Forest management planning in Congo Basin rainforests [Elektronische Ressource] : a critical analysis of the state of art and design of a new planning system as a contribution to sustainable forest management / vorgelegt von Sicco Dany Dogmo Pokem

Forest management planning in Congo Basin rainforests [Elektronische Ressource] : a critical analysis of the state of art and design of a new planning system as a contribution to sustainable forest management / vorgelegt von Sicco Dany Dogmo Pokem

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Forest management planning in Congo Basin rainforests A critical analysis of the state of art and design of a new planning system as a contribution to sustainable forest management Inaugural-Dissertation zur Erlangung der Doktorwürde der Fakultät für Forst- und Umweltwissenschaften der Albert-Ludwigs-Universität Freiburg i. Brsg. vorgelegt von Sicco Dany Dogmo Pokem Freiburg im Breisgau Juli 2009 Dekan: Prof. Dr. Heinz Rennenberg Referent: Prof. Dr. Dr. h. c. Gerhard Oesten Korreferent: Prof. Dr. Dr. h. c. Dieter R. Pelz Mündliche Prüfung: 10.12.2009Acknowledgements Acknowledgements First of all, I wish to express my gratitude and respect to Prof. Dr. Dr. h. c. Gerhard Oesten for accepting me at the Institute of Forestry Economics, for supporting me as mentor not only for this thesis but also my family. I appreciate it very much. I would like also to thank Prof. Dr. Dr. h. c. Dieter R. Pelz for taking the task of co-referent of this work, specifically for its patient and comprehension on behalf of the thesis process. My due respect and appreciation is shared by Prof. Dr. Jürgen Huss, Prof. Dr. Jürgen Bauhus, Dr.

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Publié le 01 janvier 2009
Nombre de lectures 19
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Forest management planning in Congo Basin rainforests


A critical analysis of the state of art and design of a new planning system as a
contribution to sustainable forest management







Inaugural-Dissertation
zur Erlangung der Doktorwürde der
Fakultät für Forst- und Umweltwissenschaften der
Albert-Ludwigs-Universität Freiburg i. Brsg.




vorgelegt von





Sicco Dany Dogmo Pokem







Freiburg im Breisgau







Juli 2009
















































Dekan: Prof. Dr. Heinz Rennenberg
Referent: Prof. Dr. Dr. h. c. Gerhard Oesten
Korreferent: Prof. Dr. Dr. h. c. Dieter R. Pelz
Mündliche Prüfung: 10.12.2009Acknowledgements

Acknowledgements


First of all, I wish to express my gratitude and respect to Prof. Dr. Dr. h. c. Gerhard Oesten for
accepting me at the Institute of Forestry Economics, for supporting me as mentor not only for
this thesis but also my family. I appreciate it very much. I would like also to thank Prof. Dr.
Dr. h. c. Dieter R. Pelz for taking the task of co-referent of this work, specifically for its
patient and comprehension on behalf of the thesis process.

My due respect and appreciation is shared by Prof. Dr. Jürgen Huss, Prof. Dr. Jürgen Bauhus,
Dr. Benno Pokorny for their contribution and support at the early step of this PhD thesis.

I would like to take this opportunity to thank the Friedrich Ebert Stiftung (FES) for the
scholarship and the German-French PhD College programme for its special funding for my
academic struggle in the foreign countries. I am very honoured to be the recipient of their
funding. This Thesis would not have been possible without their supports.

As Members of the German-French PhD College programme, I had a privileg to spent and
study during this thesis at Nancy (Ecole Nationale du Génie Rural, des Eaux et des Forêts,
Laboratoire de politique forestière (ENGREF) ), Montpellier (Centre de Coopération
Internationale en Recherche Agronomique pour le Développement (CIRAD), Unité de
Recherche sur les Ressources forestières et politiques publiques) and Forêt Ressource
Management (FRM), Paris (Association Technique Internationale des Bois Tropicaux
(ATIBT)), Gembloux (Laboratoire de Foresterie des Régions Tropicales et Subtropicales) and
Eschborn (Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ)). I'm grateful to
members of these institutions or laboratories for providing the first test audience for the CPS
first draft - among others: Prof. Dr. Gerard Buttoud, maître de recherché: Norbert Nasi, M.
Nicolas Bayol, Mr. Paul-Emmanuel Huet, Prof. Dr. Jean-Louis Doucet, Dr. Jürgen Hess; M.
Jürgen Krebuehl.

