1.
Community Forest Concessions in Petén, Guatemala:
Effective Governance for Tropical Forest Conservation and Socio-economic Development
Dietmar Stoian, Iliana Monterroso & Aldo Rodas
PIM Webinar, December 13, 2018

2.
Prensa Libre, Guatemala on August 12, 2018
Problem addressed: Tenure conflicts, land use change, and community
stewardshipin the Maya Biosphere Reserve, Petén, Guatemala

3.
Objectives
General
Identify socio-economic benefits of community forestry perceived by
members of community forest enterprises (CFE) that manage forest
concessions in the Maya Biosphere Reserve in Petén, Guatemala
Specific
• Identify conditions that enable or disable forest management in
community forest concessions and associated value adding
• Assess the socioeconomic performance of community forest
enterprises
• Document household livelihood strategies of CFE members and
the absolute and relative weight of forest activities therein

4.
Methodology
Phases Methods
1) Context
analysis
Review of scientific & grey literature
Key informant interviews (n=35)
Focus group discussions (n=11)
2) Enterprise
assessment
(N=12)
12 community forest enterprises
(CFE): 9 active & 3 inactive
3) Household
assessment
(n=292)
30 hh each (20 in one case) in 9
active CFE, selected at random;
32 hh purposefully selected in 2
inactive CFE; none in 1 inactive CFE
Donovan & Stoian (2012)
Livelihood and business assets:
human, social, natural, financial
and physical capital
-G
5Capitals: 2009 baseline data vs. 2013 data from 3 active concessions
5Capitals-G: 2016/17 data from 6 remaining active concessions (w Rainforest Alliance)
2018 assessment of 3 inactive concessions
Gender-responsive version
(Stoian et al., forthcoming)

5.
Hughell & Butterfield (2008)
Radachowsky et al. (2012)
Study area: 12 community concessions (400,830 ha) in the Multiple
Use Zone (MUZ) of the Maya Biosphere Reserve, Petén, Guatemala

6.
Progress of research activities (1)

7.
Analysis of CFE :
Carmelita & Árbol
Verde
First Phase
5Capitals:
Carmelita, AFICC
& Laborantes
Second phase
5Capitals:
Carmelita, AFICC
& Laborantes
First Phase 5Capitals-G:
Árbol Verde, OMYC,
Suchitecos, Custosel, El
Esfuerzo & AFISAP
2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018
Segunda fase
5Capitales-G: San
Miguel, La Pasadita
& La Colorada
90 interviews 90 interviews 170 interviews 32 interviews
One interviewer One interviewer Mixed Team Mixed Team
Progress
of research
activities (2)

8.
Results: Context analysis

9.
effective, readily available, advanced, well developed, highly functional
moderately effective, existent, developing, functional
ineffective, unavailable, rudimentary/inexistent, underdeveloped, dysfunctional
Context Analysis:
Enabling/disabling
conditions
Enabling conditions for the management
of community forest concessions in the MUZ
At present
Before signing
concession
contracts
Tenure security (de jure)
Tenure security (de facto)
Sense of ownership regarding forest resources
Political and institutional support provided by government agencies
Guidelines for managing timber and non-timber forest products based on
technical criteria (e.g. regeneration and growth rates)
Obtaining forest certification (FSC)
Science-based evidence of the sustainability of timber extraction including
species protected under CITES
Sense of ownership and skills development for forest management and
conservation
Technical support provided by government agencies
Technical support and advocacy provided by NGOs and projects
Access to working capital for timber extraction and processing
Availability of commercially valuable timber and non-timber forest products
Availability of forest products for supporting livelihoods needs
Access to markets for high-value timber species
Access to markets for lesser-known timber species
Access to markets for non-timber forest products
Complementarity/Compatibility between timber and NTFP utilization
Opportunities for women with respect to forest activities and the
administration of community forest enterprises
Internal and external governance structures that allow to mitigate external
threats (from outside the MUZ), such as wild fires, expansion of cattle
ranching and illicit activities

10.
Note: This map shows deforestation trends in the Maya Biosphere Reserve, Petén, Guatemala
during the period 2000-2013; hashed areas are certified forestry concessions. Courtesy of the
Rainforest Alliance.
Effective "social fencing" in 9 active community concessions, but some
deforestation in 3 inactive concessions. Still, community stewardship
best model for ensuring both forest conservation and livelihood benefits.
Context: Conservation/deforestation in Maya Biosphere Reserve
Source: Hodgdon (2015)

