PFM Policy and Implementation

I. Broader Policy Framework on PFM

1. Constitutional principles
The constitution lays the foundation for community participation in natural resource
management. According to Article 40(3) of the Constitution, the right to ownership of land and
land based resources are exclusively vested in the state and the people. In effect the state is a
trustee to the property rights of the Ethiopian people. This is to say that natural resources of the
country are jointly-owned by the state and the people. As Ethiopia is following a federal form of
governance, this power of administering communal property vested in the state is further divided
between the federal government and the respective regional states. The former has a power to
enact laws concerning the modalities of utilization of the resources as well as conservation of
land and other natural resources. The regions on the other hand administer land and natural
resources on the basis of federal laws. In addition to this the Constitution explicitly
acknowledges the right of the people to participate in national development and to be consulted
with respect to policies and projects affecting their community (Article 43(2)). This right
essentially includes the right to develop community forests and the right of communities to at
least be consulted and give approval before any forestry related projects are implemented.

On the contrary, an obligation is placed on the government and any government entity to respect
the right of the people in getting full consultation to implement any environmental project.
Article 92 in particular places that people have the right to full consultation and to the expression
of views-in the planning and implementation of environmental policies and projects that affect
them directly.

Taking reference to the foregoing constitutional provisions it is clear that the Ethiopian people at
any level:
 are recognized as joint owners, together with the state, of forests and other natural
resources,
 have the right to be consulted during planning of forest related projects,
 can involve in the implementation of forest development and utilization projects.

There is thus sufficient enabling ground at the constitution level to implement PFM in Ethiopia.
But constitutional provisions are broader views of governments. It demands detailed rules to see
these principles implemented on the ground. So the subsequent subsections will look at the
details within the federal and regional laws and analyse if these laws have put equal
consideration of the need for PFM implementation in forest governance.

2. Conservation Strategy

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The Conservation Strategy of Ethiopia (CSE) is the prelude that placed the setting for an
Environmental Policy in Ethiopia. This work compiled in 4 volumes underscored the conceptual
necessity for participation in resource management and puts it as `naturally prescribed`.
Participation is perceived by the strategy as a sine qua non for conservation, and it must be used
as the core of any planning on conservation. The CSE gives details on why community
participation is needed, and suggests the steps required to ensure participation, including social
integration, search for information, diffusion of information, and complete involvement in
planning and implementation.

In summary the CSE puts the requirement for community participation in the overall
conservation of natural resources. Forestry activities fall within in the broader vision of natural
resource conservation and management. It hence goes without saying that the Strategy prescribes
participation of the local communities in order to bring about effective implementation of forest
conservation. But again this statement lacks details. More than any legal instrument in Ethiopia,
this document brings into the fore the justification for why community participation is needed. It
also discusses on steps that it takes to realize participation of communities in conservation.

3. Environment Policy
The Environment policy of Ethiopia (EPE) is basically an output of the CSE and is formally
adopted by the Council of Ministers in 1997. It places a high significance to forest development
as it puts a separate attention to `forest, woodland and tree resources` as one among the 10
sectoral programme areas. Apart from this the policy treats community participation as a major
cross sectoral issue that need to be addressed the overall environmental management framework.
Policy provision No. 4.2 on `Community Participation and the Environment` seeks to ensure that
all phases of environmental and resource development and management, from project conception to
planning and implementation, as well as monitoring and evaluation are undertaken based on the
decisions of the resource users and managers. In order to dispense such a task the policy places the
following mandatory actions:
 develop effective methods of popular participation in the planning and
implementation of environmental and resource use and management projects and
programmes;
 develop the necessary legislation, training and financial support to empower local
communities ... to ensure genuine grassroots decisions in resources and
environmental management;
 authorize all levels of organization to raise funds locally from the use of natural
resources to fund the development, management and sustainable use of those
resources;
 increase the number of women extension agents in the field of natural resource and
environmental management; and
 ensure information flow among all levels of organization including the Federal and
Regional States and the people at the grassroots level by developing a two way
mechanism for data collection and dissemination.

Despite seemingly obvious gaps on implementation, the policy seems to give ample emphasis on
the need and the modalities of community participation in resource conservation and use.

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 4. Ethiopian Forest Policy and Strategy
The Ethiopian Policy and Strategy on the development, conservation and use of forests, adopted
in 2006, under its introductory part that the strategy is developed to bring sustainable
development through community participation. The policy strategies pursued include a
systematic control of forest resources from possible threats of theft and misuse. The strategy
devised to overcome this problem is through community participation by way of guarding
priority state forests, planting tree species that has the natural propensity for fire resilience,
sustaining participation through availing trainings and institutional support. The law places a
right to the community from the proceeds of the trees planted by them.

