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The Costs and Benefits of Forest Protected Areas for Local
Livelihoods: a review of the current literature

Working Paper, revised 21" May 2008

21 May 2008

The United Nations Environment Programme World Conservation Monitoring Centre
(UNEP-WCMC) is the biodiversity assessment and policy implementation arm of the
United Nations Environment Programme (UNEP), the world's foremost
intergovernmental environmental organization. The centre has been in operation since
1989, combining scientific research with practical policy advice.

UNEP-WCMC provides objective, scientifically rigorous products and services to help
decision makers recognize the value of biodiversity and apply this knowledge to all that they
do. Its core business is managing data about ecosystems and biodiversity, interpreting and
analysing that data to provide assessments and policy analysis, and making the results
available to international decision-makers and businesses.

Prepared by

Lauren Coad, Alison Campbell, Lera Miles and Katherine
Humphries

Disclaimer: The contents of this report do not necessarily reflect the views or policies
of UNEP-WCMC or contributory organisations. The designations
employed and the presentations do not imply the expressions of any
opinion whatsoever on the part of UNEP-WCMC or contributory
organisations concerning the legal status of any country, territory, city or
area or its authority, or concerning the delimitation of its frontiers or

boundaries.

Citation: Coad, L., Campbell, A., Miles, L., Humphries, K. (2008). The Costs and
Benefits of Protected Areas for Local Livelihoods: a review of the current
literature. Working Paper. UNEP World Conservation Monitoring Centre,

Cambridge, U.K.

Acknowledgements: UNEP-WCMC’s work on the linkages between reducing emissions from
deforestation, livelihoods and protected areas has been financially
supported by the Department for International Development (UK), the
Federal Ministry for the Environment, Nature Conservation and Nuclear

Safety (Germany), UNEP and WWF UK.

Many organisations and individuals provided ideas and input for this
paper. We are particularly grateful for such input to: the Poverty
Environment Partnership; Katie Bolt, Sarah Clark, and other colleagues at
UNEP-WCMC, Dilys Roe at IIED, David Huberman at IUCN and Neil

Burgess of WWF US.

21 May 2008

Contents

Abstractpeese cote eee
1. Introduction
2. Forest resources and local livelihoods .........
Definitions of poverty and livelihoods
Forests and poverty . ren

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Livelihoods and forest resource use.
Resource use INequalities ............cccceceseeeeeeeeereeeeeees
3. Protected area management and community involvement ..

eyile The global protected area network

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322) The growth of community conservation ...
3.3. The IUCN protected area management categories
3.4. Recognising community conservation: Category VI

3.5. The IUCN governance matrix
4. The costs of protected areas to local livelihoods

4.1. Displacement
4.1.1. Displacement and international policy....
4.1.2
4.1.3
4.1.4

4.1.5. The livelihood implications of displacement....
4.1.6. Displacement and conservation success ...........
4.2. Changes in land tenure and community structures
4.3. Restricted access to resources............
4.3.1. Access to forest products ....
4.3.2. Access to land and employment ...
4.3.3. _Commercialization of forest products and services .... és
4.3.4. Restricted access, community involvement and conservation SUCCESS ...........:-1:11ereee
4.4. Human-Wildlife Conflicts and Degradation of Resources
4.4.1. Crop raiding and livestock losses
4.4.2. _ Threats to human life
4.4.3. Wildlife damage and conservation success
5. The benefits of protected areas for local livelihoods....
5.1. The effectiveness of forest protected areas in biodiversity conservation.. ie
Ss Supporting and regulating SCrViCeS ..........c.scccseeceeeeeeeseseeeeeteneneeseetseeeeees ..20
Sek Provisioning services ....... 20
5.4. (Gul furallisenvicesseeae cere see sae ee eee atee are eetataneaananzanteceracnrtateceneeveneaeuteceae 22
5.5. Benefits from protected area management and infrastructule...............seseeeereeees 22
5.5.1. | Ecotourism =
5.5.2. Payments for ecosystem services
5.5.3. Sustainable resource management and development schemes
5.5.4. Strengthened land tenure and protection from external threats....
6. The distribution of the costs and benefits of protected areas
6.1. Wealth..
6.2. Gender..
6.3. Ethnicity sce-c-e-2=-
6.4. Age and education
7. Quantifying the costs and benefits of protected areas
Tolle Economic costs benefit analyses
Wee Attitudinal surveys ...............-
7.3. Direct impact studies
8. Protected areas and livelihoods in the context of REDD
9. Conclusions
10. References

21 May 2008

The Costs and Benefits of Forest Protected Areas for Local
Livelihoods:
a review of the current literature

Abstract

Protected areas could play a significant role in the implementation of schemes to reduce
emissions from deforestation and degradation (REDD) in developing countries, through either
the strengthening of the existing protected area network, or designation of new areas. Many
rural poor people rely on forest resources, and may experience positive or negative changes to
their livelihoods as a result of REDD. This review aims to assess the livelihood implications
of the existing protected area network in order to inform future REDD policy.

The costs and benefits of individual protected areas for community livelihoods have been well
documented. Costs can range from displacement of local communities to crop damage by
wildlife, and sometimes include restricted access to resources and changes in land tenure.
Benefits can include direct revenue from environmental protection, and the maintenance of
ecosystem services such as watershed protection. The nature of these costs and benefits
depends largely upon the protected area’s status and governance, as well as its history of use.

The net livelihood impacts of protected areas are less easy to discern, as there is a lack of
standardised assessment methodologies. The effect on livelihoods of differing governance
types within and between IUCN protected area management categories is rarely assessed in
the literature, and requires further research. However, general patterns can be observed. The
livelihood impacts of protected areas vary with protected area status, management strategies
and community involvement in governance. Strictly protected areas with top-down
management structures (generally associated with IUCN management categories [-II) can
result in major livelihood costs and cause conflict between local communities and protected
area management. Community management schemes, and protected area management
allowing sustainable use of forest resources (more often associated with IUCN management
categories V-VI), can provide tangible benefits. However, significant costs can still be
incurred by communities if management and institutional capacity is lacking, and issues of
governance and tenure are not resolved.

Inequitable distribution of livelihood costs and benefits is an obvious problem that is often yet
to be adequately addressed in protected area management. These issues need careful
consideration as REDD policy develops. An analysis of livelihood costs and benefits in
existing forest carbon markets has identified issues similar to those for protected areas;
including lack of established tenure and the inequitable distribution of resources, particularly
affecting the landless members of society. Involving local communities in the planning and
implementation of REDD, and ensuring that financial or other benefits are shared, is likely to
result in a more sustainable solution to deforestation than are less participative strategies.

1. Introduction

The effectiveness of protected areas has long been discussed in terms of their ability to reduce
deforestation and conserve biodiversity. It is only relatively recently that the social impacts of
such conservation measures have come under scrutiny. The establishment of forested
protected areas can place restrictions on the use of resources within large areas of forest that
had been freely available to local and indigenous communities. Whilst these areas provide
important ecosystem services at the global, national and local scale (Table 1), there is concern
that the costs are mostly incurred by the local people who rely on forest resources for their
livelihoods.

21 May 2008

Table 1: The ecosystem services provided by forests (Millennium Ecosystem Assessment,
2005)

Provisioning Supporting Regulating Cultural

Food Nutrient cycling Climate regulation Aesthetic

Fresh Water Soil formation Flood regulation Spiritual
Fuelwood and fibre Primary production Disease regulation Educational
Water purification Recreational

It has been suggested that carefully managed protected areas could help to alleviate poverty;
conserving biological resources whilst providing developmental benefits to marginalised
communities (WWF, in press). However, it has also been suggested that protecting areas of
forest can increase poverty and marginalisation, resulting in lost livelihoods and dislocation of
communities (Pimbert & Pretty, 1995), raising ethical moral, and practical questions
regarding protected area management (Kaimowitz, 2003; Salafsky & Wollenberg, 2000). One
ethical position is that as a minimum, protected areas should be managed such that their
creation ‘does no harm’ to those living within and around them.

In the context of the targets to extend the protected area network, set by the Convention on
Biological Diversity (CBD), and of the current discussions on reduced emissions from
deforestation and degradation (REDD) in developing countries as a climate change mitigation
option, the potential positive and negative impacts on livelihoods and poverty take on added
importance. This paper reviews the current state of knowledge on the impact of protected area
management on local communities with the aim of informing future protected area and REDD
policy.

2. Forest resources and local livelihoods

2.1. Definitions of poverty and livelihoods

Whilst natural resource management decisions are increasingly discussed in relation to
poverty and livelihoods, the definitions of these terms are not always clearly stated.
‘Livelihoods’ represent the means of living, and ‘poverty’ is typically an outcome-based
measure of livelihood performance (Sunderlin er al., 2005). Traditionally, poverty has often
been measured in terms of absolute income, with a common indicator defining the ‘poor’ as
those who earn less than US$1 per day (Anglesen & Wunder, 2003). The Human
Development Index (HDI), developed by the United Nations Development Programme
(UNDP), also includes health and education parameters. There are now various poverty
assessment frameworks, which like the HDI recognise that poverty is not a matter of income
alone. These tend to incorporate natural, human, social and physical capital, using indicators
ranging from income, access to resources and basic infrastructure, to the vulnerability of
populations to shock, and level of community organisation.

The Organisation for Economic Co-operation and Development (OECD, 2001) and World
Health Organisation (WHO, 1997) have developed similar indicators. UNEP has taken this
concept even further to identify indicators of ‘well being’ (UNEP, 2004), incorporating
traditional, cultural and spiritual practices and the ability to make decisions on the sustainable
management of resources. It has also been suggested that political capital should be added to
the framework (Baumann, 2002), stressing the relevance of governance to livelihood and
poverty issues. The widely accepted ‘asset-based indicators of poverty’ include measures for
each type of capital (Table 2).

21 May 2008

Table 2: Asset-based indicators of poverty (adapted from the sustainable livelihoods
framework reported in Dubois, 2002)

Natural capital: Land, forests, water, wildlife

Physical capital: (a) privately-owned assets (e.g. farm, animals)
(b) publicly-owned economic infrastructure (e.g. roads)
(c) social infrastructure (e.g. schools, hospitals).

Financial capital: Cash (income and savings) and readily convertible liquid capital.

Human capital: Health, nutritional levels, education

Social capital: Social relationships, cultural/spiritual

Political capital: Empowerment, access rights and tenure, governance

The term ‘livelihood’ often refers to the access of individuals to these various types of capital,
opportunities and services (Ellis, 2000), but has also been defined as comprising the
capabilities, assets and activities required for a means of living (Carney, 1998; Sunderlin er
al., 2005). Livelihoods can be improved, for example, if natural capital is managed
sustainably, and vulnerability to changes in the environment or market is lowered
(Kaimowitz, 2003).

All these factors are considered in the following investigation of the social and economic
impacts of protected areas under different forms of management and governance.

2.2. Forests and poverty

‘Forest’ is also defined differently by different actors. The Food and Agriculture Organization
of the United Nations (FAO) considers forest to be land with a tree canopy cover of more than
10%, which has a larger area than 0.5 ha and is not specifically under a non-forest land use
(FAO, 2001). Moreover, it includes clear-felled land that is destined for re-planting. Other
classification systems have used higher canopy cover thresholds, for example defining
coverage of 10-30% as ‘sparse trees and parkland’ (UNEP-WCMC, 2000). In reporting to the
UN Framework Convention on Climate Change (UNFCCC), countries use their own national
forest classification system within the thresholds set by guidance from the Intergovernmental
Panel on Climate Change (IPCC) (Penman er al., 2003). This is the guidance agreed by the
UNFCCC for use in the ‘demonstration’ (pilot) phase of REDD.

Forests can be simultaneously recognised as a ‘poverty trap’ and a ‘safety net’ for the rural
dwellers who use their resources (Angelsen & Wunder, 2003). There is a distinction to be
made here between poverty reduction and mitigation, often bundled together as ‘poverty
alleviation’. Poverty reduction refers to a successful improvement of livelihoods, whereas
poverty mitigation refers to prevention of increased deprivation (Sunderlin er al., 2003).

