Edi o ial
Incen i es and Cons ain s o Communi y and
Smallholde Fo es y
Wil de Jong 1,*, Glenn Galloway 2, Pia Ka ila 3and Pablo Pacheco 4
1
Cen e o In eg a ed A ea S udies, Kyo o Uni e si y, 46 Shimoadachichou, Kyo o 606-8501, Sakyoku, Japan
2Cen e o A ican S udies, Uni e si y o Flo ida, Gaines ille, FL 32611, USA; [email p o ec ed]
3Na u al Resou ces Ins i u e Finland, Helsinki FI-00790, Finland; [email p o ec ed]
4Cen e o In e na ional Fo es y Resea ch (CIFOR), Bogo Ba a 16115, Indonesia; p.pacheco@cgia .o g
*Co espondence: [email p o ec ed]; Tel.: +81-75-753-9605
Recei ed: 12 Sep embe 2016; Accep ed: 14 Sep embe 2016; Published: 16 Sep embe 2016
Abs ac :
This edi o ial in oduces he special issue: Incen i es and cons ain s o communi y and
smallholde o es y. The special issue con ains nine pape s, lis ed in a able in he main ex . The
edi o ial e iews b ie ly some key elemen s o ou cu en unde s anding o communi y and
smallholde o es y. The edi o ial also b ie ly in oduces he nine pape s o he special issue
and poin s ou how hey link o he deba e among academics and specialis s on communi y and
smallholde o es y. Finally, he edi o ial highligh s he new elemen s ha he nine pape s con ibu e
o ou unde s anding o communi y and smallholde o es y, be o e i concludes a he end.
Keywo ds:
communal logging; o es policy and go e nance; enabling condi ions o communi y
o es y; o es sec o e o ms; REDD+; o es ansi ion
1. In oduc ion
Since he 1990s a la ge numbe o coun ies e o med hei o es y sec o wi hin b oade a emp s
o enhance go e nance o na u al esou ces and social pa icipa ion. Many o hese e o ms p omo ed
local- o es de elopmen , o a leas changed egula ions o pe mi local communi ies and smallholde s
o ex ac p oduc s om o es s which adi ionally had con ibu ed o mee ing daily subsis ence
needs, o o enhance hei income s eams by using hem comme cially. This spa ked an in e na ional
deba e on he po en ial o communi y and smallholde o es y, a deba e ha was also held wi hin he
academic communi y (e.g., [
1
–
4
]). Humph eys e al. [
5
] sugges wo ypes o academic schola ship
ela ed o communi y o es y. The i s , which we e m he o es dependency academic deba e,
la gely explo es and heo izes on he ole o o es s and hei bene i s and se ices linked o u al
li elihoods. The second ype, he communi y o es de elopmen deba e, ocuses mo e on e o s o
enhance he deli e y o goods and se ices om o es s owned o con olled by communi ies, o o e
which communi ies ha e igh s o access.
Mo e ecen ly, he deba e on communi y o es y has e ol ed wi hin a b oade deba e ocused
on he ole and alue o o es s, o es lands, and o es landscapes in sol ing en i onmen al and
sus ainable de elopmen challenges, o ins ance, as a eposi o y o ca bon and a sink o ca bon
dioxide [
6
], bu also o hei ole in socie al adap a ion o clima e change [
1
]. This deba e is in insically
ela ed o he ple ho a o ecosys em se ices ha o es s p o ide, many o which a e c ucial o
human well-being [
7
]. Changing o es condi ions will a ec he p o ision o ecosys em se ices,
hus impac ing he dependence o smallholde s and communi ies on o es esou ces, and also he
deg ee o which hese esou ces can con ibu e o human and economic de elopmen . The impo an
ole o o es s was clea ly ecognized in he ecen ly adop ed Sus ainable De elopmen Goals (SDGs).
The achie emen o many o he SDGs will depend on in e ac ions be ween o es s and socie y, and
especially o es s and local communi ies. P og ess owa ds he achie emen o he SDGs will, in many
Fo es s 2016,7, 209; doi:10.3390/ 7090209 www.mdpi.com/jou nal/ o es s
Fo es s 2016,7, 209 2 o 12
loca ions, equi e ha o es s con ibu e o he imp o emen o u al incomes, enhance ood secu i y,
and egula e downs eam wa e supply, among o he bene i s (e.g., [8]).
The nine pape s o his special issue link oge he he wo s ands o he deba e on communi y
o es y by examining bo h local communi ies’ and smallholde s’ dependency on o es s and he
con ibu ion o o es s o de elopmen . Linking hese wo deba es sheds new ligh on he ongoing and
e ol ing deba e on communi y o es y.
This in oduc ion o he special issue: Incen i es and cons ain s o communi y and smallholde o es y
explo es how his collec ion o pape s can ad ance he discussion on communi y and smallholde
o es y, and especially he discussion on op ions and oppo uni ies o enhance o es bene i s o
communi ies while o es s a e conse ed. Howe e we mus also ake in o conside a ion he ecen
e alua ion o na u al en i onmen s and hei expanding ole in add essing global sus ainable
de elopmen challenges, such as clima e change mi iga ion o he es o a ion o he p o ision o
o es ecosys em se ices in gene al, and how his c ea es bo h new oppo uni ies, bu also new
challenges o communi y o es y.