11.
Results: Enterprise Assessment

12.
Community Forest Enterprises (CFE)
9 active CFE: membership increased by 26% (2000–2017)
3 inactive CFE: ceased to operate between 2007 and 2009
Numberofmembers
CFE
Evolution of membership in the 12 CFE, 1994-2017
Numberofmembers

13.
Gendered membership in CFE
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
50%
PercentofMembershipthatisFemale
Year
Percentage of Female Membership Over Time
AFISAP SCAV SCEE SCCUSTOSEL SCIS SCOMYC
Membership of women in CFEPer cent
of total
membership
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Men are
preferred
Same I don't know Women are
preferred
Men are
preferred
Same Women are
preferred
Women Men
Percent
CFE
Is there equal opportunity to join for women and men?
AFISAP SCAV SCEE SCCUSTOSEL SCIS SCOMYC
Women Men
Is there equal opportunity for women and men to join CFE?

14.
0
10
20
30
40
50
60
70
80
90
100
Full-time Full-time women Part-time Part-time women Full-time Full-time women Part-time Part-time women
Today Five years Ago
NumberofEmployees
CFE
Employment in 6 CFE assessed with 5Capitals-G
AFISAP SCAV SCEE SCCUSTOSEL SCIS SCOMYC
5 years ago
Gendered employment in CFE
Today

15.
Professionalization of
management and processing
Today (semi-)professional management in 9 active CFE
Own sawmill operated by 8 of them
Table 3:Evolution of CFE Management Over Time
Year
AFIC
APROLAPA
APROSAM
AFICC
AFISAP
Coop.Carmelita
SCAV
SCEE
SCCUSTOSEL
SCIS
SCLB
SCOMYC
1994
1995
1996
1997
1998
1999
2000
2001 *
2002 *
2003
2004
2005 *
2006 *
2007 *
2008 * *
2009 * *
2010 * * *
2011 * * * * * *
2012 * * * * * *
2013 * * * * * *
2014 * * * * * *
2015 * * * * *
2016 * * * * *
2017 * * * *
Key: CFE Management
Red Not in Operation
Tan No Manager
Yellow Manager without formal training
Green Manager with formal training
* Manager is Non-Member of the CFE
0
1
2
3
4
5
6
Degreeofprocessing
Year
CFE Timber Processing History
AFIC APROLAPA APROSAM AFICC
AFISAP Coop. Carmelita SCAV SCEE
SCCUSTOSEL SCIS SCLB SCOMYC
CFE-owned sawmill
Rented sawmill
Roundwood sales
Flitch
Standing timber
No sales

16.
Source: Own elaboration based on unpublished data from CONAP
Total timber volume
extracted (m3/member)
Total mahogany volume
extracted (m3/member)
Total timber volume
extracted (m3/ha)
Total mahogany volume
extracted (m3/ha)
Timber/mahogany extracted by 12 CFE, 1994-2017

17.
Q 187.3 millions (~US$25 million) from timber sales
during the last five years
Source: Own elaboration based on unpublished CFE data
Timber sales of active CFE, 2012-2016 (in Q)
Financial Capital: CFE timber sales, 2012-2016
Timber sales of active CFE, 2012-2016, by year (in Q)

18.
Physical capital in 9 active CFE
Actual value of physical assets:
Q 42.9 million (~US$ 6 million)
Total value of physical assetsQ

19.
CFE
91%
Export
(sawn timber)
9%
Domestic market
(sawn timber and round
wood)
US$ 4.4 millones per year
US$ 447,107 per year
Wood value chain of 9 active CFE, 2012-2016
Mahogany $ 3,437,468
Red cedar $ 379,154
Manchiche $ 256,180
Santa María $ 153,183
Other Sp. $ 176,909
Mahogany $ 164,098
Red cedar $ 9,937
Manchiche $ 24,260
Santa María $ 148,814
Other Sp. $ 99,999
Rex Lumber Caompany
PRS Guitars
American Wood Products Corporation
Central American Timber
Earth Source Forest Products
Gibson Mcvain Company
Hardwoos specialty products US LP
North American Woods Products
Plywood And Lumber Sale Inc
AGROTROPIC S.A.
Venta de muebles “El Arte Moderno”
Madesol S.A.
Centro de Maderas de Guatemala
Caoba Doors
INDICO S.A.
Carpentry and
processing plant
Final consumer
74% gross income derived from mahogany

