The Sustainable Forest Management (SFM) was first introduced in all commercial forest reserves in Sabah in 1997. This policy gives hope to the state government to manage the forests in a sustainable manner following the forest development phase of revenue oriented timber exploitation, which has contributed to the decline in forest resources; the increase in forest degradation and the decrease in state income earned from the forestry sector. Under the SFM concept, the forest of the state was divided into Forest Management Units (FMUs) managed by FMU holders under different institutional arrangements of state, state enterprise and private sector. This study was conducted to investigate the corporate-stakeholder interrelation under the SFM concept implemented by the FMU holder in Sabah, Malaysia. The research was based on the ‘Triple Typology Perspective of Stakeholder Theory’, which encapsulates three different perspectives of ‘conceptual’, ‘corporate’ and ‘stakeholder’ centric. The ‘conceptual’ perspective explores the overall SFM concept and its relation to the FMU holder – stakeholder interaction. The ‘corporate’ view investigates how the FMU holders as the corporate part of the SFM concept deals with their stakeholders; and the ‘stakeholder’ perspective analyses the relation between stakeholders, the FMU holders and SFM implementation. Stakeholder analysis was used to gather information with the application of methods incorporating literature reviews, expert interviews, focus groups, meetings and discussion, questionnaire surveys and Q methodology. Four FMUs were selected as study areas, which managed by the state, state enterprise and private sector. The respondents were encompassed personal of Sabah Forestry Department (SFD), FMU managers and FMU workers, various governmental and non-governmental agencies, and local communities of eight villages located within and in the fringe of FMU areas involved in the study. Under the ‘conceptual centric’, different groups of stakeholders were identified based on SFM documentation, which also provide the normative basis for the SFM concept. The contemporary implementation of SFM was assessed based on stakeholders’ perspective, which indicated that the overall SFM contribution entailed mainly on satisfaction of environment objectives, followed by economic and, to a lesser degree, social objectives. Different categories of stakeholders were identified based on their perceptions of various issues under SFM implementation. These include the level of cooperation or conflict; degree of stakeholder participation; views of specific individuals and a thorough comparison of individual subjectivity. There is, however, an agreement to the statements on the influential factors towards effective SFM implementation, which include the administration and leadership of SFD, and good collaboration between SFD and the FMU holders. Other consensuses were related to the roles of participation in promoting learning about synergy and the importance of various forest uses, and that it should be able to influence the decision-making during the consultation process. The implementation of SFM was agreed in influencing towards investment in the forestry sector and the development of the rural area in the state. The ‘corporate centric’ indicates the different approaches of stakeholder management under the different arrangements of FMU holders. The SFM operations with a high level of stakeholder involvement were identified as community forestry programme followed by forest conservation, forest protection, development and preparation of plans, administration, human resource development, and research and development. The important stakeholders, according to their degree of involvement in SFM operations were the internal stakeholders of FMU workers, followed by external stakeholders of the staff of SFD, contractors, local communities, local authorities, consultants, businessmen/traders and researchers/scientists. Other stakeholders were various state government agencies, manufacturers, shareholders, NGOs (local), international agencies, NGOs (international), donors, federal government agencies and other FMU holders. The ‘stakeholder centric’ identifies the various stakeholders interests and claims associated with SFM implementation that depend on stakeholder affiliation. The main groups in this study were multi-interest stakeholder groups (n=104) and the local community groups of the selected villages (n=332). The interests and claims of the multi-interest stakeholder group were related to SFM objectives such as good management of the forest, protection and conservation of environment and biodiversity, and protection of water catchment areas. The local community groups, on the other hand, were mainly concerned with the importance of the forest as a source for foods, land for agriculture and other livelihood purposes. There are various approaches for stakeholder relation management (SRM) that are employed by the FMU holders and stakeholders. These may consist of management quality system, CSR program, the community forest development project; inter agency meetings and dialogue; and collaboration and cooperation with other agencies and institutions. SRM can assist in balancing conflicts that arise, promoting cooperation, and advancing the knowledge and understanding on the SFM concept among the stakeholders. The SRM approaches under the SFM implementation can augment participation by the stakeholders, which in turn will promote effective and efficient implementation of SFM. The mutual relation of the SFM concept and SRM is advancing stakeholder participation in promoting effective implementation of SFM at the FMU level. The inter-relation of the ‘triple perspective typology of stakeholder theory’ was integrated as new contexts to achieve objectives for sustainability under SFM policy, with the business case of corporate sustainability, and the wider scope of the ecosystem approach and the sustainable development. / Das Konzept Sustainable Forest Management (SFM) wurde erstmals in allen kommerziellen Waldreservaten in Sabah, Malaysia, im Jahr 1997 eingeführt. Mit dieser Politik verbindet die