It was great pleasure for me to meet and work with M. Njantang Guy Berenjer (Master
student) for collecting data useful for this thesis. Also I wish to thank all the 24 organisations
that cooperate with us during the field work in Cameroon and Paris. They have all been
extremely generous and helpful. Thanks to all for the support and assistance.
IAcknowledgements
Of course a lot depended on the working environment. I thank all the members of the Institute
of Forestry Economics. Especially important in this respect were Dr. Frank Ebinger, Dr.
Achim Schlüter, Dr. Roderich von Detten and Dr. Chantal Ruppert which I was fortunate
enough to attend. Thanks for offering me valuable advice during the thesis process. Many
thanks also to the following forest management planning scholars: Rasoul, Ahssem, Nikolaos.
I thank also Leili, Sharif, and Markus who were my respected colleagues at this time. I am
indebted to Frau Weidner, our secretary and also as our “mother”. Special thanks to you. I
thank also Frau Hettich.

I wish to express my sincere gratitude to Prof. Dr. Margaret Shannon, Prof. Dr. Louise
Fortman, Prof. Dr. Elinor Ostrom, Prof. Dr. Michael Flitner, Prof. Dr. Dr. h. c. Dietrich
Burger, Prof. Dr. Heiner Schanz for their comments on the present PhD thesis. I appreciate
their advice and assistance.

Several people have played a decisive role in editing English grammar and sometimes
translating. These persons are: Dr. David Butler Manning, Dr. Carolin Rettig, Timon
Ringwald, Stephan Stradner, Dieter Bode, Benjamin. Without your willingness, suggestions
and job offers, this PhD thesis would not have been written. Special thanks to Dr. Carolin
Rettig, who subjected my final text to rigorous scrutiny and much, improved its quality.

I wish to express my sincere credits to my wife, Carine Pokem and my son Pokem Joshua for
patient, love and everything. I thank also my father, Jérôme, Jo’, Bea, Joseph Noel, Gislain,
Martial, Nivelle and my entire family. I would like to take this opportunity to thank also papa
Tagni Samuel and mama Megni Elisabeth, Charlotte, Giséle, Famille Godwé, Jojo, Christelle,
Audrey, Ivan, Famille Nankeng, Famille Hébé, Famille Motcheu, May God bless you all.

I thank also Ehret, Markus, Frieda, Lisa, Martin, Michel, Rainer, Yetemgwé, Akoa, Witte,
Djoukwe, Lah, Smith, Hannes, Palomeki, Tchana, Bobale, Tchoquessi, Ngounou, Aschoff,
SMD Freiburg, “Reveille-toi cell” in Freiburg, CNA e.v. members for their assistance given
to me up till this moment. God bless you all. My special thanks to the member of the “EFG”
Baptist church Erlangen, Waldshut, Emmendingen for their supports.

I would like to express my sincere thanks to all people who have assisted and encouraged me
during this PhD thesis.
IIAcknowledgements









This thesis is dedicated to my beloved wife Carine Pokem and my son Josué Pokem.
A lot of love to you.
My special thank to my Lord Jesus Christ, who gives me this opportunity.

























I still remember my mother - Megni Donfack Julienne
IIISummary
Summary

Tropical forests are part of the world’s ecosystems and a significant reservoir of biodiversity.
The Central African (or Congo Basin) region contains the second largest and still
uninterrupted tracts of contiguous dense tropical rainforest area in the world, second in size
only to the Amazon rainforest. However, their progressive disappearance constitutes one of
the major environmental problems (deforestation and forest degradation) nowadays. Efforts
around the world are focused on achieving sustainable forest management since the United
Nations summit in Rio de Janeiro (1992), an approach that balances social, economic and
environmental objectives. Within this framework, the aim of this thesis was to critically
analyse the forest management planning situation in Cameroon, as well as to propose a new
planning system.

