This thesis addresses the potential of private-public partnerships (PPPs) to involve private forest owners in formal forest protection. These partnerships have been widely advocated as means to engage actors from diverse sectors in collaborative new relationships, formed in a step-wise manner, to improve management of resources that combine public and private goods. Nature Conservation Agreements (NCAs) are the first kind of PPPs to be used in Swedish forest protection. NCAs were introduced in 1993 and are agreements based in civil law between a private forest owner and the Swedish Forest Agency or County Administrative Board. Although NCAs were introduced to promote interest in nature conservation among forest owners, the response has been rather weak. Thus, in 2010 the government launched a pilot project called the Komet program, in which private forest owners in selected pilot areas initiated protective measures. Although criticized by environmental non-governmental organizations, the government decided after the pilot project terminated in 2014 to implement the Komet program’s working methods nationwide. In this thesis, PPPs’ potential to contribute to forest protection is analyzed by applying the “Ladder of Partnership Activity” framework, developed to study global PPPs, with appropriate modifications for a national context. The framework incorporates, in a stepwise manner, context, the actors’ motives relating to trust-building, the creation of collaborative advantages in the partnering process and the institutionalization of PPPs. The thesis contributes to an empirical understanding of top-down and bottom-up PPP processes. It is based on studies in which qualitative research methods were applied to examine selected cases presented in four papers, designated Papers I-IV. The main sources of information are qualitative interviews with involved forest actors and policy documents they have produced. Papers I and II focus particularly on trust-building and the partnering process as perceived by involved forest actors, while Papers III and IV address the institutionalization of PPPs and their requirements to change the political order of forest protection in accordance with governmental objectives. The results show that willingness to adopt PPPs is dependent on past experience of collaborative efforts. They also show there is substantial discretion in involved actors’ interpretation of prescribed guidelines, and their motives may vary substantially. However, as long as they share the same ultimate objective, i.e. to protect forests, PPPs may still be successfully established. A major potential problem is that public officials tend to prioritize protection of biodiversity, while forest owners want to protect social values and unproductive (“useless”) forests. Thus, shared motives are essential to establish trust and initiate collaborative efforts. The voluntary element of initiatives supported by the Komet program appears to be essential for deliberation. PPPs need to be implemented nationwide to be institutionalized. However, the Swedish government has not provided sufficient resources and leadership capacity to enable PPPs to play their envisaged role in its forest governance system. If the government wants to adopt bottom-up approaches, it needs to provide sufficient resources so that the partnerships does not compete with other formal instruments and protection arrangements. Furthermore, coordination within and between sectors needs to be improved to clarify the purpose of the policy recommendations.

In the early 90’s the Indian state of Himachal Pradesh (HP) initiated Joint Forest Management (JFM) in order to share responsibilities for managing, protecting and making decisions about government owned forests with local users. The purpose of this study was to consider how the JFM approach is currently being practiced, particularly the role of women in decision-making and the learning outcomes for all participants as a result of their involvement. The research used a qualitative, case study approach involving two mountain communities, Solang and Khakhnal. Data were collected through participant observation, semi-structured interviews and transect walks. The study revealed that a number of factors, including ownership rights, sharing management responsibilities and underrepresentation of women within village forest committees, greatly influence collaboration among the forest-dependent communities, NGO’s and the forest department. Further, the data indicate that individual and social learning did occur through participation in JFM activities. / October 2016

