- Development Studies, Southeast Asian Studies, Political Ecology, Natural (Land) Resource Based Conflicts, Political Science, Indonesia, and 12 moreDemocratization, Palm Oil Plantation, REDD+ or Reducing Emissions form Deforestation and (Forest) Degradation, Vietnam, Monitoring And Evaluation, Impact Evaluation, Realist Evaluation, Aquaculture, Sustainable Livelihoods, Rights Based Approach to Development, Sustainable forestry management, and Land Rightsedit
- My interests are in the interface between research and policy particularly around governance/politics in the natural ... moreMy interests are in the interface between research and policy particularly around governance/politics in the natural resources sector. My key experience covers i) governance, politics and environmental rights ii) policy change and impact on equity with a focus on natural resource sectors iii) livelihoods, empowerment and poverty analysis iv) M & E and impact assessment with a focus on qualitative methods. I work as a freelance researcher/consultant. Prior to this I was a Senior Associate with CIFOR , a Research Fellow at the Overseas Development Institute, a Senior Research Associate at CSERGE (UEA) doing post-doc research in Vietnam, and worked with DFID in Ghana and various NGOs in Indonesia & Tanzania.edit
SUMMARY International negotiations for reducing emissions from deforestation and forest degradation and the enhancement of forest carbon stocks (REDD+) under the UN Framework Convention on Climate Change (UNFCCC) were finally concluded in... more
SUMMARY International negotiations for reducing emissions from deforestation and forest degradation and the enhancement of forest carbon stocks (REDD+) under the UN Framework Convention on Climate Change (UNFCCC) were finally concluded in 2015. However, due to the complex design and implementation processes of REDD+ policies and measures, including benefit sharing at national and subnational levels, several challenges exist for sustainably reducing emissions while simultaneously managing the provision of social and environmental side-objectives. We review the realities of REDD+ implementation in 13 REDD+ candidate countries and the risks related to REDD+ policies and benefit sharing based upon a synthesis of the findings presented in 'country profiles' that were developed between 2009 and 2013 as part of the Center for International Forestry Research's (CIFOR) Global Comparative Study on REDD+. We find that REDD+ policies in all countries studied are at high risk of ineffectiveness, inequity and inefficiency. By classifying these risks and understanding not only their impacts on different stakeholder groups, but also the consequences for achieving specific objectives, countries can identify solutions in order to address these shortcomings in their implementation of REDD+.
Research Interests:
In this chapter, we synthesize what these diverse experiences tell us about the capability of REDD+ to deliver on its goals, including the role of subnational initiatives and how they integrate with national REDD+ through their choice of... more
In this chapter, we synthesize what these diverse experiences tell us about the capability of REDD+ to deliver on its goals, including the role of subnational initiatives and how they integrate with national REDD+ through their choice of (i) scale and (ii) MRV systems. Our research on these initiatives also gives us insights into the challenges of (i) financing interventions, (ii) clarifying tenure, and (iii) designing social safeguards. In particular, our rich data on household livelihoods and village conditions allow us to identify common patterns as well as heterogeneity that must be taken into account in the design of social safeguards. For each of these five issues, we first note some of the key insights from the literature and then summarize what we have learned from the case studies. We close with a section assessing whether REDD+ still has the potential to be the path-breaking solution to deforestation that generated so much hope and enthusiasm seven years ago.
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Operationalizing safeguards in national REDD+ architectures remains a major challenge in most REDD+ countries, particularly in the area of benefit sharing. Effective, efficient and equitable outcomes of REDD+ require effective,... more
Operationalizing safeguards in
national REDD+ architectures
remains a major challenge
in most REDD+ countries,
particularly in the area of benefit
sharing. Effective, efficient and
equitable outcomes of REDD+
require effective, efficient and
equitable implementation of
safeguards.
national REDD+ architectures
remains a major challenge
in most REDD+ countries,
particularly in the area of benefit
sharing. Effective, efficient and
equitable outcomes of REDD+
require effective, efficient and
equitable implementation of
safeguards.