21 May 2008

Table 3: Forest resource use and livelihood benefits. Adapted from Kaimowitz (2003)

Forest Resource Livelihood benefits User groups

Direct use

Timber Direct consumption (subsistence*): Indigenous __ peoples
and forest

NTFPs: Construction, food, medicine, fuel communities

fuelwood, resins, fibre,

bushmeat, fish, fodder, berries, Income source (commercial): Rural poor on forest

roots, medicines margins

Large forest industry employment
Smallholder farmers
Source of new agricultural land Employment and income from small scale
(slash/burn/swidden cultivation) informal forestry markets (can be seasonal Artisans and
and supplementary) employees of small or
large scale forestry
Inputs for non-forest income generating
activities

Indirect benefits:

Third party involvement -— improved
infrastructure, health benefit, skill

development

Indirect use

Capital asset: Diversified resource/asset base Indigenous _ peoples
Opportunity to alter land use for and forest
financial gain/subsistence needs _— Security communities

Rural poor on forest

: . ; nee margins
Watershed protection (e.g. Improved agricultural, fisheries productivity.

reduced soil erosion) Adaptation to climate change. Improved

: Smallholder farmers
water quality

Carbon storage Reduced climate change impacts**
Existence Cultural/spiritual values

Religious values

Ecotourism

* Economies are increasingly cash based, so that ‘subsistence’ often involves some cash element.
**Whilst ‘climate change mitigation’ can also be construed as a global benefit, the ‘safety net’ function of
forests is likely to become more important to local communities as agriculture in some climate zones
becomes marginalised. Forest retention may therefore be viewed also as a means of adaptation to the
impacts of climate change, such as an increasing uncertainty in agricultural yields, on the rural poor.

21 May 2008

In providing a diversified income stream and resource base that can be relied upon in times of
stress, forests can contribute to poverty reduction. However, an abundance of natural
resources has long been associated with limited economic growth and development, with
marginalised communities having little access to markets or other income streams, and often
suffering growing restrictions on the use of their natural capital. Whilst the potential for
forests to contribute to poverty reduction is often doubted (Angelsen & Wunder, 2003;
USAID, 2006), forest resources have traditionally supported the subsistence of indigenous
peoples. Forests can also contribute to well-being through ecosystem services such as flood
and erosion control. Finally, where there is local control over forests, the option remains to
clear them for other uses, such as farmland (Anderson et al., 2006).

2.3. Livelihoods and forest resource use

It is estimated that 90% of the world’s poor depend on forests for at least a portion of their
income (World Bank, 2000; Scher! er al., 2004; USAID, 2006). In Africa, 600 million people
have been estimated to rely on forests and woodlands for their livelihoods (Anderson et al.,
2006), and in India, 50 million people are estimated to directly depend on forests for
subsistence alone. Kaimowitz (2003) reviews the importance of forest resources to local
communities. The benefits derived from forests are outlined in Table 3.

The users of forest products include forest dwellers, nearby farmers, commercial users
(including small traders, producers and employees) and the urban poor. Timber, non-timber
forest products (NTFPs) and animal protein are all used by the rural poor for subsistence, and
also as a source of income and employment (Angelsen & Wunder, 2003). Depending on
circumstances, forest products may offer both a ‘daily net’ and a ‘safety net’. The ‘daily net’
describes everyday use, with products meeting current household needs, offering a reliable
source of income to purchase agricultural inputs (Shackleton & Shackleton, 2004), or fodder
for livestock herds. A ‘safety net’ comes into play when other sources of household income
(e.g. plantations) fail to meet dietary shortfalls, or whenever a quick cash option is required
(McSweeney, 2003). In Brazil, for example, the sale of one palm species supports over two
million people and is most important during agricultural difficulties (WWF, unpublished).

NTFPs are a key resource for many poor communities (Sunderlin ef al., 2005). In West
Africa, for example, bushmeat provides 25% of protein requirements, and can be the principal
source for some indigenous groups (Bennett, 2000). NTFPs are often open-access resources,
and require little processing or the use of low cost (often traditional) techniques. An overview
of case studies indicates that forest products contribute between 20% and 40% of total
household income in forest areas, and that poor households tend to be disproportionately
dependent on forest resources (especially fuel wood and fodder) (Vedeld et al., 2007). Based
on this type of finding, investment in NTFP use has often been proposed as a method of
poverty alleviation (Brown & Williams, 2003). Although NTFP sales often supplement
income, it has been suggested that the same open-access characteristics that make them
available to poor households in the first place make them poor candidates for poverty
reduction schemes (Arnold & Perez, 2001; Belcher, 2005).

2.4. Resource use inequalities

There is significant intra-community variation in the extent to which forest dwellers depend
upon forest resources, and the income derived. Pyhala er al. (2006) estimated a difference in
mean annual income per household of US$1 363 between the poorest and richest households
across six communities in the Peruvian Amazon. Similarly, the value for economic production
in the Peruvian Amazon was estimated at between US$425 000 and US$1 693 per household
(Coomes et al., 2004). Whilst the poorer members of a community rely more heavily on forest
resources, the richer households often have the main share of resource use (DFID, 2002). In a
community in the Brazilian Amazon, the three richest households were responsible for 24%
of the total palm fruit harvest (Coomes ef al., 2004). The households receiving most income
from bushmeat hunting in Gabon are from the richer part of the community (Coad, 2007).

21 May 2008

Within rural forest communities there are also often gender differences in forest use and
political power. In the Jai National Park, Brazil, hunting and fishing is a predominantly male
activity, whereas food preparation, collection of forest products to supplement diet, fuel wood
gathering and agriculture is mainly women’s work (Oliveira & Anderson, 1999). Similar
differences in use have been shown in other forest communities (e.g. Ongugo, 2007). Some
studies suggest that women are the primary users of forests; for example, in a study in Uttar
Pradesh, India, women derived 33 to 45% of their income from forests and common land,
whilst men derived only 13% (FAO, 2006). Whilst women have access to and substantial
labour and management responsibilities for forest resources, they are much less likely to own
land than men, and it is often men who control the use and marketing of the products and
incomes (Lastarria-Comhiel, 1995; Rocheleau, 1997). Despite this lack of tenure and control,
women’s work and incomes can have a greater contribution to household welfare and security
(FOA, 1996; IFAD, 1999). In response, development agencies are targeting household
poverty reduction schemes at women (Nigenda & Gonzales-Robledo, 2005; Hoddinott &
Skoufias, 2000).

When discussing forest poverty alleviation, it must be recognized that commercialisation and
increased market access to forest resources does not necessarily provide opportunities for the
poor, and may shift access and use towards the richer sections of a community (Arnold &
Perez, 2001). In terms of poverty mitigation, forest resources are often vital to the poorest
sections of the community.

3. Protected area management and community involvement

3.1. The global protected area network

Protected areas are defined by the World Conservation Union (IUCN) as areas of land or sea
“dedicated to the protection and maintenance of biological diversity and of natural and
associated cultural resources, managed through legal or other effective means’. Protected
areas may be further classified into six management categories (I-VI), reflecting the broad
purpose of designation. The protected area network has grown rapidly since the 1970s, and
there are currently over 120000 designated areas recorded in the World Database on
Protected Areas (WDPA), covering approximately 12% of the terrestrial surface (UNEP-
WCMC, 2007).

3.2. The growth of community conservation

Until relatively recently, protected area management strategies have focussed upon the
preservation of biodiversity through ‘protectionist’ approaches. Protected areas in many
countries were for the most part state-owned, with no-take policies, and provided little access
other than for tourism (Naughton-Treves er al., 2005). In the 1970s - 80s, the rights and needs
of local communities in the development and management of protected areas began to be
recognised. Now, in line with the ‘sustainable use’ goals of the CBD, protected areas are
expected to directly contribute to national development and poverty reduction (Naughton-
Treves et al., 2005), and as such form an indicator for the success of the Millennium
Development Goals:

Target 9: ‘Integrate the principles of sustainable development into country policies
and programmes and reverse the loss of environmental resources.'

Indicator 26: 'Ratio of area protected to maintain biological diversity to surface area’
The level of community involvement varies greatly between individual protected areas,

organizations and countries, and in relation to their management category and form of
governance.

21 May 2008

3.3. The IUCN protected area management categories

Originally, four categories of protected area were recognised: ‘National park’, ‘Strict nature
reserve’, ‘Fauna and flora reserve’ and ‘Reserve with prohibition for hunting and collecting’
(Phillips, 2007). These reflected the conservation attitudes of the time, with little room in the
classification system for community rights to tenure or resource use within the protected
areas. In 1978, an IUCN protected area categorisation was produced that reflected a new
emphasis on the sustainable management of natural resources by recognising ‘resource
reserves’, ‘anthropological reserves’ and multiple use management areas’. This was followed
in 1994 by the current IUCN protected area management category system (Table 4), which
reflects an increase in the perceived importance of community involvement by including a
new Category VI, which explicitly mentions community needs.

The categories reflect the rationale behind establishment of the protected area and do not
determine protected area management and governance (Naughton-Treves er al., 2005), which
differ both within and between categories. In general, however, protected areas of IUCN
category I-II are more restrictive of forest product use than are the lower categories (V-VI).

3.4, Recognising community conservation: Category VI

The number of category V and VI reserves have grown over the last decade, to represent 15%
of the number, but 35% of the total area, of protected areas which have an IUCN category
assigned (Feb 2008 edition of the WDPA). The new category VI received a mixed reception,
with some suggestions that governments may use community forest reserves, whose main
purpose is generally timber extraction for community profits, to make up the CBD 10%
protected area coverage targets without increasing investment in conservation. Community-
managed forests are a rapidly increasing means of forest conservation, but some ieel that
strict nature reserves (categories I-II) are still needed to truly protect endangered species and
ecosystems. However, many authors have welcomed the change in the category system, on
the grounds that with growth in both the protected area system and the human population,
protected areas will be unable to fulfil their biodiversity goals without engaging local
communities and their needs.

3.5. The IUCN governance matrix

The protected area management category does not indicate the ownership or management
authority of a protected area. The land and resources in any of the six management categories
can be owned and/or directly managed, alone or in combination, by government agencies,
NGOs, communities and private parties (Borrini-Feyerabend, 2007). Distinctions can
therefore be made between protected areas in terms of ‘governance’ type (Figure 1) and
ownership. Globally, 77% of the world’s forests are owned and administered by governments,
11% are reserved for or owned by local communities and 12% are owned by individuals
(Anderson er al., 2006). Forest ownership varies widely between countries; 80% of Mexico’s
forest area is community owned under the eidjo system (Barton-Bray, 2002, 2003).

The governance matrix neatly illustrates the range of ways in which communities and their
needs can be, and have been, incorporated when designating and managing protected areas.
At one end of the governance spectrum, the state has ownership of the area and may involve
the surrounding communities in some decision-making through representation in stakeholder
groups. At the other end, protected areas are owned and run by the communities themselves.
The level of strict biodiversity protection, or conversely, the access that local communities
have to local resources, can also vary from no-take enforcement (whether by the government
or the community itself) to sustainable management of forest resources.

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21 May 2008

There is some uncertainty in defining ‘sustainable use of resources’, and therefore over which
community protected areas should be recognised as protected areas within Category VI. An
example of such a situation would be where a community forestry reserve is set up to provide
sustainable incomes for local communities and protect them from external exploitation of
local forest by international logging companies. Here the emphasis would be on the needs of
the community, rather than on a goal of retaining biodiversity, so whilst the area may
conserve forest, it may not meet formal protected area definitions.

4. The costs of protected areas to local livelihoods

Some commentators believe that conservation measures should ‘do no harm’, whilst others
feel that protected areas should also contribute to poverty reduction and development. This
section reviews the evidence on the costs that protected areas impose upon local communities,
in order to assess their ability to ‘do no harm’. These costs can range from displacement of
communities to loss of the infrastructure brought by logging concessions. The management
categories and governance styles introduced above will obviously influence the effect of
protected areas on local livelihoods, as discussed below.

