́z
Pérez 2001; Kusters et al. 2006) unless institutions effectively avoid, control and if
necessary, mitigate unsustainable exploitation and/or enhance domestication. A third core
concern is the link between forest product commercialisation and poverty; a relevant one
to address considering the estimated 1.2 billion people that to varying degrees depend on
forests for their livelihoods (World Bank 2004) and the spatial overlap between tropical
forests and the majority of the world’s rural poor (Sunderlin et al. 2008). In this respect
also benefit-sharing arrangements receive attention in NTFP governance.
Institutional complexity
Due to the multifaceted interactions between sustainability, access to resources and markets
and benefit-sharing arrangements, NTFP governance is complex. It is characterised by
multifarious institutional frameworks covering NTFP extraction, production and trade.
Institutions are ‘systems of rules, decision-making procedures, and programs that give rise to
social practices, assign roles to the participants in these practices, and guide interactions
among the occupants of the relevant roles’ (IDGEC Scientific Planning Committee 1999,
p. 14). Institutions are designed and maintained at several levels of scale, ranging from local
resource management systems to global international regimes (IDGEC Scientific Planning
Committee 1999). Formal institutions can be considered as the rules and regulations enforced
by an outside third party, such as laws. Informal institutions are upheld by socially shared,
usually unwritten rules or culturally embedded taboos, created and enforced among the actors
involved (North 1990; Leach et al. 1999; Helmke & Levitsky 2004). Both offer structure in
human relationships and clarify how to interact and what is expected from different actors
(Hodgson 2006; Kooiman et al. 2008). The institutional frameworks that govern NTFP
harvesting and trade are based on multiple and partly overlapping statutory regulation,
customary traditions and market-based norms (Woldeamanuel 2011; Derkyi 2012) (Table 2).
This implies that institutions are subject to many centres of authority (Laird et al. 2010),
involving both local and/or external organisations at various scale levels, including business,
government, policy, certification and development organisations. Specific for institutional
frameworks in NTFP governance is the combination of forestry and agricultural regimes and
separate systems for governing access to resources and markets.
are defined as ‘sets of implicit or explicit principles, norms, rules, and decision-making
procedures around which actors’ expectations converge in a given area’ (Krasner 1982,
p. 186). Principles are understood as ‘beliefs of fact, causation, and rectitude’, whereas
norms are defined as ‘standards of behavior defined in terms of rights and obligations’.
Rules are specific prescriptions, and decision-making procedures are ‘prevailing practices
for making and implementing collective choice’ (Krasner 1982, p. 186). Implicit and
explicit implies that components of this institutional framework can be either formal or
informal.
Governing access to resources and markets in NTFP chains 11
Forestry and agrarian regimes are based on different norms and principles (Fay &
Michon 2005). Forestry regimes focus on regulating the conservation and use of forest
resources, including tenure arrangements and the rules under which forest products can be
used and traded. These are usually the responsibility of centralised state agencies
(hierarchical governance). Institutional frameworks for NTFP exploitation at local level
may also include customary laws (self-governance) or co-governance arrangements with
the state aimed at benefit-sharing or (re)distribution of benefits. NTFPs sold beyond local
markets may also be subject to market-based rules, with mechanisms such as certification
operating outside the scope of statutory and customary authorities.
NTFP production in agrarian regimes (usually based on private property) is subject to a
combination of hierarchical and private governance arrangements which regulate
production processes and, sometimes, access to markets through a system of incentives
and disincentives. Access to land in agrarian regimes may be subject to customary
arrangements.
Table 3. Access to NTFP resources under different production systems and governance regimes.
products and markets). Examples can be found in Howard and Nabanoga (2007); Shanley
et al. (2008); Wiersum et al. (2008); Shackleton, Paumgarten et al. (2012); Paumgarten et al.
(2012) and Ingram (2102a, 2012b, this issue). Rent-seeking by corrupt government
officials often operates parallel to regulatory systems (Ndoye & Awono 2010; Ingram
et al. 2012).