Research Interests:
Benefit sharing (BS) approaches in community forestry (CF) are differentiated into: rights allocation-based, input-based and performance-based, from initiation to implementation and each approach has specific and complementary roles in... more
Benefit sharing (BS) approaches in community forestry (CF) are differentiated into: rights allocation-based, input-based
and performance-based, from initiation to implementation and each approach has specific and complementary roles in
ensuring effectiveness, efficiency and equity of benefit sharing mechanisms (BSMs).
•
Rights allocation-based BSMs provide a more sustainable incentive than payment-based incentives for maintaining
involvement in CF under conditions of inadequate financing. Maintaining the sustainability of payment-based incentives
is problematic because of the need to price incentives correctly relative to transaction and opportunity costs. The need to
compensate for opportunity costs is less relevant under rights-based BSMs.
•
The type of rights matters. Clear, comprehensive and secure tenure rights that include rights to access, withdraw, manage
and exclude, induces strong collective action.
•
Effectiveness and efficiency of BSMs can be enhanced by structuring benefits as incentives to change behavior, particularly
when compared to some input-based incentives that are not directly linked to halting of deforestation and degradation.
•
Equity in BSM can be enhanced if revenues are allocated for development activities such as community infrastructure and
facilities and social services and by explicitly weighting for the poor, women and marginalized groups.
•
Though there can be equity trade-offs compared to funding individual payments, our case studies suggest a preference
for development activities, especially if such payments are not that significant compared to current shared benefits.
•
Transaction costs and the failure to compensate for these act as a barrier to smallholders and the poor
•
For equity and long-term commitment, opportunity costs are important in deciding how benefits are shared, particularly
if land-use competition is high. There are different types of opportunity costs (i.e. the opportunity costs of revenues from
behavior change of individual household versus the rent of alternative land uses in the area included in a REDD+ scheme)
and these differences should be considered in the design.
and performance-based, from initiation to implementation and each approach has specific and complementary roles in
ensuring effectiveness, efficiency and equity of benefit sharing mechanisms (BSMs).
•
Rights allocation-based BSMs provide a more sustainable incentive than payment-based incentives for maintaining
involvement in CF under conditions of inadequate financing. Maintaining the sustainability of payment-based incentives
is problematic because of the need to price incentives correctly relative to transaction and opportunity costs. The need to
compensate for opportunity costs is less relevant under rights-based BSMs.
•
The type of rights matters. Clear, comprehensive and secure tenure rights that include rights to access, withdraw, manage
and exclude, induces strong collective action.
•
Effectiveness and efficiency of BSMs can be enhanced by structuring benefits as incentives to change behavior, particularly
when compared to some input-based incentives that are not directly linked to halting of deforestation and degradation.
•
Equity in BSM can be enhanced if revenues are allocated for development activities such as community infrastructure and
facilities and social services and by explicitly weighting for the poor, women and marginalized groups.
•
Though there can be equity trade-offs compared to funding individual payments, our case studies suggest a preference
for development activities, especially if such payments are not that significant compared to current shared benefits.
•
Transaction costs and the failure to compensate for these act as a barrier to smallholders and the poor
•
For equity and long-term commitment, opportunity costs are important in deciding how benefits are shared, particularly
if land-use competition is high. There are different types of opportunity costs (i.e. the opportunity costs of revenues from
behavior change of individual household versus the rent of alternative land uses in the area included in a REDD+ scheme)
and these differences should be considered in the design.