Apart from these few provisions, there does not seem to be a complete set of benefits accruing
from community managed forest resources. In fact the strategy does not recognize community
ownership rights. It is hence difficult to assert that PFM is ever recognized as an approach to be
considered in conservation and utilization of forest resources.

5. Convention on Biological Diversity

On the sphere of international agreements, the CBD takes a primary place when it comes to
ensuring participation of local communities. Negotiated during the Earth Summit in 1992, the
CBD highlights under Article 1 the importance of sustainable use of biodiversity and its
components and equitable sharing of benefits arising out of the utilization of biodiversity
resources by allowing among others; appropriate access to genetic resources. The Provisions that
are pertinent to participatory forest management include Article 8(j), Article 11 and Article 15.
Article 8(j) provides for the recognition and promotion of indigenous knowledge and practices of
local and indigenous communities. Though note directly related Article 11 of the CBD provides
for incentive measures for sustainable use and conservation of biodiversity. Article 15 which
provides for regulating access to genetic resources including arrangements to ensure equitable
benefit sharing on agreed terms. These agreed terms can take the form of a legal, policy or
administrative measures.

Ethiopia has ratified the CBD in 1992. As all international instruments that Ethiopia ratified are
considered to be part and parcel of the body of laws of the country (as per Article 9(4) of the
Constitution), the CBD has an important place in laying the foundational basis of PFM in
Ethiopia.

II. National legal framework on PFM

Background
It is now more than 10 years since PFM started in Ethiopia and the results so far are so
encouraging given the participatory tradition that the country has and the lack of explicit policy
guide concerning community based resource management and communities’ involvement in
state forest management. FARM-Africa, SOS-Sahel Ethiopia and their implementing partners
have effectively tailored the PFM approach and have established PFM practice in more than
141,000 ha of forest area in the two regions they were operating. Although there is lack of
explicit policy provision that enshrine community rights in forest management, the community
groups and government forestry service negotiated, defined and guaranteed amongst themselves

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management functions, entitlements and responsibilities for those forest areas under PFM. The
results so far achieved are based on the provisions of the Federal and regional forest policy and
proclamations. Some of the provisions under the forest and forest related laws are discussed
below.

Forest Development, Conservation and Utilization Proclamation No 542/2007

The preamble of the Forest Development, Conservation and Utilization Proclamation No

542/2007 states that the sustainable utilization of the country’s forest resources is possible
through ensuring the participation of, and benefit sharing by the concerned communities. Article
9(3) of the same Proclamation stipulates that forest development; conservation and utilization
plans shall be formulated to allow the participation of local communities in the development and
conservation and also in the sharing of benefits from the development of state forest. Some
aspects of benefit sharing modalities are envisaged under this law. For instance, Article 10 (3) of
the law puts that the local community may reap grasses, collect fallen woods and utilize herbs
from a state forest in conformity with the management plan developed for the forest. Article 18
of the Forest Proclamation discussing on powers and duties of regional states stipulates under
sub-article (3) that regional governments shall encourage forest development programs, which
involve the participation of farmers and semi-pastoralists, and provide technical support.

Though lacking the necessary details, the law embraced PFM as an approach of forest
conservation through participation of the communities. Details however need to be worked out as
the difficulty always lies in the lack or insufficiency of subsidiary laws.

III. Regional legal framework on PFM

1. Oromia Regional Forest Proclamation (Proclamation No. 72/95)

This law issued in 1995 attempts to explicitly recognize community participation in the
conservation of the resource. The pertinent provision of this law regarding PFM are Articles
4(3), 4(6), 9(5) and 12(1).

2. Revised Rural Land Administration and Use Determination Proclamation No. 133/
2006
According to Article 5 of the Regional Land Administration Proclamation, the task of
administering land will be carried out based on public participation. And according to Article 2
(5) and Article 2 (23), land administration essentially includes the enforcement of rights and
obligations of communal holdings used by the local people in common for forestry purposes.
Though the specific purpose of this law is to determine holding rights and security of rural land
holding, it mentions that participation is an important element of the process.

The law, however, do not prescribe how this enforcement of rights is carried out. It does not also
guide one as to how public participation is undertaken with respect to rural land administration.

3. Forest Development, Conservation and Utilization Proclamation of the SNNPR

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Currently, the region is preparing its revised law on Forest Development, Conservation and
Utilization Proclamation. This law has incorporated basic elements that encourage PFM
implementation in Ethiopia and is hence discussed at more depth.

The preamble of the law affirms that it is through meaningful participation of the communities
and assurance of benefit sharing from these resources that forest resources can be sustainably
utilized in Ethiopia. In its substantive part the law has recognized community ownership of
forests with in the broader frame of ownership (i.e. together with state and private ownership). A
pre-requisite for community ownership of forests is organization in cooperatives. This is
articulated within the definition given to community forests under Article 2 (16) of the draft law.

