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Abstract (inglese)

Forests are fundamentally important in relation to the multitude of ecosystem services they provide.
Many ecosystem services supplied by forests are positive externalities and public goods and they are considered “market failures”: people can benefit from them without contributing to their sustainment. The failure in assigning a proper value may lead to degradation of forest ecosystems, or to abandonment of forest management, resulting in a consequent under provision of the service, with substantial economic and social losses to society.
To preserve and sustain ecosystem services, including those provided by forests, there is an increasing agreement in favour of Market Based Instruments (MBI). MBI encourage behaviour through market signals rather than through explicit directives. Their main common characteristic is the use of monetary values in one way or another through a commodification process.
MBI are heterogeneous and many authors have listed and classified them, in different ways. The present research adopts the classification of Pirard (2012), who described six types of MBI: direct deals, tradable permits, regulatory price signals, voluntary price signals, reverse auctions and Coasean type agreements.
Among the several ecosystem services provided by forests, some, more than others, have experienced a process of commodification, testified by several examples worldwide. This is the case of Non-Wood Forest Products (NWFP) and of the climate regulation that derives from the carbon sequestration function of forests.
The research aimed at i) assessing which are the most important MBI types applied to NWFP and forests carbon, according to the scientific literature; ii) analysing the application of MBI to NWFP and to climate regulation that derives from the carbon sequestration function of forests, at different scales; iii) assessing whether the application of the MBI to NWFP and to climate regulation that derives from the carbon sequestration function of forests, in the selected examples, is likely to deliver co-benefits or sustainability aspects.

In order to determine how is the MBI type reflected in the scientific literature the Elsevier Scopus database was used, using a set of keywords.
According to the analysis of the scientific literature, the most quoted MBI for NWFP is “direct deals”. Two levels of analysis were selected: the first focused on the international NWFP trade of Italy (performed using the Harmonised System and UNComtrade) and the second on the regional market of NWFP (with the supply chain analysis of wild mushrooms and chestnuts in South Tyrol conducted through face-to-face questionnaires; plus two in depth case-studies, one in Fiemme valley (TN), targeting the organization of the mushroom picking service, and one in Castione (TN), targeting the organization of a chestnut producers association). The other MBI of main importance for NWFP is “voluntary price signals”, namely certification, which was investigated through literature analysis.
The study for the climate regulation that derives from the carbon sequestration function of forests was conducted at two levels: i) the Italian compliance forest carbon market, in the Kyoto Protocol’s Clean Development Mechanism (CDM) example (utilising official databases) and ii) the voluntary forest carbon market, by submitting an online questionnaire to the actors of the sector.

The analysis of “direct deals” applied to NWFP confirms that commodification of NWFP is so extended that nowadays many NWFP are traded at international scale. In these, Italy has a leading position within the five main global importers and/or exporters of vegetable tannins, cork stoppers, chestnuts and wild mushrooms. The International trade of wild forest products is increasing. This could be an opportunity for Italy and for European Union in general, to promote a sustainable forest management based on multifunctionality, which includes use and commercialization of NWFP.
The survey conducted in Trentino-South Tyrol for wild mushrooms and chestnuts shows the presence of different types of markets and food supply chains, based on local and non-local NWFP, the second largely exceeding the first. This is driven by the same logics that rule the trade of other commodities, such as the cheaper raw material and labour cost obtainable in some foreign countries.
However, there are also supply chains based on local NWFP. The trade of local products is based on much lower quantities, and almost the totality remains within regional boundaries. The trade occurrs for the vast majority through Short Food Supply Chains, whose application is considered one of the most important tools to strengthen rural development, by providing several socio-economic and environmental benefits.
Chestnuts production in the region takes also advantage of form of integrations among producers and of geographic specific horizontal alliances for the sale of complementary products and services.
Other MBI are applied to NWFP in the region. Of particular importance are the public incentives for the restoration of the chestnuts sector and the permits for the collection of wild mushrooms.