Research Interests:
Research Interests:
Policy instruments for implementing the Reducing Emissions from Deforestation and Forest Degradation and the enhancement of forest carbon stocks (REDD+) mechanism operate within an orchestra of policy mixes that affect the forest and... more
Policy instruments for implementing the Reducing Emissions from Deforestation and Forest Degradation and the enhancement of forest carbon stocks (REDD+) mechanism operate within an orchestra of policy mixes that affect the forest and other land sectors. How will policymakers choose between the myriad of options for distributing REDD+ benefits, and be able to evaluate its potential effectiveness, efficiency and equity (3Es)? This is a pressing issue given the results-based aspect of REDD+. We present here a three-element assessment framework for evaluating the outcomes and performance of REDD+ benefit sharing mechanisms, using the criteria of effectiveness, efficiency and equity: (1) the structures (objective and policies) of a REDD+ benefit sharing mechanism; (2) the broader institutional and policy contexts underlying forest governance; (3) outcomes of REDD+ including emission reductions, ecosystem service provision and poverty alleviation. A strength of the assessment framework is its flexible design to incorporate indicators relevant to different contexts; this helps to generate a shared working understanding of what is to be evaluated in the different REDD+ benefit sharing mechanisms (BSMs) across complex socio-political contexts. In applying the framework to case studies, the assessment highlights trade-offs among the 3Es, and the need to better manage access to information, monitoring and evaluation, consideration of local perceptions of equity and inclusive decisionmaking processes. The framework does not aim to simplify complexity, but rather serves to identify actionable ways forward towards a more efficient, effective and equitable implementation and re-evaluation of REDD+ BSMs as part of reflexive policymaking. Copyright © 2017 John Wiley & Sons, Ltd and ERP Environment
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Where benefits and costs accrue at different scales, financial intermediaries are needed to facilitate relations between global-scale buyers and local-scale providers of carbon sequestration and storage. These intermediaries can help to... more
Where benefits and costs accrue at different scales, financial intermediaries are needed to facilitate relations between global-scale buyers and local-scale providers of carbon sequestration and storage. These intermediaries can help to collect and distribute payments and to promote the scheme to potential beneficiaries. The benefits distributed should compensate for the transaction, opportunity and implementation costs incurred by stakeholders for providing ecosystem services. Therefore, calculating the costs and understanding who incurs them are essential for benefit sharing. Targeting benefits according to a set of criteria that match the objectives of the specific mechanism increases the mechanisms efficiency. As the level of performance-based payments may not be able to compete with the opportunity costs of highly profitable land uses, performance-related benefit-sharing mechanisms should be focused on areas with moderate opportunity costs. Benefits should be divided into upfront payments to cover startup costs and to give an initial incentive for participation, and payments upon delivery of ecosystem services to ensure adherence to conditionality.
The authors thank Katia Karousakis, Jos Cozijnsen, David Brown, Arild Angelsen, Laura Bozzi, Alana George, Philippe Guizol, Paulo Moutinho and Frances Seymour for the valuable comments made on an earlier draft of this paper and the... more
The authors thank Katia Karousakis, Jos Cozijnsen, David Brown, Arild Angelsen, Laura Bozzi, Alana George, Philippe Guizol, Paulo Moutinho and Frances Seymour for the valuable comments made on an earlier draft of this paper and the Infobrief that has resulted from ...
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• Different types of interactions are emerging involving public and private (non-state) actors across sustainability initiatives in the palm oil sector in Indonesia. • Such initiatives include the development of government standards for... more
• Different types of interactions are emerging involving public and private (non-state) actors across sustainability initiatives in the palm oil sector in Indonesia. • Such initiatives include the development of government standards for sustainable palm oil, legislation related to the setting aside of conservation areas, a 'wave' of provincial and district Green Growth programs, a focus on jurisdictional approaches, and efforts around smallholder registration. These have been accompanied by the emergence of a number of political 'champions' in the form of provincial and district leaders. • Some initiatives can help to implement immediate specific sustainability objectives by filling implementation gaps, by bearing some operational costs and by speeding up regulatory change. • To bring about the transformation and to move beyond a proliferation of pilot schemes, interactions would need to survive political cycles and align with ongoing national processes of reform around natural resource policy. • Those initiatives intended as innovative pilots or to kick start a process in unclear legal contexts may benefit from acting quickly outside of more formal state systems. However, there are clear benefits in integrating initiatives into existing executive systems to help weather and uncertain electoral cycles. • Some actions by non-state actors act to strengthen the capacity of public authority and accountability, whereas others can weaken or undermine these public systems.