The pape s d aw on case s udies om opical La in Ame ica, A ica, and Asia. They analyze
communi y and smallholde e o s o achie e di e en o es ela ed objec i es and associa ed
ou comes s emming om hese e o s. The pape s examine in-dep h a numbe o ele an opics, such
as he condi ions shaping o es dependency, mechanisms h ough which u al li elihoods can be
imp o ed h ough o es s, and implica ions o o es ou comes, when o es s a e a ge ed o suppo
people’s li elihoods, while also p o iding local and global en i onmen al se ices. These conce ns
a e o high ele ance o deba es explo ing po en ial syne gies and ade-o s be ween sus ainable
de elopmen and clima e change.
Th ee o he pape s [
9
–
11
] e iew wide o es y e o ms in Wes e n Amazonia, mainland
Sou heas Asia, and he Philippines, and associa ed implica ions o smallholde s and communi ies
unde aking o es managemen . Two o he pape s [
12
,
13
] e iew se e al decades o expe iences om
communi y o es managemen in Quin ana Roo and Mozambique, and explo e how egula o y,
economic, and social ac o s ha e shaped communi y o es y ini ia i es, and he capaci ies o
communi ies o adap o changing egula o y, policy, and ma ke en i onmen s. The o he ou pape s
ocus on a numbe o key issues in deba es abou communi y o es y, o example, he economic
easibili y o communi y-based imbe ex ac ion, p ospec s o local inno a ions in mi iga ing clima e
change, ac o s ha incen i ize ee plan ing among smallholde s, and he ole o in e ac ions among
o es agen s and s akeholde s in o es change.
Pike y e al. [
14
] p o ide a de ailed cos -bene i analysis o communal o es y logging ope a ions
in B azil, shedding ligh on he limi a ions communal imbe ope a ions mus ace o become a iable
comme cial op ion and he s uggle communi ies unde go o be success ul in a highly compe i i e
sec o . Po enbe ge [
15
], in u n, ocuses on how illage s in No heas India s i e o adap o
s anda ds ha eme ge om global e o s o align local o es managemen o wide goals o clima e
change mi iga ion. E ongo e al. [
16
] examine he ac o s ha incen i ize ee plan ing among
smallholde a me s in Bu kina Faso, and Sloan [
17
] explo es how communal o es managemen and
e o es a ion con ibu e o o es co e and o es condi ion change, while in e ac ing wi h co po a e
ac o s in he wide landscape. The lis o pape s can be ound in Table 1.
Fo es s 2016,7, 209 3 o 12
Table 1. Pape s o he special issue.
Au ho s Ti le
Edwa d Ellis e al. Endu ance and Adap a ion o Communi y Fo es Managemen in
Quin ana Roo, Mexico
Daniel E ongo e al. Smallholde s’ T ee Plan ing Ac i i y in he Zi o P o ince, Sou he n
Bu kina Faso: Impac s on Li elihood and Policy Implica ions
Da id G i en e al.
An Une en Playing Field: Regula o y Ba ie s o Communi ies Making
a Li ing om he Timbe om hei Fo es s—Examples om Cambodia,
Nepal, and Vie nam
Ma k Po enbe ge Res o ing and Conse ing Khasi Fo es s: A Communi y-Based REDD
S a egy om No heas India
Pablo Pacheco e al. Smallholde Fo es y in Wes e n Amazon: Ou comes om Fo es
Re o ms and Eme ging Policy Pe spec i es
Ma ie-Gab ielle Pike y e al. Annual Cash Income om Communi y Fo es Managemen in he
B azilian Amazon: Challenges o he Fu u e
Juan Pulhin and
Ma k An hony Rami ez
Timbe Regula ion and Value Chain in Communi y-Based Timbe
En e p ise and Smallholde Fo es y in he Philippines
Almeida Si oe and Bena d Guedes Communi y Fo es y Incen i es and Challenges in Mozambique
Sean Sloan T opical Fo es Expansion, Smallholde s, and In e ac ions Amongs
Agen s o Fo es Change
Sec ion 2o his edi o ial p o ides a b ie e iew o some elemen s o he communi y o es y
deba e ha is ele an o he se o pape s included in he special issue. Sec ion 3in oduces b ie ly
he pape s o he special issues and ela es hem wi h he opics in oduced in Sec ion 2. Sec ion 4
highligh s he mo e ele an insigh s o he pape s o he special issue, and Sec ion 5concludes.
2. Communi y and Smallholde Fo es y: Achie ing Local and Non-Local Bene i s
Communi y o es y is a e m ha links o es s, ins i u ions, and u al li elihoods. Communi y
o es y has been de ined di e en ly by academics, de elopmen p ac i ione s, and policy make s.
