Forestry and Community:  Creating Local Markets for Local Resources

 

Conner Bailey, Rural Sociology

Valentina Hartarska, Agricultural Economics

Mark R. Dubois, Forestry

Bruce Lindsey, Architecture

 

Introduction

 

            The forest products industry in the southeastern United States (the “South”) dominates the landscape and rural economies throughout the region.  Technological changes in this industry simultaneously eliminated small-scale logging operations and undermined market access by owners of small tracts of timberland, a one-two punch that has left the poor with little benefit from an industry accounting for $41 billion in gross regional product (Abt, Winter and Huggett 2002:247) .  Over the past 25 years, wood harvesting has become a capital-intensive process involving investments of $500,000 or more, far beyond the means of many workers who had depended on timber harvesting for their livelihoods (Bliss and Flick 1994).  These modern logging operations are highly efficient in harvesting large tracts of land but are inefficient for tracts of less than 50 acres (DeCoster 2000).  As a result, not only have small-scale loggers been put out of work, owners of small tracts of timber land have lost market access for their timber. 

 

            The number of people affected is significant.  Non-industrial private landowners own 60 million acres of commercial timberland in the four southern states of Alabama, Georgia, North Carolina, and Tennessee.  More than 20% of this land – 12.6 million acres – is in holdings of 50 acres or less, a pattern we believe to be common across the South (Brown 2004; Hartsell and Brown 2002, Schweitzer 2000, Thompson 1998).[1]   If each of these holdings totaled 50 acres, we would have over 250,000 landowners in these four states without a market for their timber.

 

            The irony – and the potential – of abundant timber resources in a region characterized by persistent rural poverty and sub-standard housing is the inspiration for this project proposal.  Over the past 12 years, researchers and extension specialists at Auburn University have examined the social and economic impacts of South’s forest products industry.  During this same period, faculty in Auburn’s School of Architecture founded a widely-acclaimed “Rural Studio” where students are trained as “Citizen Architects” to focus their energy and design talents on needs of the rural poor using locally available materials and community activism (Dean 2002; see also Appendix 1).  Our proposal represents a blending of these two efforts, integrating research, extension, and instructional activities to focus on available natural resources (in this case timber) and the needs of individuals and communities for employment, income, and improved housing conditions. 

           

            The broad purpose of the proposed project is to identify mechanisms by which the connection between forest resources and local communities can be strengthened.  Specifically, we believe the introduction of scale-appropriate harvesting and wood processing technologies can create entrepreneurial opportunities which will generate income and employment, and produce building materials to address sub-standard housing and other construction needs. 

 

            The team involved in this enterprise includes a rural sociologist whose research has focused on rural poverty and resource dependency, an agricultural economist working on micro-enterprise development, a forester whose Extension appointment involves work on forest management for owners of small tracts of timberland, and an architect who oversees the widely-acclaimed Rural Studio in West Alabama.  Thus our proposal is responsive to this RFP in combining four disciplines in an integrated approach involving teaching, research and extension.  

 

            This team has worked together over the past year on a pilot project in West Alabama funded by the Alabama Agricultural Experiment Station.  We have worked closely with local citizen’s organizations and held demonstrations of portable saw mills and inexpensive, low impact harvesting operations.  We are in the process of training students to build affordable dignified housing and we are working with a non-government organization (NGO), the Hale Empowerment and Revitalization Organization (HERO) to implement a grant from the federal Department of Housing and Urban Development to build housing using lumber produced on the homeowner’s own land.  What is unique about this effort is that we are working with people living at or below the poverty line who would not be able to build their own home without the combination of sweat equity (their own labor) and material contributions (lumber from their land) to build a home for under $20,000.    

 

            This NRI program, “Enhancing the Prosperity of Small Farms & Rural Agricultural Communities,” represents an opportunity to expand our current activities beyond the initial set of four Alabama counties.  Much of the work we propose to accomplish will continue to focus on Alabama, but we will expand certain research, extension, and instructional activities to neighboring states (Georgia, Mississippi, South Carolina, and North Carolina) where we have established professional relations with university, the USDA Forest Service, and NGOs.

 

Long Term Goals

 

            Our long term goal is to identify opportunities for limited resource land owners and woods workers to utilize locally available resources to make a living and improve the quality of life in the South and beyond.  We believe that this project will strengthen local economies and  meet the needs of those with limited resources.  The net result of this could be far more than creating niche markets and improving the quality of local housing.  These types of efforts create habits of cooperation that can generate broader community development efforts. 

 

            For purposes of this proposal, we present separate objectives for the research, extension, and instructional components of our project.  The three project components are linked by the common interest in promoting linkages between local natural resources and local needs for employment, income, and improved housing conditions in non-metropolitan counties of the South. 

 

Research and Extension Objectives

 

            In this section, we combine research and extension objectives because they are closely linked.  Objectives 1, 2, and 4 primarily reflect research interests, but will be pursued iteratively in collaboration with Extension colleagues.  Objective 3 is designed to have an explicit Extension component but has clear research dimensions.  We believe that research should generate scholarly, publishable, but that it also should provide useful information for the Extension and instructional components of our project.  Similarly, Extension work holds a practical mirror to ideas generated by research:  will it work, and can we convince people to adopt the ideas and technologies we feel should be promoted? 

 

Objective 1:      Develop a multi-dimensional definition of timber dependency appropriate to the South.

 

Objective 2:      Explore the connection between timber dependency and other social, economic, biological, and environmental conditions as they relate to the adoption of forest management, timber harvest, and wood processing technologies designed for limited resource forest land owners, loggers, and wood processors. 

 

Objective 3:      Identify opportunities for and extension methods to promote small-scale forest management, harvesting, and production techniques designed to serve local needs for employment and building materials and the development of micro-enterprises.

 

Objective 4:      Evaluate the economic viability of investment in timber harvesting and wood processing technologies designed to operate in conjunction with tracts of under 50 acres. 

 

            Research under Objective 1 will critically evaluate the conceptual underpinnings of resource dependency as it relates to the forest products industry.  Most of this literature has come from regions outside of the South, but even the work done in the South has used simple measures of employment and income to determine dependency.  Other variables (e.g., percent forested land, property tax revenues, proportion of forest land controlled by absentee owners) might provide a more nuanced and theoretically informed understanding of timber dependency. 

 

            Work on Objective 2 will build on this conceptual development by exploring the consequences of timber dependency as they relate to a wide range of domains (resources, technologies, and people both as individuals and members of communities).  In addition to generating publishable research findings, this work will help identify counties across the South where the combination of numerous limited resource landowners, high rates of unemployment and substandard housing exist.  Such counties can then be targeted for Extension efforts (or action by NGOs) to link available resource with housing needs. 