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Research Interests: Forestry, Hybrid Systems, Non-Governmental Organizations (NGOs), Southeast Asia, Local Government and Local Development, and 10 moreEnvironment and natural resources conservation, Indonesia, Civil Society and the Public Sphere, State Theory, Environmental Sustainability, Multi-level governance, Oil palm, Palm Oil, Governance Reforms, and Land-use/ Land-cover Change
Research Interests:
The objective of the thesis is to investigate the ways in which institutions shape livelihood resilience. Livelihood resilience is defined as the ability of an individual or household to recover from, or to withstand changes in, the... more
The objective of the thesis is to investigate the ways in which institutions shape livelihood resilience. Livelihood resilience is defined as the ability of an individual or household to recover from, or to withstand changes in, the social or physical environment, and the ability to adapt to changing circumstances and thus ensure security of livelihood. To analyse the extent to which institutions shape livelihood resilience I examine the way in which institutions affect access to natural resources and the role of this access in producing resilient livelihoods. This exploration is carried out by examining in turn the role of formal structures, of informal processes and of the geographical and historical context in shaping access to resources and livelihood resilience
This chapter examines the effects of aquaculture development on the livelihoods of households in two historically and geographically distinct coastal communities in north and south Vietnam. It is shown that the importance of open-access... more
This chapter examines the effects of aquaculture development on the livelihoods of households in two historically and geographically distinct coastal communities in north and south Vietnam. It is shown that the importance of open-access resources for livelihoods increases in line with the poverty and vulnerability of the social group. This increase has occurred at the same time as a decrease in the availability of open-access products because of the privatization of resources associated with aquaculture. Many open-access resources are accessed illegally or with unofficial access rights and this has implications for livelihood security, since open-access resources have uncertain rights and legislative status, a status that is open to change and frequently subject to privatization. The high capital investment required and the loans necessary to raise that capital are also increasing the vulnerability of the wealthier households involved in aquaculture.
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Vietnam is currently undergoing a rapid economic and social transition involving the dismantling of the co-operative system and the official embracing of a market economy. The paper uses an institutional approach to examine adaptation to... more
Vietnam is currently undergoing a rapid economic and social transition involving the dismantling of the co-operative system and the official embracing of a market economy. The paper uses an institutional approach to examine adaptation to such changes in two coastal communes in mangrove forest areas. Having provided the historical and policy context of reforms which have taken place in Vietnam in the area of resource management, the paper goes on to discuss changes currently taking place in access to resources. The complexity of property rights regimes are then examined in the light of such changes, with particular focus on the effects of privatisation and the increased effects of integration with external markets. Using livelihood diversification as a key concept for understanding local adaptation to such changes, the paper concludes with discussion of the socially differentiated impacts of the process and the implications for future livelihoods.
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This paper argues that successful conservation of wetlands is fundamentally determined by the institutions and property rights associated with resource management decisions. Thus an understanding of property rights regimes, the... more
This paper argues that successful conservation of wetlands is fundamentally determined by the institutions and property rights associated with resource management decisions. Thus an understanding of property rights regimes, the constraints which they impose on users of wetlands resources, and the distribution of benefits of use among users and non-users are essential if the economic values of wetland ecosystems and
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The consultation aims to seek views, opinions and examples of innovative and established practice in order to inform future DFID policy and investment. Your moderator will lead the debate with the short introductory paper below, provide... more
The consultation aims to seek views, opinions and examples of innovative and established practice in order to inform future DFID policy and investment. Your moderator will lead the debate with the short introductory paper below, provide regular summaries and guide the dialogue. Key Questions Asked: How can DFID help to tackle risk and vulnerability factors that prevent poor people from engaging and investing in agriculture? Theme Outline – prepared by John Farrington and
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This chapter examines the effects of aquaculture development on the livelihoods of households (n=217) in two historically and geographically distinct coastal communities in north and south Vietnam. It is shown that the importance of... more
This chapter examines the effects of aquaculture development on the livelihoods of households (n=217) in two historically and geographically distinct coastal communities in north and south Vietnam. It is shown that the importance of open-access resources for livelihoods increases in line with the poverty and vulnerability of the social group. This increase has occurred at the same time as a decrease in the availability of open-access products because of the privatization of resources associated with aquaculture. Many open-access resources are accessed illegally or with unofficial access rights and this has implications for livelihood security, since open-access resources have uncertain rights and legislative status, a status that is open to change and frequently subject to privatization. The high capital investment required and the loans necessary to raise that capital are also increasing the vulnerability of the wealthier households involved in aquaculture.