Certification and quality standards for NTFPs sold internationally lead to the
emergence of new formal standards for production and trade, involving external, mostly
international, economic institutions (Laird et al. 2010). This is often a response to the
growing consumer demand for ‘green’ or socially responsible products, or products
bearing the forest identity of their production region. International agreements (e.g. the
Convention on Biodiversity Conservation) have also set standards for the ecological
integrity of and international trade in NTFPs and for access and benefit sharing (Shanley
et al. 2002). Other international standards on product quality, health and safety
(e.g. pesticide use, processing standards or organic production) originated at regional
(e.g. European Union) or national level. The requirements associated with these global
standards are often beyond the skills, means, capacity and economic and political power of
forest fringe communities, as a result of which they increasingly form alliances and
partnerships with companies and/or NGOs in order to overcome barriers of access to high-
value and niche markets (Ros-Tonen et al. 2008; Ros-Tonen & Kusters 2011).
Related to the foregoing trends, traditional NTFP governance systems are increasingly
hybridising into systems of co-governance. This parallels trends in decentralisation/
devolution and globalisation, which respectively lead to the recognition and even
formalisation of local systems for forest production and management, and to an increasing
number of international standards for NTFP production and product quality. This has
resulted in hybrid forms of governance (Agrawal et al. 2008; Arts & Visseren-Hamakers
2012). Increasing hybridisation may undermine the effectiveness of locally embedded
governance systems (Wynberg & Laird 2007; Schure et al. 2012). However, creative
processes of ‘institutional bricolage’ occur in which various pieces of governance
arrangements are adapted, melted together and reshaped into new configurations to adapt
to changing circumstances (de Koning & Cleaver 2012) as actors in the chains try to shape
them to their advantage. Such location- and time-specific forms of institutional bricolage
add further to the complexity of NTFP governance.
Note
1. A market can be physical, public gatherings and locations or non-physical places (e.g. internet)
where products are offered for sale in exchange for money or for goods or services (barter).
References
Agrawal A, Chhatre A, Hardin R. 2008. Changing governance of the world’s forests. Science.
320:1460 – 1462.
Arnold JEM, Dewees PA. 1995. Tree management in farmer strategies: responses to agricultural
intensification. Oxford: Oxford University Press.
Arnold JEM, Ruı́z Pérez M. 2001. Can non-timber forest products match tropical conservation and
development objectives? Ecol Econ. 39:437 – 447.
Arts B, Visseren-Hamakers I. 2012. Forest governance: a state of the art review. In: Arts B, van
Bommel S, Ros-Tonen M, Verschoor G, editors. Forest-people interactions: understanding
community forestry and biocultural diversity. Wageningen: Wageningen Academic Publishers.
p. 241– 257.
Colding J, Folke J. 2001. ‘Invisible’ systems of local resource management and biological
conservation. Ecol Appl. 11(2):584– 600.
Colfer CJP, Pfund J-L, Andriamampandry E, Asaha S, Boucard A, Boissière M, Feintrenie L, Ingram
V, Lyimo E, Martini E, Rantala S, Roberts M, Sunderland T, Urech Z, Vihemaki H,
Vongkhamsao V, Watts JD. 2011. An introduction to five tropical landscapes, their people and
16 K.F. Wiersum et al.
their governance. In: Colfer CJP, editor. Collaborative governance of tropical landscapes.
London: Earthscan. p.1 – 34.
Cunningham AB. 2001. Applied ethnobotany: people, wild plant use and conservation. London:
Earthscan.
de Koning J, Cleaver F. 2012. Institutional bricolage in community forestry: an agenda for future
research. In: Arts B, van Bommel S, Ros-Tonen M, Verschoor G, editors. Forest-people
interactions: understanding community forestry and biocultural diversity. Wageningen:
Wageningen Academic Publishers. p. 277– 290.
Degrande A, Schreckenberg K, Mbosso C, Anegbeh P, Okafor V, Kanmegne J. 2006. Farmers’ fruit
tree-growing strategies in the humid forest zone of Cameroon and Nigeria. Agroforest Syst.
67:159 – 175.
den Hertog WH, Wiersum KF. 2000. Timur (Zanthoxylum armatum) production in Nepal, dynamics
in non-timber forest resource management. Mt Res Dev. 20(2):136– 145.
Derkyi MAA. 2012. Fighting over forest: interactive governance of conflicts over forest and tree
resources in Ghana’s high forest zone. Leiden: African Studies Centre (African Studies
Collection; Vol. 41).
Fay C, Michon G. 2005. Redressing forest hegemony when a forestry regulatory framework is best
replaced by an agrarian one. For Trees Livelihoods. 15(2):193– 209.