Submitted by Patricia Gallo (pgblima@gmail.com) on 2017-12-18T17:49:28Z No. of bitstreams: 1 Patricia_GalloBLima.pdf: 4045880 bytes, checksum: 00a8a2a2a8630e7365a580eb626abaad (MD5) / Approved for entry into archive by Raphael Vilas Boas (raphaelboas@ibict.br) on 2017-12-19T16:17:46Z (GMT) No. of bitstreams: 1 Patricia_GalloBLima.pdf: 4045880 bytes, checksum: 00a8a2a2a8630e7365a580eb626abaad (MD5) / Made available in DSpace on 2017-12-19T16:17:47Z (GMT). No. of bitstreams: 1 Patricia_GalloBLima.pdf: 4045880 bytes, checksum: 00a8a2a2a8630e7365a580eb626abaad (MD5) Previous issue date: 2017 / Coordenação de Aperfeicoamento de Pessoal de Nível Superior / Reducing Emissions from Deforestation and Forest Degradation (REDD+) is now a significant piece of the international climate agreement. This present dissertation aims to investigate the overall framework of REDD+ development as a national strategy in Brazil. Moreover, it focuses on identifying the major challenges and policy constraints of this development design process. A further aim is at the end of the research to proffer pathways for improvement of domestic forest governance in Brazil. Using the sustainable forest landscape governance approach as the overarching conceptual for an effective REDD+ implementation within the Brazilian context and, building on this analysis, the conclusions advance some considerations on what features should be prioritised in the development and establishment of the Brazilian REDD+ national strategy. This dissertation is a grounded theoretical analysis and is centered on the conception that although REDD+ is strongly treated by the Federal Government as an expansion of its actions with regard to sustainable development, by turning forests into an economic asset and strengthening institutions and laws, it is much more likely that Brazil can deal with the environmental challenges it has been facing. / Reducing Emissions from Deforestation and Forest Degradation (REDD+) is now a significant piece of the international climate agreement. This present dissertation aims to investigate the overall framework of REDD+ development as a national strategy in Brazil. Moreover, it focuses on identifying the major challenges and policy constraints of this development design process. A further aim is at the end of the research to proffer pathways for improvement of domestic forest governance in Brazil. Using the sustainable forest landscape governance approach as the overarching conceptual for an effective REDD+ implementation within the Brazilian context and, building on this analysis, the conclusions advance some considerations on what features should be prioritised in the development and establishment of the Brazilian REDD+ national strategy. This dissertation is a grounded theoretical analysis and is centered on the conception that although REDD+ is strongly treated by the Federal Government as an expansion of its actions with regard to sustainable development, by turning forests into an economic asset and strengthening institutions and laws, it is much more likely that Brazil can deal with the environmental challenges it has been facing.

Since 2001, the forest sector and forest communities across Northern Ontario have experienced many challenges. In response, there has been significant provincial debate and policy reform surrounding the use and control of Crown forests, and some local leaders have established the Northeast Superior Forest Community Corporation (NSFC) under the federal Forest Communities Program (FCP) to collaborate for much needed economic and governance alternatives. This process has been difficult and characterized by uncertainty and conflict. This research examines evolving social framings of Northern Ontario’s ‘forestry crisis’ and the consequences of uneven power relations in the Northeast Superior Region of Ontario, Canada. Four core research questions were pursued: 1) how do different actors frame the forestry crisis in the Northeast Superior Region (e.g., problems, solutions and different actors)? 2) Do actors’ frames change over time? 3) What forms and sources of power are present and how do they influence, if at all, the construction of shared meaning? 4) How does social learning influence the way actors approach forest management problems related to policy, planning and practice? A single embedded case study design and mixed methods approach enabled analysis at the regional and organizational scales, for the period 2001-2009. A key informant survey assessed regional public-civic-private perceptions regarding the use and control of Crown forests. Fifty-nine interviews and over 200 documents from local and regional newspapers and reports were examined. Direct observations from two NSFC meetings and two regional conferences regarding Ontario’s forest governance challenges supplemented these data. Actors’ contrasting and shifting views were coded using QSR Nvivo 7 and analyzed for convergence as evidence of collective reframing. Survey results and frame analysis established two main perspectives of the ‘forestry crisis’: 1) a conventional perspective in which forest companies hold the primary interest in resource extraction as policy agents; and, 2) an alternative view that seeks increased municipal and Aboriginal control of forests to achieve equity and provide regional stability. Power relations reinforced an entrenched community of interest, including both internal and external actors (e.g., investors, mill managers and workers, bush workers, and government regulators), that has formed around a common goal and/or set of beliefs (i.e., timber extraction and scientific forestry). These interests have historically reproduced uneven social relations and overridden communities of place and collective place-based identities. The analysis builds to 14 conclusions that address the core research questions, highlights of which include: • Social framings of the forestry crisis in the Northeast Superior