Landesregierung die Hoffnung, dass die Wälder nun in einer nachhaltigen Art und Weise bewirtschaftet werden können, nachdem die fast ausschließlich auf Einnahmen orientierte Holznutzung zum Rückgang der Waldbestände, zur Zunahme der Waldzerstörung und damit letztendlich auch zum Rückgang der Staatseinnahmen aus der Forstwirtschaft beigetragen hat. Zur Umsetzung des SFM-Konzepts wurde der Staatswald in Forest Management Units (FMU) unterteilt, die von FMU Haltern aus verschiedenen Staatsinstitutionen, Staatsunternehmen und der Privatwirtschaft verwaltet werden. Die vorliegende Arbeit untersucht das Verhältnis zwischen Unternehmen als FMU-Bewirtschaftern und Stakeholdern im Konzept nachhaltiger Waldbewirtschaftung, das von FMUs in Sabah, Malaysia implementiert wurde. Die Arbeit basiert auf der „Triple-Typology Perspective of Stakeholder Theory“, welche drei verschiedene Perspektiven beinhaltet, die konzeptionell, unternehmensbezogen oder Stakeholder-zentriert sind. Dabei untersucht die konzeptionelle Perspektive SFM-Konzepte und die daraus resultierenden Beziehungen zwischen FMU-Bewirtschafter und ihren jeweiligen Stakeholdern. Die unternehmenszentrierte Sicht legt den Schwerpunkt darauf, wie FMU-Bewirtschafter als Teil des SFM-Konzeptes mit Stakeholdern interagieren. Die Stakeholder-Perspektive analysiert das Verhältnis zwischen Stakeholdern, FMU-Bewirtschafter und der SFM-Implementierung. Die Daten wurden mit Hilfe der Stakeholder-Theorie unter Anwendung quantitativer und qualitativer Methoden wie Literaturrecherche, Experteninterviews, Fokusgruppen, informellen Treffen und Diskussionsrunden, schriftlichen Befragungen und der Q-Methodologie erhoben. Als Untersuchungseinheiten wurden vier FMUs ausgewählt, die durch den Staat, den staatlichen Forstbetrieb und den privatem Sektor bewirtschaftet werden. Die Befragungsteilnehmer setzten sich aus Personal der Forstverwaltung Sabah (Sabah Forestry Department, SFD), den FMU-Bewirtschaftern und –Mitarbeitern, verschiedenen Regierungs- und Nicht-Regierungsorganisationen und lokalen Gemeinschaften in acht Dörfern innerhalb sowie im Randgebiet der FMUs zusammen. In Bezug auf die konzeptionelle Perspektive wurden, basierend auf der SFM-Dokumentation, verschiedene Stakeholder-Gruppen identifiziert, die die normative Basis für das SFM-Konzept liefern. Dessen Implementation wurde aus Sicht der Stakeholder analysiert. Es zeigte sich, dass der gesamte Beitrag zum SFM vornehmlich umweltbezogene Zielsetzungen erfüllt, gefolgt von ökonomischen und, zu einem noch geringeren Grad, sozialen Zielen. Mehrere Kategorien von Stakeholdern wurden auf Grundlage ihrer Wahrnehmung verschiedener Aspekte im Zuge der SFM-Implementation identifiziert. Diese umfassen die Kooperations- oder Konfliktebene, den Grad der Stakeholder-Beteiligung sowie individuelle Betrachtungen. Es gibt eine Übereinstimmung zu Äußerungen, welche Einflussfaktoren hinsichtlich effektiver SFM-Implementierung entscheidend sind. Dabei wurden vor allem das Management und die Führung der, der SFD sowie gute Zusammenarbeit zwischen dem SFD und den FMU-Bewirtschaftern genannt. Weitere Übereinstimmung besteht darin, die Weiterbildung über die Bedeutung unterschiedlicher Waldnutzungen und deren Ausbalancierung zu stärken, um die Entscheidungsfindung im Konsultationsprozess beeinflussen zu können. Auch herrschte Einigkeit darin, durch Investition in den Forstsektor und Entwicklung ländlicher Regionen die Implementation von SFM zu stärken. Der unternehmensbezogene Fokus konzentriert sich auf die verschiedenen Ansätze des Stakeholder-Managements unter unterschiedlichen Charakteristika der FMU-Bewirtschafter. SFM-Maßnahmen mit einem hohen Grad an Stakeholder-Beteiligung sind Gemeinschaftsforstprogramme (community forestry programmes), gefolgt von Waldnaturschutz, Waldschutz, Entwicklung und Vorbereitung von Plänen, Verwaltung, die Entwicklung von Humanressourcen sowie Forschung und Entwicklung. Die wichtigsten Stakeholder, bezogen auf ihren Beteiligungsgrad in SFM-Maßnahmen, waren intern die Mitarbeiter der FMUs und extern die Mitarbeiter der SFD, Vertragsnehmer, lokale Gemeinschaftsgruppen und Verwaltungen, Berater, Geschäftsleute/Händler und Forscher/Wissenschaftler. Weitere Stakeholder waren verschiedene Regierungsorganisationen, Produzenten, Aktionäre, internationale Behörden, lokale und internationale NGOs, Behörden der föderalen Regierung und andere FMU-Bewirtschafter. Die Stakeholder Perspektive identifiziert verschiedene Interessen und Forderungen der Stakeholder, die sich auf die SFM-Implementation beziehen und von der Stakeholder-Zugehörigkeit abhängen. Die Hauptgruppen in dieser Studie waren sogenannte Mehrinteressen-Stakeholder-Gruppen (n=104) und lokale Gemeinschaftsgruppen (n=332). Die Interessen und Forderungen der Mehrinteressen-Stakeholder-Gruppen waren bezogen auf SFM-Ziele wie gute Waldbewirtschaftung, Schutz und Erhaltung der Umwelt und Biodiversität sowie Schutz von Wassereinzugsgebieten. Andererseits stand der Wald als Quelle für Nahrung, landwirtschaftliche Flächen und andere Aspekte des Lebensunterhaltes im Mittelpunkt des Interesses lokaler Gemeinschaftsgruppen. Es gibt zahlreiche Ansätze für das Management von Stakeholder-Beziehungen (Stakeholder Relation Management, SRM), welches durch FMU-Bewirtschafter und Stakeholder genutzt wird. Der SRM-Ansatz besteht aus dem Bewirtschaftungsqualitätssystem, CSR-Programm, dem Gemeinschaftswaldentwicklungsprojekt, multilateralen Treffen und Dialog zwischen den Behörden, und Zusammenarbeit und Kooperation mit anderen Behörden und Organisationen. SRM kann dazu dienen, mögliche Konflikte auszubalancieren, Kooperation zu begünstigen sowie das Wissen und Verständnis von SFM zu fördern. Die Einbindung von SRM in die Implementation von SFM erweitert die Beteiligung der Stakeholder, was wiederum zu einer effektiveren und effizienteren Implementation von SFM auf FMU-Ebene führen kann. Die Wechselbeziehungen zwischen der „Triple-Perspective Typology of Stakeholder Theory“ und dem Ökosystemansatz, der unternehmensbezogenen Nachhaltigkeit und dem Konzept des Sustainable Forest Management bilden die Grundlage, um das Ziel einer umfassenden Nachhaltigkeit zu erreichen.