4.1. Displacement

‘Displacement’ is often taken to mean the forced removal of local communities from their
land. However, the World Bank’s definition now includes displacement from resources
without community movement:

“(i) relocation or loss of shelter; (ii) loss of assets or access to assets; or (tii) loss of
income sources or means of livelihood, whether or not the affected persons must
move to another location, or the involuntary restriction of access to legally
designated parks and protected areas resulting in adverse impacts on the livelihoods
of the displaced persons” (World Bank, 2002)

Communities living in or around strictly protected areas, where resource restriction is
incurred, could therefore now fall under the World Bank definition. This review adopts the
traditional interpretation of displacement as the physical removal of communities from the
land, with the costs of restricting resources for local community use being covered in Section
4.3. The most documented example of displacement is the removal of indigenous
communities from Yellowstone National Park by the US army (Burnham, 2000). It has been
suggested that Yellowstone served as a ‘protectionist’ model for the American West and then
the rest of the world (Stevens, 1997). The displacement of local people from national parks is
‘one of the most controversial and contested aspects of protected areas’ (West & Brockington,
2006), and is often used to highlight the conflict between biodiversity conservation and
poverty reduction (Nepal, 2002; Borgerhoff & Mulder, 2005; Brockington, 2004).

4.1.1. Displacement and international policy
A United Nations Declaration on the Rights of Indigenous Peoples was adopted in June 2006
by the UN Human Rights Council and then by the UN General Assembly in September 2007.
The Declaration requires that states prevent any form of population transfer that has the aim
or effect of violating or undermining rights of indigenous peoples (Lustig & Kingsbury,
2006):

‘Indigenous peoples shall not be forcibly removed from their lands or territories. No
relocation shall take place without the free and informed consent of the indigenous
peoples concerned and after agreement on just and fair compensation and, where
possible, with the option of return.’ (Article 10)

States [must] obtain the free and informed consent of the indigenous people prior to
the approval of any project affecting their lands and other resources (Article 30)

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21 May 2008

If displacement is planned during a development scheme, the World Bank requires that less
drastic options should be explored before resettlement is used; and that resettlement should
either improve the condition of the displaced communities or restore them to a situation no
worse than before (World Bank, 2002).

The rights and wellbeing of displaced communities, and those facing resource restrictions due
to protected areas, are now also recognized within the policy of major conservation bodies,
including IUCN (Beltran, 2000), WCS (Redford & Fearn, 2007), and WWF (WWF, 2003).

4.1.2. How many people have been displaced from protected areas?

A review of approximately 250 published articles on ‘conservation displacements’ from 1970
onwards highlights some of the major findings (Brockington er al. 2006). Most articles
documented case studies of evictions, but provided little quantitative information on the total
number of protected areas where forced displacement (defined here as physical removal) has
occurred, or the number of people that have been removed. Consequently, estimates range
from 900 000 to 14.4 million people displaced (Geisler & de Souza, 2001; Geisler, 2003a,
2003b). For Central Africa, estimates of the number of people displaced from 12 parks (45%
of the total for the region) were used to produce an overall estimate of 120 000 displaced to
date, with the potential for another 170 000 if there are no changes in conservation policy
(Cernea & Schmidt-Soldau 2006). The estimate is contested by NGOs in Central Africa, who
suggest that ‘the information on which it is based is poorly gathered and makes false
assumptions’ (Redford & Fearn, 2007).

There is a similar lack of information on the number of people currently living within
protected areas. Brockington and Igoe (2006) provide details of studies in India, South
America, Mongolia and Central Africa, which suggest that there are communities living
within 56 to 85% of protected areas. Information on the numbers or densities of people living
within these protected areas is not available. This not only demonstrates our poor knowledge
of the scale of displacement events, long-term residency and migration into protected areas,
but also restricts our ability to predict how many people may be affected by displacement in
the future.

The lack of quantitative data does not prevent fierce debate. A current dispute involves the
twelve new national parks in Gabon, jointly run by WWF and WCS in partnership with the
Gabonese government, who have been accused (Brockington & Schmidt-Soltau, 2004) of
under-reporting the number of people living within the parks and threatened with
displacement. A recent unpublished study used rural population densities to estimate the
number of those displaced in Gabon at 14 000 (Kramkimel 2005). This was rigorously refuted
by the Gabonese government and Redford & Fearn (2007), who report that no displacements
have taken place in Gabon and that Gabon’s low rural population, combined with the 1940s
national practice of relocating villages on main roads (regroupements), meant that it was
possible to locate the parks in areas of extremely low population densities. These disputes,
with few unbiased quantitative studies, make impartial assessments difficult.

4.1.3. When has displacement occurred?
Although much of the displacement literature has described historical events (articles
published in 1990 describing 1970s events), a quarter of the papers reviewed document
displacements after 1990. For example, 500 people were removed from the Nechasar National
Park in southern Ethiopia in 2004 and resettled outside its borders (Pearce, 2005). This forced
displacement was undertaken by the government before handing the park management over to
a contracted Dutch-based organization, the African Parks Foundation (APF) (Adams &
Hutton, 2007). Some case studies provide examples of a tightening, rather than a relaxing, of
protected area laws. For instance, Nepal (2002) reports that ‘the Thai cabinet has resolved to
relocate hill tribes living in ecologically ‘sensitive’ areas, thus reversing the previous

ailits

21 May 2008

government’s undertaking to respect the land rights of communities established before the
protected areas were gazetted’. Similarly, Kothari (2004) claims that four million people face
eviction in India as the result of the revision of conservation legislation. Despite these cases,
Brockington and Igoe (2006) hypothesise that forced displacements are much less frequent or
severe now than they were before 1980.

4.1.4. Where has displacement occurred?

Most records of displacement reviewed by Brockington and Igoe (2006) came from Africa,
South and South East Asia and North America. There were relatively few reports for South
and Central America, Australia, Europe or the former Soviet Union, or most of the Caribbean
and Pacific although some authors suggest this represents a lack of reporting rather than of
displacement (Poirier & Ostergren, 2002). The majority (69%) of recorded displacements
reviewed were from protected areas in IUCN Category II, and 88% came from Categories I —
IV, seen as more ‘strictly protected’ categories. Countries may be more likely to displace
people from protected areas if their history has been one of strict government control. There is
also some evidence of ulterior political motives for displacement. For example, the Tanzanian
government used displacement from protected areas to resettle communities in collective
villages, and evictions in South Africa were particularly vigorous during the Apartheid era
(Koch, 1997).

4.1.5. The livelihood implications of displacement
The ‘Impoverishment Risks and Reconstruction’ framework outlines 8 major risks to
displaced peoples (Cernea, 1997), many of which are also relevant to communities living
around protected areas:

Landlessness (expropriation of land assets and loss of access to land)
Joblessness (even when the resettlement creates some temporary jobs)
Homelessness (loss of piysical houses, family homes and cultural space)
Marginalisation (social, psychological and economic downward mobility)
Food insecurity (malnourishment etc)

Increased morbidity and mortality

Loss of access to common property (forests, water, wasteland, cultural sites)
Social disarticulation (disempowerment, disruption to social institutions)

Although case studies exist that describe the effects of displacement on livelihoods, few
provide rigorous documentation (examples include Neumann, 1998; Saberwal et al., 2000;
McLean & Straede, 2003; Hitchcock, 2001; McCabe, 2002). Only a handful have used
quantitative methods to measure the costs of displacement. The most well known study is that
of McLean and Straede (2003) who conducted a ‘before and after’ study of forced
displacement of 2000 Tharu people from the Royal Chitwan National Park, Nepal. The
displaced people were relocated onto areas with poorer soils, three hours away from water
and forest resources. Brockington (2002) also showed that the removal of pastoralists from
the Mkomazi game reserve led to a collapse in the local livestock market and economy.

Very few studies mention compensation for displacement, through land or money; those that
do tend to provide examples of inadequate or absent compensation. The lack of detailed
information on compensation mechanisms is not surprising, as most of these studies have
been published to highlight the costs of displacement. Examples include the displacement of
villagers from the Waza National Park, Cameroon, in 1998 (Bauer, 2003); of local people
from the Mkomazi game reserve, Tanzania in 1988 (Igoe, 2003); and the Karrayu pastoral
group from the Awash National Park, Ethiopia (Bassi, 2003). Impartial studies of the number
of displaced people who receive compensation, and the effects of this compensation in
mitigating the costs of displacement, are required.

21 May 2008

4.1.6. Displacement and conservation success

Even the strongest opponents of displacement recognise that reducing human population
densities within protected areas can reduce pressure on species and ecosystems (e.g. West &
Brockington, 2006). However, displaced people often, unsurprisingly, hold negative attitudes
towards conservation, which can result in biodiversity loss. In Uganda, the families that were
allowed to resettle in the Lake Mburo National Park in 1986 after eviction in 1983 opted to
slaughter the wildlife in an attempt to eliminate the area’s conservation value and preclude the
possibility of being re-evicted (Hulme, 1997).

Displacement of communities following protection of one area of land can also result in the
transfer of land use to a nearby area. Intensified timber extraction in the landscape
surrounding a protected area can occur after its designation (Oliviera & Anderson, 1999).
When protected areas are designated, local communities outside as well as those inside the
area are faced with a reduction in the land available for agriculture, grazing or extraction. This
can increase pressure on and degradation of land bordering the reserve and available for local
community use (Bassi, 2003). Land scarcity can also change local livelihood strategies, with
farmers switching to more intensive agricultural techniques or crops. In Madagascar,
subsistence ‘tavy’ (slash and burn) farming is often blamed for the country’s deforestation
and soil erosion problems, especially where land is scarce, rotational periods are short and
slopes are steep. Similar criticisms are not typically applied to the cultivation of cash crops
such as coffee (Jarosz, 1996). In the Ranomafana National Park, intensive irrigated rice
paddies were used to replace forgone tavy yields (Ferraro, 2002). This approach can deliver
high yields, but also may be more risky; for instance cyclone damage is much more prevalent
in rice fields than on land used for tavy (Ferraro, 2002). Restrictions on available land can
also result in a change in diet, as the quality of land under intensive farming may be reduced
over time, so that communities switch to less nutrient-demanding crops such as manioc,
which contains less protein and calcium than rice.

4.2. Changes in land tenure and community structures

The changes in land tenure rights that come with protected area designation have significant
impacts on local land management. For centuries, the prevailing land tenure arrangements in
Africa and Asia have involved significant communal control over land or resource use (WRI,
2005). Small forest communities often set strict laws concerning land use governed by
traditional institutions that partition the ownership and use of local landscapes (Kajoba, 2003;
Nguyen, 2006; Coad, 2007). Protected area designation often ignores these traditional systems
and boundaries, removing the power of community institutions to control land use (Kaus,
1993; Bedunah & Schmidt, 2004; WRI, 2005). The loss of power and changes in landscape
divisions can weaken local community institutions, traditional community structures and
cultures. Conflict within the community may follow, as different groups fight for the control
over natural resources (Aberkerli, 2001, Ostrom, 1990). Ethnic heterogeneity caused by
migration or displacement also tends to dilute community solidarity (Ostrom, 1990) and may
cause inter-ethnic conflicts in resource use.

If an official switch from community to state control is not accompanied by effective
enforcement, this can lead to a situation in which neither old nor new rules are upheld,
resulting in destructive land use and negative livelihood consequences (Bedunah & Schmidt,
2004). For example, the forest landscape of 60 km’ surrounding a village in Gabon was
traditionally split into 56 named areas, often delimited using rivers and hills (Coad, 2007).
Separate village clans or families had owned and defended each named area, but
reclassification of the land as ‘government-owned forest’ in the 1960s had weakened these
traditions, resulting in a more open-access system of land use that community chiefs have
little power to regulate.