 

            With Objective 3, we combine our research and extension efforts.  Field research supported by our pilot project has identified a set of scale-appropriate technologies used for harvesting and wood processing that in our study area appear to be economically viable (i.e., we have identified four portable saw mills in operation serving local niche markets).  As we extend the geographic focus of our study, will we find similar technologies in use?  Are there market niches and if so are they comparable or different from those in our pilot study area?  In our pilot study area, we found many limited resource forest land owners living in sub-standard housing who would benefit from selective harvest of standing timber to produce building material, possibly on a share basis with the sawmill operator so that monetary costs would be low or non-existent.  Are there similar opportunities and needs in other counties across the South?  If so, how do we extend this set of technologies and link it to meeting the needs of people who live in substandard housing?

 

            Objective 4 will build off of work accomplished under Objectives 2 and 3.  We have in our pilot study area four portable saw mills.  We want to use these four mills as “case studies” to examine the economic viability of such enterprises.  We then want to expand this research effort to study the economic viability of similar enterprises across the South under varying conditions.  Based on our pilot study, we know that some individuals are able to use their portable mills as their primary source of household income.  We anticipate in other situations that the operation of such mills might serve as a supplement to household incomes.  Based on discussions with an NGO partner in our study area, the Federation of Southern Cooperatives, we can imagine a cooperative might be formed around small scale logging and woods processing.  Alternatively, an existing cooperative made up of limited resource farmers might invest in a portable saw mill to serve the needs of its members.  A cooperative or other NGO could produce materials not only for immediate member needs but also for sale or to create a community wood yard designed to serve the needs of those living in substandard housing.

 

Instructional Objectives

 

            We list our instructional objectives separately not because they represent an isolated project component but because we believe doing so makes for a clearer presentation.  In our pilot project, research, extension, and instruction are brought together to address a common set of questions.  That said, there are important differences in to whom the questions are presented.

 

Objective 5:      Train students to design and construct various types of housing and home renovation  projects that utilize locally-produced construction materials, including both conventional and non-conventional poles and lumber.

 

Objective 6:      Develop innovative construction and assembly systems using conventional and non-conventional locally produced forest products

 

Objective 7:      Work with colleagues at other architecture programs in the South to create programs similar to the Rural Studio whereby students gain hands-on experience in design and construction for clients of limited means.

 

            In Objective 5 one important difference becomes obvious:  we are interested in training students as citizen architects.  Most architectural effort is devoted to building structure for those who have money.  What can architects contribute to improving the quality of living for those who have little money?  The answer of the Rural Studio has been well documented (Dean 2002; see also Appendix 1).  Where our project makes its contribution is to link the design talents of Rural Studio faculty and students with local resources.  Over the years, the structures built by the Rural Studio have used a wide range of building materials, from steel to straw bales to rammed earth, and of course wood.  But they have not used locally sourced wood, much less lumber produced from standing timber on the land of a client family to build or renovate homes. 

 

            Objective 6 will involve the design talents of Rural Studio students and faculty along with the technical assistance of the USDA Forest Service.  Through our pilot project, we have established working relationships with Forest Service professionals from the Forest Products Laboratory in Madison, Wisconsin.  During Fall 2004, Dr. Mark Knaebe from this unit made a presentation to the Federation of Southern Cooperatives (one of our NGO partners on our pilot project) and the Rural Studio on construction and assembly systems using roundwood (poles) rather than conventional (squared off) lumber.  Among the technical issues to be addressed is ability of small roundwood of different species to bear structural loads.  Once load factors are known for different species and diameter classes, construction designs can be developed to utilize available timber resources either as milled lumber or as poles.

 

            In addition to land owned by individuals, National Forests managed by the USDA Forest Service represents another major source of available building material.  In our pilot project area, the Oakmulgee Division of the Talladega National Forest has offered to make available at no cost timber that needs to be cleared to control infestations of Southern Pine Park Beetle (SPPB).  Across the South, the SPPB represents a threat to pine forests on both public and private land (Hoffard, Marx and Brown 1995).  Our pilot project’s scale-appropriate and selective approach to harvesting and utilization of the timber for local housing needs offers both an important mechanism for controlling the spread of SPPB and a socially beneficial (and therefore attractive to the USDA Forest Service) use of the timber.  So great is the need for harvests to control SPPB that the Ranger of the Oakmulgee Division, an active participant in our pilot project, not only is considering giving the project access to a stand of timber, but paying for the cost of cutting and removal.  We anticipate other national forests across the South will be equally supportive. 

 

            With Objective 7 we combine our instructional, research and extension components and work with schools of architecture and forestry elsewhere in the South to promote adoption of curricular and outreach models parallel to what we are developing at Auburn.  The Rural Studio has high visibility within the architecture community for their unique combination of design work and social consciousness.  Co-Project Director Bruce Lindsey is also co-Director of the Rural Studio and often has opportunity to travel within the region and beyond to discuss the philosophy behind and the contributions of the Rural Studio.  What we intend to do with Objective 7 is develop a traveling workshop where we would visit universities in neighboring states which have both schools of architecture and forestry as well as social science capability to support efforts parallel to what we are accomplishing in Alabama. 

 

Previous Work Relevant to Proposed Project

 

            This section follows the logic presented in our Objectives, starting from the broad conceptual theme of resource dependency, exploring the connection between resource dependency and social, economic, biological, and environmental conditions, identifying opportunities for mitigating some of the adverse consequences of resource dependency, and examining the economic viability of technological innovations with potential to serve the needs of limited resource landowners and woods workers. 

 

Resource Dependency

 

The term 'resource dependency' has come into common usage to denote conditions under which particular communities or regions are heavily reliant on one type of economic activity (e.g., farming, mining, fishing, or logging).  Resource dependency often is measured by percent of employment in a particular sector, with a threshold beyond which a community or (more commonly) a county is considered dependent (ERS n.d.). 

 

Interest in resource dependent communities is a well established tradition among social scientists (Lee, Field, and Burch 1990; Peluso, Humphrey and Fortmann 1994).   The connection between community stability and the status of natural resource systems has become a common theme in such research (e.g., Field and Burch 1991).  Machlis and Force (1988) provide a review of timber dependency, noting that most measures are characterized by economic variables. In Alabama, Howze, Robinson, and Norton (2003) defined timber dependent counties as those with more than 25% of total employment in manufacturing of forest products.  Adoption of this measure provides a simple and straight-forward measure of economic activity.  On obvious limitation of this measure was documented by Lupo (2003), who found that many workers in forest-based manufacturing do not live in the same county where they work.

 

We believe there is a need to examine a wider range of variables to understand what it means to be dependent on natural resources.  In the case of forestry in Alabama, for example, issues related to the generation of tax revenue for county school systems and governments (Joshi et al. 2000) as well as the proportion of land devoted to commercial forestry, if included, may give a somewhat different image of timber dependency.  Concentration of land ownership, or control of land by absentee owners (Bliss, Sisock and Birch 1998) may lead to more meaningful definitions of resource dependency than are to be found in the current literature.