The unde s anding o communi y o es y has also e ol ed o e ime. He e, we use he b oad
cha ac e iza ion o communi y o es y by Cha nley and Poe [
18
] who s ipula e ha communi y
o es y includes he au ho i y g an ed o communi ies o manage a eas o o es s, he pu pose o which
is o de i e socio-economic bene i s bu cons ained by he condi ion ha o es s mus be conse ed in
o de o p o ide ecosys em se ices and bene i s o non-local use s. An impo an numbe o synonyms
o communi y o es y wi h simila meanings a e widely used, like o ins ance, communal o es y,
communi y-based o es managemen , o communi y-based na u al esou ce managemen [
19
]. While
o some ime he deba e on communi y o es y e e ed p ima ily o managemen unde aken
h ough collec i e ope a ions, i has expanded o e ime o include indi idual smallholde s as well.
The ocus on communi y o es y has e ol ed since i s ea ly deba e among u al de elopmen
expe s and academics. Du ing he 1970s, he ocus was mo e on on- a m ee plan ing (e.g., [
20
,
21
]).
Since he in oduc ion o sus ainable de elopmen in global discou ses, and wi h i he concep o
sus ainable o es managemen , communi y and smallholde o es y has ocused p ima ily on how
communi ies and smallholde s u ilize na u al o es s o sa is y li elihood needs. As a esul , many ha e
unde s ood communi y o es y as a “new” app oach o enhance income s eams om o es - ela ed
ac i i ies o u al dwelle s who li e in o nea o es s, and depend on o es s o making a li ing,
his h ough enhancing hei capaci y o use comme cially imbe and non- imbe o es p oduc s
(e.g., [
1
,
22
]). Many o es communi ies manage o es s and bene i om o es esou ces o mee
subsis ence as well as cash-income needs independen ly om any ex e nal suppo o incen i es,
elying on local p ac ices, a angemen s, and ins i u ions.
Fo es s 2016,7, 209 4 o 12
The “ e ocusing” o communi y o es y as an app oach o u he u al de elopmen has led o
an inc eased emphasis on communal ha es ing o imbe , being one o he ew o es p oduc s ha is
in high na ional and in e na ional demand wi h p ices ha enable communi ies o ob ain signi ican
income om hei sale [22,23].
The analysis o communi y o es y using empi ical e idence and educ ionis s’ p inciples poses
a numbe o challenges. The agen in communi y o es y is o en implici ly unde s ood o be a g oup
o households ha eside in a small se lemen joined oge he in some kind o social o ganiza ion,
wi h in e nal dynamics and economic in e ac ions wi h local and egional ma ke s and possessing
ecognized poli ical s a us. F om he la e , he communi y as a collec i e o membe households o en
de i es a numbe o igh s, o ins ance land igh s. In con as , local o es ope a o s may main ain
holdings independen ly and a e e e ed o as smallholde s. Many empi ical s udies ha ocus on
communi y o es y ake he household as he uni o analysis (e.g., CIFOR’s Po e y En i onmen
Ne wo k - PEN s udies) [
24
]. O he s udies highligh collec i e ac ion o en i e communi ies o g oups
wi hin communi ies. The la e a e iden i ied equally wi h di e en e ms, like, o ins ance, o es use
g oups o communi y o es g oups (e.g., [
1
]). The iden i ica ion o he agen o communi y o es y is
ele an , because many schola s ei he y o cha ac e ize he di e en g oups o o es use s, o aim o
es ablish causal ela ionships be ween a ibu es o hese o es use s and “ex e nal” ac o s in luencing
o es use and managemen . These analy ical complexi ies a e commonly con ex ually esol ed.
Schola ship on communi y o es y o en has an unde lying objec i e, speci ically o con ibu e o
be e ou comes o communi y o es e o s and p ojec s. This is e lec ed in a numbe o explo a ions
o condi ions o ac o s ha a e a o able o communi y o es y, especially when hey align in a
collec i e ashion. Sabogal e al. [
4
] ca ied ou a comp ehensi e s udy in La in Ame ica o iden i y
ac o s and condi ions ha a o posi i e ou comes in communi y o es y. B oadly, hei analysis
yielded i e p incipal ac o s o condi ions in La in Ame ica ha a e pa o an enabling en i onmen
o communi y o es y. These include echnical capaci y and issues ela ed o o es managemen ;
es ablishmen and ope a ion o e ec i e communal o smallholde o ganiza ions and en e p ises;
app op ia e public policies and adminis a ion; compa ibili y wi h social and cul u al dimensions o
communi ies and smallholde s; and access o communi y and smallholde de elopmen assis ance.
Ka ila e al. [
2
], in d awing upon he li e a u e and signi ican case s udies, p opose ha a numbe
o p e equisi e condi ions con ibu e o posi i e ou comes o communi y and smallholde o es y,
including angible links o imp o ed li elihoods and sus ainable p o ision o o es ecosys em se ices.