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21 May 2008

4.3. Restricted access to resources

Almost by definition protected areas will result in resource restriction to local communities,
with the level of restriction varying with the individual characteristics and management of
each area. According to the World Bank, resource restriction is also a form of displacement.
Even if communities are allowed to remain within or adjacent to protected areas, the loss of
land use rights can produce many of the same risks outlined for displaced people by Cernea
(1997). However, few studies have quantified the impact of restricted use on local
communities. As with displacement, most literature details individual case studies, which
describe, but do not quantify, the impacts of restricted access. This may partly result from the
large number of costs associated with restricted access, some of which are intrinsically hard to
quantify (such as social, cultural or health impacts). The lack of consensus on the methods
used to quantify impacts may also be a contributing factor. This is considered further in a
discussion document (Burgess, 2007), produced in conjunction with this review.

A review of 31 of these case studies suggests that there are general differences in approach
between IUCN management categories. The nine category VI protected areas studied all
allowed ‘sustainable use’ for local communities, whilst of the 25 category I-IV protected
areas, only seven allowed extraction of forest products for livelihood support. A more
comprehensive review of protected area restrictions, costs and benefits, over a range of
management and governance strategies would help identify the factors that have the most
impact on livelihoods.

4.3.1. Access to forest products

As discussed. many forest communities rely heavily on forest products for consumption and
commercial use, both as a ‘daily net’ and a ‘safety net’. In Central Africa, forest communities
generate 67% of their total income from hunting and gathering, and only 33% from
agriculture, labour and employment; which illustrates how vulnerable forest communities can
be to changes in forest access (Cernea & Schmidt-Soltau, 2006). A recent survey of World
Bank assisted projects identified 120 projects with restriction of access (GEF-ME, 2005).
Numerous recent case studies have found that protected area designation results in restricted
access to forest resources, including firewood, bushmeat, building materials, forest leaves
fruits and vegetables. Examples include Barombi Mbo Forest Reserve, Cameroon (Ngome,
2006), Buxa Tiger reserve, India (Sharma et al., 2004), Sarstoon-Temash National Park,
Belize (Beltran, 1998), Ranomafana National Park, Madagascar (Ferraro, 2002) and
Annapurna Conservation Area, Nepal (Bajracharya er al., 2006).

Firewood restrictions have been reported as being particularly problematic (Abbott & Mace,
1999; Vedeld et al., 2007; Bajracharya et al., 2006), as wood provides up to 70% of the
energy consumed in Africa (Murray & Montalembert, 1992). In Malawi, 90% of the primary
energy supply is provided from fuelwood, whilst there are restrictions on collection of
firewood in 55% of woodlands and plantations (Kayambazinthu, 1988). The effects of
fuelwood restrictions have been studied in the Mount Elgon National Park, Kenya (Ongugo,
2002). The Kenya Wildlife Service advocates a total ban on use of the forest’s products, and
members of the community must walk long distances to collect firewood from unprotected
forest blocks. This nas led to tension between the community and the Service and disregard of
the National Park’s regulations.

Restrictions in access can also cause significant changes in the diets of rural communities.
Leaves, fruits and vegetables collected in the forest provide many people with vitamins and
minerals (Foppes and Ketphanh, 2004), and bushmeat provides from 30 to 80% of the daily
protein requirements of rural communities in the Congo Basin (Wilkie & Carpenter, 1996). It
has been suggested that the establishment of the Ranomafana National Park in Madagascar
may affect community health by restricting access to indigenous medical plants, reducing
protein intake from wild crayfish and reducing the purchase of fat and oils, as a result of
reduced household incomes from forest products (Ferraro, 2002). Conversely, in the Yucatan

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21 May 2008

peninsula of Mexico, restriction of access to forest resources has increased Mayan
dependency on purchased items, leading to a decline in overall nutrition (Leatherman &
Goodman, 2005).

Reduced forest access can also remove the ‘safety net’ of alternative harvests when crops fail.
This increases the impact of agricultural food or income losses, and the chance of households
failing to achieve their minimum income requirement (Ferraro, 2002).

4.3.2.Access to land and employment

Forests surrounding villages are sometimes used for extensive grazing. Shifting cultivation, or
‘slash and burn’ agriculture, is also often practised by village communities. Forested land is
clear-felled, used to grow crops, and then left fallow, allowing secondary forest regeneration
and soil renewal before the forest is cut again on a multi-year rotational cycle (House, 1997;
Coomes et al., 2000). Individual households will often re-use the same areas after decades of
regeneration. A farmer who knows that the land will pass to his or her children through the
traditional familial system of agriculture is more likely to invest in the land than a farmer who
knows that the land belongs to the state (Powell, 1998; WRI, 2005; Ngome, 2006).

Restrictions on forest use that reduce the amount of land available for agriculture can alter
traditional land-use practices, reduce incomes from livestock and increase land degradation
bordering the forest by concentrating cultivation or livestock in smaller areas (Bedunah &
Schmidt, 2004). For example, when the Doi Inthanon National Park was established in
Thailand, the traditional shifting cultivation system was perceived to be unsustainable and
made illegal. Financial compensation was only awarded to some ethnic groups, and no
alternative income generating projects were set up to compensate for the loss of livelihood
(Nepal, 2002).

When protected areas are designated, extractive industry permits are also generally revoked.
Where present, these industries are often the main form of formal employment for local
communities, and their closure can therefore have a major impact on incomes. In 1998,
logging of natural forest along the Yangtze River in China was banned, to reduce
environmental degradation. This resulted in the loss of an estimated 1.1 million jobs locally,
and of many social services in the region, such as education and health care, which were
originally provided by state-owned forestry companies (Kaimowitz, 2003).

Where local people depend on forest land for subsistence or employment, but protected area
or REDD goals necessitate restrictions upon use, a ‘do no harm’ ethic would imply a
responsibility to ensure that suitable alternative livelihoods are developed.

4.3.3. Commercialization of forest products and services
Access restrictions on forest products can often result in an increased dependence on
employment or commercial activities such as intensive agriculture, shifting communities
towards a dependence on market economies. It may also result in these products becoming
more valuable through their rarity, becoming privatised or commercialised within local
communities. Tourism in protected areas can also put a commercial value on the forest
ecosystem itself and the traditions and culture of communities (Rasker, 1993; Krech, 2005).

This commercialisation can change the way in which local communities perceive their
environment (Pfeffer et al., 2001). The income associated with ecotourism can change local
perceptions of the value and use of their surroundings (Hough, 1988; Forbes, 1995; West et
al., 2006; West & Carrier, 2004), changing forests’ value from cultural or spiritual to
commercial (Brown, 1999), and increasing the perceived value of specific forest products
(Vivanco, 2001; Merlin & Raynor, 2005). In a non-forest example, the sport hunting of ibex
in Pakistan changed local hunting practices and beliefs, as commercial incomes became
available to the local community (MacDonald, 2004).

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21 May 2008

As discussed, different sections of the community use forest products in different ways. As
forest products become more commercialized, the richer sections of the community often
have more ability to exploit them. This can increase differences in wealth within the
community, even increasing poverty for marginalized groups (Arnold & Perez, 2001).
Increasing commercialization, and the profits that ecotourism brings, can put pressure on local
political systems, causing disputes within the community and producing new class systems of
those who profit and those who do not (West er al., 2006). Similarly, if forest resources are
perceived to be valuable, it can encourage migration to the area and increased stress on
resources. These issues will need to be addressed if markets are to be developed for the
carbon storage capacity of forests through REDD.

4.3.4. Restricted access, community involvement and conservation success
As with displacement, reduced use of forest resources can result in conservation benefits. A
recent review of the effectiveness of protected areas has suggested that more restrictive
protected areas are more successful in reducing deforestation than those with less restrictive
access (Clark er al., 2008). However, displacement of forest use from within the protected
area can add to degradation of land around its boundaries.

Where disempowered communities remain within or around the protected area, and forest
laws are weakly enforced, compliance with restrictions on resource use is less likely (Seeland,
2000; Ongugo, 2002; Bedunah & Schmidt, 2004; Scherl, 2004). Accelerated extraction of
resources have even been reported, where communities fear impending loss of forest use (e.g.
in the northern Yunnan, China; Harkness, 1998), have lost local laws governing forest use due
to changes in land tenure (Section 5.2), or are protesting against the protected area by
undermining its conservation goals (Martyr & Nugraha, 2004). The recognition of these
tensions has contributed to the growth of community involvement in protected area
management.

4.4. Human- Wildlife Conflicts and Degradation of Resources

Human-wildlife conflict is increasingly emerging as an issue where there are increasing
human populations, decreasing habitat for wild fauna and/or successful conservation practices
leading to increased wildlife numbers (Saberwal er al., 1994). The wildlife problems that can
be encountered by local communities living close to forest protected areas fall into two main
categories: damage to resources such as crop raiding and livestock predation, and threats to
human life. Livestock may also face a risk of disease transfer from wild ungulates (Metcalfe,
2003). Conflicts with carnivores are more likely to fall into both categories, but herbivores
such as mountain gorillas and elephants can also do so (Treves & Karanth, 2003; Hoare,
1999). Larger animals typically require larger home ranges and more food resources to sustain
a viable population (Macdonald & Sillero-Zubiri, 2002), causing them to extend their range
beyond the limits of small protected areas into neighbouring land, entering into conflict with
local communities.

4.4.1. Crop raiding and livestock losses
Crop damage and predation of livestock have been studied in much more detail than other
protected area livelihood impacts. The financial losses involved can be measured relatively
easily compared with the many, and sometimes intangible, costs of displacement, resource
restriction and social and cultural change.

Crop raiding can occur in farms inside and on the borders of forest protected areas that host
the relevant wildlife species. Elephants are often mentioned as the most difficult and
damaging species to defend against (e.g. Bauer, 2003; Madhusudan, 2003; Kideghsho er al.,
2007). Other species such as baboons, monkeys, civet cats, wild pigs, and other ungulates are
also recorded frequently (Weladji & Tchamba, 2003; Bajracharya er al., 2006). In forest
areas, crop raiders are generally large-bodied species in forest areas, whereas in savannahs

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21 May 2008

small-bodied species such as rats can cause just as much damage (Naughton-Treves, 1998).
Large cats such as lions and tigers, and wild dogs, are the main species to prey upon livestock
(Bedunah & Schmidt, 2004; Kideghsho, 2007; Bauer, 2003).

Case studies from Nepal, India, Indonesia, Cameroon and Uganda illustrate that human-
wildlife conflict can be most problematic for communities living inside or close to protected
areas, with 74 to 90% of farmers reporting crop raiding (Sekhar, 1998; Naughton-Treves,
1998; Weladji & Tchamba, 2003; Bajracharya er al., 2006; Linkie er al., 2007). Predation of
livestock also has a significant livelihoods impact, although the effects may be felt by fewer
farmers. Villagers living within the Bhadra Tiger Reserve, India, lost 12% of their livestock
per year (Madhusudan, 2003), whilst 44% of farmers in and around the Annapurna reserve,
Nepal, and 28% of farmers in the Benoue National Park, in northern Cameroon (Weladji &
Tchamba, 2003) reported livestock predation to be a problem. Each household in Annapurna
lost a quarter of their annual maize production to crop raiding (Bajracharya et al., 2006). In
India, on the border of the Sariska Tiger Reserve, 27% of the gram harvest was lost (Sekhar,
1998), and in Bhadra Tiger Reserve, crop raiding by elephants led to grain losses of 11%
(Madhusudan, 2003).

These losses can result in serious reductions in agricultural incomes. In Benoue, 18% of
livestock income was lost on average. Losses may not be spread evenly, with some farmers
losing an entire year’s crop to one night of elephant damage. The risks can be so high as to be
prohibitive; Studsrgd and Wedde (1995) found that some farmers around the Royal Bardia
National Park, Nepal had opted to keep their fields fallow rather than risk crop raids. Such
losses affect the food security of local communities directly through a reduction in staple food
grains such as maize and millet (Banskota & Sharma, 1995), and indirectly through reduced
household incomes (Weladji & Tchamba, 2003).