 

            Social and economic problems associated with timber dependency have been accorded nationwide attention due to structural changes affecting the forest‑based industries of the Pacific Northwest (Lee, Field and Burch 1990).  These changes underscore the central fact that dependency creates vulnerability to sudden changes in policies, markets, or investment decisions made by distant corporations (Peluso, Fortmann, and Humphrey 1994).  Vulnerability also takes on a spatial dimension in the context of physical isolation and the absence of alternative employment prospects that characterize many if not most timber dependent communities (Carroll and Lee 1990; Machlis and Force 1988; Machlis, Force, and Balice 1990).  The consensus within the literature is that resource dependency often is associated with persistent poverty (RSS 1993). 

 

Link between Dependency and Social, Economic, Biological and Environmental Conditions

 

Between 1950 and 2000, rural Alabama counties dependent on the forest products sector (as measured by employment) have suffered high rates of poverty, unemployment, infant mortality, and out-migration as well as low levels of support for public education and a low percent of local residents who complete high school education (Howze, Robinson, and Norton 2003; see also Walkingstick 1996; Bliss, Walkingstick, and Bailey 1998).  This finding also holds true for non-metro counties hosting large pulp and paper mills (Bliss and Bailey in press).  The forest products sector in Alabama is dominated by production of pulp and paper products, the manufacture of which is a capital-intensive operation where individual mills represent up to $2 billion in investment (Bailey et at. 1996).  There are at present 14 large pulp and paper mills operating in Alabama and workers at these mills are among the best paid in Alabama=s rural economy.  The rural development impact of this sector has been limited by two factors: changes in the labor market and the tax structure.  The number of workers employed in the mills has shrunk both due to mill closings (two closed within the past five years) and the introduction of new technologies which replaced labor.  In addition, mill management has adopted a strategy common in the private sector of sub-contracting many jobs, reducing wage and benefit costs (Lupo 2003; Sinclair, Bailey and Dubois 2003).  The rural development impact of this sector also has been limited by extraordinarily low property taxes on forest land throughout Alabama (PARCA 2001), and tax abatements which have made it possible for pulp and paper mills annually to escape millions of dollars in property taxes (Joshi et al. 2000).

 

Indeed, an argument could be made that the forest products sector has had an adverse impact on rural development by encouraging concentration of forest land ownership.  In contrast to national trends towards fragmentation, in Alabama small forest land tracts are being consolidated into larger holdings (Bliss, Sisock and Birch 1998; Sisock 1998).  More than half (58%) of Alabama=s forest land is owned by 1% of all ownership units, and this concentration is most marked in the demographically-defined Black Belt region (Wimberley and Morris 1996) where the need for rural development is most serious (Bliss, Sisock and Birch 1998).  Data from the 1980s indicate African-Americans in Alabama own only 4% of the private forest acreage (Rosson and Doolittle 1987).  Research on the decline in African-American farm ownership in Alabama (Zabawa, Siaway, and Baharanyi 1990; Zabawa 1995), and research on problems faced by minority forest land owners (Crim 2003) suggest that conditions have not improved since then. 

 

The connection between natural resources and persistent rural poverty is not limited to Alabama (RSS 1993).  One of the most common causes of this connection is the lack of local control over resources and the economy (Bailey et al. 1993; Peluso, Fortmann, and Humphrey 1994).  The concentration of economic power in relatively few hands, especially when these are absentee or corporate hands (International Paper owns one million acres in Alabama) leaves communities powerless to deal with decisions made far away (Task Force 1993).  This in turn undermines the ability of local communities to promote development.  Norton (2001) found that social capital (trust and civic mindedness) was strongest in those Alabama Black Belt counties where the economy was relatively diverse and weakest where it was not. 

 

Biological and environmental  implications.  The process of consolidation into ever larger tracts could continue if current research on genetic engineering were to yield dramatic increases in productivity promised by some proponents (Bailey, Sinclair, and Dubois 2004; Sedjo 1999).  The social and biological consequences of genetic engineering in forestry, should current field trials result in subsequent commercial application, have been reviewed (Bailey, Sinclair, and Dubois 2004).  Beyond consolidation of landownership, an acknowledged risk of genetic drift exists with potentially serious consequences for pine forest ecosystems (Strauss et al. 2001).  Pine forest ecosystems in the South already have been dramatically altered by the spread of pine plantation monocultures which are characterized by even-aged stands of trees that provide limited ecological diversity or wildlife habitat (Owusu 1999).  Across the South, pine plantations cover 32 million acres (Prestemon and Abt 2002).

 

            The introduction of mechanized whole tree harvesting operations has led to the virtual demise of labor-intensive shortwood pulpwood producers, once a significant source of employment for the rural workforce (Bliss and Flick 1994).  Operating shortwood pulpwood producers allowed for an expanded menu of forest management alternatives for forest owners.  In 1979, 78% of southern pulpwood loggers produced shortwood.  Only fifteen years later that figure had dropped to 20% (Munn et al. 1998).  Similarly, smaller sawmills which once dotted the landscape of rural Alabama have closed down as economies of scale resulted in fewer but larger mills dominating the industry.  The decline in the availability of shortwood pulpwood producers directly led to a decline in forest management alternatives, marginalizing hundreds of thousands of forest owners in the timber market (Toms et al. 2001). 

 

Identifying Opportunities to Link Forest Resource to Local Needs

 

            The adoption and diffusion of technological innovations is a field of research with a long history.  The traditional adoption and diffusion model is presented as having five stages:  awareness, interest, evaluation, trial, and adoption (Rogers 1983).  Technological innovations are adopted differentially across populations, with age, education, and ability to accept a degree of risk without threatening basic subsistence key predictive variables.  Technological innovation may hold the key for improving the standard of life for a population, but the process of change can introduce disruptive social influences as well (Schnaiberg and Gould 1994).  Wolek (1985) argues that technology transfer works best when developers and users work together in defining the issue to be addressed, work together in conducting experiments, interpreting data, and deciding on the next steps to be taken, and share information about the new technology through existing social networks.

 

            In recent years, the combined effects of corporate consolidation and technological change have led to increasing economic concentration in the forest products sector (Sinclair, Bailey, and Dubois 2003).   The net result of these changes is that the connection between rural community and the forested landscape in Alabama has weakened.  Paradoxically, even though consolidation of forest land ownership is taking place, the average forest size of the non-industrial private owner (NIPF) is declining.  Greene et al. (1997) documented a trend towards decreasing timber stand and timber sale size in Georgia and noted the need for technology to better address the harvesting and silvicultural needs of smaller forest ownerships.  Given existing harvesting and silvicultural management paradigms, some forest practitioners and forest policy analysts bemoan declining forest ownership size as a "small-owner problem."  Others view small-forested tracts as an opportunity to develop sustainable, small-scale harvesting that can operate efficiently, and protect the amenity values demanded by society while meeting the diverse management objectives of non-industrial private forest (NIPF) owners.   DeCoster (1998) in an analysis of NIPF ownership fragmentation stated, “We need new approaches and technologies designed for small [forested] parcels.”