The p e equisi e condi ions a e g ouped wi hin he ollowing ou ealms: (1) policies, ins i u ions, and
go e nance; li elihoods, capaci ies; (2) cul u al and socio-economic aspec s; (3) na u al esou ce
base; and (4) esea ch and moni o ing. Examples o p e- equisi e condi ions in he i s ealm
includes adequa e and necessa y enu e and igh s o e o es s; an e ec i e, e icien , and jus public
adminis a ion; adequa e ep esen a ion and di ision o powe and pa icipa ion o o es s akeholde s
in o es go e nance; e ec i e en o cemen o laws and egula ions; a econcilia ion o c oss-sec o al
issues and policies. A en ion was also ocused on egional-in e na ional and global p ocesses o
de e mine o wha deg ee hey had in luenced ou comes obse ed on he g ound. In he second ealm,
p e- equisi e condi ions ela ed o he exis ence o : comme cial oppo uni ies and linkages o ma ke s,
ideally h ough alue chains; echnical, manage ial, and leade ship capaci ies; access o capi al; and
he absence o se ious issues ela ing o secu i y and con lic . Baynes e al. [
1
] iden i y ac o s ha
“in luence he success o communi y o es y”. The ac o s a e many, bu key ca ego ies include:
socio-economic and gende equali y, p ope y igh s, in a-communi y o es y g oup go e nance,
go e nmen suppo , and bene i s. These ac o s all con ibu e o building “bonding social capi al” and
“b idging social capi al”, which in u n leads o success o communi y o es y. Al hough he au ho s
show simila i ies in he condi ions hey deem impo an o communi y o es y, in p ac ice i has been
di icul o accomplish syne gis ic, pa allel p og ess among hese condi ions in di e en con ex s.
In addi ion o explo ing ac o s ha in luence communi y o es y ou comes, e iew s udies
ha e a emp ed o assess hese ou comes ac oss a la ge numbe o cases. Pelle ie e al. [
19
],
Fo es s 2016,7, 209 5 o 12
o example, ound ha he as majo i y (87%) o communi y o es y cases do con ibu e o
sus ainable managemen o o es s and hus do con ibu e o sus ainable o es landscapes (p12).
While en i onmen al objec i es o communi y o es y e o s a e widely achie ed, he same is less
e iden o social and economic ou comes. Pelle ie e al. [
19
] ind ha only 44% o he cases esul ed
in inc eases in income om o es s, an equal numbe had a neu al e ec on incomes, which would
imply ha in 22% o he p ojec s he e ec on income had ac ually been nega i e. When communi y
o es p ojec s ha e been e alua ed using a po e y capabili y app oach (c . [
25
]), communi y o es y
p ojec s sco e qui e well, as hey ha e enhanced secu i y, ha e had a much mo e modes ou come on
c ea ing employmen , bu ha e had in some cases a nega i e in luence on equi y. Communi y o es y
p ojec s appea o diminish o es bene i s o he poo es and o emale led households (p14).
Compa able ou comes we e epo ed by Ka ila e al. [
2
] who sugges ha impo an p og ess
has been made in many o he p e equisi e condi ions ha ha e been seen o con ibu e o posi i e
ou comes. In ecen yea s, good bu no uni o m p og ess has been made in enu e e o m, some hing
ha is also con i med, o ins ance, by Sunde lin [
26
]. P og ess in enu e e o m is e y much a na ional
policy issue, so while i has made s ides in some coun ies, o ins ance, Boli ia and Colombia, less
p og ess has been made in many o he opical o es coun ies in A ica and Asia. While his is
he case, he e is also inc easing e idence ha o malized enu e change is indeed a p e equisi e
condi ion o success ul communi y and smallholde o es y, and ha he e is also a se ious issue wi h
ac ually espec ing igh s ha should be de i ed om o mally sanc ioned owne ship o e o es s.
Whe e collec i e owne ship has been gi en in e nal a angemen s among hose who hold collec i e
igh s a e qui e impo an in de e mining how enu e e o ms e en ually in luence communi y and
smallholde o es y ou comes. Baynes e al. [1: 233] a gue ha p ope y igh s is he mos complex
ac o de e mining he success o communi y o es y. Enhanced o es enu e is an impo an condi ion
o enhance local bene i s om o es s, bu in and o i sel is no su icien o esul in imp o ing o es
bene i s and p og ess owa ds sus ainable o es managemen (e.g., [27]).
Simila complexi ies a e in e idence when conside ing conce ns o powe , ep esen a ion, and
pa icipa ion. The la e ela es o he in e ac ions be ween communi ies and smallholde s on he
one side and o he s akeholde s on he o he who hold adminis a i e o go e nance esponsibili ies,
o who ha e pa icula in e es s in o es ed a eas a ge ed o communi y o smallholde o es y.
Ka ila e al. [2]
also obse e ha impo an p og ess has been made in hese p e equisi e condi ions,
bu majo challenges emain in o de ha o es go e nance a angemen s e ol e in o exempla y cases
o democ acy and ep esen a ion. While he c i ical impo ance o issues o powe , ep esen a ion,
and pa icipa ion is widely acknowledged and in many ins ances add essed (e.g., [
1
]], he desi ed
democ a ic p ocesses a e no easily c ea ed, in la ge pa because di e en s akeholde s ha e di e en
esou ces a hei disposal, di e en skills, o can in luence pe sons who hold poli ical powe . As a
esul , issues o powe , ep esen a ion, and pa icipa ion ha a e in eg al o o es go e nance s ill
equi e much p og ess in o de o suppo and acili a e communi y and smallholde o es y.