As wildlife populations increase within effective protected areas isolated within a rural
matrix, the incidence of human-wildlife conflict is likely to rise. Increased conflicts may also
result from increasing human populations along protected area boundaries, as a result of
migration in search of new resources and opportunities (West et al., 2006).

4.4.2. Threats to human life

Globally, wildlife is a minor cause of human death. Lions, tigers, leopards, pumas, hyenas and
bears kill only a few hundred people each year (Macdonald & Sillero-Zubiri, 2002), but these
casualties are often concentrated in relatively small regions. Where attacks are frequent,
negative attitudes to carnivores are unsurprising. It is estimated that between 36 and 100
people are killed by tigers in the Sundarbans mangrove forests of Eastern India each year
(Macdonald & Sillero-Zubiri, 2002). In the Gir forest in India, successful Asiatic lion
conservation has led to an increase in attacks upon humans, as the protected area is too small
to support their increasing numbers (Saberwal er al., 1994). 193 attacks by Gir lions were
reported between 1973 and 1991, averaging 14.8 attacks and 2.2 deaths annually (Saberwal et
al., 1994). These attacks can be attributed to a wide variety of triggers, ranging from predator
defence of their kill, increased human contact as a result of lions being attracted to tourist
areas using baits and the influence of climate (Macdonald & Sillero-Zubiri, 2002; Saberwal et
al., 1994; Treves & Karanth, 2003). Attacks increased dramatically in the period during and
immediately following a major drought, because lions needed to roam further in search of
prey; and because at night, communities began to keep their livestock much closer to, and
even within villages in an attempt to ensure their survival (Saberwal et al., 1994). This
increased the likelihood of human contact with hunting lions. Attacks also increase during the
wet monsoon season, when cooler daytime temperatures allow the lions to roam further and
for longer periods, and denser vegetation cover increases the likelihood of accidental
encounters (Saberwal er al., 1994).

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21 May 2008

The effect of wildlife attacks upon local communities needs little explanation, and the
economic impact on individual households can be extremely large, including the loss of
labour and income (Tiffen et al., 1994),

4.4.3. Wildlife damage and conservation success

Human-wildlife conflict can damage the relationship between local communities and
protected area administration (Songorwa, 1999; Infield & Namara, 2001; Weladji &
Tchamba, 2003; Gadd, 2005; Kideghsho, 2007; Linkie et a/., 2007). Examples include the
strong community opposition to the conservation programme in the Selous Game Reserve,
Tanzania (Songorwa, 1999), and the negative perception of wildlife conservation held by
local communities in Laikipia, Kenya (Gadd, 2005). In the Kerinci Seblat National Park,
Sumatra, farmers set snares in the farmland bordering the park, killing a range of wildlife,
including tigers (Martyr & Nugraha, 2004). In Nepal, where livestock losses to the snow
leopard and wolf populations amounted to between a quarter and a half of average annual
income for affected Nepali farmers (Macdonald & Sillero-Zubiri, 2002), the most widely held
opinion amongst livestock farmers was that eradication of the predators was the only option.

Methods to prevent human-wildlife, such as barriers and patrols, have been implemented in
many protected areas, but are not always effective (Thouless & Sakwa, 1995; Linkie et al.,
2007). Treves & Karanth (2003) review the approaches to managing human-carnivore
conflicts, including eradication, controlled harvest, preservation of wildlife and translocation.
They suggest that future management should employ selective population control to remove
persistently offending individuals only, and only for non-critically endangered species.
Translocation is also advocated where it can be achieved successfully (relying upon territorial
vacancies a significant distance from the removal site), but is considered to be unsuitable in
many cases due to high mortality rates and large costs. Non-lethal deterrents, including
aversive stimuli are economically infeasible for many of those affected. Interventions to
modify human and livestock behaviour, for example introducing guard animals (llamas, dogs
and donkeys) are being researched, and may provide an important mechanism by which local
communities can feasibly reduce livestock predation and crop damage. In the case of threats
to human life, education programmes are essential to increasing awareness of high-risk
situations, although analysis of their effectiveness is urgently needed.

Where losses occur, there is often no or insufficient compensation (e.g. Sekhar, 1998; Bauer,
2003; Madhusudan, 2003; Weladji & Tchamba, 2003). Opponents to cash compensation
schemes suggest that they may attract new residents to an area (Wells et al., 1992). An
alternative to cash compensation is to provide compensation ‘in kind’ by providing rights to
fuelwood and fodder collection within the reserve (Studsrod & Wegge, 1995; Sekhar, 1998).
A number of case studies have reported a positive impact on community attitudes to
conservation, despite crop and livestock losses, where extraction rights have been granted
(e.g. Studsr¢d & Wegge, 1995; Bajracharya et al., 2006).

5. The benefits of protected areas for local livelihoods

Local livelihoods may be enhanced by diversifying sources of assets, or switching livelihood
strategies to a singular but rewarding activity (Twyman, 2001). Diversification entails
opening up the correct assembly of opportunities for a specific community (Salafsky &
Wollenberg, 2000), which can be challenging to achieve. Despite the costs discussed above,
protected areas can provide significant livelihood benefits to local communities. This section
reviews the benefits of protected areas; both those provided by successful protection of forest
ecosystem services, and those directly gained from the management structure of the protected
area, ranging from direct income to provision of local amenities. Forest ecosystem services
include supporting and regulating services, provisioning services, and cultural services, as
defined in the Millennium Ecosystem Assessment (Figure 3).

=qig\=

21 May 2008

It is sometimes difficult to recognise ecosystem services and to quantify them accurately,
partly because they often provide indirect benefits, meaning that they remain poorly
understood in relation to their importance (Myers, 1996). In 1997, Constanza et al. estimated
the global value of biodiversity to be roughly $38 trillion, although this remains a highly
controversial figure. Using a careful analysis of existing case studies, Balmford er al. (2002)
found that the benefits of conversion of land (and subsequent loss of ecosystem services) were
always outweighed by the costs. In each case, private benefits were accrued at the cost of

social (community) benefits.

Ecosystem Services

—

Pravisioning Services
Products obtained from ecosystems
food
fresh water

fue! woo
fiber
biochemicais
genetic resources

fennicser Regulating Services
Services necessary for | Benefits obtamed from regulation of
the production of ail ecasysiem processes
other ecosystem chmaze regulation
services disease regulation
water regulaton
Soil formation water purification

Nutnent cycling

Primary Production Culturai Services

Non-materal benefits obtained from
ecosystems
spiritual end religious
recreation and ecotourism

Constituents of Well-being

Security
Ability to lve m an environmentally clean
and sa‘e shelter

Ability to reduce vulnerability [0 ecological
shocks and stress

Basic Material for a Good Life
"Ability to access resources to earn income
and gain a kivelincod

Freedoms
and
Choice

[ Health

*Ability to be acequately nourished

*Ability to be free from avoidable disease

= Ability to have adequate and clean drinking
water

*Ability to have clean air

Ability to have energy tc keep warm and
cool

Good Social Relations

=Opportunity to express aesthetic and
recreational values associated with
ecosystems

*Opportunity to express cultural and spiritual

aesthetic F NET te
inspirational values associated with ecosystems
educational *Opportunity to observe, study and fearn
sense of place about ecosystems
cultural nentage

Figure 3: Millennium Ecosystem Assessment breakdown of benefits provided by
ecosystems (Zakri, 2003). Although the diagram was not created specifically for forest
ecosystems, all of the identified benefits are relevant.

5.1. The effectiveness of forest protected areas in biodiversity conservation

Forest protected areas and community conservation initiatives generally have lower
deforestation rates than the surrounding non-protected areas (Clark et al. 2008). Less has been
published, on the effectiveness of protected areas in conserving the animal and plant species
contained within them, although the studies that have been carried out are often positive.
WWF's analysis of over 200 forest protected areas suggested that biodiversity condition in
protected areas was perceived to be good, and suggested that protected areas with an IUCN
management category of I or II were likely to be more effective than less restrictive categories
such as V or VI (Dudley er al., 2004).

The benefit of biodiversity conservation is clear at the global scale. Intact ecosystems are
thought to have more resilience to change, and to provide more ecosystem services (e.g.
Cardinale et al., 2006; Fox, 2006). However, the direct benefits to local livelihoods depend
upon protected area management strategies: the inclusion or exclusion of those local
communities and their livelihood activities, or the sharing of protected area benefits with
surrounding communities.

21 May 2008

5.2. Supporting and regulating services

Supporting and regulating services include generating and maintaining soils, primary
production, sustaining hydrological cycles, runoff control, prevention of soil erosion and
storing and cycling essential nutrients. For example, the forests of the Korup National Park,
Cameroon provide flood control for agricultural land, and help to sustain downstream
mangrove fisheries. The annual net benefit of these watershed functions has been estimated at
US$85 per hectare of forest (Ruitenbeck, 1992; Myers, 1996).

Local communities may not recognise or value these services when their benefits accrue at the
regional, national and global scales (Myers, 1996), especially given that the costs of
protection are mainly incurred at the local scale (Balmford et al., 2002). There may also be
trade-offs between short-term and long-term benefits. An often-cited example of ecosystem
service loss follows the conversion of forest land to rangeland for cattle ranching. Whilst
economic returns can be high for the first few years, soil degradation and related nutrient
depletion renders the land economically unviable and unable to regenerate as forest within a
short amount of time, with corresponding long term impacts upon local livelihood options and
security (Chomitz et al., 2006).

Despite the problems surrounding the identification and distribution of benefits, many are
recognised by local communities. In the Kerinci Seblat National Park, Indonesia, 94%, 88%
and 66% percent of farmers, thought that forest loss would result in flooding, soil erosion and
attacks from insect pests respectively (Linkie er al., 2007). In the Annapurna community
reserve, Nepal, communities have reported improved water resources after an increase in
forest cover in the reserve (Bajracharya et al., 2006). In Huertar Norte, Costa Rica,
participants in a payment for ecosystem services scheme reported that reforestation in the area
had improved soils and promoted tourism (Miranda et al., 2002).

5.3. Provisioning services

It is often possible to identify and quantify the provisioning services provided by forest
protected areas, as they are mostly direct benefits with visible economic impacts. The reliance
of local communities on forest resources has already been highlighted, and it could be
suggested that one of the biggest benefits of protected areas for local people is the protection
of forest resources for future generations. Any analysis of the costs and benefits of resource
restrictions must therefore be considered in the context of sustainability, and the livelihood
costs that would result from the future loss of forest resources. There must be a balance
between resource restriction and resource use if provisioning services are to be exploited by
local communities today.

Brown et al. (2000) argue that the designation and sustainable use of protected areas can also
lead to a more reliable resource base, whilst safeguarding the natural resources of a region for
future use. The pattern of boom and bust in forest resource exploitation cycles can be replaced
with a steadier economic base and the direction of benefits to local communities.

For these reasons, some communities have set up their own restrictions on forest use, citing
the value of future use of forest resources as their primary motivation. Amongst several
examples from Mexico, the community of La Trinidad has declared 29% of its forest as a
biodiversity area and has begun reforestation in former agricultural plots (Bray et al., 2003,
Barton-Bray et al. 2003). In the USA, the Ute mountain reserve in Colorado was created by
the Ute community for the preservation of cultural and natural resources (West et al., 2006),
and the native Americans of the Hoopa Reservation, California, have begun a programme of
forest management and ecosystem enhancement, as part of a drive to rebuild community and
culture (Baker, 2003). It is clearly possible for community management to deliver sustainable
incomes and biodiversity protection at the local scale.