La situation de la forêt tropicale dans les pays en développement en général, et en République Démocratique du Congo (RDC) en particulier, est inquiétante. Les émissions de dioxyde de carbone dues au déboisement sont de l’ordre de 1,6 GtCO2e/an, soit 17% des émissions mondiales de « gaz à effet de serre ». Sous l’égide de la Convention-cadre des Nations Unies sur les changements climatiques, le REDD+ a été institué pour lutter contre cette déforestation et la dégradation des forêts. Cette étude examine les différentes opportunités qu’offre ce programme pour l’aménagement écosystémique du couvert forestier de la RDC et les obstacles contextuels à sa mise en oeuvre. Pour la RDC, le REDD+ présente un certain nombre d’opportunités : réduction des émissions liées au déboisement et à la dégradation des forêts; amorce des travaux d’afforestation et de reforestation par une gestion durable des ressources conduisant à la création des emplois et favorisant la croissance des PIB et des exports; accroissement du rendement et maintien d’une plus grande couverture des besoins alimentaires. Le REDD+ peut favoriser la croissance du Produit intérieur brut agricole. Il peut contribuer à l’électrification des ménages et réduire de moitié les dépenses des ménages dépendant de l’exploitation minière et des hydrocarbures et, ainsi, générer des milliers d’emplois en infrastructures. Pour les populations locales et autochtones, il peut contribuer aussi à protéger et à valoriser les cultures liées à la forêt. Mais, face aux pesanteurs d’ordre juridique, politique, social, économique, technologique et culturel caractéristiques de ce pays, ces opportunités risquent d’être amenuisées, sinon annihilées. Étant donné que l’essentiel du déploiement du dispositif du REDD+ se réalisera dans les zones rurales congolaises, l’obstacle majeur reste le droit coutumier. La solution serait d’harmoniser les exigences et finalités du REDD+ non seulement avec le Code forestier de 2002 et ses mesures d’exécution mais aussi avec le droit coutumier auquel les communautés locales et autochtones s’identifient. / The situation of the rainforest in developing countries in general and the Democratic Republic of Congo (DRC) in particular is worrying. Emissions of carbon dioxide from deforestation are about 1.6 GtCO2e/an, or 17% of global emissions of "greenhouse gases". Under the auspices of the UN Framework Convention on Climate Change, REDD+ has been established to fight against the deforestation and degradation of forests. This study examines the different opportunities offered by the program for ecosystem-based management of forest cover in the DRC and contextual barriers to its implementation. For the DRC, REDD+ has a number of opportunities: reducing emissions from deforestation and forest degradation; work begins afforestation and reforestation for sustainable management of resources leading to job creation and promoting the growth of GDP and exports, increased yield and maintaining greater food needs. The REDD+ can promote the growth of the agricultural gross domestic product. It can contribute to the electrification of households and halve spending dependent on mining and oil and thus generate thousands of jobs in infrastructure. For local and indigenous communities, it can also help to protect and promote the cultures associated with the forest. But, faced with the burdens of legal, political, social, economic, technological and cultural characteristics of the country, these opportunities may be diminished, if not annihilated. Given that most of the deployment of the REDD+ will happen in Congolese rural areas, the major obstacle is the customary law. The solution would be to harmonize the requirements and objectives of REDD+ not only with the Forest Code of 2002 and its implementing rules but also with the customary law which local and indigenous communities identify.