While enu e and access, and issues powe , ep esen a ion, and pa icipa ion a e qui e dynamic
a eas in which some p og ess has been made, eno mous challenges pe sis ela ing o hese p e equisi e
condi ions. Ano he impo an challenge co esponds o he lack o compliance wi h he ule o law
among many ac o s who de i e p o i s om o es p oduc s, especially imbe . Communi y o es y
is linked o o es sec o legali y in a my iad o ways, as discussed in se e al o he pape s o he
special issue (e.g., [
9
–
14
]). Fo example, inancial iabili y o communi y o es y imbe p oduc ion is
h ea ened by illegally p oduced imbe in B azil [14], bu also in many o he coun ies. On he o he
hand, communi ies also su e om he imposi ion o egula ions ha esul in highe ansac ion
cos s o small-scale imbe p oduce s when, o example, acqui ing pe mi s. These addi ional cos s
unde mine he economic iabili y o hese ope a ions, which can d i e well-meaning s akeholde s o
exploi hei o es s ou side o he law [
10
]. Illegal con e sion o o es s o al e na i e land uses also
con inues o emain a majo challenge, e lec ing once mo e a d i e leading o inadequa e compliance
wi h he law ha cha ac e izes he o es sec o in many con ex s (e.g., [9,11–13]).

Fo es s 2016,7, 209 6 o 12
The deg ee o which in e na ional, egional, o global p ocesses ha e in luenced he e ec i eness
o legali y e i ica ion was also explo ed in he Ka ila e al. [
2
]. Casho e e al. [
28
] b ie ly e iew he
link be ween global p ocesses o REDD+ ( educing emission om de o es a ion and o es deg ada ion,
and he ole o conse a ion, sus ainable managemen o o es s, and enhancemen o o es ca bon
s ocks in de eloping coun ies (e.g., [
19
])), ze o de o es a ion, and legali y e i ica ion, and communal
o es access and enu e. O much in e es o communi y o es y a e global e o s o add ess clima e
change [
12
,
15
,
19
]. A conside able numbe o coun ies ha pu sue communi y and smallholde o es y
de elopmen a e p epa ing na ional REDD+ s a egies and ha bo high expec a ions o implemen
hese s a egies. In a pa allel ashion, p i a e sec o o ci il socie y REDD+ p ojec s a e also being
implemen ed [
25
,
29
]. While REDD+ is belie ed o hold g ea po en ial, including o communi y and
smallholde o es y, he implemen a ion o he global REDD+ p og am s ill aces majo hu dles [
19
].
These obs acles a e e iden in he Po enbe ge [
15
] pape , which desc ibes in de ail he kind o
challenges ha a e aced when a emp s a e made o de i e compensa ion om he enhancemen o
ca bon s ocks in communi y o es y e o s.
Du ing he las hal cen u y, he academic unde s anding on he ole o o es s in communal
li elihoods, and expe iences and expe ise on how o es y can be mobilized as a esou ce ha
con ibu e o communal de elopmen ha e inc eased signi ican ly. In a numbe o cases, impo an
p og ess has been made in enhancing o es con ibu ions o u al li elihoods h ough communi y
o es y. Howe e , while p og ess has been made, mul iple cons ain s and challenges s ill pe sis in
enhancing he con ibu ions o o es y o imp o ing u al li elihoods, while p oducing addi ional
o es ecosys ems se ices ha a e bene icial o non-local o es use s. The pape s in his special issue
explo e some o hese challenges, bu hey also poin a new oppo uni ies o communi y o es y. The
pape s also sugges a ious incen i es ha would se e o make communi y o es y mo e a ac i e,
enhance i s con ibu ion o ma e ial and social bene i s, and a o sus ainabili y. The nex sec ion will
b ie ly in oduce he pape s o he special issue and link hem o he a ious issues ha ha e been
summa ized in his sec ion.
3. Pape s o he Special Issue
Each o he nine esea ch pape s in his special issue discusses a case o communi y o smallholde
o es y in a opical egion. Th ee pape s a e om Asia [
9
,
11
,
15
], wo om A ica [
13
,
16
], wo om
Cen al Ame ica [12,17], and wo om he Amazon basin [10,14].