 

Small-scale harvesting systems, such as farm tractor-based systems, may complement large-scale mechanized logging by filling the harvesting niches of small forested tracts, low sawlog volume harvests, and aesthetically sensitive areas.  For example, use of animals (horses and mules) to haul logs out of the woods is an alternative available in some locations.  Results of a survey of natural resource managers in the northeast U.S. found that 58% agreed with the statement: “If there were loggers who used animals in my area, I would use animal logging over conventional methods in some situations” (Egan 1998).  Toms et al. (2001) estimated there were 50 active animal logging operations in Alabama in 1998.

 

            Small forested tracts are not well served by contemporary logging operations.  The challenge is to identify and develop small-scale harvesting systems that can operate efficiently while meeting the diverse management objectives of non-industrial private forest (NIPF) landowners (DeCoster 1998).  A 1991 survey of NIPF owners in Alabama indicated 71% considered income from timber sales an important benefit of forest ownership.  However, only 25% indicated this was the primary management objective (Bliss 1993).   Almost 60% reported that non-commodity values (e.g., maintaining family ownership, protecting wildlife, and personal recreation) were the primary benefits of ownership.  Poitras (n.d.) found that 43% of NIPF owners would not allow heavy equipment to harvest timber on their land because of adverse forest impacts (e.g., soil compaction, soil erosion, incompatibility with selective harvesting).  In contrast, 45% of respondents were willing to accept less money for their timber if low impact logging (e.g., animal logging, tractor logging) were used to improve their forest’s future health and productivity. 

 

            The effect of tract size on harvesting costs has been examined.  Cubbage (1983) reported that harvest costs for capital-intensive, highly mechanized systems are more sensitive to tract size than low-capital, labor intensive shortwood harvesting systems.  Highly mechanized systems have higher move costs, meaning that it is inefficient for such operations to stop and harvest small tracts. Cubbage (1983) reported that shortwood harvesting operations had the lowest harvesting cost for tracts less than 20 acres.  Toms et al. (2001) reported that 20 acres represents the median tract size for animal logging operations in Alabama, and that in this range such low capital harvesting systems may be cost effective.

 

            Foresters have long been concerned with the economic viability of timber harvesting on small landholdings, believing that ongoing processes of fragmentation of forest lands over time will eventually constrain future timber supplies (Sampson and DeCoster 2000).  In support of this concern, DeCoster (2000) suggests that forest parcels below 50 acres often cannot be harvested through conventional forestry approaches.  From a rural development perspective, the viability of forestry on small landholdings raises other concerns.  Minority and limited resource landowners in Alabama generally have smaller than average landholdings (Schelhas 2000).  Gan and Kolison (1999), studying minority forest landowners in two Southeastern Alabama counties, found a median forest land holding of 70 acres, with one-third of forest landowners having less than 50 acres.  Making an economic return from forest lands may be critical in to small landowners’ ability to retain their lands and maintain their economic well being (Zabawa et al 1990; Tufts and Zabawa 2000).  But this requires greater attention from researchers and extensionists to the practice of forestry on small parcels.

 

            Some foresters have argued that the constraints on smaller landholdings should be attributed to biases in the training of professional foresters, which leads them to consider only the limited range of silviculture and harvesting options that are generally used on larger tracts, and that smaller tracts can be economically productive with alternative forestry practices (Schnepf 2000).  This perspective suggests that forestry for owners of small parcels should be addressed through a two-fold approach of:  (1) understanding the needs and management objectives of  owners of small forest parcels, and (2) introduction of small-scale logging technologies that are commonly used in Europe and eastern Canada (Schnepf 2000).  Schnepf (2000) proposes development of new partnerships between researchers, extensionists, and forest landowners to stimulate the development of fresh ideas and new forestry options.

 

Economic Viability of Micro Enterprises

 

The literature on micro enterprise is primarily concerned with identifying constraints to their emergence and development. In the past, it was assumed that lack of start up capital and access to finance were the most important impediments to small businesses development in rural areas. Studies have shown, however, that finance is not a panacea for promoting rural economic development, and that finance alone cannot be used to achieve social objectives (Adams et al. 1984).  Instead, the focus should be on identifying other constrains for micro enterprise development (Servon 1999).  Micro enterprises face numerous internal and external constraints. Internal constraints include low level of education, low entrepreneurial competencies in terms of management, organization and marketing, limited capacity for information processing, and outdated technologies. External constraints include policy interventions that hinder micro enterprise development such as inappropriate tax policy, lack of access to information on technologies, know how, markets, inputs, infrastructure and financial services, discrimination in credit markets, and bureaucratic constraints imposed by local administrations (Cavalluzzo and Cavalluzzo, 1998).

 

Rationale and Significance

 

            Our proposed project responds to two of the four priority areas identified in the RFP, specifically:

 

(c)    evaluation of the interplay between social, economic, biological and environmental factors that affect the adoption of new agricultural technology, management and/or foster rural agribusiness development; and

 

(d)   identification of emerging opportunities and threats for small to medium sized farms, and associated rural communities over the next twenty years.

 

            There is a pressing need to better address the harvesting and silvicultural needs of small forest ownership units (DeCoster 1998; Greene et al. 1997).  Newly engineered small-scale harvesting technologies are being tested in Canada and Scandinavia.  Some technologies have been developed as attachments for agricultural tractors.  Others (e.g., portable mills) can be pulled behind a pickup truck.  Our proposed research project will set the stage for identification and development of efficient and locally-adapted technologies that will make it possible to selectively harvest trees from small tracts of forest land and turn the timber into valuable products.  We propose to identify and promote adoption of technologies geared to meet the needs of limited resource landowners and woods workers by linking the production of timber to improved housing conditions in a region where sub-standard housing is common.  If successful, we will create new markets for landowners and make available locally produced and affordable building materials.  We will also generate designs that utilize locally produced roundwood and conventional lumber to build affordable housing and renovate substandard housing. 

 

            We believe the opportunities for scale-appropriate harvesting and wood processing technologies are particularly significant because they serve the needs of those with limited resources in many areas across the South.  Knowing where these technologies might do the most good, and where they are most likely to be adopted, requires careful investigation of the social, economic, and biological characteristics of the rural South.  The region is heavily forested (most southern states are more than 50% forested, and some are in excess of 70%). 

           

            In addition to creating markets and generating supplies of building materials, our proposed work is likely to have a positive impact on forest health.  Since the demise of shortwood harvesting operations, owners of smaller holdings interested in selective logging have been left with few if any options for managing their forests.  Beyond the immediate economic loss, there is the potential problem of disease and insect damage.  This is particularly the case with Southern Pine Bark Beetles, which represent a significant threat to forest health (Hoffard, Marx and Brown 1995).

 

Approach

 

            In this section we provide detailed discussion of each individual objective broken down into component tasks.  These tasks are presented sequentially in the order of their intended implementation.  We present a timeline at the end of the section graphically demonstrating how work on each objective relates to each other.  As noted previously, we present these objectives and tasks as discrete efforts, but in fact we are very conscious of the need to integrate research, extension, and instructional components as we proceed. 