The analysis of tradable permits application to the climate regulation (carbon sequestration function of forest), in the Italian CDM example, shows that Italian Government participates in a relatively high number of forest projects in developing countries, producing a relevant amount of climatic benefits. However, the connection “carbon forest project- conservation of native forests and of biodiversity” is not automatic, since 55% of the new forests was planted with non-native species.
The analysis of the statements of the forest carbon project design documents shows that all the projects claim that they stimulate the local economy, including short and long term employment in the project area, and that they engage the local population. However, the system of indicators developed by United Nation Convention of Climate Change (UNFCCC) does not provide a method for assessing how much a project contributes to sustainable development. Integration of the available information from the Italian Government would be particularly valuable, also considering the relevant financial involvement of Italy in these activities and the positive lessons to be learned from the ongoing experience in the light of the future development of the UNFCCC negotiations.
The analysis of the tradable permits in the example of the Italian voluntary forest carbon market shows that the Italian market is a small market, which has showing a decline in the latest years. The prices are instead in positive countertrend. The Italian sector is characterized by a balanced presence of profit and non-profit organizations, which develop more and more small and micro projects in Italy. Differently form the international situation, most of the projects operate in the absence of certification and standards that assure carbon accounting quality and delivery of co-benefits. However, many projects use guidelines and internal quality standards, a strategy aimed at containing costs for the micro or small scale projects. This choice might, however, raise criticisms. A good sign in terms of environmental benefits is given by the fact that most of the projects, contrarily from what happen in the CDM projects, used exclusively native species.
Since problems of double counting with Kyoto based initiatives could undermine the development of the sector, the voluntary carbon market is looking for official signals from the Italian Government. Currently there is a legislative gap about this. With clear and precise directives, a more stable strategy for the sector could be implemented, also looking at the successful examples of domestic markets that exist in many EU countries.

NWFP certification is promoted as a solution to address the many ecological, economic, and social challenges associated with NWFP commercialization. The research shows that several certification schemes are applied to NWFP and they have different scopes, which follow in different degree under the spheres of socio-economic and environmental sustainability and of assurance of quality and health benefits. However, only two standards (sustainable forest management and wild certification), include detailed ecological specifications for sustainable harvesting. Being the entire NWFP supply chain connected to the renewability of the NWFP itself, these recommendations are of particular importance.

Market Based Instruments are mechanisms that can provide economic values to forest ecosystems, also providing greater flexibility of the management of the resources and to changing conditions. The research shows that application of MBI to forest ecosystem services can perform at different scales, form the local to the global. However, they have not to be idealistically seen as the solution; they rather can, if carefully designed and implemented, complement regulations or provide alternatives. The definition of the best option should be designed case-by-case, especially aiming at including the delivering of sustainable aspects, with particular reference to the place where the forest resources are. At the same way, due to heterogeneity of MBI and of the contexts where they are implemented, MBI effectiveness in managing and conserving ecosystems cannot be a priori assessed and other indicators, applied at specific scale, should be used.

Abstract (italiano)

Le foreste hanno fondamentale importanza per i servizi ecosistemici che forniscono alla società. Molti servizi ecosistemici derivanti dalle foreste ricadono nelle cosiddette esternalità positive e nella classe dei beni pubblici. Ciò implica che molti possano beneficiare da tali servizi ecosistemici, senza però contribuire al loro sostentamento. Tale fallimento nell’attribuzione del giusto valore può comportare una degradazione degli ecosistemi forestali, o l’abbandono della gestione forestale, con un conseguente sotto approvvigionamento del servizio ecosistemico stesso. Ne derivano conseguentemente perdite anche dal punto di vista socio-economico.
Al fine di preservare, conservare e sostenere i servizi ecosistemici, compresi quelli generati dalle foreste, c’è un crescente accordo circa l’effettività dell’uso degli strumenti basati sul mercato (Market Based Instruments- MBI). I MBI sono strumenti che incoraggiano le azioni tramite segnali di mercato, invece che tramite norme. Essi costituiscono un gruppo eterogeneo di strumenti, il cui maggiore comune denominatore è l’uso di valori monetari, in svariati modi, attraverso un processo di commodificazione. Diversi autori hanno classificato i MBI, in modi differenti. La presente ricerca adotta la classificazione di Pirard (2012), il quale ha definito sei tipi di MBI: scambi diretti (direct deals), permessi commercializzabili (tradable permits), segnali di prezzo su base normativa (regulatory price signals), segnali di prezzo su base volontaria (voluntary price signals), accordi basati sul modello di Coase (Coasean types agreements), aste al contrario (reverse auctions).
Tra i tanti servizi ecosistemici forniti dalle foreste, alcuni, più di altri, hanno esperito un processo di commodificazione, testimoniato da molti esempi nel mondo. E’ il caos dei Prodotti Forestali Non Legnosi (PFNL) e del servizio di regolazione che deriva dalla funzione di sequestro del carbonio operato dalle foreste.
La presente ricerca ha avuto i seguenti obiettivi: i) determinare quali siano i più importanti MBI applicati ai PFNL e al servizio di regolazione che deriva dalla funzione di sequestro del carbonio operato dalle foreste, secondo la letteratura scientifica; ii) analizzare l’applicazione di tali MBI ai PFNL e al servizio di regolazione che deriva dalla funzione di sequestro del carbonio operato dalle foreste, a diverse scale; iii) valutare se sia probabile che l’applicazione dei MBI ai PFNL e al servizio di regolazione che deriva dalla funzione di sequestro del carbonio operato dalle foreste, negli esempi selezionati, porti co-benefici o aspetti di sostenibilità.