Th ee pape s pu sue an analysis o laws, egula ions, and policies ha explici ly seek o os e
communi y and smallholde o es y, o h ough di e se mechanisms ha e been in luen ial in his
b oad app oach o o es managemen . The pape s include he G i en e al. [
9
] pape , which analyzes
egula ions in h ee Sou heas Asian coun ies, Vie nam, Nepal and Cambodia, and how hey cons ain
communi ies om bene i ing om imbe esou ces, o which hey gained access h ough p io land
and o es y e o ms. A somewha simila analysis is unde aken by Pulhin e al. [
11
] who e iew he
ba ie s c ea ed by egula o y and adminis a i e equi emen s and associa ed ex a-o icial p ac ices
ha impac bene i s communi ies ecei e om imbe ha es ing in he Philippines. A hi d pape
in his g oup is by Pacheco e al. [
10
], who e iew he egula o y and policy e o ms in he Wes e n
Amazon, Ecuado , Pe u, and Boli ia, and how hese egula ions ha e e ol ed o adap o eme ging
needs and claims om smallholde s. The Wes e n Amazon analysis, howe e , does no place i s
p ima y ocus on communal imbe p oduc ion, a he i explo es how b oade o es sec o egula o y
and policy e o ms ha e u he ed sus ainable o es managemen as in ended, and how hese e o ms
a e impac ing o es communi ies.
The pape s by Ellis e al. [
12
] and Si oe and Guedes [
13
] also ocus p ima ily on he egula o y
en i onmen , and how i a ec s communi y o es y; speci ically, policies and laws p omo ing
communi y o es y in Mexico’s Quin ana Roo and Mozambique. These wo pape s desc ibe e o s o
enhance ins i u ional acili a ion and ecogni ion o communi y and smallholde o es y, assessing
cases o ongoing communi y and smallholde p ac ices ha ha e pe sis ed o o e 20 yea s. Bo h
Fo es s 2016,7, 209 7 o 12
pape s conclude ha communi y and smallholde o es y is easible and can be success ul, bu ha i
mus e ol e o e ime o add ess pe sis en challenges and changing ides in he enabling condi ions,
including he egula o y en i onmen , ma ke condi ions, and associa ed adap a ion o communi y
o es y i sel . Bo h pape s make clea ha communi y o es y is no a ixed objec i e ha once
eached can p oceed on i s own; i demands a con inual p ocess o analysis, lea ning, and adap a ion.
Fou pape s in he special issue explo e he mul iple in luences ha shape he di ec ions o
communal and smallholde o es y ac i i ies. These pape s ocus on di e en aspec s o communi ies
and ex e nal ac o s. Fo example, Pike y e al. [
14
] unde ake a de ailed cos bene i analysis o
communi ies in he B azilian Amazon ha engage in imbe ex ac ion, seeking o iden i y op ions
o make his means o p oduc ion mo e compe i i e, and mo e likely o imp o e u al incomes,
while assu ing sus ainable imbe p oduc ion o e ime. The egula o y en i onmen , bu especially
public adminis a ion suppo , o lack he eo , is singled ou as one compounding ac o educing
p o i abili y and chances o success. The pape by E ongo e al. [
16
], on he o he hand, analyzes
ac o s impac ing p o i abili y o ee plan a ions among illage s in Zi o p o ince, in Bu kina Faso.
While he pape iden i ies majo in luences like enu e secu i y and access o land, i also explo es
cha ac e is ics o a me s who engage in ee plan ing and hose ha e ain om doing so, concluding
ha in a-communal a ia ions play a majo ole in ee plan ing beha io , and he e o in luence
ou comes o communi y and smallholde o es y.
The pape by Sloan [
17
] akes a di e en ack, explo ing o es co e dynamics among o es
communi ies in Panama, iden i ying p incipal ac o s who con ibu e o o es co e gain, and why.
While ecognizing he ole o communi y and smallholde o es y in o es eco e y, he pape
emphasizes how o he ac o s ha e domina ed his p ocess. The pape is ele an o his special issue,
as i con ibu es o he discussion o links be ween communi y o es y and o es co e change,
speci ically educ ion o de o es a ion (e.g., [
19
]) and es o a ion o o es co e . This aspec is
pa icula ly ele an in he a o emen ioned e alua ion o o es s o hei ca bon s ocks, ca bon
cap u ing capaci y, o as p oduce s o wide o es ecosys em se ices. This links he Sloan [
17
] pape
o he Po enbe ge [
15
] analysis o how a ede a ion o 10 Khasi ibal kingdoms in India ha e been
s i ing o implemen a communi y o es ca bon p ojec . The po en ial ole o o es communi ies in
REDD+ is a majo a ea o discussion in he li e a u e, la gely because i is now widely held ha he
success o he global REDD+ p ojec will o an impo an pa depend on how REDD+ can be made
compa ible wi h communi y o es y [
19
] o how REDD+ can indeed be made o wo k such ha i will
esul in angible bene i s o communi ies [
30
]. Along his line, Po enbe ge [
15
] explo es implica ions
o na ional policies and in e na ional a angemen s and policies in ended o enhance he con ibu ion
o communi y and smallholde o es y o mi iga ing ca bon emission and clima e change o Khasi
communi ies in India.