 

Objectives, Questions, and Associated Tasks:  Research and Extension

 

Objective 1:    Develop a multi-dimensional definition of timber dependency appropriate to the South.

 

            Research Question:  How does timber dependency in the South differ from that found in other regions of the United States?  Is it possible to develop a more nuanced concept that could be used to frame testable hypotheses using quantitative methods?  Most studies of timber dependency in the U.S. have defined dependency to exist where more than 20% of total employment or income is derived from the forest products industry.[2]  As presently defined, the concept of timber dependency is uni-dimensional and offers limited explanatory power when it comes to addressing causality.  We will develop a multi-faceted model of timber dependency which will allow us to examine the interplay of social, economic, biological, and environmental factors that define the relationship between human communities and forest resources in the South.  Beyond conceptual clarification, this will allow us to explore two related research questions:  (1) Under what conditions does timber dependency take on pathological characteristics in terms of local economic opportunity?  (2) Conversely, under what conditions does timber dependency generate benefits and opportunities that are widely shared?  We do not anticipate any pitfalls associated with Objective 1.

 

Task 1.1:          Review literature on different forms of dependency and the social consequences of dependency.

 

Task 1.2:          Develop a definition of timber dependency that is theoretically informed, empirically sound, and draws attention to opportunities and constraints associated with dependency on a resource with multiple uses.

 

Task 1.3           Examine the connection between timber dependency, the structure of forest land ownership, and conditions associated with persistent poverty, including the prevalence of sub-standard housing in non-metropolitan counties of the South.

 

            Task 1.1 will involve a cross-disciplinary review of literature on dependency, purposefully looking beyond the literature on timber dependency to identify relationships and issues of relevance to our work.  We expect this literature review will take us into related fields dealing with topics of globalization and industrial restructuring as well as on alternative approaches to rural development involving the embededness of economic relationships in broader social relations.

 

            Task 1.2 will build upon this literature review to develop a concept of timber dependency that is theoretically informed and empirically verifiable using a mix of quantitative and qualitative measures.  Previous research has demonstrated that timber dependency in the South does not necessarily mean the absence of economic diversity, given the possibility of secondary manufacturing involving wood products as well as non-extractive uses such as hunting and other forms of recreation. 

 

            Task 1.3 will involve a quantitative analysis of secondary data at the county level to identify social and economic factors that might affect adoption of harvesting and wood processing technologies being considered for adoption.  Previous research (Howze, Robinson, and Norton 2003) indicates a negative relationship between timber dependency and a number of quality of life variables in rural non-metropolitan counties of Alabama (defined as all non-metro counties where more than 50% of the population live outside urban places).  Among the variables examined were those measuring out-migration, sex and dependency ratios, individual and household incomes, poverty and unemployment rates, per student expenditures on public education, educational attainment, infant mortality and crude death rates.  We hypothesize that we will find that timber dependency is negatively related to these quality of life measures (as well as measures of substandard housing) in rural non-metropolitan counties across the South.

 

Objective 2:    Explore the connection between timber dependency and other social, economic, biological, and environmental conditions as they relate to the adoption of forest management, timber harvest, and wood processing technologies designed for limited resource forest land owners, loggers, and wood processors. 

 

                        Research Question:  The research question behind Objective 2 is under what conditions will technologies appropriate for use with limited resource forest land owners, loggers, and wood processors be adopted across the South.  We expect that the presence of a supportive NGO active in promoting sustainability in timber dependent communities will be positively associated with adoption of such technologies.  We also expect that the presence of active and supportive Cooperative Extension personnel will have a similar positive effect.  One potential pitfall is that in some states the Cooperative Extension system may not have personnel working on forestry issues, complicating the process of establishing local contacts.

 

Task 2.1           Utilize secondary data developed under Objective 1 to identify other areas in the South where the prevalence of small forest land tract size, poverty, and substandard housing conditions suggest need and opportunity for adoption of technologies designed to meet the needs of limited resource forest land owners, loggers, and wood processors.

 

Task 2.2           Conduct exploratory research in areas identified to verify data and determine if need exists to introduce wood processing technologies designed for limited resource forest land owners, loggers, and wood processors. 

 

            Task 2.1 is designed to identify areas where numerous small tracts of timber land and substandard housing are found in the same area.  We hypothesize that such areas will be characterized by poverty and unemployment.  Task 2.2 will involve field investigations, “ground truthing” of the secondary data.  We will identify existing small-scale timber harvesting and woods working enterprises, if any, evaluate problems of substandard housing, and explore the opportunities and constraints associated with establishing linkages between local timber resources and housing needs.  Do the people living in substandard housing own land with standing timber?

 

Objective 3:    Identify opportunities for and extension methods to promote small-scale forest management, harvesting, and production techniques designed to serve local needs for employment and building materials and the development of micro-enterprises.

 

                        The Question to be Addressed:  We believe that low impact and scale-appropriate logging operations will increase forest management alternatives for forestland owners. Using portable saw mills, loggers can add value to their operation by producing lumber and boards.  The potential for forest owners to earn income from their timber, provide employment opportunities for loggers and mill operators, maintain a locally-available supply of building materials at affordable prices and improve substandard housing in the study area are some of the benefits of the scale-appropriate systems we are examining.  We anticipate that some portion of the economic exchanges that will take place between land owners, loggers and mill operators, and purchasers of building products will take the form of informal exchanges of goods, services, and cash.  Financial returns are important but are not the only measure of success when considering the connection between economy and community.  We will look both for opportunities for income as well as for the production of social capital and the consequent strengthening of community that may take place.  One potential pitfall is that we may have difficulty arranging for field trials and demonstrations of particular technologies.  We believe the opportunity to reach a wider market for their products will encourage manufacturers to be willing participants.

 

Task 3.1           Organize, within two months of project initiation, a workshop involving the co-   Principal Investigators, collaborating researchers, and community partners to     develop a detailed work plan and evaluation strategy.  Preliminary data from    Objectives 1 and 2 will be presented.  The workshop will include site visits to    small-scale woods harvesting and processing operations in the vicinity.

 

Task 3.2           At year one, a two-day small scale equipment working show will be held in West Alabama. Small-scale Canadian and Scandinavian technology will be highlighted in this working show.  Local woods workers will demonstrate scale appropriate harvesting and processing equipment.  Community partners will be involved in workshop planning. The workshop itself will be open to the public.  Workshop evaluation forms will include space for participants to indicate an interest in further participation as land owners, woods workers, or buyers of locally-produced materials

 

Task 3.3           Develop a profile of those who have adopted new forest management practices, harvesting techniques, or processing technologies, testing the assumptions behind theories of adoption and diffusion of technological innovations in this setting.  Such profiles will help us understand who is most likely to be interested in pursuing alternative forest management and production approaches in other West Alabama counties and to assess the social and economic impacts of such development.