Feder G, Feeny D. 1991. Land tenure and property rights: theory and implications for development
policy. World Bank Econ Rev. 5(1):135– 153.
Fortmann L, Bruce JW, editors. 1988. Whose trees? Proprietary dimensions of forestry. Boulder
(CO): Westview Press.
Ghazoul J, Garcia C, Kushalappa CG. 2009. Landscape labelling: a concept for next-generation
payment for ecosystem service schemes. For Ecol Manag. 258:1889– 1895.
Harris DR, Hillman GC. 1989. Foraging and farming, the evolution of plant exploitation. London:
Unwin Hyman.
Helmke G, Levitsky S. 2004. Informal institutions and comparative politics: a research agenda.
Perspect politics. 2:725 – 740.
Hodgson GM. 2006. What are institutions? J Econ Issues. XL(1):1 – 25.
Homma AKO, Schwartzman S. 1992. The dynamics of extraction in Amazonia: a historical
perspective. Non-timber products from tropical forests; evaluation of a conservation and
development strategy. Adv Econ Bot. 9:23– 31.
Howard PL, Nabanoga G. 2007. Are there customary rights to plants? An inquiry among the
Baganda (Uganda), with special attention to gender. World Dev. 35(9):1542– 1563.
International Human Dimensions Programme on Global Environmental Change Scientific Planning
Committee [IDGEC]. 1999. Institutional dimensions of global environmental change. IHDP
Report No. 9. Bonn: IHDP.
Ingram V. 2012a. Forest to farm to market interfaces for non-timber forest products in Central
Africa. Nat Faune. 26(2):43– 49.
Ingram V. 2012b. Governance of non-timber forest products in the Congo Basin. EFTRN News.
53:36 –45.
Ingram V, Ndumbe LN, Ewane ME. 2012. Small scale, high value: Gnetum africanum and
buchholzianum value chains in Cameroon. Small-Scale For. 11(4):539– 556.
Kaplinsky R, Morris M. 2001. A handbook for value chain research. Ottowa: International
Development Research Centre (IDRC).
Kooiman J, Bavinck M. 2005. The governance perspective. In: Kooiman J, Bavinck M, Jentoft S,
Pullin R, editors. Fish for life: Interactive governance for fisheries. Amsterdam: Amsterdam
University Press (MARE Publication Series vol. 3). p. 11 – 24.
Kooiman J, Bavinck M, Chuenpagdee R, Mahon R, Pullin R. 2008. Interactive governance and
governability: an introduction. J Interdiscipl Env Stud. 7(1):1 – 11.
Krasner SD. 1982. Structural causes and regime consequences: regimes as intervening variables. Int
Org. 36(2):185 –205.
Kusters K, Achdiawan R, Belcher B, Ruı́z Pérez M. 2006. Balancing development and conservation?
An assessment of livelihood and environmental outcomes of nontimber forest product trade in
Asia, Africa and Latin America. Ecol Soc. 11(2): 20. http://www.ecologyandsociety.org/vol11/
iss2/art20/
Laird SA, McLain R, Wynberg RP, editors. 2010. Wild product governance: finding policies that
work for non-timber forest products. London: Earthscan.
Governing access to resources and markets in NTFP chains 17
Wiersum KF, Endalamaw TB. 2013. Governing forests for environmental provisioning services: the
example of honey production in southwest Ethiopia. In: Muradian R, Rival L, editors. Governing
the provision of ecosystem services. Heidelberg: Springer (Studies in Ecological Economics).
p. 303– 318.
Wiersum KF, Gole TW, Gatzweiler F, Volkmann J, Bognetteau E, Wirtu O. 2008. Certification of
wild coffee in Ethiopia: experiences and challenges. For Trees Livelihoods. 18:9– 21.
Woldeamanuel T. 2011. Dryland resources, livelihoods and intitutions: diversity and dynamics in
use and management of gum and resin trees in Ethiopia [PhD dissertation]. Wageningen:
Wageningen University.
World Bank. 2004. Sustaining forests: a development strategy. Washington (DC): World Bank.
Wynberg RP, Laird SA. 2007. Less is often more: governance of a non-timber forest product, marula
(Sclerocarya birrewa subsp. caffra) in southern Africa. Int For Rev. 9(1):475 –490.