20.
Alternative
channel
US$20-27/bf
of mahogany
Enterprises: value adding and asset building
Conventional
channel
US$4-5/bf
of mahogany
Office
building
2001
2009 2017

21.
Source: Own elaboration based on unpublished data from CONAP and CFE
475 million palm
fronds extracted
Quantity of xate palm fronds extracted by 12 CFE, 2001-2017

22.
Results: Household Survey

23.
n=292 households
11 CFE
Financial Capital: Composition of household
income among members of 9 active CFE and ex-
members of 2 inactive CFE (average across 11 CFE)
Forest income:
38%
Other sources
Cattle ranching
Pension
Remittances Tourism Agriculture Rent Beekeeping
Support from
their children
Petty
commerce: 19%
Employment
(temporary or
permanent):
19%
Handicrafts

24.
Forest income in 9 active CFE contributes 11-63% of hh income.
Additional sources include petty commerce, employment, agriculture and others.
Financial Capital: Composition of household income
among members of 9 active CFE and ex-members
of 2 inactive CFE (average at CFE level)

25.
Households: Financial and physical capital
0%
10%
20%
30%
40%
50%
60%
Arbol Verde Uaxactun Suchitecos San Andres CUSTOSEL El Esfuerzo
Percent
Concession
Principal sources of income among CFE member households
Agriculture Handicrafts
Small Business Income from another source
Cattle Income from CFE
Retirement Remittances/Help from children
CFE
Physical assets in CFE member households
CFE

26.
Financial Capital: Use of forest income
0%
5%
10%
15%
20%
Ahorro Pago de deudas Ahorro Pago de deudas
Ingreso proveniente del empleo en EFC Ingreso proveniente por repartición de
dividendo
Porcentjedemiembros
AFISAP SCAV ESEE SCCUSTOSEL SCIS
Savings Debt pay Savings Debt pay
Income derived from
CFE employment
Income based on
CFE dividend
Per cent of
CFE member
households

27.
Re-investment of forest income
in human, social and physical capitals
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
Inversión en
el hogar
Salud Educación Inversión en
el hogar
Salud Educación
Ingreso proveniente del ingreso por
empleo EFC
Inversión proveniente por repartición
de dividendo
PorcentajedemiembrosdeEFC
AFICC AFISAP Coop. Carmelita
SCAV ESEE SCCUSTOSEL
SCIS SCLB SCOMYC
Housing
improvement
Health Education Health Education
Investments based
on CFE employment
Investments based
on CFE dividend
PercentageofCFEmembers
Housing
improvement

28.
Decision making over household assets
0%
10%
20%
30%
40%
50%
60%
70%
80%
ambos alta hombre alta mujer baja hombre baja mujer
Household decision making - CFE Arbol Verde
financiero fisico humano natural social
0%
10%
20%
30%
40%
50%
60%
70%
80%
ambos alta hombre alta mujer moderada
hombre
moderada
mujer
baja hombre baja mujer
Household decision making - CFE Suchitecos
financiero fisico humano natural socialSocial SocialHuman HumanNatural Social
Both More men More women No/little men No/little women Both More men More women Some men Some women No/little men No/little women
Natural
Important variations between more and less-equitable
decision making over household assets across CFE
PhysicalFinancial PhysicalFinancial
Per cent of
CFE member
households
Per cent of
CFE member
households

29.
Results: Inactive concessions

30.
Accumulated cost: ~US$1.6 million
Annual cost: ~US$200,000
For comparison: Financial contributions to CONAP from the 12 EFC (incl. 3 currently inactive EFC)
amounted to Q 15 million (~US$ 2.1 million) over the period 1994-2018.
Breakdown of costs
across institutions
Costs incurred by institutions (in Q)
Guatemalan army
DIPRONA
NGOs (WCS - ACOFOP)
Establishment of control post
Evicition (preps & execution)
Costs of safeguarding the concession area of La Colorada
after eviction, March 2010 – July 2018
Institution Amount
CONAP 4,753,811Q
Guatemalan army 3,080,000Q
DIPRONA 805,182Q
NGOs (WCS - ACOFOP) 1,097,876Q
Eviction (preparations & execution) 1,151,100Q
Establishment of control post 315,236Q
TOTAL 11,203,205Q
Foregone income (licenses, fees) 362,664-Q