Region, as well as identities and local culture, are mediated by core-periphery dynamics. Such conditions normalize ongoing community instability and oversimplify notions of sustainability which prioritize a perpetual timber supply and economic values. • Commitment to place before interests provides a basis to develop trust and mutual understanding of each other and shared problems, and enable reframing of common identities based on shared values and local problems/opportunities. • Public control and collaboration are strongly valued in the Northeast Superior Region. Many leaders and residents want control over resources devolved to the municipal level; however, awareness and a model for effective implementation are needed. • Independent local forums are valuable for developing alternative and representative social framings. • Relational power works to consolidate various forms of agent-based power in dominant actors rather than facilitating its distribution. • Actors with unmatched positional and expertise power can (un)intentionally subvert reframing processes through limiting the participation of dissenters, thereby controlling the organizational framings guiding actions. • Dominant social relations influenced the perceived range of reasonable or desirable options as dominant actors bounded the problem to serve conventional interests, which in turn constrained debate about solutions. • Reframing a common place-based identity inclusive of Aboriginals and municipalities requires the willing redistribution of agent-based power and full recognition of Aboriginal and Treaty Rights. This research builds understanding of how power relations affect the social framings that drive action in settings of crisis, conflict and uncertainty, and provides new evidence to bridge concepts from framing and social learning theory. It supports the premise that social learning is a political process inherent in multi-party collaboration, in which reconciliation of individual and group identities occurs alongside the negotiation of problem and solution definitions. By documenting regional and NSFC perspectives, this research supports the search for alternative tenure models to reinvigorate Ontario’s forest economy and communities. Ten recommendations for NSFC, the Forest Communities Program or emerging collaborative organizations focus on organizational governance and practice to improve conditions affecting power relations and social learning. Main points include considering the need to organize culturally appropriate public workshops on forest issues to meet the need for deliberative space; increase access to organizational information and opportunities for NSFC plans to be publicly reviewed; actively participate in Ontario tenure policy reform discussions to develop, publicize and implement policy alternatives; support Aboriginal and Treaty Rights and meaningful resolution of First Nations settlement negotiations; expand NSFC board representation to include at-large public and ex-officio provincial members; decentralize organizational structures to establish a physical presence in partner communities and draw on leadership and capacity from the whole region; and, establish an explicit rationale for and clearly identify geographical boundaries for the organization.

Collaborative forest governance is viewed as promising for sustainable forestry because it allows forest-based communities to participate directly in management activities and benefit from resource use or protection. Forest-based communities are important because they provide contextual knowledge about the forestry resources being managed. Collaborative forest governance can be strengthened through social learning. Despite significant research on social learning in environmental governance, it is not clear how social learning evolves over time, who has access to social learning opportunities, who influences social learning, and whether learning influences management effectiveness. This study investigated the contributions of social learning to collaborative forest governance in two forest-based organizations: Harrop-Procter Community Forest in Canada, and Kapeka Integrated Conservation Development Agency in Uganda. Data were collected using personal interviews, key person interviews, focus group meetings, and participant observation. Results revealed that in both organizations, participants started engaging in forest management with limited information and learned as they engaged in various activities. In addition, for both organizations, government set the context for what was learned through forest policy. Nevertheless, learning was influenced by the governance structure chosen in the Canadian case whereas learning was influenced by non-governmental organizations in the Ugandan case. As the Canadian organization became effective at complying with forestry legislation over time, learning opportunities and outcomes became more restricted, especially for women. Meanwhile at the Ugandan organization, learning opportunities and outcomes remained restricted for illiterate people irrespective of their gender. In conclusion, this study’s findings suggest that the prevalent view that social learning increases collaboration and collective action in forest resource management cannot be assumed.