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SUMMARY International negotiations for reducing emissions from deforestation and forest degradation and the enhancement of forest carbon stocks (REDD+) under the UN Framework Convention on Climate Change (UNFCCC) were finally concluded in... more
SUMMARY International negotiations for reducing emissions from deforestation and forest degradation and the enhancement of forest carbon stocks (REDD+) under the UN Framework Convention on Climate Change (UNFCCC) were finally concluded in 2015. However, due to the complex design and implementation processes of REDD+ policies and measures, including benefit sharing at national and subnational levels, several challenges exist for sustainably reducing emissions while simultaneously managing the provision of social and environmental side-objectives. We review the realities of REDD+ implementation in 13 REDD+ candidate countries and the risks related to REDD+ policies and benefit sharing based upon a synthesis of the findings presented in ‘country profiles’ that were developed between 2009 and 2013 as part of the Center for International Forestry Research's (CIFOR) Global Comparative Study on REDD+. We find that REDD+ policies in all countries studied are at high risk of ineffectiven...
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... Bird, Sarah Byrne, Jane Carter and Devanshu Chakravarti November 2007 This note discusses the use of the Power Cube as a means of expanding further on the ideas of power raised in the paper on... more
... Bird, Sarah Byrne, Jane Carter and Devanshu Chakravarti November 2007 This note discusses the use of the Power Cube as a means of expanding further on the ideas of power raised in the paper on 'Understanding and Operationalising Empowerment' (Luttrell and Quiroz, ...
The achievements and limitations of doi moi: popular resistance and policy change.................. .........................................................................................vii Emerging issues in the poverty reduction... more
The achievements and limitations of doi moi: popular resistance and policy change.................. .........................................................................................vii Emerging issues in the poverty reduction agenda .................................. viii Recent political and administrative reforms............................. ...
However, despite these similarities, there are elements of the rights and empowerment approaches that remain analytically distinct (Alsop and Norton, 2005). The most obvious of these is the emphasis on the obligations of the duty-bearer.... more
However, despite these similarities, there are elements of the rights and empowerment approaches that remain analytically distinct (Alsop and Norton, 2005). The most obvious of these is the emphasis on the obligations of the duty-bearer. A HRBA has its foundation in the normative ...
Research Interests:
1 Research Fellow, Overseas Development Institute, London. C.luttrell@odi.org.uk 2 Head, Department of Extension and Rural Development, Faculty of Agriculture, Forestry and Fisheries, Vinh University. hoangson_vu@hn.vnn.vn. 3 Director,... more
1 Research Fellow, Overseas Development Institute, London. C.luttrell@odi.org.uk 2 Head, Department of Extension and Rural Development, Faculty of Agriculture, Forestry and Fisheries, Vinh University. hoangson_vu@hn.vnn.vn. 3 Director, Centre for Water Resources ...
Achieving good governance dominates today’s development agenda. But what does this mean in practice? This paper examines some of the key elements of good governance including transparent and equitable relationships between stakeholders,... more
Achieving good governance dominates today’s development agenda. But what does this mean in practice? This paper examines some of the key elements of good governance including transparent and equitable relationships between stakeholders, public accountability and participatory decision-making. It takes as an example the forest sector, which has made surprising gains in its application of good governance ideas. Forestry’s inclusive focus, linking the global to the national and local; the centrality of issues of tenure and collective rights; and its importance in rural livelihoods, all reinforce the linkages between good governance, public accountability and poverty alleviation. The impact of improving governance is evident at several levels: decentralisation has changed the balance of power and decision-making between central government and the periphery; relationships between government and civil society have benefited as donor-promoted participation has created significant space for...
Research Interests: Decision Making, Subsidiarity, Accountability, Governance, Participation, and 13 moreEquity, Civil Society, Good Governance, Transparency, Forest Sector, Forest Conservation, Poverty Alleviation, Sustainable Use, Regulatory reform, Balance of Power, Betweenness Centrality, Rural Livelihood, and Policy Reform
transmitted in any form or by any means, electronic, mechanical, photocopying, recording or
in preliminary form for discussion and critical commentWorking Paper 308
Illegal logging is an issue of major national and international concern. Combating illegal logging depends on effective enforcement operations to ensure compliance and identify forest crime. Independent monitors have an important role in... more
Illegal logging is an issue of major national and international concern. Combating illegal logging depends on effective enforcement operations to ensure compliance and identify forest crime. Independent monitors have an important role in ‘monitoring the monitors ’ and verifying legality. This briefing paper examines the part that external agencies can play in this work. Drawing on a number of recent experiences, consideration is given to the way in which independent monitoring might be structured, and some of the issues which need to be borne in mind when decisions are made as to what forms of monitoring to deploy. Policy Conclusions • Independent forest monitoring (IFM- monitoring of enforcement activities in the forest sector on behalf of the state) differs from other forms of external monitoring by the high levels of independence and impartiality which it requires. • Campaigning and advocacy are largely incompatible with IFM, though they may often be useful in other forms of exte...
