Dans cette thèse, il est question de faire une analyse des conséquences de la réforme forestière qui est engagée en RDC depuis 2002 à l’instigation de la Banque mondiale dans le but de favoriser la gestion durable des forêts et le développement des populations forestières. Cependant l’évaluation juridique et économique de cette nouvelle politique forestière, réalisée après quinze ans d’application afin d’en mesurer l’impact sur la gestion durable des forêts, la fiscalité forestière et le développement local des populations forestières, montre que, si la réforme forestière de 2002 a contribué a une légère amélioration de la mobilisation des recettes fiscales forestières, elle n’a pas en revanche favorisé la durabilité des forêts ainsi que la protection des droits des populations forestières. Pour remédier à cette situation, nous suggérons certaines réformes consistant à améliorer cette politique forestière. / In this thesis, it is a question of making an analysis of the consequences of the forest reform which is engaged in the DRC since 2002 at the instigation of the World Bank with the aim to favor the sustainable management of the forests and the development of the forest populations. However, the legal and economic assessment of this new forestry policy, carried out after fifteen years of application to measure the impact on sustainable forest management, forest taxation and local development of forest populations, shows that, if the 2002 forestry reform contributed to a slight improvement in the mobilization of forest tax revenues, but did not favor the sustainability of forests and the protection of the rights of forest peoples. To remedy this situation, we suggest some reforms to improve this forest policy.

Ce travail étudie l’influence des questions environnementales sur le commerce international à partir des échanges de bois tropicaux Malaisie – Europe, la Malaisie étant un important exportateur de bois. Les avantages comparatifs des produits forestiers Malaisiens sont évalués, ainsi que la propension à payer le bois issu de gestion forestière durable par les consommateurs français (en tant qu’Européens). La première partie envisage les différences de perception entre pays développés et pays en développement pour le lien entre commerce et environnement. Il apparaît que les normes environnementales agissent comme des barrières non-tarifaires. Ces barrières sont accentuées par les critères de marquage, d’étiquetage, et de technologie imposés par les pays importateurs. La seconde partie analyse le rôle clé de la Malaisie dans le commerce des bois tropicaux. Les principaux marchés d’exportation des bois Malaisiens sont évalués. Le marché Européen est étudié plus en détail. Il apparaît que les ventes de meuble ont dépassé en 2004 celles des autres principaux produits forestiers. Sur le marché Européen la Malaisie fait face à la concurrence de produits tropicaux à bas prix venant de Chine, et à celle de produits forestiers éco-certifiés venant du Brésil. Concomitamment, l’engagement de la Malaisie dans une dynamique de gestion plus durable y crée une pénurie relative de matériau brut. La troisième partie calcule l’index de Balassa d’avantage comparatif, pour 21 produits forestiers Malaisiens sur le marché Européen. Seuls 5 produits industriels intermédiaires ou à transformation fortement mécanisée, ont un avantage comparatif marqué. Il s’agit des sciages, moulures, contreplaqués, placages, charpente et menuiserie industrielle. Les autres produits présentent des avantages comparatifs faibles ou même négatifs. La quatrième partie estime la propension à payer pour différents attributs environnementaux, ainsi que d’autres tels le commerce équitable et l’origine géographique. Un questionnaire reprenant ces attributs pour du parquet bois hypothétique a été utilisé. Il semble que les consommateurs soient prêts à rémunérer le plus les critères de commerce équitable et d’origine Française, la gestion durable étant recherchée dans une moindre mesure. La propension à payer les tous les attributs varie en fonction des notions et attitudes qu’ont les consommateurs sur l’éco-certification, l’environnement, ainsi qu’en fonction de leur lieu d’habitation, niveau d’éducation et de revenu, et type de profession. Enfin les résultats des 4 parties sont synthétisés en reliant les échelles micro et macroéconomiques, avec les dimensions de demande et d’approvisionnement. D’une façon générale, les résultats suggèrent que les opportunités et contraintes propres à la l’industrie du bois de Malaisie façonnent les exports de produits. La Malaisie s’adapte en se tournant vers des produits à plus haute valeur ajoutée et à moindre impact environnemental, pour pallier aux barrières commerciales et à la pénurie relative de matériau. La Malaisie s’est dotée d’une certification nationale (Malaysian Timber Certification) propre à remplir les critères de durabilité et de légalité de l’Europe, et s’est engagée la gestion durable des forêts. / 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.