The law has also opened up an opportunity for state forests to involve community participation
in development and conservation of the resources. But this is subject again to a strategy on forest
development, conservation and utilization specifically devised for the purpose. The regional
administration is required, under Article 9 (4) of the law, to prepare a forest management plan in
order to ensure such type of participation in state forest management. The law further
underscored the need to ensure that proceeds from the sale of state forest products should
devolve to communities with a view to ensuring their benefits as well as develop a sense of
ownership. The details of this are, however, yet to be issued within subsequent directives.

This is quite a good and relatively an unprecedented approach. Care should be taken when
drafting the intended subsidiary legislation. It needs to amply define details of the intended
benefit sharing mechanism, guide who can participate in this type of development and
conservation, what the modalities of participation are, what the specific benefits that the
individual participants may get from it etc.

Again there is a room opening for community participation with in protected forests. Under the
definition part, it recognizes the fact that the good relationship between the people and the forest
resources should at all times be maintained. On the substantive part of the law, Article reaffirms
this statement by putting that communities can engage in such activities as apiculture,
development and utilization of spices, forest coffee, animal fodder etc. There is also a
responsibility placed on the regional administration to support communities through appropriate
trainings under Article 8 of the draft law.

An important provision recognizing benefits is compensation for the community stewardship of

forests. Article 8(4) stipulates that communities living in and around natural forests should be
given special rewards and incentives for the effort they exerted in maintaining the resources this
far and for its future upkeep. This provision is an important step towards implementing PFM in
natural forest areas of the region.

There are specific provisions for community forest development, conservation and utilization as
well as management of community owned forests under Articles 15 and 16 respectively. In
summary, these provisions put that:
 it is a necessary condition to form cooperatives in order to participate in community
ownership of forest resources,

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  after delineation of community holdings is done, the resources will be handed over to the
respective communities,
 communities will be given recognition from the government once organized,
 communities shall devise a management plan for utilizing forest resources,
 artificial plantations will be undertaken in the bare lands aside their respective holdings,

The modalities of utilization of the proceeds from the artificial plantations as well as from any
other services is yet to be determined through directives. The law also provides stronger
penalities on offenders. The penalties include both imprisonment and fines. Another innovative
approach provided by the draft law is the application of a summary procedure on a flagrant
offender. A criminal charge will immediately be produced against such a person. The law also
urges the establishment of special courts for handling cases related to the misuse of forest
resources.

This law is quite progressive in the elements included in it in order to realize the hurdles
occasioned for the implementation of PFM in Ethiopia. One of these is loose form of judicial
application of existing forest laws. The innovative idea of summary proceeding on criminal
offenders as well as the idea of separate courts is innovative in Ethiopian forest governance laws.

In general, there are several policy backgrounds that enable the implementation of PFM in
Ethiopia. This background is in a way supported by federal and regional legal framework. There
is however a gap in visionary approach. Most of the legal instruments (except the draft forest
development law of SNNPR) do not explicitly incorporate PFM approaches and formally
recognize forest use rights of local communities into forest policy and regulations. It is a
constitutional principle that laws related to natural resource administration are adopted by the
government. Regional states are expected to administer the resources based on the federally set
standard. When it comes to PFM concerns, however, the regional laws are better in approach
than the federal forest specific law. The incorporation of the PFM approach within the federal
law requires, among others, the formal recognition of community use rights and the modalities of
registration of new forest groups and support extended to new community institutions formed for
this purpose.

IV. Institutional Issues

Studies indicate that the forestry sector is not given much attention to enable it contribute to
national development while benefitting grassroots communities. In the near past the sector has
seen institutional transformations – at times being led by a strong arrangement, but more often
depicting neglect of required attention.

At present, one cannot in full confidence assert to which entity the sector really belongs to. The
Ministry of Agriculture is the government body that is legally endowed with the development
and conservation of forest resources. Due to apparent lack of attention by this body, the sector is
masked in one sub process as a result of internal organizational transformations (through the just
completed Business Process Reengineering). On the other hand, the Ethiopian Wild life
Conservation Authority is mandated by law to regulate parks and activities with in nature
reserves.

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Institutional confusion is also reflected on the regions where the resource base is actually in.
Though detailed organizational issues differ from region to region, the main actors in forest
administration are the Environmental Protection Land Administration and Use Authorities,
Bureau of Agriculture, and the emerging Forest Enterprises. The resource is still suffering from
lack of an appropriate oversight body as the objectives of the various institutions mentioned
above significantly differ.

According to a policy brief issued by Forum for Environment (2009), this institutional instability
has stifled the sector and led to, among others, haphazard forest development and conservation
schemes that lacked participation of the communities and that often resulted in conflicts. The
instability has coupled with the other reasons in precluding the implementation of PFM in its full
breadth. Thus the institutional set up for overseeing forest management should be revised and
strengthened both at the federal and regional levels.