Quantifier la totalité des apports atmosphériques, notamment particulaires, est nécessaire pour mieux comprendre les cycles biogéochimiques en vue d'une gestion durable des écosystèmes forestiers. En effet, l'intensification des récoltes de bois-énergie induit une pression nutritive supplémentaire sur les forêts. Le but de ce travail est de combler les lacunes concernant le dépôt atmosphérique particulaire (taux de dépôt, composition minéralogique et chimique), ainsi que d'étudier son influence sur les cycles biogéochimiques forestiers. Pour ce faire, un échantillonnage de 2 ans a été mis en place dans 4 hêtraies de la moitié Nord de la France. Un développement métrologique a été nécessaire pour concevoir les capteurs hors et sous canopée et pour séparer les particules de la phase dissoute puis compartimenter le dépôt particulaire en fonction du modèle conceptuel organo-minéral établi dans cette étude. Les résultats obtenus valident ce modèle et montrent (i) un taux de dépôt annuel de 19±3 kg.ha-1.an-1 de minéraux peu solubles témoignant d'origines diverses, (ii) des flux de nutriments inférieurs à ceux des dépôts dissous et de l'altération des minéraux du sol mais qui contribuent à améliorer la fertilité des forêts, (iii) un captage supplémentaire induit par la canopée et (iv) une dissolution des particules minérales lors de leur transport atmosphérique qui enrichit les précipitations en nutriments. Un échantillonnage optimisé sur le long terme est indispensable pour confirmer et préciser les tendances observées, en particulier concernant les épisodes de très fort dépôt particulaire et le dépôt sous la canopée / Quantifying the little-known inputs of atmospheric particulate deposition (APD) is critically important for a sustainable management of forest ecosystems. Indeed, harvesting and subsequent nutrient losses are going to increase so as to meet the demand in renewable energy, including fuel-wood. This work aims at filling this gap by (i) describing the deposition rate, mineralogical and chemical compositions of APD and (ii) evaluating the influence of APD nutrient inputs on forest biogeochemical cycles. To do so, 4 beech stands in North French forests were equipped for a 4-week sampling. After a metrological development, samplers out of and below canopy were used for a 2-year sampling, as well as methods to separate APD from atmospheric dissolved deposition. These methods were conceived to separate the organic and mineral fractions of APD according to the conceptual model designed in this work. My results validated this model and indicated (i) a quite constant deposition rate of 19±3 kg.ha-1.year-1 of hardly soluble minerals over the North of France, made of various minerals suggesting heterogeneous sources of particles, (ii) nutrient inputs inferior to those of atmospheric dissolved deposition and soil weathering, but improving ecosystem fertility, (iii) an interception effect of the canopy, and (iv) the dissolution of mineral particles in the atmosphere which enriched atmospheric dissolved deposition in nutrients. Extending and optimizing the sampling would allow confirming and clarifying these results, especially concerning high atmospheric load periods and APD below canopy

As mudanças nas políticas públicas ambientais que ocorreram a partir da década de 1990 têm levado comunidades tradicionais a trilharem novos caminhos na busca da adequação aos paradigmas contemporâneos de produção, renda e legalização ambiental. Neste contexto, passa a ser adotado um modelo de manejo florestal comunitário introduzido por agentes externos às comunidades. Este modelo tem sido objeto de avaliações econômicas que apontam para a inviabilidade financeira dos projetos, a despeito de outros benefícios sociais e ambientais. Os objetivos desta tese foram: analisar os desafios vivenciados pelas comunidades tradicionais para se adequarem às novas políticas ambientais e avaliar os resultados de projetos de manejo comunitários em relação aos meios de vidas de seus protagonistas. Será o modelo introduzido manejo florestal viável? Quais os resultados que os projetos que adotaram este modelo alcançaram em relação aos meios de vida? A tese compreende quatro estudos de casos, apresentados em capítulos. As análises e avaliações dos projetos foram realizadas utilizando-se como marco analítico os \"meios de vida sustentáveis\" (capital humano, social, físico, financeiro e natural). O levantamento de dados foi realizado por meio dos métodos de entrevistas, diálogo mediado pela floresta, pesquisa documental e observação participante. Os dados foram analisados com base em análise interpretativa, triangulação de dados, estatística descritiva, análise de variância e testes de médias. O primeiro estudo de caso analisou o projeto de manejo florestal de uma associação comunitária, no município de Boa Vista do Ramos - AM, no seu trajeto de organização social até a obtenção da licença ambiental e da certificação florestal. O segundo estudo, comparou os resultados advindos da extração de madeira entre extratores que desenvolveram projetos de manejo florestal, com os resultados daqueles que permaneceram praticando a extração ilegal de madeira. O terceiro e o quarto estudos de caso foram desenvolvidos na Reserva de Desenvolvimento Sustentável Mamirauá (RDSM). Um avaliando os resultados do manejo florestal comunitário e outro avaliando resultados de um esquema de REDD+ denominado Programa Bolsa Floresta, ambos em relação aos meios de vida de seus protagonistas. Os resultados gerais da pesquisa indicam que o modelo introduzido manejo florestal não se apresenta, ao menos sem um forte suporte externo, como um meio de vida sustentável para as comunidades tradicionais. O capital natural mostrou os melhores resultados e o capital financeiro, os piores. Os resultados indicam um viés das políticas públicas florestais a favor da conservação ambiental em detrimento da produção florestal. Em relação específica ao esquema de REDD+, os moradores da RDSM não o identificam como um mecanismo que contribui com o capital natural, porém, há uma percepção de melhorias relativas aos outros capitais. Conclui-se que: para o manejo florestal comunitário tornar-se um meio de vida sustentável, devem ser centrados esforços em questões de educação e capacitação das populações e valorização dos conhecimentos tradicionais (capital humano); fortalecimento das redes sociais/institucionais e estímulo à participação efetiva (capital social); maior autonomia, equidade e projetos de geração de renda (capital financeiro); para além de projetos que visem prioritariamente à conservação ambiental (capital natural). / Changes in environmental policy that have occurred since the 1990s has led traditional communities to tread