The methodology applied consisted first of all of literature analyses to gain an overview and
identify factors limiting the sustainable use of rainforests (with emphasis on forest planning)
in the Congo Basin resulting from an inadequate institutional frame and ineffective forest
management planning systems and practices. These secondary data analyses also
demonstrated that forest management planning is currently in transition in most parts of the
world. The need for the development of a new approach in planning arose due to the fact that
the rainforests are common pool resources. Additionally, based on this analysis, a new
definition of forest management planning was proposed and a new planning system called
combined planning system (CPS) was then designed after its improvement through
discussions with experts, mostly academics.

In a next step the theoretical CPS model served as a basis for deducing criteria for an
empirical and explorative study aimed at critically analysing of the forest management
planning situation in Cameroon. The result of the analysis confirmed the theoretical setting of
the CPS model concerning the forest management planning actor groups that need to be
involved in forest management planning processes. Six actor groups were adopted as CPS
working groups (CPSWG) to be equally integrated as “institutions” jointly performing each
step of the planning and implementation process. The forest management plan is referred to as
a “social contract” between actors in this thesis which clearly diverges from the classical top
down and bottom up approach. In individual interviews group members provided valuable
information. The contributions made by respondents when grouped together are as follows:
IVSummary
the government group contributed 22% of the information, the forest enterprise group 19%,
the local actor group 19%, the forest planners group the 10%, the conservationists group 15%,
and the forest donors group 8%. The explorative study results show that the majority (60%) of
the respondents define forest management planning by focusing on the technical or tactical
aspects which is labelled as tactical planning subsystem in this study. This finding underlines
the need for integrating aspects related to values and strategies, as well as institutional
governance into the CPS model. Additionally, this explorative study provides a
comprehensive understanding of the specific forest management planning problems in
Cameroon and explains how the CPS model can address these problems. Results show that
39% of the forest management planning problems are related to institutional and governance
subsystem problems. Then, problems associated with the value and strategic subsystem
follows with 38%. In contrast, only 16% of the problems of forest management planning
result from the technical or tactical planning subsystem. Nonetheless it is mostly the latter
which is mostly addressed in forest management planning research.

Lastly, the combined planning system as a contribution to address shortcomings in forest
management planning is described. The CPS model is divided into the already mentioned
subsystems, namely the value and strategic subsystem, the institutional governance
subsystem, and the tactical planning subsystem. This model identifies important social,
economic and environmental factors which could improve the effectiveness of the planning
outcome implementation, simplify the planning process, and facilitate active participation of
relevant actors, as well as conflict management in a dynamic process. The CPS model is an
innovative conceptual and methodological approach in forest management planning for the
Congo Basin region which contributes to achieving sustainable use of the rainforests
resources. However, there are also limits to the CPS model, which remain to be challenged.
Therefore recommendations in form of guidelines for the CPS implementation are made
making it possible to fine-tune the model to the demands of forest planners and other forest
management planning actors. At the same time, there are recommendations for further
research, to continue developing the CPS model designed and presented in this thesis and to
test the application of the CPS model in the real world.