Since 2001, the forest sector and forest communities across Northern Ontario have experienced many challenges. In response, there has been significant provincial debate and policy reform surrounding the use and control of Crown forests, and some local leaders have established the Northeast Superior Forest Community Corporation (NSFC) under the federal Forest Communities Program (FCP) to collaborate for much needed economic and governance alternatives. This process has been difficult and characterized by uncertainty and conflict. This research examines evolving social framings of Northern Ontario’s ‘forestry crisis’ and the consequences of uneven power relations in the Northeast Superior Region of Ontario, Canada. Four core research questions were pursued: 1) how do different actors frame the forestry crisis in the Northeast Superior Region (e.g., problems, solutions and different actors)? 2) Do actors’ frames change over time? 3) What forms and sources of power are present and how do they influence, if at all, the construction of shared meaning? 4) How does social learning influence the way actors approach forest management problems related to policy, planning and practice? A single embedded case study design and mixed methods approach enabled analysis at the regional and organizational scales, for the period 2001-2009. A key informant survey assessed regional public-civic-private perceptions regarding the use and control of Crown forests. Fifty-nine interviews and over 200 documents from local and regional newspapers and reports were examined. Direct observations from two NSFC meetings and two regional conferences regarding Ontario’s forest governance challenges supplemented these data. Actors’ contrasting and shifting views were coded using QSR Nvivo 7 and analyzed for convergence as evidence of collective reframing. Survey results and frame analysis established two main perspectives of the ‘forestry crisis’: 1) a conventional perspective in which forest companies hold the primary interest in resource extraction as policy agents; and, 2) an alternative view that seeks increased municipal and Aboriginal control of forests to achieve equity and provide regional stability. Power relations reinforced an entrenched community of interest, including both internal and external actors (e.g., investors, mill managers and workers, bush workers, and government regulators), that has formed around a common goal and/or set of beliefs (i.e., timber extraction and scientific forestry). These interests have historically reproduced uneven social relations and overridden communities of place and collective place-based identities. The analysis builds to 14 conclusions that address the core research questions, highlights of which include: • Social framings of the forestry crisis in the Northeast Superior Region, as well as identities and local culture, are mediated by core-periphery dynamics. Such conditions normalize ongoing community instability and oversimplify notions of sustainability which prioritize a perpetual timber supply and economic values. • Commitment to place before interests provides a basis to develop trust and mutual understanding of each other and shared problems, and enable reframing of common identities based on shared values and local problems/opportunities. • Public control and collaboration are strongly valued in the Northeast Superior Region. Many leaders and residents want control over resources devolved to the municipal level; however, awareness and a model for effective implementation are needed. • Independent local forums are valuable for developing alternative and representative social framings. • Relational power works to consolidate various forms of agent-based power in dominant actors rather than facilitating its distribution. • Actors with unmatched positional and expertise power can (un)intentionally subvert reframing processes through limiting the participation of dissenters, thereby controlling the organizational framings guiding actions. • Dominant social relations influenced the perceived range of reasonable or desirable options as dominant actors bounded the problem to serve conventional interests, which in turn constrained debate about solutions. • Reframing a common place-based identity inclusive of Aboriginals and municipalities requires the willing redistribution of agent-based power and full recognition of Aboriginal and Treaty Rights. This research builds understanding of how power relations affect the social framings that drive action in settings of crisis, conflict and uncertainty, and provides new evidence to bridge concepts from framing and social learning theory. It supports the premise that social learning is a political process inherent in multi-party collaboration, in which reconciliation of individual and group identities occurs alongside the negotiation of problem and solution definitions. By documenting regional and NSFC perspectives, this research supports the search for alternative tenure models to reinvigorate Ontario’s forest economy and communities. Ten recommendations for NSFC, the Forest Communities Program or emerging collaborative organizations focus on organizational governance and practice to improve conditions affecting power relations and social learning. Main points include considering the need to organize culturally appropriate public workshops on forest issues to meet the need for deliberative space; increase access to organizational information and opportunities for NSFC plans to be publicly reviewed; actively participate in Ontario tenure policy reform discussions to develop, publicize and implement policy alternatives; support Aboriginal and Treaty Rights and meaningful resolution of First Nations settlement negotiations; expand NSFC board representation to include at-large public and ex-officio provincial members; decentralize organizational structures to establish a physical presence in partner communities and draw on leadership and capacity from the whole region; and, establish an explicit rationale for and clearly identify geographical boundaries for the organization.