 

Task 3.4           Develop an outreach at AU program to train forestry consulting to be aware of and be prepared to serve the unique needs of limited resource and underserved forest owners.  Registered foresters would benefit from this program by receiving service credits to retain their registration status.  Forest owners will benefit through receipt of professional forestry advice.

 

Objective 4:    Evaluate the economic viability of investment in timber harvesting and wood processing technologies designed to operate in conjunction with tracts of under 50 acres. 

 

                        Research Question:  The central question underlying Objective 4 is “who are the limited resource loggers and wood processors, and what is the likely impact of their activity on the welfare of local small-plot forest owners?”  The characteristics of small and micro enterprises are likely to differ from those established by other entrepreneurs, and may also be strongly influenced by the nature of specific niche markets for goods and services such as lumber and logging.  As a result, some micro enterprises may operate as smaller scale versions of standard enterprises and work with limited resource forest land owners on the basis of cash exchanges while others may operate on a barter or exchange system.  Research on the economics of micro-enterprise development will be necessary to determine the financial feasibility of investing in harvesting and wood processing technologies geared to the needs of limited resource forest land owners.  One potential pitfall is that individual entrepreneurs may be reluctant to share cost and returns data. 

 

Task 4.1           Identify the nature of economic and technological constraints faced by micro entrepreneurs engaged in limited resource logging and wood processing activities

 

Task 4.2           Examine the impact of policies related to forest management, poverty alleviation, human capital development (education, etc.) on micro entrepreneurs in the forest products industry

 

Task 4.3           Examine the nature of economic relationships between limited resource loggers and wood processors and local land owners, and the role these actors play in the local economy of timber dependent regions in the non-metropolitan South.

 

            Task 4.1 will build upon a review of literatures related to micro-enterprise development both generally and specifically as it relates to the forest products sector.  Economic data related to investment and operational costs associated with logging and wood processing technologies will be collected and analyzed.  We will use multiple methods (secondary data, case studies, observations, key informant interviews, surveys) at multiple sites across the South.  Adopting such a multi-method, multi-site approach (i.e., triangulation) would be the best way to identify factors responsible for the sustainability, growth and performance of micro entrepreneurs  working in the forest products industry (Denzin 1994; Romano 1989; Davidson et al. 2001).

 

            Task 4.2 will involve examination of policies at the federal (USDA Forest Service, USDA Rural Development, the Department of Housing and Urban Development) and state levels.  National and state forest lands represent potential timber resources that can be obtained inexpensively by small-scale loggers and wood processors.  Throughout the region, the USDA Forest Service is looking for ways to thin forest stands and to cut areas affected by Southern Pine Bark beetle infestations.  As this proposal is being written, we are negotiating with the USDA Forest Service to effectively subsidize logging operations to jump start enterprise development).  Similarly, we need to work with other federal and state agencies responsible for housing issues to make sure that locally produced materials can be utilized in construction.  We anticipate that working in multiple states will lead to discovery of variation in policies and identification of policies that are most conducive to micro-enterprise development of the type being considered.

 

            Task 4.3 will involved a mixed-method approach involving multiple methods in data collection, analysis, comparison and integration of results (Romano 1989). This is similar to what Mikkelsen (1995:81) describes as triangulation. This strategy enables a researcher to obtain in-depth information and reduce the level of personal bias that may come from using a single method or approach. The three methods we will use are case studies based on detailed semi-structured interviews, surveys, and descriptive data drawn from historical sources.  Thus, qualitative, quantitative and historical dimensions of micro-enterprise development in the forest products industry will be explored, with each set of data used to clarify and cross-check the validity of the others.  Research also will be multi-site and involve more than one sector and set of institution (Mambula 2004).  For example, we anticipate finding loggers and wood processors operating in areas where the lumber they produce is used for new house construction or for local houses repairs, for both, and for neither use.   

 

Instructional Objectives

 

The instructional goals of the project will be developed primarily through partnership with the Rural Studio, part of the Bachelor of Architecture degree program in the School of Architecture at Auburn University.  Founded by the late AIA Gold Medalist and McArthur Genius Fellow, Samuel Mockbee and colleague D.K. Ruth, both professors in the School of Architecture, the studio was conceived as a way to improve living conditions in rural Alabama while educating architects utilizing the concept of “context-based learning.”  Through the context-based learning model, students are asked to leave the university environment and take up residence in Hale County, Alabama.  In doing so, the student joins a poverty-stricken region and “shares the sweat” with a housing client who lives far below the poverty level.

 

Current directors, Andrew Freear and Bruce Lindsey, have built upon these principles to create works of architecture that have been published around the world while educating over 450 architects whose social conscience is refined by first-hand knowledge of the necessary social, cultural and technological concepts of designing and building. Over 100 houses and community-based projects have been constructed.

 

Working from its most vital ideology, teaching students through context-based learning, that is, actually living in and becoming part of the community and designing and building houses within the community, the Rural Studio has established four main goals:

 

   To give students of the School of Architecture the opportunity to learn the critical skills of planning, designing, and building in a concrete, practical, and socially responsible manner.

 

  To form leadership qualities in students by instilling the social ethics of professionalism, volunteerism, individual responsibility, and community service.

 

  To help communities, through partnerships with the state and local welfare agencies, provide suitable and dignified housing.

 

  To develop materials, methods, and technologies that will house the rural poor in dignity and mitigate the effects of poverty upon rural living conditions.

 

            Working with local landowners who, in many cases, live in substandard housing, creates opportunity for students in the Rural Studio to work with locally produced materials that will cost the owners little or no money.  By working with a renewable resource widely available throughout the South, the work of students at the Rural Studio can create a model for other architecture programs throughout the region. 

 

Objective 5:    Train students to design and construct various types of housing and home renovation  projects that utilize locally-produced construction materials, including both conventional and non-conventional poles and lumber.

 

            Approach:  Materials research has been an important part of the work of the Rural Studio from its inception. Guided by the importance of local and indigenous materials to an appropriate regional architectural character and the need for affordable recycled and sustainable building materials students have conducted research and built demonstration projects using a variety of materials. These have included straw bales, wax impregnated cardboard bales, recycled carpet tiles, surplus tires, among others. Using the materials at hand in an innovative and environmentally sensitive way connects the structure to the place and the people who live there.

 

Due to their unconventional length, size, and shape, forest products produced from small-scale tracts do not easily lend themselves to traditional building assemblies and methods. Developed through a student design team using these products, research will be conducted in designing new innovative building components and assemblies geared to residential scale construction and a non-skilled labor force. Assemblies will be tested and evaluated through physical full-scale prototypes.  We do not foresee any pitfalls.  The Rural Studio is well established and we believe the USDA Forest Service has been an enthusiastic partner on our pilot project effort.

 

Task 5.1:          Research on small and round wood has been ongoing at the Forest Services Forest Products Laboratory in Madison Wisconsin. The Director of Construction and the Clerk-of-Works, both instructors for the Rural Studio, will visit the laboratory and bring back first hand information on the state-of-the-art to the student design team. This will also introduce the architecture students to important research being done in the field of Forestry and building products.