VTable of contents
Table of Contents (Overview)

Acknowledgements ......................................................................................................................................... I

Summary....................................................................................................................................................... IV

Table of Contents (Overview) ..................................................................................................................... VI

Table of Contents ...................................................................................................................................... VIII

List of Figures ............................................................................................................................................. XII

List of Tables............................................................................................................................................. XIII

List of abbreviations and acronyms ......................................................................................................... XIV

1 Introduction ............................................................................................................................................. 1

1.1 Background……… ............................................................................................................2
1.2 Problem statement.. ............................................................................................................5
1.3 Objectives, open questions, methods, process and restriction ............................................ 20


2 Fundamentals of forest management planning in transition: A proposal for a combined planning
system (CPS) ......................................................................................................................................... 28

2.1 Central European forest management planning ................................................................. 29
2.2 Tropical forest management planning ............................................................................... 35
2.3 Sustainability in forest management planning ................................................................... 40
2.4 Challenges forest management planning faces .................................................................. 47
2.5 Proposing a combined planning system (CPS) .................................................................. 51
2.6 Conclusion………. .......................................................................................................... 61


3 Empirical and explorative analysis of the forest management planning situation in Cameroon ..... 62
3.1 Working method…........................................................................................................... 63
3.2 Results……………. ......................................................................................................... 76
3.3 Restrictions to the results and conclusion .......................................................................... 96


4 Value and strategic subsystem (VSS) .................................................................................................. 98

4.1 The necessity for integrated normative and strategic forest planning ................................. 99
4.2 Overview of the value and strategic subsystem (VSS)..................................................... 101
4.3 Normative planning within the forest management planning framework ......................... 104
4.4 Strategic intention as link for value/normative and strategic/Goal planning ..................... 107
4.5 Strategic planning process .............................................................................................. 110
4.6 Conclusion………. ........................................................................................................ 114


5 Institutional and governance subsystem (IGS).................................................................................. 115

5.1 The need for IGS design ................................................................................................. 116
VITable of contents
5.2 First step in the IGS design: the adapted institutional analysis and development framework
…………………………………………………………………………………………….120
5.3 Second part of the IGS: active participation and conflict resolution mechanisms ............. 130
5.4 Conclusion………. ........................................................................................................ 140


6 Tactical planning subsystem (TPS) ................................................................................................... 141

6.1 Overview of the TPS ...................................................................................................... 141
6.2 Pre-planning within the tactical planning system ............................................................ 145
6.3 Overall planning…. ........................................................................................................ 165
6.4 Detailed ecosystem unit planning, controlling and monitoring ........................................ 180
6.5 Tactical dialogue as democratic dealing with problems ................................................... 183
6.6 Conclusion……….......................................................................................................... 185


7 Discussion and recommendations ...................................................................................................... 187

7.1 The usefulness of the CPS .............................................................................................. 188
7.2 CPS comparison with the existing planning system ........................................................ 191
7.3 Constraints and limitations of the CPS Model ................................................................. 196
7.4 Recommendations ... ………………………………………………………………………199


8 References ................................................................................................................................................ i


9 APPENDIXES ....................................................................................................................................... xl

9.1 APPENDIX A: Congo Basin rainforests region ............................................................... xl
9.2 APPENDIX B: A typical village in the rainforests ......................................................... xli
9.3 APPENDIX C: Synthesis on Cameroon forest management planning guidelines ........... xlii
9.4 APPENDIX D: Rainforests destruction in Cameroon ....................................................xlix
9.5 APPENDIX E: EU-based forest companies with logging operations in Central Africa ...... l
9.6 APPENDIX F: Management of the production Permanent Forest Estate (PFE) .............. li
9.7 APPENDIX G: Central European forest management planning techniques ..................... lii
9.8 APPENDIX H: Rationalist approach in tropical forest management planning ................ liii
9.9 APPENDIX I: Participatory decision making continuum .............................................. liv
9.10 APPENDIX J: Forms of sustainability ........................................................................... lv
9.11 APPENDIX K: Forest management planning definition oriented to unique function ...... lvi
9.12 APPENDIX L: Definition of forest management planning oriented to multiple use ........ lix
9.13 APPENDIX M: Formel system representation and subsystem. ........................................ lx
9.14 APPENDIX N: Theoretical references for the CPS design .............................................. lxi
9.15 APPENDIX O: Forest management planning participants groups description ................ lxii
9.16 APPENDIX P: Interview manual..................................................................................lxvi
9.17 APPENDIX Q: The six types of High Conservation Value areas .............................. lxvii