new paths in search of adaptation to contemporary paradigms of production, income and environmental legalization. In this context, starts to be adopted a model of community forestry introduced by external agents to communities. This model has been the subject of economic evaluations that link to the financial unfeasibility of projects, regardless of other social and environmental benefits. The objectives of this thesis were: analyze the challenges experienced by traditional communities to conform to new environmental policies and evaluate community management projects in relation to the livelihoods of its protagonists. Is the introduced forest management model viable? What results the projects that have adopted this model have achieved in relation to the livelihoods? The thesis comprises four case studies presented in chapters. The analysis and evaluation of the projects were carried out using the \"sustainable livelihoods framework\" (human, social, physical, financial and natural, capitals). The survey was conducted through interviews, forest mediated dialogue, documental research and participant observation. Data were analyzed using interpretative analysis, triangulation, descriptive statistics, analysis of variance and tests for difference of means. The first case study examined the forest management project in a community association, in Boa Vista do Ramos county, Amazonas state, in their path of social organization to obtain the environmental license and forest certification. The second case study compared the results derived from logging between extractors that developed forest management projects, with the results of those who remained practicing illegal logging. The third and fourth case studies were developed within the Mamirauá Sustainable Development Reserve. One evaluating the outcomes of community forest management and other evaluating the outcomes of a REDD+ scheme, called Bolsa Floresta Program, both in relation to the livelihoods of its protagonists. The overall results of the survey indicate that the introduced forest management model does not present itself, at least without strong external support, as a sustainable livelihood for traditional communities. The natural capital showed the best results and financial capital, the worst. The results indicate a bias of forest policy in favor of environmental conservation at the expense of forest production. In specific relation to the REDD + scheme, residents of RDSM not identify it as a mechanism that contributes to the natural capital, however, there is a perception regarding other capital improvements. It is concluded that for the community forest management become a sustainable livelihood, efforts should be focused on issues of education and empowerment of people and appreciation of traditional knowledge (human capital); strengthening social / institutional networks and encouraging effective participation (social capital); greater autonomy, equity and income generating projects (financial capital); in addition to projects that aim primarily to environmental conservation (capital natural).

As mudanças nas políticas públicas ambientais que ocorreram a partir da década de 1990 têm levado comunidades tradicionais a trilharem novos caminhos na busca da adequação aos paradigmas contemporâneos de produção, renda e legalização ambiental. Neste contexto, passa a ser adotado um modelo de manejo florestal comunitário introduzido por agentes externos às comunidades. Este modelo tem sido objeto de avaliações econômicas que apontam para a inviabilidade financeira dos projetos, a despeito de outros benefícios sociais e ambientais. Os objetivos desta tese foram: analisar os desafios vivenciados pelas comunidades tradicionais para se adequarem às novas políticas ambientais e avaliar os resultados de projetos de manejo comunitários em relação aos meios de vidas de seus protagonistas. Será o modelo introduzido manejo florestal viável? Quais os resultados que os projetos que adotaram este modelo alcançaram em relação aos meios de vida? A tese compreende quatro estudos de casos, apresentados em capítulos. As análises e avaliações dos projetos foram realizadas utilizando-se como marco analítico os \"meios de vida sustentáveis\" (capital humano, social, físico, financeiro e natural). O levantamento de dados foi realizado por meio dos métodos de entrevistas, diálogo mediado pela floresta, pesquisa documental e observação participante. Os dados foram analisados com base em análise interpretativa, triangulação de dados, estatística descritiva, análise de variância e testes de médias. O primeiro estudo de caso analisou o projeto de manejo florestal de uma associação comunitária, no município de Boa Vista do Ramos - AM, no seu trajeto de organização social até a obtenção da licença ambiental e da certificação florestal. O segundo estudo, comparou os resultados advindos da extração de madeira entre extratores que desenvolveram projetos de manejo florestal, com os resultados daqueles que permaneceram praticando a extração ilegal de madeira. O terceiro e o quarto estudos de caso foram desenvolvidos na Reserva de Desenvolvimento Sustentável Mamirauá (RDSM). Um avaliando os resultados do manejo florestal comunitário e outro avaliando resultados de um esquema de REDD+ denominado Programa Bolsa Floresta, ambos em relação aos meios de vida de seus protagonistas. Os resultados gerais da pesquisa indicam que o modelo introduzido manejo florestal não se apresenta, ao menos sem um forte suporte externo, como um meio de vida sustentável para as comunidades tradicionais. O capital natural mostrou os melhores resultados e o capital financeiro, os piores. Os resultados indicam um viés das políticas públicas florestais a favor da conservação ambiental em detrimento da produção florestal. Em relação específica ao esquema de REDD+, os moradores da RDSM não o identificam como um mecanismo que contribui com o capital natural, porém, há uma percepção de melhorias relativas aos outros capitais. Conclui-se que: para o manejo florestal comunitário tornar-se um meio de vida sustentável, devem ser centrados esforços em questões de educação e capacitação das populações e valorização dos conhecimentos tradicionais (capital humano); fortalecimento das redes sociais/institucionais e estímulo à participação efetiva (capital social); maior autonomia, equidade e projetos de geração de renda (capital financeiro); para além de projetos que visem prioritariamente à conservação ambiental (capital natural). / Changes in environmental policy that have occurred since the 1990s has led traditional communities to tread new paths in search of adaptation to contemporary paradigms of production, income and environmental legalization. In this context, starts