 

Task 5.2           Students would do research with small wood on component connections, building components, and building systems, with small and round wood. The wood will be harvested from small-scale tracts of timber owned by community members in the area of Hale County. The students will participate with other members of the project team in the interaction with the community landowners. The research will be focused on residential applications.

 

Objective 6:    Develop innovative construction and assembly systems using conventional and non-conventional locally produced forest products

 

            Approach:  In the field of architecture the design is the hypothesis and the building is the test. Through an evaluation of the building after construction important quantitative information relating to the economy, performance, and aesthetics of the building can be developed. This information can then be used to refine a design for subsequent iterations.  It is anticipated that the prototype will demonstrate that using resources in hand a landowner will be able to construct a house that is more economical to build and maintain then a traditionally constructed house and at the same time demonstrate a market for their timber resources.  A possible pitfall is that the timber resource will not be available, or will be available at too high a price.  Another possible pitfall is that the technical assistance expected from the USDA Forest Service will not be available.  We do not believe either potential pitfall represents a serious threat for reasons noted above (page 5).

 

Task 6.1:          Using the research developed for small and round wood a single-family house for a specific family will be designed. The design will be developed under the principle that it could be repeated using similar materials and methods available to individual landowners.

 

Task 6.2           In concert with the project team and the identified family the student team will construct a prototype house. The house will demonstrate and test the viability of the materials research.

 

Task 6.3           The prototype house will be evaluated and compared to a traditionally constructed house in the following areas:

                                    a. cost of construction (materials & labor)

                                    b. cost of work related to the site

                                    c. energy costs of the house through a full heating and cooling season

                                    d. maintenance costs

                                    e. aesthetic and artistic merits of the house

 

Objective 7:    Work with colleagues at other architecture programs in the South to create programs similar to the Rural Studio whereby students gain hands-on experience in design and construction for clients of limited means.

 

                        Approach:  Since its inception the Rural Studio has been a model for schools of architecture around the world wishing to include “context based learning” in their architecture curriculum. Bill Carpenter, in a recent issue of Architectural Record magazine, author of Design and Construction in Architectural Education, attributes the increase to over 40 such programs around the country to the influence of the Rural Studio program.

 

Task 7.1:          Identify three schools of architecture in the southeast region which would be receptive to adopting a Rural Studio-like program modeled after the partnership between the architects, foresters, and social scientists being developed at Auburn and present the project. 

 

            Task 7.1 will involve members of this interdisciplinary team as well as NGO partners presenting workshops on our work at schools of architecture in neighboring states.  Since the problems facing small-scale landowners are regional in scope, the solutions to these problems will also need to be at a similar scale.  No other school of architecture has brought together the talents of sociologists, forest managers, agricultural economists, and architecture students to work on linking available timber resources and problems of substandard housing.  In presenting the project to three schools of architecture in the region we hope to not only describe the outcomes of the project but prompt similar partnerships in the region.  We believe this approach offers the greatest opportunity of extending and institutionalizing our work.  The obvious pitfall is that our offer to present workshops will not be well received.  We do not think this likely, based on the influence of the Rural Studio within the field of architecture. 

 

 

                                                                                               

 

 

 

 


References Cited

 

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Bliss, John C.  1993.  Alabama’s Nonindustrial Private Forest Owners: Snapshots from a Family Album.  Alabama Cooperative Extension System,  Auburn University, AL, Circular ANR-788.   20 p.

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Facilities and equipment

 

The Department of Agricultural Economics and Rural Sociology is administered by the College of Agriculture at Auburn University.  The Department  is located in Comer Hall.  Graduate student offices are equipped with computers (three Pentium IV and one Pentium III) and printers purchased through grants and available for students working on this project.  Conner Bailey has available a desktop Pentium III computer and a Pentium IV notebook.  Valentina Hartarska has a Pentium IV computer dedicated to her use.  We also have three Pentium I notebook computers for use in the field (e.g., transcribing field notes), but these are over 10 years old and need to be replaced.  All offices in Comer Hall are connected by fiber optics to the main University computer system.  There are two computer labs in Comer Hall, one operated by the Department and the other by the University.  The Department has two vehicles available for use in field research.

 

The School of Forestry and Wildlife Sciences is located within M. White-Smith Hall.  Graduate offices there also are equipped with computers, printers, and fiber-optic connections.  We have two Pentium IV computers and several notebook computers available to support faculty and graduate students working on this project.  One modern computer lab in M. White-Smith has powerful Sun Workstations equipped for GIS and other data-intensive analysis.  The School has a number of vehicles available for use in field research. 

 

The College of Architecture, Design, and Construction at Auburn is located in Dudley Hall.  Dr. Bruce Lindsey has a Pentium IV computer and access to other resources in the College.  He is also co-Director of the Rural Studio located in Newbern (Hale County) in West Alabama.  The Rural Studio owns two houses and associated structures in Newbern where faculty and students reside.  They also have a large studio and workshop space for design work and meetings.  At any one time there are approximately 25 students working at the Rural Studio.  There are in addition a number of Outreach Fellows and an Outreach Coordinator who work on a variety of community development activities associated with the Rural Studio. 

 

Auburn University=s library resources are the best in Alabama.  The R.B. Draughon library has been designated one of the nation=s 200 Research Libraries and is a repository for federal documents.  Database search capabilities through the library are accessible through the main university system at individual offices.

 


Key Personnel

 

            Dr. Conner Bailey is a rural sociologist who has been working on forestry and rural development in the South over the past 12 years.  He will serve as Project Director responsible for overall project management and direction, including annual reporting and budgetary oversight.  Dr. Bailey has provided similar service to three previous NRI grants under the Rural Development (62.0) program area.  Dr. Bailey will take the lead on research associated with Objectives 1 and 2.

 

            Dr. Mark Dubois is a forester with a joint Extension and research appointment.  Dr. Dubois joined the Auburn faculty in 1994 and has served as co-Principal Investigator on two NRI grants with Dr. Bailey.  He will take the lead on Objective 3.

 

            Dr. Valentina Hartarska is an agricultural economist specializing in micro-enterprise development.  She is working with Drs. Bailey, Dubois, and Lindsey on a pilot project for this proposal funded by the Alabama Agricultural Experiment Station.  Dr. Hartarska will take the lead on Objective 4.

 

            Dr. Bruce Lindsey is an architect and co-Director of the Rural Studio, part of the College of Architecture, Design, and Construction at Auburn University.  He will take the lead on the instructional Objectives 5, 6 and 7.

           


 

 

Collaborative Arrangements

 

The School of Forestry and Wildlife Sciences and the Department of Agricultural Economics and Rural Sociology in the College of Agriculture have worked together collaboratively on three prior NRICGP efforts, two projects funded by the USDA Forest Service, and one current pilot project funded by the Alabama Agricultural Experiment Station..  Dr. Conner Bailey, from the College of Agriculture, is an Adjunct Faculty member of the Center for Forest Sustainability (created as one of Auburn University=s five APeaks of Excellence@) and the Center for Forest Policy, both in the School of Forestry and Wildlife Sciences.