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21 May 2008

Resource extraction from protected areas, including timber and non-timber forest products
(NTFPs), has been cited by local communities as one of the greatest available benefits
(Sekhar, 1998; Bauer, 2003; Holmes, 2003; Bajracharya et al., 2006; Allendorf er al., 2006).
At Lake Mburo National Park, Uganda (a Category II protected area), 44% of respondents
involved in community conservation programmes reported that the protected area was
positive because it conserved wildlife, and other benefits including the provision of water,
grazing and access to protected area resources were reported (Infield & Namara, 2001).
Similarly, an attitudinal survey in three wildlife sanctuaries in Myanmar, Burma (Categories
II and ILl), showed that 45% of residents were in favour of the protected area, with 63% citing
the conservation of natural resources as the reason for their support, and another 16% citing
the extraction of natural resources from the protected area. Some studies have shown that an
increase in forest production through protection has benefited local communities. In the
Annapurna Conservation Area, Nepal (Category VI), 72% of community respondents gave
the sustainable use of resources as their main reason for becoming involved in conservation
projects set up by the protected area, and reported an increase in fodder, fuelwood trees, forest
cover, water resources and wildlife populations (Bajracharya et al., 2006). Such positive
attitudes towards resource provision have been shown to lead to support of protected areas
even when significant costs are incurred.

Whilst not focusing specifically on protected areas, Belcher et al. (2005) review the use and
management of NTFPs and their implications for livelihoods and conservation. NTFPs can
include food, fibre, incense, medicinal plants or rubber. A small percentage of NTFPs enter
local, regional or international markets, providing a cash income to producer households.
They are more often consumed directly by the communities that extract them; in either case
they may act as a daily net (e.g. providing food for subsistence or sale), or an infrequent
safety-net. In the latter case, lives may depend upon NTFP availability, particularly as the
poorest groups within a community make disproportionate use of NTFPs.

Hamilton (2004) further argues that medicinal plants can be key to including local people in
conservation strategies. Protected areas may be designated because of these plants, and/or
their harvest may be encouraged to support local livelihoods. As well as playing an important
role in traditional healthcare, some forest medicines are sold into the expanding market in
herbal remedies, or used as the basis for manufacture of modern drugs (Hamilton, 2004).

Finally, the protection of wildlife within forests can have spillover effects onto surrounding
areas, providing a ‘source’ population of wildlife, which will then move towards the ‘sink’
areas outside the protected areas as their populations move towards carrying capacity (Joshi &
Gadgil, 1991; Novaro er al., 2000; Salas & Kim, 2002). This can lead to crop raiding and
livestock predation, as already discussed, but can also increase hunting opportunities for
communities surrounding the reserve. An analogous situation is seen in marine protected
areas, where no fishing zones act as reservoirs for fish stocks (Roberts et al/., 2001; Shanks er
al., 2003), delivering significant benefits to the fishing industry and fishing communities.
These source-sink dynamics are currently being trialled as a way of ensuring sustainable
bushmeat harvesting around the Nouabalé-Ndoki National Park, Republic of Congo (WCS-
Congo, no date).

Sustainability in a livelihoods context can be defined as the ability of the stakeholder to
withstand short-term fluctuations in circumstances, and adapt to longer-term fluctuations
(Scoones, 1998). NTFPs in particular can be regarded as a ‘sustainable livelihoods gateway’,
diversifying sources of income and sometimes providing a stepping-stone to a non-poor life
(Marshall et al., 2006). There is an obvious economic potential to the sustainable harvest of
the more valuable NTFPs such as medicinal plants from protected areas, but their potential to
benefit local communities is often affected by unstable markets, poor infrastructure and
market access, and lack of bargaining power and market information (Belcher er al., 2005;
Marshall er al., 2006). To realise this potential, investment would be required not only in the

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21 May 2008

sustainable harvest and processing of NTFPs by local communities, but also in the facilitation
of market access. An analysis of the sustainable yields possible is essential to underpin the
long-term viability of NTFP-based livelihoods.

5.4. Cultural services

Deforestation, whether by communities or external actors, can result in the loss of the cultural
traditions and religions connected with the forest (Dearden er al., 1998). Whilst the services
discussed in the preceding sections are probably more easily quantifiable, the cultural and
social benefits of forest protected areas are an intrinsic aspect of their role in local livelihoods.
McNeely (1994) discusses the opportunities for social benefits of protected areas, and
concludes that protected areas can play a crucial role in maintaining cultural identity,
preserving traditional landscapes and empowering local knowledge. For example, attitudinal
surveys undertaken in the Wolong Biosphere Reserve, in southwestern China, indicate that
the principal social development benefit of the reserve is that of increased social stability and
cultural identity (Lii er al., 2003). These benefits may be less visible and tangible, but can be
highly valued by local communities. The inclusion of local communities in planning stages
and management decisions can help protected area managers to reach beyond socio-political
factors, such as land tenure and resource access, to make local populations also stakeholders
in conservation priorities.

NTFPs such as medicinal plants can be symbolically and culturally important, providing
livelihood benefits through their social significance. Their value is not limited to that of a
financial asset. Hamilton (2004, p.1482) describes how medicinal plants may be “held in
special religious, nationalistic or ideological esteem”, which he argues can be advantageous
for conservation, by helping to establish culturally-based support for the value of flora and
fauna. Various attempts are underway to link conservation projects with local livelihoods
through medicinal plant agreements; at Shey Phoksundo National Park, WWF-Nepal is
implementing a community-based system of sustainable harvesting of medicinal plants
alongside the facilitation of customary medicinal practices in local communities, working
with traditional Tibetan medicine practitioners (amchis; Hamilton, 2004). Amchis are
respected members of the community, and key stakeholders in conservation initiatives to
maintain healthy resource bases of medicinal plants.

Local knowledge of traditional medicinal practices and resources can be a source of
employment opportunities for local communities, to serve local needs and sometimes through
assistance to research projects. Its value is also intrinsic, however; providing a source of local
empowerment and identity. A thorough assessment of local livelihoods would include these
more difficult to quantify aspects of the relationship between local communities and the
environment.

5.5. Benefits from protected area management and infrastructure
5.5.1. Ecotourism

Tourism in protected areas generates revenue directly, and has therefore been purported to be
the ideal alternative income base on which to build sustainable conservation and
developmental projects within protected areas (Metcalfe, 2003). Various studies document
local benefits either through sale of goods and services to tourists, or through sharing of a
portion of direct revenues such as entrance fees (Adams & Infield, 2003; Bedunah & Schmidt,
2004; Bajricharya, 2006). Naidoo & Adamowicz (2005) argue that tourism projects in
protected areas need to embrace the market values of biodiversity attractions, including the
tourist’s willingness-to-pay in their pricing. This could substantially increase the revenue
acquired, and would be a significant source of funds for local communities involved in the
projects. These funds may be shared directly, or invested in community activities. For
example, at the KwaZulu Natal National Park in South Africa, a Community Levy Fund has
been established, levying charges to visitors for developmental and economic activities both
within and outside the tourism areas (Luckett er a/. 2003). Many tourism projects also yield

21 May 2008

significant non-financial benefits through the development of skills and increased access to
information, credit and markets (Smith & Scherr, 2003). These benefits can diversify options
for financial assets and income, including migration opportunities provided by new roads, as
well as employment opportunities within the protected area.

In some cases tourism has stimulated environmental damage and around protected areas,
through resource extraction and development of infrastructure (e.g. Liu er al. 2001; Nepal,
2002). Sport hunting is a particularly controversial form of tourism, often difficult in forested
areas, and not always compatible with protected area goals (McKinnon, 2001). However,
some local communities have accrued substantial benefits from trophy hunting around
protected areas facilitated by integrated conservation and development programmes (ICDPs)
such as CAMPFIRE in Zimbabwe (Hasler, 1999). In Uganda, 12% of the revenue generated
goes directly to local communities (Scherl er al., 2004).

Overall, tourism is rarely shown to generate significant benefits on a large scale or to deliver
sustainable alternative livelihoods (Cernea & Schmidt-Soltau 2006; Hackel, 1999). Where it
does so, there are associated risks: communities can become dependent upon the income from
tourism and associated industries (West et al., 2006), which can be problematic for an
industry highly susceptible to outside influences ranging from armed conflict to fashion.

Benefits generated by ecotourism are not always equitably shared within communities (West
et al., 2006; Kiss, 2004), as illustrated in Belize (Belsky, 1999), Vietnam (Rugendyke & Son,
2005), Indonesia (Walpole & Goodwin, 2001) and Madagascar (Ferrero, 2002). A study of
six ecotourism projects in Africa, Latin America and Asia concludes that whilst the benefits
are not fairly distributed, being concentrated on the semi-skilled sectors of a community, they
can lift the recipients out of poverty and deliver fairly secure livelihoods (Ashley et al., 2001).
The success of protected area tourism in supporting livelihoods is closely linked to the other
governance issues discussed in this review, such as the scope for local people to participate at
the planning stage, and the breadth of consultations undertaken.

5.5.2. Payments for ecosystem services

Direct payment schemes, whereby non-governmental organisations (NGOs) or government
agencies directly pay local communities or private landowners for conservation of
ecosystems, their services or species, have become the focus of debate in recent years (e.g.
Ferraro & Kiss, 2002; Grieg-Gran et al., 2005). Advocates of direct payment schemes cite
them as examples of ‘win-win’ conservation; directly valuing biodiversity, compensating
local people for protected area impacts, and thus efficiently delivering measurable
conservation results. The poor can benefit from increased income, diversified livelihoods,
formalised land tenure and strengthened social organisations (Grieg-Gran et al., 2005).

Many direct payments relate to watershed services. In the Hoopa reserve, California, between
1994 and 1998, local communities were paid by the Bureau of Indian Affairs for enhancing
ecosystem services by restoring four main watersheds within the protected area, with the aim
of reducing the sediment load flowing downstream (Baker, 2003). By 1996, sedimentation
levels had been significantly reduced, and communities benefited financially, as well as from
the enhanced environmental assets. In Pimampiro, Ecuador, the local government pays groups
of farmers whose land is in the headwaters of the town water supply to protect their forests.
These payments constitute on average 30% of household incomes, and assistance for soil
conservation and organic farming is also received (Echavarria er al., 2004). The ‘payment for
ecosystem services’ (PES) scheme in Costa Rica has now been in operation for 10 years
(Grieg-Gran et al., 2005), pays rural residents approximately $35USD annually per hectare of
forest protected (Ferraro & Kiss, 2002), and participants have reported a strengthening of
community associations through the program.

21 May 2008

The carbon market offers increasing opportunities for payments for restoration and retention
of forest carbon. The potential impacts of payment for avoided deforestation are discussed in
Section 8 of this review. Direct payments for other services such as biodiversity conservation
are less well developed, but examples exist such as the protection of corridors between
protected areas in Kenya (Guillison et al., 2000).

Although the number of direct payment schemes is growing, they still cover only a tiny
fraction of protected areas and forest communities. Detractors point to the institutional
complexity that may be required to allocate and monitor payment schemes, especially where
countries have many small, remote rural communities (often true of forest-dwelling
communities). There are also risks associated with dependence on payments that may
themselves lack a sound long-term financing strategy; but this is also true for many
development projects.

Like other development initiatives, direct payment schemes may negatively impact the
livelihoods of those not involved in the scheme through increased land-use restrictions and
loss of land tenure, and those excluded from these schemes may be the poorest members of
the community who lack the capital for initial involvement and have few initial land-use
rights (Grieg-Gran et al., 2005). To provide benefits, land tenure or equivalent rights must be
established, and communities be involved in the decision making process.

5.5.3. Sustainable resource management and development schemes

Integrated Conservation and Development Programs (ICDPs) have become increasingly
popular over the last few decades, as the potential benefits of linking biodiversity
conservation with social and economic development have been understood (Wells, 1999).
ICDPs aim to encourage local support for conservation through the provision of benefits from
protected area management, or though investment in alternative livelihoods including tourism
(Wells, 1999; Scherl et al., 2004; West er al., 2006). Various reviews have examined the
success of ICDPs, often questioning their ability to realise development and conservation
benefits in practice (Brandon et al., 1992; McShane & Wells, 2004).