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.:TABLE OF CONTENT ACKNOWLEDGEMENTS ..................................................................................................... i LIST OF FIGURES ................................................................................................................ vi LIST OF TABLES ................................................................................................................ viii LIST OF BOXES .................................................................................................................... ix LIST OF ACRONYMS ............................................................................................................ x ABSTRACT ........................................................................................................................... xii ZUSAMMENFASSUNG ..................................................................................................... xiii 1 INTRODUCTION ........................................................................................................ xiii 1.1 Background .................................................................................................................. 1 1.2 Problem statement and justification ............................................................................. 5 1.3 Research objectives ...................................................................................................... 6 1.3.1 General research objectives .................................................................................. 6 1.3.2 Specific research objectives .................................................................................. 7 1.4 Structure of the dissertation ......................................................................................... 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION ............................... 10 2.1 General remark .......................................................................................................... 10 2.2 Forestry reforms in China .......................................................................................... 10 2.2.1 China‘s forestry sector since the economic reform in 1978 ................................ 10 2.2.2 Forest tenure and administration ......................................................................... 13 2.2.3 Chronology of sectional reforms in China and their consequences .................... 14 2.2.4 Policy reforms in the forestry sector ................................................................... 18 2.3 The Natural Forest Protection Program ..................................................................... 21 2.3.1 Background and objective .................................................................................. 21 2.3.2 Scale and main contents ...................................................................................... 21 2.3.3 Implementation process ...................................................................................... 22 2.3.4 Budget ................................................................................................................. 23 2.3.5 Legal basis .......................................................................................................... 23 2.3.6 Current implementation status and main achievements ..................................... 23 2.3.7 Various impacts of the NFPP derived from previous researches ........................ 23 2.4 Social Impact Assessment as a development tool ...................................................... 25 2.4.1 Concepts of Social Impact Assessment .............................................................. 25 2.4.2 A brief history of Social Impact Assessment ...................................................... 27 2.4.3 Principles and guidelines for Social Impact Assessment .................................... 29 2.4.4 Basic model of Social Impact Assessment ......................................................... 29 2.4.5 Process of Social Impact Assessment ................................................................. 31 2.4.6 SIA case study examples and matrix of common social indicators .................... 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES ........... 38 3.1 General remark .......................................................................................................... 38 3.2 Basic settings in the ―Function evaluation‖ approach ............................................... 40 3.3 Integration framework: indirect and direct human impacts ....................................... 42 3.4 Conceptual framework of SIA: focusing on changes in social setting ...................... 46 3.5 Human ecosystem as an organizing concept for SIA ................................................ 47 3.5.1 Concept of human ecology and human ecosystem models ................................ 47 3.5.2 Systems model of human ecology ...................................................................... 48 3.5.3 Concept model of human ecosystems ................................................................. 50 3.5.4 Learning from the two conceptual models of human ecosystem ........................ 51 3.5.5 A local forest-dependent community as a small scale human ecosystem ........... 53 3.6 Framework conceptualizing social impacts in the empirical context ........................ 55 3.7 Research questions ..................................................................................................... 57 4 RESEARCH METHDOLOGY ..................................................................................... 60 4.1 Defining and operationalizing the research indicators .............................................. 60 4.1.1 Foundation of the definition ............................................................................... 60 4.1.2 Defining and operationalizing the selected research indicators .......................... 62 4.2 Selection of case study areas ..................................................................................... 68 4.3 Methods for quantitative and qualitative data collection ........................................... 71 4.3.1 Introduction ......................................................................................................... 71 4.3.2 Field reconnaissance survey ............................................................................... 71 4.3.3 Secondary data collection ................................................................................... 71 4.3.4 Primary data collection ....................................................................................... 72 4.4 Data processing and analysis ..................................................................................... 75 4.5 Research procedure .................................................................................................... 76 4.6 Discussion on the attribution gap ............................................................................... 76 4.7 Reliability and validity of the field research process ................................................. 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS ..................................... 79 5.1 General remark .......................................................................................................... 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area .............................. 79 5.2.1 General information of Gansu Province ............................................................. 79 5.2.2 Profile of Xiaolongshan state-owned forest area ................................................ 81 5.2.3 Profiles of the villages investigated .................................................................... 84 5.2.4 Characteristics of household respondents in the two villages ............................ 