to be adopted a model of community forestry introduced by external agents to communities. This model has been the subject of economic evaluations that link to the financial unfeasibility of projects, regardless of other social and environmental benefits. The objectives of this thesis were: analyze the challenges experienced by traditional communities to conform to new environmental policies and evaluate community management projects in relation to the livelihoods of its protagonists. Is the introduced forest management model viable? What results the projects that have adopted this model have achieved in relation to the livelihoods? The thesis comprises four case studies presented in chapters. The analysis and evaluation of the projects were carried out using the \"sustainable livelihoods framework\" (human, social, physical, financial and natural, capitals). The survey was conducted through interviews, forest mediated dialogue, documental research and participant observation. Data were analyzed using interpretative analysis, triangulation, descriptive statistics, analysis of variance and tests for difference of means. The first case study examined the forest management project in a community association, in Boa Vista do Ramos county, Amazonas state, in their path of social organization to obtain the environmental license and forest certification. The second case study compared the results derived from logging between extractors that developed forest management projects, with the results of those who remained practicing illegal logging. The third and fourth case studies were developed within the Mamirauá Sustainable Development Reserve. One evaluating the outcomes of community forest management and other evaluating the outcomes of a REDD+ scheme, called Bolsa Floresta Program, both in relation to the livelihoods of its protagonists. The overall results of the survey indicate that the introduced forest management model does not present itself, at least without strong external support, as a sustainable livelihood for traditional communities. The natural capital showed the best results and financial capital, the worst. The results indicate a bias of forest policy in favor of environmental conservation at the expense of forest production. In specific relation to the REDD + scheme, residents of RDSM not identify it as a mechanism that contributes to the natural capital, however, there is a perception regarding other capital improvements. It is concluded that for the community forest management become a sustainable livelihood, efforts should be focused on issues of education and empowerment of people and appreciation of traditional knowledge (human capital); strengthening social / institutional networks and encouraging effective participation (social capital); greater autonomy, equity and income generating projects (financial capital); in addition to projects that aim primarily to environmental conservation (capital natural).

This study analyses the international timber trade between Malaysia and Europe with respect to the importance of environmental issues on trade and the role of Malaysia as a major timber exporter to Europe. It also evaluates the comparative advantage of Malaysian wood products and the willingness of French consumers (to represent European communities) to pay for sustainable forest management. The first part gives an overview the clashes of perception between developed and developing countries on the environmental concerns over trade. It was observed that environmental standards may act as non-tariff barriers to exporting countries. In addition, the stringent requirements posed by importing countries on technical, marking and labelling to some extent provide unnecessary barriers to trade. The second part deals with the role of Malaysia as a key player in the tropical timber trade. This part evaluates the main export market for Malaysian wood products to the world. For the purpose of this thesis, the analysis focuses on the European market. From the observations, it was found that the export of wooden furniture surpassed major timber exports in 2004. However, to penetrate the European market, Malaysia has to compete with the Chinese with their lower cost tropical wood products, and Brazil with their advantage in certification and labelling of tropical wood products. In tandem with that, the commitment towards sustainable forest management at national level causes shortage of raw materials in Malaysia. To a certain extent, the internal and external factors create necessary challenges to enter the European market. In the third part, the Balassa approach was used to classify the comparative advantage of Malaysia's twenty one types of wood products in Europe. It was estimated that Malaysia had high comparative advantage only in five products which were mechanized and intermediary industrial products. The products identified were sawn wood, wooden mouldings, plywood, veneer and builders' joinery and carpentry. The remaining products had lower comparative advantage and disadvantage to export to the European market based on the Balassa index. In the last part, the estimation on the willingness to pay for sustainable forest management attributes was conducted. Besides that, additional attributes such as fair trade and wood origin were included. A questionnaire was set up using all the attributes reflected in the hypothetical wood flooring product in the market. Based on the result, consumers were willing to pay the highest for the presence of fair trade and wood origin (in this study referring to French origin); nevertheless they were still willing to pay for sustainable aspects of forest. However, the willingness to pay for all the attributes was altered depending on the respondents' knowledge of forest labelling, their attitudes towards environmental preservation, living area, education level, type of job and income level. In the overall finding of the thesis, all the results from each part were synthesized in a systemic approach simultaneously deliberating on the macro and microeconomic perspectives as well as the dimensions on demand and supply. Overall, the findings suggest that the challenges and constraints facing the Malaysian timber industry indirectly shaped the export of Malaysian wooden products. Malaysia has adapted by going into value-added products to lessen the impact of environment-related trade barriers and to circumvent the shortage of raw materials supply. Malaysia has successfully customized the wooden products to the sustainability and legality requirements of the European market by pursuing the national certification (Malaysian Timber Certification) and being committed to sustainable forest management objectives.