<p>Claims of injustice in global forest governance are prolific: assertions of colonization, marginalization and disenfranchisement of forest-dependent people, and privatization of common resources are some of the most severe allegations of injustice resulting from globally-driven forest conservation initiatives. At its core, the debate over the future of the world's forests is fraught with ethical concerns. Policy makers are not only deciding how forests should be governed, but also who will be winners, losers, and who should have a voice in the decision-making processes. For 30 years, policy makers have sought to redress the concerns of the world's 1.6 billion forest-dependent poor by introducing rights-based and participatory approaches to conservation. Despite these efforts, however, claims of injustice persist. This research examines possible explanations for continued claims of injustice by asking: What are the barriers to delivering justice to forest-dependent communities? Using data collected through surveys, interviews, and collaborative event ethnography in Laos and at the Tenth Conference of Parties to the Convention on Biological Diversity, this dissertation examines the pursuit of justice in global forest governance across multiple scales of governance. The findings reveal that particular conceptualizations of justice have become a central part of the metanormative fabric of global environmental governance, inhibiting institutional evolution and therewith perpetuating the justice gap in global forest governance.</p> / Dissertation

Nas últimas décadas, novas formas de governança das florestas vêm se estabelecendo a partir da participação de diferentes atores sociais que interagem em arenas de ação para promover a gestão sustentável das florestas nativas na América do Sul. O objetivo deste estudo é apresentar uma discussão sobre os arranjos de Governança e Política Florestal que têm como desafios promover o uso sustentável das florestas nativas e solucionar problemas relacionados à degradação, exploração ilegal dos recursos florestais e ao desmatamento. O estudo foi realizado em dois países da América do Sul, onde novos desafios são apresentados para os atores envolvidos na implementação de novas leis, como a Lei de Bosques Nativos (no Chile) e a Lei de Gestão de Florestas Públicas (no Brasil). A partir da perspectiva teórica, se identificou a necessidade tanto da Análise Institucional (OSTROM, 1990; TUCKER; OSTROM, 2009) quanto da Abordagem da Análise com Base na Prática (ARTS et al., 2013; BEHAGEL et al., 2013), o que determina que o conjunto de instituições (legislações, normativas, regras em uso) nem sempre produzem os resultados desejados ou projetados, e que os atores envolvidos têm a capacidade de transformar e alterar os acordos e instituições (CLEAVER, 2012), modificando o percurso da implementação de políticas públicas, conforme seus interesses e com base em suas lógicas. Os métodos de análise qualitativa possibilitaram a interpretação dos dados coletados, a partir de entrevistas com atores envolvidos na agenda florestal em diversas escalas (internacional e doméstica). Os resultados evidenciam que, apesar de existir uma arena de ação com múltiplos atores, as mudanças institucionais nem sempre promovem mudanças na prática, pois a governança florestal deve promover novos padrões de gestão, onde se valoriza o múltiplo uso das florestas proporcionando a sustentabilidade no manejo e o desenvolvimento de comunidades inseridas no contexto das florestas nativas. / In the past decades, new forms of forest governance have been established through the participation and the interaction of the different social actors in action arena to promote the sustainable management of native forests in South America. The objective of this study is to discuss the challenges faced by governance arrangements and forestry policy in promoting the sustainable use of native forests and in implementing solutions to the problems of degradation, illegal exploitation of forestry resources and deforestation. The study was undertaken in two South American countries, Brazil and Chile, where the implementation of new legislation such as the Law of Native Forests (in Chile) and the Law on the Management of Public Forests (in Brazil) present important challenges. From a theoretical perspective, the study builds on Institutional Analysis (OSTROM, 1990; TUCKER; OSTROM, 2009) as well as on Practice Based Approach Analysis (ARTS et al., 2013; BEHAGEL et al., 2013). The practice based approach indicates that institutions (legislation, norms, rules in use) do not always produce the desired or expected results. In addition, actors involved in such institutions have the capacity to transform them and to alter agreements (CLEAVER, 2012). By doing so, they modify the way in which public policies are implemented according to their interests and based on their logic. The methods used for qualitative analysis determined the interpretation of the data collected from interviews with actors involved in the development of forest agenda at differents levels (international and domestic). The results demonstrate that despite the existence of an action arena with multiple actors, institutional changes do not always bring modifications in practice. Accordingly, forest governance should promote new forms of management, emphasising multiple uses of forests, providing sustainable management and inserting communities in the context of native forests.