86 5.3 Case Study Area 2: Chongqing collective-owned forest area .................................... 87 5.3.1 General information of Chongqing Municipality ............................................... 87 5.3.2 Information on Dazu County and its collective forest area ................................ 90 5.3.3 Profiles of the villages investigated .................................................................... 92 5.3.4 Characteristics of household respondents in the two villages ............................ 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS ....................... 96 6.1 Social impacts on the local community level ............................................................ 96 6.1.1 Change in the community population characteristics ......................................... 96 6.1.2 Change in the community institutional arrangements ........................................ 99 6.1.3 Change in the community infrastructure and public services ........................... 111 6.2 Social impacts on the household level ..................................................................... 118 6.2.1 Impacts on households and families ................................................................. 118 6.2.2 Impacts on individuals ...................................................................................... 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION .......................... 145 7.1 General remark ........................................................................................................ 145 7.2 The de facto impacts of the NFPP on local communities and households .............. 145 7.2.1 The social change processes in the local community ....................................... 145 7.2.2 Human impacts on the local households ........................................................... 149 7.3 External and internal factors influencing the extent of impact results..................... 152 7.3.1 Introduction ....................................................................................................... 152 7.3.2 The external factors at community level ........................................................... 152 7.3.3 The internal factors at household and individual level ..................................... 154 7.4 Potential impacts of the NFPP on the local community and households................. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS ........................................................ 157 8.1 General remarks ....................................................................................................... 157 8.2 Recapitulation of major findings and conclusions ................................................... 157 8.3 Scope and limitations of the empirical study ........................................................... 158 8.4 Recommendation for future policy implementation ................................................ 160 8.5 Relationship between theory and findings ............................................................... 163 8.6 A critical review of methodology and implications for SIA research ...................... 165 REFERENCES ..................................................................................................................... 168 APPENDICES ...................................................................................................................... 179 Appendix 1: Some data and background information available in literature ..................... 180 Appendix 2: Supplementary material and material information used in research ............. 195 Appendix 3: Questionnaires used in the field surveys ....................................................... 203 Appendix 4: Part of the data collected in the field ............................................................. 212 Appendix 5: Photos in the fields ........................................................................................ 234 / 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.:TABLE OF CONTENT ACKNOWLEDGEMENTS ..................................................................................................... i LIST OF FIGURES ................................................................................................................ vi LIST OF TABLES ................................................................................................................ viii LIST OF BOXES .................................................................................................................... ix LIST OF ACRONYMS ............................................................................................................ x ABSTRACT ........................................................................................................................... xii ZUSAMMENFASSUNG ..................................................................................................... xiii 1 INTRODUCTION ........................................................................................................ xiii 1.1 Background .................................................................................................................. 1 1.2 Problem statement and justification ............................................................................. 5 1.3 Research objectives ...................................................................................................... 6 1.3.1 General research objectives .................................................................................. 6 1.3.2 Specific research objectives .................................................................................. 7 1.4 Structure of the dissertation ......................................................................................... 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION ............................... 10 2.1 General remark .......................................................................................................... 10 2.2 Forestry reforms in China .......................................................................................... 10 2.2.1 China‘s forestry sector since the economic reform in 1978 ................................ 10 2.2.2 Forest tenure and administration ......................................................................... 13 2.2.3 Chronology of sectional reforms in China and their consequences .................... 14 2.2.4 Policy reforms in the forestry sector ................................................................... 18 2.3 The Natural Forest Protection Program ..................................................................... 21 2.3.1 Background and objective .................................................................................. 21 2.3.2 Scale and main contents ...................................................................................... 21 2.3.3 Implementation process ...................................................................................... 22 2.3.4 Budget ................................................................................................................. 23 2.3.5 Legal basis .......................................................................................................... 23 2.3.6 Current implementation status and main achievements ..................................... 23 2.3.7 Various impacts of the NFPP derived from previous researches ........................ 23 2.4 Social Impact Assessment as a development tool ...................................................... 25 2.4.1 Concepts of Social Impact Assessment .............................................................. 25 2.4.2 A brief history of Social Impact Assessment ...................................................... 27 2.4.3 Principles and guidelines for Social Impact Assessment .................................... 