[pt] A reabilitação de áreas rurais degradadas no Brasil tem como principal obstáculo a revitalização de seus aspectos socioeconômicos e ambientais. Nesse sentido, a partir de um diagnóstico do processo de degradação florestal ocorrido no estado de São Paulo, com ênfase na região do Vale do Paraíba Paulista, este trabalho propõe a concepção de Sítios Florestais de Produção (SFP) como alternativa estratégica para recuperação desses espaços. A característica desta proposta é a reabilitação da vegetação nativa com posterior exploração econômica por meio de Plano de Manejo Florestal Sustentável (PMFS). Nessa perspectiva, a metodologia utilizada nesta pesquisa consiste na apresentação de um estudo de caso que descreve as fases de implantação dos SFP, com respectivo levantamento de custos para sua aplicação no município de Cunha – SP, cujo território abarca vastas extensões de terras com baixa produtividade e uma emergente demanda por reabilitação econômica e ambiental. Os resultados previstos sugerem que o emprego desta proposta na região do estudo é uma opção tecnicamente viável para recuperação produtiva e ambiental de seu território, bem como um mecanismo eficiente para o cumprimento do disposto na Lei nº 12.651 de 2012 que regula a recomposição de Áreas de Preservação Permanente (APP) e Áreas de Reserva Legal Florestal (ARLF) em propriedades rurais do Brasil. Por fim, esta pesquisa pretende colaborar de forma direta para o desenvolvimento econômico, social e ambiental de áreas rurais degradadas do território brasileiro, assim como servir de referencial teórico para futuros trabalhos nesta temática. / [en] The deforestation that occurred in the state of São Paulo-SP, throughout its history, had as its main cause the intense exploitation of forest resources. In addition, the constant expansion of agricultural frontiers and the effects of urban growth over the last decades on their rural areas have also contributed to the reduction of forested areas. Meanwhile, in the Vale do Paraíba Paulista, large areas of native vegetation were replaced by agricultural practices and extensive cattle ranching. These activities were responsible for a wide process of degradation and loss of local biodiversity, with direct consequences for important forest remnants of the Mata Atlântica Biome. In this sequence, in addition to environmental losses, the low productivity of the traditional farming and livestock practices adopted in this region caused the economic and social decline of its population. In this place, the deterioration of land due to land misuse and the process of migration of individuals from the countryside to the city, in search of better living conditions, reinforced the socioeconomic stagnation of their rural areas. In this new scenario, a significant portion of this region presents large extensions of degraded land, with little or no productive applicability. This fact indicates a growing demand for solutions that are responsible for the rehabilitation of the economy of its territory, as well as for the recovery of its environmental quality. In this sense, the use of strategic actions capable of consorting the economic revitalization and the environmental recovery of degraded rural areas in the Vale do Paraíba Paulista represents an important initiative to solve this growing problem. In this way, this research discusses a proposal that seeks to equate these aspects in the municipality of Cunha-SP, as well as to promote in this region the rehabilitation of forest fragments, their conservation and sustainable use.

Sustainable use of species-rich moist forests is hampered by an insufficient understanding of their dynamics and long-term response to different wood harvesting strategies. This thesis contributes to a better understanding of natural forest dynamics, explores the productivity of native forests subjected to different management strategies, and quantifies the ecological impacts of these strategies. The thesis focuses on two study regions: tropical montane cloud forest (TMCF) in central Veracruz, Mexico, and Valdivian temperate rain forest (VTRF) in northern Chiloé Island, Chile. The process-based forest growth model FORMIND is applied to study natural forest succession, to assess long-term ecological implications of fuelwood extraction on TMCF, to explore the potential of secondary TMCF for provision of ecosystem services and fuelwood, and to compare potential harvesting strategies for VTRF regarding forest productivity and ecological consequences.Simulation results show that both forest types have a high potential for wood production. As wood extraction increases, the forest structure becomes simplified because large old trees disappear from the forest. The species composition shifts to tree species that are favoured by the respective harvesting strategy. The overall ecological impact increases linearly with the amount of extracted wood. Simulation results allow to define management strategies that balance conservation and production objectives, promote the regeneration of desired tree species, or minimise shifts in the species composition of the forest. Process-based forest models enhance our understanding of the dynamics of species-rich moist forests and are indispensable tools to assess long-term implications of anthropogenic disturbances on forest ecosystems. Thereby they contribute to the conservation and sustainable use of native forests outside protected areas.

The concept of Sustainable Forest Management (SFM) has been promoted in the past few decades all over the world. Non-industrial private forest (NIPF) owners play an important role in that aspect in the U.S. because of their number (about 16 millions), the size of forest land under their control (about half of all forest land in the continental US), and the dynamism of their population (increasing number of new owners). This study sought to better understand how NIPF owners come to a decision for adoption (or non-adoption) of SFM practices. We developed a theoretical model combining four theories (the Value-Belief-Norm theory, the Theory of Planned Behavior, the Elaboration Likelihood Model, and the Innovation-Diffusion Process) to explain NIPF's decision making. Using multivariate analyses, we determined which elements of the developed theoretical model were significant in explaining adoption of eight groups of practices. Overall, some of the most significant predictors of adoption we identified were technical assistance, motivations for owning land and the use of a written management plan. Particular attention was also directed toward the eventual relationship between education and adoption of SFM practices and it was found that NIPF owners who attended educational programs tended to be likely adopters compared to those who did not attend any educational program. Since SFM was not limited to the US, we also analyzed the concept of SFM with the same goals as in the US, but under a completely different context (socio-cultural, economic and ecologic) in Africa, through the community-based natural resource management (CBNRM) system. We used four case studies and focused on criteria such as participation, equity (both procedural and distributive, power devolution, trust, etc) to analyze how CBNRM works on the field, what lessons to take from the cases to better ensure the goal of sustainability of the resources. / Ph. D.