Submitted by Eduardo Bizzo de Pinho Borges (ebizzo@gmail.com) on 2016-01-23T14:06:55Z No. of bitstreams: 1 Dissertação Eduardo Bizzo.pdf: 5149406 bytes, checksum: 60726026789111c8c36070a24abb6c55 (MD5) / Approved for entry into archive by ÁUREA CORRÊA DA FONSECA CORRÊA DA FONSECA (aurea.fonseca@fgv.br) on 2016-02-05T18:08:04Z (GMT) No. of bitstreams: 1 Dissertação Eduardo Bizzo.pdf: 5149406 bytes, checksum: 60726026789111c8c36070a24abb6c55 (MD5) / Approved for entry into archive by Maria Almeida (maria.socorro@fgv.br) on 2016-02-22T13:49:17Z (GMT) No. of bitstreams: 1 Dissertação Eduardo Bizzo.pdf: 5149406 bytes, checksum: 60726026789111c8c36070a24abb6c55 (MD5) / Made available in DSpace on 2016-02-22T13:49:34Z (GMT). No. of bitstreams: 1 Dissertação Eduardo Bizzo.pdf: 5149406 bytes, checksum: 60726026789111c8c36070a24abb6c55 (MD5) Previous issue date: 2015-12-10 / The effectiveness of policies to reduce deforestation depends on the capacity of national and sub-national governments, together with society and the market, for formulating, implementing and supervising those policies. Such capacity reflects the quality of forest governance, a concept that refers to the exercise of power in the political process related to the use of forest resources and which has the transparency as one of its key components. Whereas the Access to Information Law (LAI) is one of the most important legal instruments in order to ensure transparency to the Brazilian Public Administration, this study evaluates the transparency of state institutions responsible for the forest governance in the Amazon, through the degree of compliance with LAI. The results point to a still low implementation of this law in the active transparency (the dissemination of information regardless of order), and especially in passive transparency (responses to access to information requests). On this subject, only 15.7% of the requests prepared were responded on legal term, with a mean of 11.7 days response and the accuracy rate of only 5%. This low implementation is adherent to the hypothesis that the factors that would encourage the adoption of transparency mechanisms in the region are weaker than their barriers. / A efetividade das políticas para a redução do desmatamento depende da capacidade dos governos nacionais e subnacionais, em conjunto com a sociedade e o mercado, em formular, implementar e fiscalizar tais políticas. Tal capacidade reflete a qualidade da governança florestal, conceito que se refere ao exercício de poder no processo político relacionado à utilização de recursos florestais e que tem a transparência como um de seus componentes fundamentais. Considerando que a Lei de Acesso à Informação (LAI) é um dos mais relevantes instrumentos legais com propósito de assegurar transparência à administração pública brasileira, o presente trabalho avalia a transparência das instituições estaduais responsáveis pela política florestal na Amazônia, por meio do grau de cumprimento da LAI. Os resultados apontam para uma implementação ainda baixa desta Lei na transparência ativa (informações que divulgam independente de pedidos) e, principalmente, na transparência passiva (respostas a pedidos de acesso à informação). Neste assunto, apenas 15,7% dos pedidos foram respondidos no prazo, com tempo médio de resposta de 11,7 dias e a taxa de precisão de apenas 5%. A baixa implementação de facto é aderente à hipótese de que os fatores que incentivariam a adoção de mecanismos de transparência na região são mais fracos que suas barreiras.

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