4. Pe sis en Challenges and New Oppo uni ies o Communi y and Smallholde Fo es y
4.1. C ea ing Regula ions and Policies Tha Suppo Communi y Fo es y
F om hese pape s, i can be concluded ha communi y and smallholde o es y ini ia i es ha e
o en had posi i e en i onmen al, social, and economic ou comes. No able p og ess has been made
du ing he las decades ha has c ea ed oppo uni ies o communi ies and smallholde s o bene i
om hei o es s in ways ha would no ha e been possible be o e o es y e o ms. The mos e iden
example o hese egula o y and policy changes ela e o o es enu e e o ms ha ha e aken place
in many pa s o he wo ld. Ye e en when enu e e o ms enable communi ies o ha e access o
esou ces, cumbe some egula ions can p e en communi ies om ully cap u ing bene i s om hese
o es s. Pacheco e al. [
10
] epo on posi i e enu e e o ms in Boli ia and Ecuado esul ing in la ge
a eas o o es being placed unde communal con ol. In Boli ia, indigenous and non-indigenous u al
communi ies legally own o occupy nea ly hal o all o es e i o y (42%) in he coun y. In Ecuado
his igu e is abou 68%. The a ea unde con ol by o es communi ies, howe e , was much less in
Fo es s 2016,7, 209 8 o 12
Pe u (18.2%). In all h ee coun ies, igh s o e o es lands we e accompanied by mechanisms o allow
communi ies o engage in imbe ha es ing.
While o es land enu e and o es exploi a ion igh s we e adjus ed o enable communi ies o
bene i economically om hei o es s, Pacheco e al. [
10
] poin ou ha conside able cons ain s s ill
pe sis in Wes e n Amazonian coun ies, limi ing he e ec i eness o hese policy e o ms. Fo example,
a signi ican po ion o smallholde s and communi ies con inue conduc ing imbe ope a ions and
engaging wi h ma ke s in in o mal ways. While hese in o mal p ac ices and a angemen s make i
possible o hem o manage o es s acco ding o hei capaci ies and needs, and engage in ma ke s
mo e lexibly, hey gene ally mus ely on in e media ies who shape communi y o es y ope a ions by
dic a ing he e ms o ag eemen s, es ablishing links o u ban buye s, and being he sou ces o capi al
o ca y ou imbe ope a ions. The e a e mul iple ways h ough which in e media ies ansg ess
egula ions, o en mixing legal and illegal sou ces in o de o mee u ban demand o imbe .
These ypes o cons ain s a e common in many pa s o he wo ld. The pape s by
G i en e al. [9]
and Pulhin e al. [
11
], o example, demons a e ha qui e simila p oblems plague communi y
and smallholde o es y in Sou heas Asia, in coun ies like Cambodia, Nepal, Vie nam, and he
Philippines. In he h ee mainland Sou heas Asia coun ies, communi ies a e equi ed o p epa e
and submi complex o es managemen plans, a majo bu den ha cons ains success ul communal
imbe p oduc ion. This bu den is c ea ed by a combina ion o ac o s: a lack o p epa edness among
communi ies o de elop hese o es managemen plans and inancial esou ces o pay o hem,
compounded by insu icien incen i es and mo i a ion wi hin he o es adminis a ion o ice o
p o ide echnical and inancial suppo ha could se e o o e come his cons ain [14].
4.2. Compe i i eness o Communi y Fo es y
Pike y e al. [14] and Pulhin e al. [11] d aw a en ion o he challenges ha communi y o es y
aces in an en i onmen cha ac e ized by cumbe some egula ions, p i a e sec o compe i ion, and
poo suppo om public adminis a ion. Bo h pape s p o ide de ailed economic analyses o whe e
along he imbe supply chain hese challenges ansla e in o cos s ha diminish bene i s, and a
imes unde mine he iabili y o communi y o es y in B azil and in he Philippines. The wo
pape s demons a e wi h cos bene i analysis ha unde ce ain condi ions communi y o es y in
bo h coun ies is p o i able, no only o communi ies, bu also o he o he ac o s in he alue chain.
Howe e , while his is he case, communi y imbe p oduce s, like mos imbe p oduce s in o he pa s
o he wo ld, commonly ope a e in a igh economic en i onmen . This is he case, because he o es
sec o is qui e compe i i e and he imbe ha communi ies p oduce is o en no o he highes quali y,
making i incapable o cap u ing p emium p ices on na ional o in e na ional ma ke s. In addi ion,
as alluded o in he p e ious sec ion, communi y and smallholde o es y ope a o s a e dependen
on a public adminis a ion sec o ha has minimal incen i es o suppo communi y o es y, la gely
because he e is li le gain o be de i ed om such suppo . Lo y goals o imp o ing communi y
li elihoods and using o es s sus ainably a e suppo ed by some poli icians, and ci il socie y and
g ass oo s o ganiza ions, bu o en no by o icials wo king in he o es public adminis a ion in cha ge
o adminis a ing he o es sec o , including e en hose manda ed wi h acili a ing communal o es y
ope a ions (e.g., [31]).
An addi ional challenge and h ea o communi y and smallholde o es y is he p essu e o
con e o es land o ag icul u al p oduc ion, as o es y ope a ions seldom c ea e su icien household
income. Fu he mo e, as s essed by Si oe e al. [
13
], popula ion g ow h and inc easing demand and
p ices o ag icul u al commodi ies esul in p essu es o o es con e sion. Inc easing p oduc i i y in
exis ing ag icul u al lands may hus be c i ical o main aining o es co e in many loca ions.