Per determinare quali siano i più importanti MBI, è stato utilizzato il database Scopus, tramite una ricerca con parole chiave.
Secondo la letteratura, i più citati MBI per i PFNL sono i “direct deals”. Sono stati determinati due livelli di analisi per la ricerca di tale applicazione del meccanismo: la prima internazionale, con focus sul commercio internazionale dei PFNL in cui l’Italia è coinvolta (utilizzando il database UNComtrade); la seconda regionale, con l’analisi delle filiere di funghi selvatici e castagne in Trentino-Alto Adige, condotta tramite interviste dirette; l’indagine si è anche avvalsa di ulteriori ricerche, la prima concernente il servizio di raccolta dei permessi dei funghi in val di Fiemme (TN), la seconda un’associazione di produttori di castagne a Castione (TN).
L’altro MBI di maggiore importanza per i PFNL, come riportato in letteratura, è “regulatory price signals”, e specificatamente la certificazione e l’uso di standards. L’analisi dell’applicazione di questo meccanismo si è svolta tramite ricerca bibliografica.
Lo studio sul servizio di regolazione che deriva dalla funzione di sequestro del carbonio operato dalle foreste è stato condotto a due livelli: i) il mercato regolamentare del carbonio forestale, nell’esempio dei progetti forestali sviluppati nell’ambito del Clean Development Mechanism del Protocollo di Kyoto (studio avvenuto tramite ricerca nei database ufficiali); ii) il mercato volontario del carbonio forestale, avvenuto tramite questionari inviati agli attori del settore.

L’analisi dei “direct deals” applicati ai PFNL conferma che la commodificazione dei PFNL è tale che oggi molti di questi prodotti sono commercializzati in mercati con scala globale. In questo contesto, l’Italia riveste una posizione di leader globale tra i maggiori importatori o esportatori di alcuni prodotti: tannini di origine vegetale, tappi di sughero, castagne e funghi selvatici. Il commercio internazionale di PFNL è in crescita. Ciò può rappresentare un’opportunità per l’Italia, e per l’Unione Europea in generale, per promuovere una gestione forestale sostenibile e multifunzionale, basata anche sui PFNL.
L’indagine condotta in Trentino-Alto Adige per i funghi selvatici e le castagne mostra la presenza di diversi tipi di mercati e filiere, basate sia su prodotti locali che non locali, i secondi largamente eccedenti i primi. Le dinamiche che muovono tali mercati sono basate su logiche similari a quelle di tanti altri prodotti, quali i minori costi di produzione che susistono in alcuni paesi esteri. Tuttavia, nella regione ci sono anche filiere basate su PFNL locali. Il commercio imperniato sulla produzione locale è basato su quantità molto minori e la quasi totalità rimane all’interno dei confini regionali. La commercializzazione avviene tramite filiere corte (Short Food Supply Chains), la cui applicazione è considerata ono dei più importanti strumenti per rafforzare lo sviluppo rurale, fornendo diversi benefici sociali, economici e ambientali.
Nella regione esistono anche altri MBI applicati ai PFNL. Di particolare importanza sono gli incentivi pubblici per la revitalizzazione del settore castanicolo e i permessi per la raccolta dei funghi.