However, there are various examples of social and livelihood benefits provided by ICDPs
(Barton Bray et al., 2002; Bajricharya, 2006). In some cases, ICDPs have been vital for
building local institutional capacity for strengthened protected area management, facilitating a
greater role of local communities in conservation activities. Education and training for
alternative livelihoods, and awareness campaigns have been cited as one of the major areas of
success for ICDPs (Fomete & Vermaat, 2001; Mackinnon, 2001). Many ICDPs promote the
sustainable harvesting of NTFPs (Mackinnon, 2001; Bajricharya, 2006). Other documented
successes include the ICDPs associated with the Bwindi Impenetrable Forest and Lake Mburo
National Park in Uganda, and the Amboro National Park in Bolivia, which have provided
benefits from local forest management, improvement of local infrastructure, formalisation of
traditional alternative livelihoods, control of crop damage and improved education and health
services (Hughes & Flintan, 2001).

The majority of reviews do highlight complex issues with ICDPS that need to be resolved. It
has been suggested that whilst the concept of linking local communities to resource
management is sound, project design often assumes that attaching economic value to
resources will achieve developmental objectives, without considering realistic social goals,
establishment of tenure, and provision of mechanisms for equitable distribution of resources
(Scherl er al., 2004; West er al., 2006; Ferrero, 2002). For example, in the Annapurna
Conservation Area, Nepal (IUCN category VI) often documented as an example of success,
there have been reports that many community members have yet to receive economic
benefits. The otherwise successful ICDP in the Bwindi Impenetrable Forest in Uganda has not
eradicated illegal use of forest resources (Scherl er al., 2003). ICDPs often implement projects
based on social units that differ from traditional norms, which can reduce local acceptability

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21 May 2008

and equitable outcomes. There is often a failure to engage with multiple stakeholders and
failure to include local communities in decision-making processes (McShane & Wells, 2004;
Kideghesho, 2007).

There are also some concerns over the environmental and economic sustainability of
alternative livelihood practices (Wells et al. 1992; Hughes & Flintan, 2001; Naughton-Treves,
2003; Scherl et al., 2003;). It is clear that ICDPs have the potential to provide social benefits
from protected area management in suitable areas, but that adequate institutional and capacity
building arrangements are required for the distribution of social and economic benefits
without undermining traditional systems. This requires local participation and consideration
of the heterogeneous nature of community households to be considered in ICDP design.

5.5.4. Strengthened land tenure and protection from external threats
The legal provisions related to protected area designation can often provide local communities
with formal protection that would otherwise be unavailable. This can protect traditional lands
from external threats such as extractive industries or development. The benefits to local
livelihoods may include preservation of the natural resource base, maintenance of access to
traditional lands, and the opportunity for enhanced livelihood strategies in the future, which
would be prevented by external ownership.

The designation of many protected areas has been driven by local communities to safeguard
local resources (Laurence, 2000; Catton, 1997; De Lacy, 1994; Chapin, 2000; Colchester,
2000; Naughton-Treves, 1998; Schwartzmann et al., 2005; Sohn, 2007). Whilst the direct
benefits will depend upon protected area management strategy, designation is likely to be
more favourable to local livelihoods than the transfer of land ownership to external
companies. For example, when the Peruvian government declared that the Madre de Dios
region of the Amazon was to be opened up to oil and gas exploration, locals and conservation
groups objected to the plans (Chicchén, 2000). The issue was eventually resolved through the
designation of the Bahuaja Sonene National Park in 1996, and an agreement that the
exploration activities in adjacent regions, would return any land not desired for extraction
programmes for inclusion in the protected area. Further examples include the Juna Tribal Park
in Panama, created by the Kuna Indians to prevent encroachment by agriculturalists moving
towards the coasts from the centre of the country (Chapin, 2000); the Arctic National Park in
Alaska, set up as a collaboration between Inuits and conservationists in order to block an oil
pipeline (West er al., 2006); and the Kaa-Iya Park in Bolivia, managed by the Guarani-
Izoceno people adjacent to their lands to buffer their territory from external threats
(Naughton-Treves et al., 2005).

When protected areas are established, there is an opportunity to formalise or transfer of land
rights in the area or its buffer zone to local populations. This is less common within purely
state-run protected areas, but has often been highlighted as a priority to facilitate successful
conservation. Enabling sustainable resource extraction within a community that could face
future relocation is very challenging (Roth & Haase, 1998). Land tenure rights not only secure
financial assets for communities, but also increase physical assets (in the form of the land
itself), and socio-political assets (‘the power of legitimisation’; Winter, 1998). A legitimate
claim upon the land should in theory increase motivation to conserve the natural resource
base, though tenure rights alone will not resolve all conflicts with protected area goals.

6. The distribution of the costs and benefits of protected areas

The impact of protected area designation on an individual within a nearby forest community
is likely to depend on his or her use of the forest, tenure rights and political power within the
community. Those with high dependency on the forest, few land-tenure rights and little
political influence will be most at risk from protected area designation, which in turn is likely
to influence their attitude towards conservation. In semi-structured interviews to measure

21 May 2008

attitudes towards conservation in communities in and around protected areas, wealth,
ethnicity, age, gender and occupation have all been shown to be important in predicting
attitudes (Kideghesho, 2007; Infield, 1998; Infield and Namara 2001; McClanahan er al.,
2005; Allendorf er a/., 2006). Such variation within communities is often not reflected in
protected area management, even where communities are involved in governance.

6.1. Wealth

Although richer members of forest communities are often the biggest harvesters of forest
products, the poor can be more dependent on these resources, relying on the collection of
forest products as a safety net during times of low-employment and food production. Forest
restrictions can therefore have large impacts on the poorest sections of forest communities. In
Ranomafana National Park, Madagascar, wild sources of food and income accounted for a
larger share of household incomes among the poor, so that the establishment of the park was
likely to affect these households the most, possibly increasing the size of loans during times
of food deficit (Ferraro, 2002). Poorer households more frequently borrowed from richer
household, reducing community harmony.

Land use restrictions can also increase the value of forest and forest products, increasing the
pressure towards privatization of resources and therefore the value of land tenure within
communities. This can further increase the wealth gap between land-owning and landless
households; the latter may have to pay landowners for access. Compensation for loss of forest
use or human-wildlife conflicts can be tied to land rights. For example, in the Bhadra Tiger
Reserve, India, those claimants without evidence of land tenure were not compensated for
livestock losses (Madhusudan, 2003).

Wealthy households and individuals often have more political influence within the
community, which means that they are more likely to gain the benefits provided by protected
areas than are the poor. In Nepal, community forest user groups can reflect existing
hierarchies, and are biased in favour of wealthier, more powerful or higher caste individuals
(Chakroborty et al., 2001; Jones, 2007). Members of community institutions with political
influence are in the best position to gain from ICDP and ecotourism benefits, which are often
distributed using existing community institutions. Where benefits are distributed through local
institutions, the rich elite are usually the main beneficiaries (Platteau and Gaspart, 2003). The
same issue may also arise when protected areas are turned over to community management.
In a Thai example, large areas of land originally designated as a forest reserve were given to a
few wealthy individuals (Dearden, 1998).

Whilst there will be inertia in the system once benefits are distributed, The Lapande Reserve
in Zambia recently changed the distribution of hunting concession revenues to local
communities, after finding that distribution through community leaders resulted in benefits
not reaching villagers most in need (Child & Dalal-Clayton, 2004).

6.2. Gender

Differences in forest use, tenure and power can mean that protected area designation has
different impacts on men and women. Women often make more use of forest resources, but
not necessarily the same resources that men use. Resource restrictions will therefore
differentially affect the livelihoods of men and women: for instance, some protected areas
allow NTFP and firewood collection, but ban hunting (e.g. Sekhar, 1998; Allendorf, 2006).
The designation of the Ranomafana National Park resulted in a shift in agricultural activities
from men to women, as the system changed from shifting cultivation (tavy) to irrigated rice
paddies and gardens.

Traditional male tenure rights mean that many protected area managers ignore women when

involving the community in protected area management (e.g. Sundberg, 2003). Payments for
ecosystem services, and devolution of protected area management to local communities are

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often linked to existing land tenure rights, increasing the gap in political power between men
and women. However, disruption of local institutions can sometimes favour women, creating
opportunities for them to build new alliances and work outside of the community structure
(West et al., 2006). Handicraft production for tourist markets can provide women with new
economic power (Vivanco, 2001). As development organizations increasingly recognize the
importance of the role of women in household wellbeing, development projects around
protected areas are also likely to increase the wealth and political power of women. Some
protected areas are now using gender analyses within their management plans, to identify how
men and women are likely to be affected by management decisions (Ongugo, 2002).

6.3. Ethnicity

Communities around protected areas often consist of multiple ethnic groups, which vary in
their use of the forest, tenure rights and political power (Ngome, 2007). Compensation for
protected area impacts is sometimes only offered to those ethnic groups that are ‘indigenous’
(Nepal, 2002; Ngome, 2007). The Doi Inthanon National Park, Thailand, provides an example
of inconsistency in compensation due to ethnic differences. Two groups, the Karen and
Hmong, live around the park and are restricted in their use of forest resources. However, Thai
compensation policy supports opium growers over farmers, which has favoured the Hmong
(Nepal, 2002).

If land is degazetted or otherwise returned to community control, the protected area resources
and infrastructure can attract immigrants from different ethnic groups (often economic
refugees), who have no existing tenure rights (Ngome, 2007). These recent immigrants can
find themselves with even fewer access rights than in the original management system.

6.4. Age and education

Age is directly related to livelihood activities and forest dependency, with the young and old
being particularly dependent on forest resources. In the Ranomafana National Park, old men
are more likely to pursue shifting cultivation (tavy) than irrigated agriculture, because it
requires less heavy labour. Similarly, households headed by young men were more dependent
on tavy because they had not yet inherited land (Ferraro, 2002).

Where standards of living are rising, younger people may have had more access to formal
education than older people. Education can provide increased employment opportunities, and
therefore alternative livelihood strategies (Kideghesho, 2007). As gender is correlated with
education, it can also be a factor behind gender differences in benefits. For example, within
the Jai National Park, Brazil, 61% of the literate population were men (Oliviera, 1999).

7. Quantifying the costs and benefits of protected areas

Very few studies have been able to assess whether protected areas have a net cost or a net
benefit for local communities; which restricts comprehensive analyses as to whether protected
areas generally help, harm or are neutral in their impact on local communities. This review
found no studies that had directly measured the impact of protected areas on poverty, wealth
or other variables that might indicate an individual or community’s wellbeing. This is partly
because these studies would require data from before and after a protected area has been
established and must monitor these variables for sufficient time after establishment (5 — 10
years). The studies reviewed below that have considered overall costs and benefits have
generally used either an economic cost-benefit analysis, or attitudinal surveys.

7.1. Economic costs benefit analyses

At least six papers have quantified costs and benefits for forest protected areas: three case
studies from Madagascar (Kremen er al., 2000; Ferraro, 2002; Carrett & Loyer., 2003), one
from Kenya (Norton-Griffiths & Southey, 1995), one from Malaysia (Mohd Shahwahid et al.,
1999) and one from Cameroon (Yaron, 2001). Similar methods were used for each study: for

She

21 May 2008

the costs and benefits that could be quantified (generally spiritual, social and cultural value
are not included), monetary values were estimated for a certain time period. These costs and
benefits were then discounted for their future value, at discount rates of up to 20%. The use of
such high discount rates to estimate the value of ecosystem services to future generations is
increasingly controversial, especially where losses are irreversible, and can have a significant
impact on the outcomes.

Kremen et al. (2000) looked at the net benefits of the Massola National Park, Madagascar, at
global to local scales. The park was chosen because of its ICDP programme, which provided
ample data for economic evaluation. The costs and benefits varied at the global, regional and
local scale (Table 5). The protected area provided a net benefit over a ten-year timescale for
local communities, mainly through the sustainable community forestry programme, and the
use and protection from forestry of NTFPs. The costs were focussed at the national level, due
to the loss of large-scale timber extraction, and a net global benefit was calculated, as a result
of the carbon value of the forest protected from future logging activity.