Zusammenfassung ................................................................................................................................... lxviii

Résumé ....................................................................................................................................................... lxxi





VIITable of contents
Table of Contents

Acknowledgements ............................................................................................................................................ I
Summary ........................................................................................................................................................ IV
Table of Contents (Overview) ......................................................................................................................... VI
Table of Contents ......................................................................................................................................... VIII
List of Figures ............................................................................................................................................... XII
List of Tables ............................................................................................................................................... XIII
List of abbreviations and acronyms .............................................................................................................. XIV


1 Introduction ............................................................................................................................................... 1

1.1 Background………. ........................................................................................................................ 2
1.2 Problem statement.. ........................................................................................................................ 5
1.2.1 Insufficient knowledge about scientific and technological planning ............................................. 7
1.2.1.1 Poor quality of the existing forest management plan ............................................................... 7
1.2.1.2 Ineffective forest management planning and certification ....................................................... 8
1.2.1.3 Limitation regarding recent studies in forest management planning ..................................... 11
1.2.1.4 The lack of an understanding regarding the importance of forest management planning ....... 12
1.2.2 Inadequate institutional framework ........................................................................................... 14
1.2.2.1 Failure of the institutional change system: property rights and decentralisation ................... 14
1.2.2.2 Inadequate benefits sharing mechanism ............................................................................... 16
1.2.2.3 The need to address current forest management planning ..................................................... 18
1.3 Objectives, open questions, methods, process and restriction ......................................................... 20
1.3.1 General objective ..................................................................................................................... 20
1.3.2 Specific Objectives .................................................................................................................. 21
1.3.3 Research Questions .................................................................................................................. 22
1.3.4 Research process and methods .................................................................................................. 23
1.3.4.1 First step (A): Problem frame and theoretical conceptual model (model building) ................ 23
1.3.4.2 Second step (B): Empirical and explorative study of FMP in Cameroon ............................... 24
1.3.4.3 Third step (C): The model CPS description .......................................................................... 24
1.3.4.4 Fourth step (D): Discussion and recommendations .............................................................. 24
1.3.5 Research orientation and research restriction ............................................................................ 25


2 Fundamentals of forest management planning in transition: A proposal for a combined planning system ... 28

2.1 Central European forest management planning .............................................................................. 29
2.1.1 Forest management planning in forest management (forestry) ................................................... 29
2.1.2 Central European forest management planning techniques ........................................................ 30
2.1.2.1 First development phase of central European FMP: 13th to 16th century ............................. 31
2.1.2.2 Second development phase of central European FMP: 17th-18th century ............................. 31
2.1.2.3 Third development phase of central European FMP: 18th-19th century ................................ 32
2.1.2.4 Fourth development phase of central European FMP: 19th-20th century .............................. 32
2.1.2.5 Fifth development phase of central European FMP: 20th-21th century ................................. 33
2.2 Tropical forest management planning ............................................................................................ 35
2.2.1 Forest management planning understanding as “yield regulation” ............................................. 38
2.2.2 Forest management planning as “silvicultural systems” ............................................................. 38
2.2.3 “Harvest systems” in the tropical region also referred to as forest management planning ........... 39
2.3 Sustainability in forest management planning ................................................................................ 40
2.3.1 Oldest version of sustainability in forestry - Unique function oriented FMP .............................. 41
2.3.2 Sustainability in multiple uses .................................................................................................. 43
2.3.3 New undersanding of sustainability .......................................................................................... 44
2.4 Challenges forest management planning faces ............................................................................... 47
2.4.1 Limits to the current forest management planning method ......................................................... 47
2.4.2 Need for a new approach .......................................................................................................... 50
2.5 Proposing a combined planning system (CPS) ............................................................................... 51
2.5.1 The theoretical approaches of the combined planning system (CPS) .......................................... 52
2.5.1.1 Constructivist method of system design (deductive method) .................................................. 53
2.5.1.2 Discussion with experts ....................................................................................................... 55
VIII