4.3. Resilience and Adap i e Capaci y o Communi y Fo es y
Communi y o es y has been p og essing o e he las hal cen u y, bu as has been shown, is s ill
acing nume ous obs acles. These a e o en egula o y and adminis a i e in na u e, compounded by
Fo es s 2016,7, 209 9 o 12
limi ed skills and capaci ies among communi ies o ac as sa y economic ope a o s, and by ma ke s
ha allow en seeke s o ope a e, o ope a o s o use powe posi ions o dic a e e ms o ade o
ag eemen s. While hese obs acles and cons ain s do exis , he pape s illus a e he adap i e capaci y
o communi y o es y, and he need o os e his adap abili y o add ess changing ci cums ance
ha a ec he o es sec o a la ge. This is con incingly a gued by Ellis e al. [
12
], who e iew
he case o communi y o es y in Quin ana Roo, one o he oldes cases o communi y o es y
wo ldwide. Communi y o es y in Quin ana Roo is unique, because i has been buil on a his o ical
ajec o y ha has suppo ed communal esou ce con ol ha ea ly on was expanded o include o es s
wi hin communal e i o ies. These a o able condi ions we e ecognized when he in e na ional
de elopmen communi y sough o suppo communi y based esou ce managemen in he la e 1980s.
Communi y o es y was “s a ed” and was unc ioning easonably well in he egion since abou he
1990s. As a esul , Quin ana Roo became an in e na ional showcase o he po en iali ies o communi y
o es y o gene a e wellbeing and enable sus ainable o es managemen , bu wi h a ying ou comes
ac oss communi ies.
The Ellis e al. [
12
] pape demons a es ha since “mode n day” communi y o es y began in
Mexico, qui e a ew ci cums ances ha e changed, including e ms o in e na ional ade ag eemen s and
na ional o es and ag icul u al policies, among o he s. In addi ion, communi y o es y en ep eneu s
ha e had o ace se e e impac s b ough on by na u al calami ies, like, o ins ance, hu icanes ha
equen ly plague Cen al Ame ica, including Sou he n Mexico. These and o he qui e d ama ic
changes ha e a ec ed communi y o es y ope a ions in Quin ana Roo, and only a hand ul o
communi ies ha e been able o emain p o i able h oughou his pe iod o lux. The main insigh om
he Ellis e al. [
12
] s udy is ha e en whe e communi y o es y can be p omo ed success ully, i will
ace changing o es , land use, and wide economic and policy en i onmen s. Communi y o es y will
also ha e o adap o changes wi hin he social and economic ci cums ances wi hin he communi ies
hemsel es, b ough abou by, o example, changes in ma ke s and new economic oppo uni ies.
Bo h he Ellis e al. [
12
], bu also he Si oe and Guedes [
13
] pape s do sugges ha communi y
o es y does con ain an inhe en esilience o adap o changing ci cums ances. The changing
ci cums ances may also include new oppo uni ies ha we e no ye p esen when communi y o es y
was s a ed in a pa icula egion. The mos widely discussed new oppo uni y ela es o compensa ion
o ecosys em se ices o he han o es p oduc s ha a e aded in egional, na ional, o in e na ional
ma ke s. Compensa ion o managing o es ca bon s ocks, and cap u ing a mosphe ic ca bon in ee
ege a ion, a e among he mos discussed op ions o paymen o en i onmen al se ices. The e is now
a b oad consensus ha in coun ies whe e REDD+ p ojec s a e being implemen ed, communi ies need
o be included om he beginning in he p epa a ion o he na ional REDD+ s a egies, and become
a pa o Na ional REDD Readiness p oposals. The challenges ha communi y p ojec s ace when
ying o include compensa ion o ca bon s ocks managemen , o enhancing s ocks managemen is
analyzed in de ail by Po enbe ge [
15
], among Khasi Hills Communi y REDD+ in India, and has
been explo ed hypo he ically by many o he s. Coun ies ha engage in a REDD Readiness ajec o y
and ha de elop na ional REDD s a egies will need o add ess ele an issues o how o deal wi h
communi ies. Howe e , independen o he na ional app oach o he global REDD+ p ojec , o CDM
(clean de elopmen mechanism) e o es a ion and a o es a ion p ojec s, communi ies which s i e
o cap u e ca bon compensa ion will ace a new ound o egula ions, policies, and ade challenges,
simila o wha occu ed when communi ies began o explo e op ions o engage in imbe p oduc ion
and ade om communal lands. The new oppo uni ies o communi y and smallholde o es y o
de i e bene i s om hese new de elopmen s is only jus beginning. They will b ing wi h hem many
new challenges, and lessons om pas expe iences should be aken in o accoun .
5. Conclusions
Communi y o es y has ma u ed as a communal na u al esou ce de elopmen in e en ion,
wi h much accumula ed expe ience and ou comes o show o his expe ience. Communi y o es y, o