31.
Forest cover, 1990-2016
Number of hot spots (fire incidents), 2001-2017
Año / Concesión La Colorada (%) La Pasadita (%) San Miguel (%)
1990 97 93 92
1995 96 91 91
2000 95 89 91
2007 95 78 89
2010 82 63 77
2011 82 61 77
2012 83 59 74
2013 83 59 75
2014 84 58 76
2015 84 56 74
2016 84 55 74
Entre 2010 y 2016 2 -8 -3
Year | EFC
After cancellation/
suspension, 2010-2016 +2 -8 -3

32.
Principal income sources today, during and prior to CFE operations
Agriculture
Bee keeping
Livestock raising
Other employment
Daily wages
Petty commerce
Today During Before
CFE employment
Allspice
Xate
Livelihood changes in inactive concession– San Miguel (1)
n=13 households
Number of households

33.
Principal sources of income in San Miguel (2017)
Main Second Third
Agriculture Bee keeping Cattle
ranching
Salaried
employment
Daily wages Petty
commerce
Livelihood changes in inactive concession– San Miguel (2)
n=13 households
Number
of hh

34.
Synthesis and the way ahead

35.
Main Findings: 9 active CFE
• Concession area: 352,089 ha (44% de la ZUM)
• Deforestation rate (2000-2013): 0.1% per year
• Membership growth (2000-2017): 26%
• Membership (2017): 68% ♂ y 32% ♀
• CFE Boards (2017): 78% ♂ y 22% ♀
• Value of physical assets: Q 42.9 million
• Total timber volume extracted : 219,225 m3 (1994-2017)  1.8 m3/ha intervened
• Total mahogany volume extracted: 108,977 m3 (50% of total volume)
• Gross income from timber sales (2012-2016): Q 187 million (74% mahogany)
• Gross income from NTFP sales (2012-2016): Q 23 million

36.
Main findings: 3 inactive CFE
• Concession area: 47,923 ha (6% of the MUZ)
• Deforestation rate (2000-2013): 1.8% per year
• Low availability of high-value timber species at onset of concession contract
• Membership growth (2000-2006): -10%
• Total timber volume extracted: 15,764 m3 (1994-2008)  2.3 m3/ha intervened
• Total mahogany volume extracted: 4,641 m3 (29% of total volume)
• NTFP extraction: comparatively low extraction volumes

37.
Main findings: CFE member households
• Livelihood diversification  broad variation across and within CFE
• CFE members mainly male – more gender equity in decision making over assets
Active CFE:
• Importance of forest income (38% of hh income on average), followed by petty
commerce, salaried employment or daily wages, and other sources
• Remittances (2%) and tourism (<1%) much less important
• Forest income as livelihoods pillar (US$500-10,000/hh/yr): employment
(extraction and processing of timber and NTFPs) and dividends (civil societies)
• Depending on economic status, households reinvest in basic needs and/or
improved housing, education, and physical assets
Inactive CFE:
• Loss of forest income has led to poverty for lack of alternative income sources

38.
Conclusions
• Asset building at CFE level leads to asset building at household
level and forest-based income helps to build household assets
 positive feedback loops
• Spill-over effects to local communities: employment, procurement
of goods and services, investments in community development
• Inactive concessions as example of minimum requirements for
successful community stewardship: resource endowments,
livelihoods fit, organizational and institutional strength
• Weak governance in inactive concessions and core and buffer zones
a threat for the MBR, with high risk of deforestation and violence
• As a whole, effective forest conservation through community
stewardship  strong case for renewal of community concessions

39.
Publications & Stakeholder Engagement
Monterroso, Stoian, Lawry & Rodas
(2018)
Stoian, Rodas & Arguello (2017)
Stoian, Rodas, Butler, Monterroso & Hodgdon
(2018)
Forthcoming: 2 ISI articles (Land Use Policy, Society & Natural Resources)
Available online: Bioversity Brief & CIFOR Info Brief
Launching events: Petén & Guatemala City (Nov. 2018), Washington (March 2019)

40.
Political economy and need for
further research and engagement
Further research topics: political economy,
governance in other parts of the MBR,
perspectives for women and youth