Public goods and private rights: The illegal logging debate and the rights of the poor
Lessons for REDD+ from measures to control illegal logging in Indonesia
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Page 1. 1 BUDGET SUPPORT, AID INSTRUMENTS AND THE ENVIRONMENT: THE COUNTRY CONTEXT TANZANIA COUNTRY CASE STUDY FINAL REPORT Cecilia Luttrell and Innocent Pantaleo January, 2008 Page 2. 2 Table of contents ...
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In the 1970s there was a surge of interest in the issue of fuelwood. For the most part this was propelled by the 1973 rise in fossil fuel prices and associated energy concerns, as well as certain influential publications on the issue such... more
In the 1970s there was a surge of interest in the issue of fuelwood. For the most part this was propelled by the 1973 rise in fossil fuel prices and associated energy concerns, as well as certain influential publications on the issue such as that by Eckholm (1975) entitled the ‘Other Energy Crisis: Fuelwood’. Wood fuel demand was seen to be outpacing sustainable supply, and catastrophic projections for year 2000 were presented in the form of a ‘fuelwood gap’ (see United Nations, 1980). A study by FAO in 1981 estimated that 2000 million people were dependent on fuelwood and other biomass fuel, of which more than 100 million were unable to meet minimum requirements sustainably. Projections for the year 2000 suggested 2.4 thousand million people would suffer acute deficits (FAO, 1981). The lack of viable alternatives to reduce the number of people dependent upon fuelwood for their energy needs was also emphasised.
This briefing paper applies a rights perspective to understanding legal and institutional reform of the tropical forest sector. The sector is characterised by strongly competing interests, and massive differences in the power of... more
This briefing paper applies a rights perspective to understanding legal and institutional reform of the tropical forest sector. The sector is characterised by strongly competing interests, and massive differences in the power of stakeholders to influence the application of the law. The regulatory regime governing the sector often discriminates against the poor. This is of particular concern in the context of donorand industry-led initiatives to combat illegal logging. Upholding legal frameworks which already fail to accommodate local rights could compound injustices. A rights perspective focuses attention on the channels by which the poor can contest and uphold their claims in the face of national and international interests in the forest sector.
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VERIFOR is an applied research project co-funded by the EC's Tropical Forestry Budget Line and the Governments of the Netherlands and Germany. It will provide practical, research-based policy advice for decision-makers on the... more
VERIFOR is an applied research project co-funded by the EC's Tropical Forestry Budget Line and the Governments of the Netherlands and Germany. It will provide practical, research-based policy advice for decision-makers on the verification of legality in the forest sector. The coverage is pan-tropical. Summary The proliferation of sources of authority in public governance has led to a variety of partnerships developing between the state, the business sector, NGOs and other civil society actors, and to the emergence of multi-stakeholder processes to reconcile their views. Multi-stakeholder processes have also been advocated as a decision-making tool for stakeholders involved in Forest Law Enforcement, Governance and Trade (FLEGT). This raises questions as to how to bring closure to policy processes characterised by multiple actors and polarised views. Drawing on lessons from diverse experiences, this paper explores the potential for multi-stakeholder processes to enhance the credi...
Tambien disponible en espanol con el titulo: Madera legal: verificacion y gobernanza en el sector forestal. Publicado por CATIE
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The uneven distribution of benefits amongst different social groups, such as the men and women involved in rural development forestry, has been an important area of interest in all the thematic areas in the literature. The focus on gender... more
The uneven distribution of benefits amongst different social groups, such as the men and women involved in rural development forestry, has been an important area of interest in all the thematic areas in the literature. The focus on gender in rural development forestry has covered a number of aspects. These include firstly the differences in participation in the design and implementation of projects between men and women, secondly uneven access to benefits from these activities, and thirdly the strategies that can be used to overcome the constraints faced by women in benefiting from such activities.