L’analisi circa l’applicazione dei tradable permits al servizio di regolazione che deriva dalla funzione di sequestro del carbonio operato dalle foreste, nell’esempio CDM italiano, mostra che il Governo Italiano partecipa ad un numero relativamente alto di progetti forestali nei paesi in via di sviluppo. Ciò produce un ammontare rilevante di benefici climatici. Tuttavia, la connessione “progetto di carbonio forestale- conservazione delle foreste native” nonè automatica, visto che circa il 55% di queste foreste è stat piantata con specie non native.
L’analisi condotta sulle dichiarazioni contenute nei documenti di progetto CDM mostra che tutti i progetti sostengono di aver stimolato l’economia locale, inclusa la generazione di impiego a lungo e breve termine, e di aver coinvolto la popolazione locale. Tuttavia, il sistema di indicatori fornito dall’ United Nation Convention of Climate Change (UNFCCC) non procura un metodo per valutare quanto un progeto contribuisca allo sviluppo sostenibile. Sarebbero a questo proposito utili integrazioni informative da parte del Governo Italiano, anche considerando il coinvolgimento finanziario rilevante che l’Italia ha in queste attività. Ciò in vista dello sviluppo delle future negoziazioni in ambito UNFCCC.
L’analisi dei tradable permits nell’esempio del mercato volontario italiano mostra come il mercato italiano sia un piccolo mercato, che ha mostrato un declino negli anni recenti. I prezzi dei crediti di carbonio, invece, risultano essere in controtendenza. Il mercato italiano è caratterizzato da una presenza bilanciata di associazioni profit e non profit, le quali sviluppano sempre più progetti a piccola e micro scala. Al contrario di quanto accade internazionalmente, si riscontra che la maggior parte dei progetti opera in assenza di certificazione e di standard che assicurino la bontà dei calcoli sulla quantità di carbonio immagazzinato e la generazione di co-benefici. Tuttavia molti progetti utilizzano linee guida e standard interni, strategia messa in atto per contenere i costi dei piccoli progetti, i quali hanno difficoltà a sostenere i costi di certificazione. Tuttavia, tale scelta può essere da molti criticata. Un buon indicatore è invece dato dall’uso quasi esclusivo di specie native nei progetti.
Dato che problemi di doppia rendicontazione con il Protocollo di Kyoto possono minare lo sviluppo del settore, esssendoci ora una vacanza legislativa, gli attori del mercato volontario sono in attesa da segnali chiari dal Governo. Con precise direttive potrebbe essere designata una strategia più stabile, anche considerando gli esempi positivi di alcuni mercati domestici in altri paesi europei.

La ricerca sui “voluntary price signals” mostra come esistano molti schemi di certificazione che sono applicabili ai PFNL. Hanno obiettivi differenti, ascrivibili con diversa intensità alle sfere di sostenibilità socio-economica, ambientale, e di assicurazione di qualità. Tuttavia, solo due standard (gestione forestale sostenibile e certificazione “wild”) includono specificazioni dettagliate circa la raccolta sostenibile dei PFNL. Essendo l’intera filiera basata sulla presenza della risorsa PFNL, queste specificazioni sono di fondamentale importanza.

I MBI sono meccanismi che possono fornire valore economico agli ecosistemi forestali, dando anche maggiore flessibilità di gestione delle risorse e maggior resilienza a situazioni dinamiche.
La ricerca mostra che l’applicazione di MBI ai servizi ecosistemici derivanti dalle foreste può essere applicata a scale diverse, dalla locale alla globale. Tuttavia, l’applicazione di MBI non deve essere idealisticamente vista come “la soluzione”; è piuttosto, se attentamente sviluppata e messa in atto, di complemento alle norme esistenti. La definizione dell’opzione migliore dovresse essere designata caso per caso, specialmente mirando ad includere la generazione di aspetti di sostenibilità, con riferimento particolare al luogo dove sono site le risorse forestali. Allo stesso modo, data l’eterogeneità dei MBI e dei contesti a cui sono applicati, l’effettività dei MBI nella gestione e conservazione degli ecosistemi non può essere valutata a priori e dovrebbero essere utilizzati altri indicatori, applicati a scala specifica.

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Tipo di EPrint:Tesi di dottorato
Relatore:Pettenella, Davide Matteo
Dottorato (corsi e scuole):Ciclo 28 > Scuole 28 > TERRITORIO, AMBIENTE, RISORSE E SALUTE
Data di deposito della tesi:31 Gennaio 2016
Anno di Pubblicazione:31 Gennaio 2016
Parole chiave (italiano / inglese):Market Based Instruments, Non Wood Forest Products, forest carbon, ecosystem services, Italy
Settori scientifico-disciplinari MIUR:Area 07 - Scienze agrarie e veterinarie > AGR/01 Economia ed estimo rurale
Struttura di riferimento:Dipartimenti > Dipartimento Territorio e Sistemi Agro-Forestali
Codice ID:9501
Depositato il:14 Ott 2016 09:44
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