Social Impact Assessment (SIA) is the process of analyzing, monitoring and managing the social effects of planned or implemented development interventions. The primary purpose of SIA is to bring about a sustainable and equitable biophysical and social environment. SIA is a prerequisite in FAO and World Bank aided projects which cover sectors of mining, agriculture, fishery, dams and transportation. In forestry it has the great potential of enhancing sustainable forest management, taking into account rural development objectives and local needs. SIA can be applied before and after the implementation of projects and programs. In the context of recent policy changes in China, the Natural Forest Protection Program (NFPP) has been implemented in a “top-down” process from 1998 to 2010. A large part of the forests on main river basins in Western regions are being conserved with severe restrictions for commercial use. The social effects of the NFPP are still debatable, indicating a need for conducting a SIA of the NFPP using a systematic conceptual approach. Objectives of the research are: (1) To understand how and to what extent the NFPP affected the local forest-dependent communities and their households; (2) To identify the local strategies currently used to cope up with the impacts; and (3) To develop the optimal strategies likely supported for a better harmonization between livelihood and the NFPP implementation in different regional contexts. The empirical research is approached through quantitative and qualitative social research methods for data collection and analysis. For the case studies, four villages with a total number of 175 respondents were selected for field surveys where questionnaires, interviews and group discussions were employed. The research findings indicate that, the NFPP has significant impacts on the population characteristics, institutional arrangements and infrastructure and public services at the community level and at household level, the income derivation, expenditure, labour time distribution, perceptions on public health/safety and changing values of forests perceived by individuals. The research reveals that, synthesizing de facto impacts of the NFPP makes potential negative social impacts predictable. The policy-makers and project teams implementing the NFPP should be aware that, the NFPP results in dynamic change processes which include the de facto and potential impacts as well as the influence factors; among these, contribution of strategies derived from local communities and households as the spontaneous reactions to cope with the NFPP impacts should be taken into consideration. Recommendations are given referring to a better implementation of the NFPP and the need for future researches concerning the SIA for sustainable forest management in different regional contexts. / Social Impact Assessment (SIA) ist ein Prozess, der Analyse, Monitoring und Bewältigung der sozialen Effekte geplanter oder durchgeführter Entwicklungsinterventionen umfasst. Das Hauptanliegen von SIA ist, eine nachhaltige und gerechte biophysische und soziale Umwelt zu schaffen. SIA ist für Projekte der FAO und der Weltbank in den Sektoren Bergbau, Landwirtschaft, Fischerei, Talsperren und Transport eine Grundvoraussetzung. Für die Forstwirtschaft ergibt sich daraus das Potenzial, nachhaltige Waldbewirtschaftung zu stärken und dabei die Ziele ländlicher Entwicklung und lokale Erfordernisse zu berücksichtigen. SIA kann vor und nach der Durchführung von Projekten und Programmen angewendet werden. Im Zusammenhang mit den aktuellen politischen Veränderungen in China wird das Natural Forest Protection Program (NFPP) im Zeitraum von 1998-2010 nach dem top-down-Verfahren durchgeführt. Die sozialen Auswirkungen des NFPP sind noch immer umstritten. Das unterstreicht die Notwendigkeit der SIA unter Anwendung einer systematischen konzeptionellen Herangehensweise. Ein besonders kritischer Faktor dabei ist, dass ein erheblicher Anteil der Wälder in den Wassereinzugsgebieten wichtiger Flussläufe in den westlichen Regionen durch strikte Einschränkungen der kommerziellen Nutzung geschützt wurden. Die Ziele der Forschung sind: (1) Aufzeigen wie und in welchem Ausmaß das NFPP die örtlichen waldabhängigen Gemeinden und ihre Haushalte beeinflusst hat; (2) Identifizieren lokal entwickelter und angewandter Strategien, um die Auswirkungen des NFPP zu bewältigen; und (3) Entwickeln optimaler Strategien für eine bessere Harmonisierung der Lebensgrundlagen mit der Umsetzung des NFPP in unterschiedlichen regionalen Kontexten. Die empirische soziale Forschung bedient sich quantitativer und qualitativer Methoden zur Datensammlung und Datenanalyse. Für die Fallstudie wurden vier Dörfer mit insgesamt 175 Befragten ausgewählt. Bei der Primärdatenerhebung kamen Fragebögen, Interviews und Gruppendiskussionen zur Anwendung. Die Forschungsergebnisse zeigen, dass das NFPP signifikanten Einfluss ausübt auf Größe und Anteil armer Bevölkerung, auf institutionelle Rahmenbedingungen, die Infrastruktur und den öffentlichen Dienstleistungssektor auf Gemeindeebene. Auf Haushaltsebene wurde signifikanter einfluss nachgewiesen für die Generierung von Einkommen, die Ausgaben, die Arbeitszeitverteilung, die Vorstellungen über Gesundheitswesen und Sicherheit als auch auf die Wahrnehmung der sich verändernden Werte des Waldes. Es wird ersichtlich, dass durch Zusammenführen der de facto-Auswirkungen des NFPP potenzielle negative soziale Einflüsse vorhersagbar werden. Entscheidungsträger und Projektteams sollten sich darüber bewusst werden, dass das NFPP zu dynamischen Veränderungsprozessen führt, welche die de facto- und potentiellen Auswirkungen sowie die Einflussfaktoren betreffen. Dies schließt den Beitrag der lokal entwickelten Strategien ein. Empfehlungen betreffen die bessere Umsetzung des NFPP sowie die Notwendigkeit weiterer Forschung hinsichtlich der SIA im Zusammenhang nachhaltiger Waldbewirtschaftung in verschiedenen regionalen Kontexten.