29 2.4.4 Basic model of Social Impact Assessment ......................................................... 29 2.4.5 Process of Social Impact Assessment ................................................................. 31 2.4.6 SIA case study examples and matrix of common social indicators .................... 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES ........... 38 3.1 General remark .......................................................................................................... 38 3.2 Basic settings in the ―Function evaluation‖ approach ............................................... 40 3.3 Integration framework: indirect and direct human impacts ....................................... 42 3.4 Conceptual framework of SIA: focusing on changes in social setting ...................... 46 3.5 Human ecosystem as an organizing concept for SIA ................................................ 47 3.5.1 Concept of human ecology and human ecosystem models ................................ 47 3.5.2 Systems model of human ecology ...................................................................... 48 3.5.3 Concept model of human ecosystems ................................................................. 50 3.5.4 Learning from the two conceptual models of human ecosystem ........................ 51 3.5.5 A local forest-dependent community as a small scale human ecosystem ........... 53 3.6 Framework conceptualizing social impacts in the empirical context ........................ 55 3.7 Research questions ..................................................................................................... 57 4 RESEARCH METHDOLOGY ..................................................................................... 60 4.1 Defining and operationalizing the research indicators .............................................. 60 4.1.1 Foundation of the definition ............................................................................... 60 4.1.2 Defining and operationalizing the selected research indicators .......................... 62 4.2 Selection of case study areas ..................................................................................... 68 4.3 Methods for quantitative and qualitative data collection ........................................... 71 4.3.1 Introduction ......................................................................................................... 71 4.3.2 Field reconnaissance survey ............................................................................... 71 4.3.3 Secondary data collection ................................................................................... 71 4.3.4 Primary data collection ....................................................................................... 72 4.4 Data processing and analysis ..................................................................................... 75 4.5 Research procedure .................................................................................................... 76 4.6 Discussion on the attribution gap ............................................................................... 76 4.7 Reliability and validity of the field research process ................................................. 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS ..................................... 79 5.1 General remark .......................................................................................................... 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area .............................. 79 5.2.1 General information of Gansu Province ............................................................. 79 5.2.2 Profile of Xiaolongshan state-owned forest area ................................................ 81 5.2.3 Profiles of the villages investigated .................................................................... 84 5.2.4 Characteristics of household respondents in the two villages ............................ 86 5.3 Case Study Area 2: Chongqing collective-owned forest area .................................... 87 5.3.1 General information of Chongqing Municipality ............................................... 87 5.3.2 Information on Dazu County and its collective forest area ................................ 90 5.3.3 Profiles of the villages investigated .................................................................... 92 5.3.4 Characteristics of household respondents in the two villages ............................ 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS ....................... 96 6.1 Social impacts on the local community level ............................................................ 96 6.1.1 Change in the community population characteristics ......................................... 96 6.1.2 Change in the community institutional arrangements ........................................ 99 6.1.3 Change in the community infrastructure and public services ........................... 111 6.2 Social impacts on the household level ..................................................................... 118 6.2.1 Impacts on households and families ................................................................. 118 6.2.2 Impacts on individuals ...................................................................................... 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION .......................... 145 7.1 General remark ........................................................................................................ 145 7.2 The de facto impacts of the NFPP on local communities and households .............. 145 7.2.1 The social change processes in the local community ....................................... 145 7.2.2 Human impacts on the local households ........................................................... 149 7.3 External and internal factors influencing the extent of impact results..................... 152 7.3.1 Introduction ....................................................................................................... 152 7.3.2 The external factors at community level ........................................................... 152 7.3.3 The internal factors at household and individual level ..................................... 154 7.4 Potential impacts of the NFPP on the local community and households................. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS ........................................................ 157 8.1 General remarks ....................................................................................................... 157 8.2 Recapitulation of major findings and conclusions ................................................... 157 8.3 Scope and limitations of the empirical study ........................................................... 158 8.4 Recommendation for future policy implementation ................................................ 160 8.5 Relationship between theory and findings ............................................................... 163 8.6 A critical review of methodology and implications for SIA research ...................... 165 REFERENCES ..................................................................................................................... 168 APPENDICES ...................................................................................................................... 179 Appendix 1: Some data and background information available in literature ..................... 180 Appendix 2: Supplementary material and material information used in research ............. 195 Appendix 3: Questionnaires used in the field surveys ....................................................... 203 Appendix 4: Part of the data collected in the field ............................................................. 212 Appendix 5: Photos in the fields ........................................................................................ 234