Table 5: Costs and benefits of Massola National Park at different scales (Kremen et al., 2000)

Local (net benefit) National (net cost) Global (net benefit)
Cost Benefit Cost Benefit Cost Benefit
Hill rice | NTFPs Hill rice farming | NTFPs Donor Carbon
farming opportunity investment
opportunity | Community | costs Community | in ICDP Conservation
cost forestry forestry

rorestry Development
Forestry Ecotourism | opportunity cost | Ecotourism
opportunity
cost Park Watershed

management protection

cost

Ferraro (2002) produced a similar analysis of the costs and benefits of the Ranomafana
National Park in Madagascar for local communities, using household surveys and
questionnaires on the use of the park’s land for agriculture, NTFP collection and timber
before and after its establishment in 1991. The net cost of the existence of the protected area
was estimated at US$39/year/household. The total opportunity costs for local communities of
the establishment of the park were estimated at US$3.37 million. Health, cultural and social
costs to the communities were not included, being more problematic to quantify. The global
and national scale benefits of the park’s designation were estimated to far exceed these costs.
This imbalance could have been addressed effectively if conservation funding had been
allocated to local conservation support projects and strategies to offset the costs incurred by
locals, but at the time of the study the park had no tourism or ICDP projects.

The third study based in Madagascar (Carrett & Loyer., 2003) assessed the overall costs and
benefits of the entire protected area network. The existence of the parks system created a net
overall benefit and the land under protection was valued at US$15.7 per hectare, with a 54%
economic rate of return. These benefits from biodiversity conservation, ecotourism and
watershed protection were mainly felt at the regional to global scale, whereas the management
and opportunity costs were incurred at the regional to local scale. Similar results were seen for
the protected area network of Kenya (Norton-Griffiths & Southey, 1995), with the main costs
being the opportunity costs of land conversion, which were borne at a local and national level.

21 May 2008

This pattern of local costs and regional to global benefits was also observed in Selangor,
Malaysia, where it was more profitable at the local level to unsustainably harvest timber than
protect the forest (Mohd Shahwahid er al., 1999). At the global scale, forest protection
provided net benefits through flood protection and conservation of carbon stocks and
endangered species. The study from Mount Cameroon had similar results, with local net
benefits of forest conversion for small-scale agriculture rather than for forestry (Yaron, 2001).

Overall, the literature suggests that although protected areas provide net global economic
benefits, if community conservation programmes are absent, they can often have a net cost at
the local and national level, with developing countries and the rural poor bearing many of
these costs (Balmford et al., 2002). These studies can help to measure the level of
compensation, or alternatives that ICDP and other community programmes may need to
provide, in order to fully recompense local communities.

7.2. Attitudinal surveys

The most common method used to assess the effect of protected areas on local people is
attitudinal surveys to measure their perception of protected areas. This review has identified
ten attitudinal surveys. Positive or negative attitudes are sometimes correlated with protected
area costs and benefits (Allendorf, 2006), but communities may undervalue protected areas,
as many of the benefits of protected areas (such as forest products and ecosystem services) are
future use values, and may not be perceived to be under threat by the community. There are
currently too few studies to draw any major conclusions on whether people support protected
areas generally, but the interesting finding from a few studies is that even with high costs,
communities can support protected areas (Sekhar, 1998), generally citing the forest use
benefits that they receive from the protected area.

7.3. Direct impact studies

No completed studies were identified that have looked at the direct effect of protected areas
on local livelihoods and wellbeing. However, a paper by Wilkie et al. (2007) describes a
project currently underway to directly monitor the livelihood impacts of the protected area
network in Gabon. This five year project uses quantitative household surveys, using the
methods of the World Bank Living Standards Measurement Study, to look at household
wealth, health, incomes and consumption of natural resources and other goods. It will monitor
the impact of the new system of protected areas on a stratified sample of 1 000 households.

8. Protected areas and livelihoods in the context of REDD

The extent to which the benefits from protected areas are realised by local communities is
greatly influenced by the wider political and economic climate. The studies reported above
typically assess costs and benefits at site level; but there is also a need to consider the wider
macro-economic scale to set the results in context. The current discussions on carbon finance
for reducing emissions from deforestation and forest degradation (REDD) have the potential
to have major impacts upon the livelihood costs and benefits associated with protected areas.

REDD is likely to affect the protected area network by influencing which forests exist, and
where, and who benefits from the services that they provide (Smith & Scherr, 2003; Brown &
Corbera, 2003). The potential benefits to local communities of a carefully managed carbon
finance mechanism could be considerable. The protection and management of carbon storage
areas, whether protected areas or other sustainably managed forests, can draw upon lessons
learnt from previous experiences of ‘people and parks’ (Bass, er al., 2000; Asquith et al.,
2002; Peskett, 2007). Some concerns have been expressed that reducing deforestation and
degradation of forest carbon stocks may entail a reversion to the ‘fences and fines’ approach
of forest management (Orlando et al., 2002; Griffiths, 2007). The current review makes it
clear that denial of access to forest resources has negative effects on the poorest members of

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21 May 2008

local communities, and that managed access and/or compensation generally yields better
results for both conservation and livelihoods.

The development of a market for the carbon storage services of standing forest could provide
the opportunity to engage a considerable amount of governmental and private sector funds in
forest conservation on a scale that has not previously been seen. Whilst REDD is likely to
involve national-scale policy changes and planning, forest management changes will have to
be implemented at a site scale. It has been suggested that the benefits of international
environmental markets, like those of protected areas, are often realised globally, whilst most
of the costs are incurred at the local level (May er al., 2004; Peskett, 2007). Clear governance,
including well-defined property rights, is critical for emerging international markets (Landell-
Mills & Porris, 2002). Lessons from existing carbon projects could help to inform the
development of an international forest carbon market that also yields multiple benefits for
conservation, livelihoods and ecosystem services.

In existing carbon markets, the transaction costs of projects tend to favour large operators at
the expense of small landholders (Pfaff et al., 2007). Carbon forestry projects have not been
overly successful in equitable distribution of resources and are particularly weighted against
those whose livelihoods are dependent upon less formal rights to forest resources, such as
poor or landless households and women (Brown et al., 2004; Grieg-Gran et al., 2005); leading
to the capture of most of the benefits by elite groups (Brown and Corbera 2003). Carbon
markets have favoured middle-income communities in Mexico, even with allocation of tenure
rights (Brown er al., 2004). Similar issues have been identified for a number of forest carbon
forestry projects; including the best example of an avoided deforestation scheme to date, the
Noel Kempff Mercado Climate Action Project in Bolivia (May et al., 2004; Nelson & de
Jong, 2003. Brown & Corbera, 2003 Brown er al., 2004; Grieg-Gran et al., 2005; Griffiths,
2007). There are also several examples of well-designed carbon finance projects have led to
significant livelihood improvements, mostly as a result of good governance and equal
allocation of benefits (Brown et al., 2004; Jindal, 2006; Peskett, 2007).

The issues seen in carbon projects, such as governance, tenure, and inequitable distribution of
costs and benefits, are often the same issues identified as barriers to the provision of protected
area livelihood benefits. In both cases, the importance of including local stakeholders at all
stages of decision-making has been highlighted, along with allocation of ownership of
resources (Boyd et al., 2005). The literature suggests that national governments often do not
allocate land use rights in current protected area networks, and that more powerful
stakeholders can reap the benefits at the expense of local communities. These factors
therefore need serious consideration if carbon finance is to be created for forest protection, as
increased land values may exacerbate these tendencies.

If the obvious issues can be addressed, avoided deforestation and other carbon storage
schemes could provide much needed funds for conservation and development. Addressing the
root causes of deforestation is likely to require improved governance of forest areas rather
than heavy restrictions on the activities of local communities (Chomitz, 2006). REDD
implementation could provide the incentive for governments to strengthen policies for forest
protection and settle tenure issues. An increase in the economic value of standing forests
could also have positive impacts on the livelihood benefits of protected areas.

9. Conclusions

A large number cf the rural poor rely on forest resources. The potential costs and benefits of
protected areas to community livelihoods have been well documented, and there are a number
of case studies that assess these costs and benefits at an individual site level.

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21 May 2008

The benefits of protected areas can range from the ecosystem services protected within the
forest area, to direct and indirect benefits from protected area management. In the case of the
former, such benefits include watershed and soil erosion protection, and provision of forest
resources such as NTFPs. The extent to which these resources can be used, however, is
largely dependent upon the protection status and management strategy of the area. Where
protected areas (usually categories I-II) have strong restrictions on resource use, these benefits
are not always realised. Additional benefits from protected area management can include
revenue from ecotourism, direct payments for conservation, development schemes,
employment, secured land tenure and protection of resources from external threats. The
provision of these benefits to local communities is again largely dependent upon the
mechanisms in place for benefit-sharing through management structures, community
involvement in governance or clearly allocated property rights.

The costs of protected areas can include: displacement of local communities, changes in
traditional land tenure, denied or restricted access to resources, loss of employment, crop
damage and livestock predation. Of these costs, displacement is arguably the most damaging
to livelihoods, but is relatively infrequent. Almost 90% of displacements have occurred within
the most restrictive IUCN management categories (I and II). Changes in tenure from
traditional property rights systems to government owned land, can also have significant
livelihood costs; particularly when communities are not involved in land use decisions.

Despite the many studies on this topic, few have attempted to assess the net livelihood costs
and benefits, most likely due to the lack of a consistent methodological framework with
which to do so, and the difficulties in placing a monetary value on some of the livelihood
aspects investigated. However, one of the clearest conclusions arising from this review is that
costs and benefits are not distributed evenly throughout local communities, with the more
prominent members of society typically capturing most of the benefits whilst suffering less of
the costs. This trend seems to be a combined result of pre-existing forest resource use patterns
and inadequate distribution of benefits, and is often true regardless of the protected area status
or the level of community involvement in governance.

Protected area management can provide direct benefits to communities; but can also restrict
access to resources, alter local power structures, and change social/traditional values and
behaviours. Some attitudinal studies have found positive community perceptions of protected
areas, whilst other communities recognise the need for the protected area for its conservation
value, but are negative towards the restrictive management structures. Whilst management
strategies are not specific to protected area status, strictly protected areas lacking in
community involvement can have major livelihood impacts that cause conflict between local
communities and protected area management.

To further assess the costs and benefits of protected areas to local livelihoods, increased
efforts are required into the standardisation of methodologies for social impact assessment.
Further study is also required into the combined effects of protection status and governance
on the costs and benefits of forest protection. Existing studies often record the IUCN
management category of the area, without documenting the level of community involvement.

All management categories of protected area can involve communities in governance and
establish clear property rights, but category V-VI areas with a focus on sustainable
development are more likely to do so. Both community management schemes and protected
area management allowing sustainable use of forest resources have met with varying degrees
of success. Whilst tangible benefits are frequently reported, significant costs can still be
incurred by communities if management and institutional capacity is lacking, and issues of
governance and tenure are not resolved.

= %is

2] May 2008

The costs and benefits of protected areas for local communities are therefore highly
dependent upon protected area management and governance. If strict protection is
implemented, local people need to be involved in management and compensated for losses, or
the likely result will be that they will not cooperate with protected area management. Even for
less restrictive protected areas, issues of tenure and equity may remain. Community-based
forest management could have an important role to play in the protected area network,
increasing the area and success of forest protection, but will require social investment and
capacity building

These conclusions are particularly relevant in the context of REDD. An analysis of livelihood
costs and benefits in existing forest carbon markets has identified issues similar to those in
protected area management; including lack of established tenure and the inequitable
distribution of resources; particularly for the landless members of society. Increased finance
could exacerbate these issues, and there is the potential for the protection of carbon areas to
positively or negatively affect local livelihoods. The potential exists for REDD mechanisms
to reduce the large-scale drivers of deforestation, secure land tenure rights in forest areas, and
increase the potential benefits to local communities from conservation through community
management regimes. These past experiences indicates that involvement of local people in
planning and implementation of REDD, and ensuring sharing of the benefits from REDD
finance is likely to result in a more sustainable long-term solution to deforestation.

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