 

Over the past year, the Department of Architecture in the College of Architecture, Design, and Construction has been an active collaborator in a pilot project involving each of the other two units. 

 

For present purposes, we see our proposed project as an extension of a pilot project funded by the Alabama Agricultural Experiment Station.  We append letters of support from the following individuals within the USDA Forest Service relative to their willingness to work with us on the pilot project:

 

Dr. John Schelhas, USDA Forest Service, Auburn, AL

Dr. Bob Rummer,  USDA Forest Service, Auburn, AL

Ms. Susan L. LeVan-Gree, USDA Forest Service, Madison, WI

Ms. Mary Gaines, USDA Forest Service, National Forests of Alabama, Montgomery, AL

 

We believe their willingness to support our efforts has grown stronger over the past year and this evidence of support accurately reflects support they would provide should our proposal be funded.  We would be happy to solicit updated letters of support were this deemed necessary. 

 


Results from Prior NRICGP Support

 

Previous research on the forest products sector in Alabama and the South has laid a broad foundation for this proposed research.  We have benefited enormously from support from the Rural Development (62.0) division of USDA’s NRI program, winning three separate grants:

 

Conner Bailey, John Bliss, Glenn Howze, and Larry Teeter, 1992-1995, ASocial and Economic Correlates of Timber Dependency in Alabama@)

 

Conner Bailey, John Bliss, and Mark Dubois, 1997-2000, ACollaboration for Sustainable Development: Activists, Agents, and Academics in Alabama@

 

Conner Bailey, Peter R. Sinclair, and Mark Dubois.  2000-2003, “Commodity System Analysis of Alabama’s Pulp and Paper Industry”

 

            In each case, most of the funding was devoted to support of graduate students at the M.S. and Ph.D. levels.  Three doctoral dissertations and ten masters theses have been completed.  As of Fall 2004, we have one doctoral student and one masters level student completing their work supported by our most recent NRI grant.  Our doctoral students currently are employed at the University of Arkansas, Purdue University, and with the United Nations Development Programme.  Two our M.S. students went to law school, one works for the USDA Statistical Service, two are working on their doctorates at Auburn and one went to work on her doctorate at Washington State University.  Another M.S. student is working with the Department of Energy in Nevada, and is a systems administrator for the Wisconsin Energy Conservation Corporation, and one currently is Director of Undergraduate Studies in the School of Forestry & Wildlife Sciences at Auburn University. 

 

            Publications from past NRI support can be summarized as follows: 

 

§         2 books in process (one edited) with publication agreements from Penn State University Press and the University Press of Kentucky

§         17 articles published in refereed journals (including 2 in press)

§         1 book chapter (in press)

§         17 other publications

§         5 invited lectures

§         32 papers presented at professional conferences

 

            Beyond these tangible results (theses, dissertations, publications), there are other consequences associated with the work accomplished with NRI support.  The study of social issues related to one of the South’s most powerful industries is fraught with many challenges.  Having external funding of a prestigious nature afforded those working on these projects an important measure of academic freedom and independence from industry challenge. 

 

            Additionally, the work accomplished with NRI support helped legitimize social science contributions to the study of forestry in the South.  Our work has attracted the interest of others, so that over the years we have developed a small group of active social scientists working on the forest products industry.  Collectively, we have raised over $1.2 million in extramural grants and generated an impressive publications record (<http://www.ag.auburn.edu/~cbailey/al.socialforestry.pdf>).  The School of Forestry & Wildlife Sciences has devoted a faculty position to the social sciences, recently hiring an anthropologist to fill a tenure track position. 

 

Publications

 

Books

 

Bailey, Conner, Peter Sinclair, and Mark Dubois.  In prep.  Pulp, Paper, and Power: Commodity Systems and Resource Dependency.  Prospectus accepted by the Rural Studies Series, Penn State University Press for the Rural Sociological Society.

 

McSpirit, Stephanie, Lynne Faltraco, and Conner Bailey.  In prep.  Academics and Activists: Confronting Ecological and Community Crises in Appalachia. Prospectus accepted by University Press of Kentucky. 

 

Refereed Journal Articles (* refers to student)

 

*Robinson, Laura, Mark Dubois, and Conner Bailey.  In press.  County Level Extension Programming:  Continuity and Change in the Alabama Cooperative Extension System. Journal of Extension.

 

*Walton, Bryan and Conner Bailey.  2005.  Framing Wilderness: Populism and Cultural Heritage as Organizing Principles.  Society and Natural Resources 18(2). Forthcoming February 2005.

 

Bailey, Conner, Peter Sinclair, and Mark Dubois.  2004.  Future Forests: Forecasting Social and Ecological Consequences of Genetic Engineering.   Society and Natural Resources 17:641-650.

 

Howze, Glenn, Laura Robinson*, and Joni Fisher Norton*.  2003.  Historical Analysis of Timber Dependency in Alabama.  Southern Rural Sociology 19(2):1-39.

 

McDaniel, J.M., and V. Casanova*.   2003.  Pines in Lines: Tree Planting, H2B Guest Workers, and Rural Poverty in Alabama. Southern Rural Sociology 19(1): 73-96.

 

*Norton, Joni Fisher, Glen Howze, and Laura Robinson.*   2003.  Regional Comparisons of Timber Dependency:  The Northwest and the Southeast.  Southern Rural Sociology 19(2):40-59.

 

Sinclair, Peter, Conner Bailey, and Mark Dubois.  2003.  Engineer and a Dog: Systemic Changes in  Alabama’s Pulp and Paper Industry.  Southern Rural Sociology 19(2):70-93.

 

*Toms, C. W., M. R. Dubois, J. C. Bliss, J. H. Wilhoit, and R. B. Rummer. 2001. A Survey of Animal-Powered Logging in Alabama.  Southern Journal of Applied Forestry 25(1):17-24.

 

*Joshi, Mahendra L., John C. Bliss, Conner Bailey, Larry J. Teeter, and Keith J. Ward. 2000.  Investing in Industry, Under-Investing in Human Capital: Forest-Based Rural Development in Alabama. Society & Natural Resources 13 (5):291-319.

 

Bliss, John C., Tamara Walkingstick,* and Conner Bailey.  1998.  Sustaining Alabama=s Forest Communities: Development or Dependency?  Journal of Forestry 96(3):24-31.

 

Bliss, John C., Mary L. Sisock,* and Thomas W. Birch.  1998.  Ownership Matters: Forestland Concentration in Rural Alabama.  Society and Natural Resources 11:401-410.

 

Zhang, Daowei, Sarah Warren, and Conner Bailey.  1998.  The Role of Assistance Foresters in Nonindustrial Private Forest Management: Alabama Landowners’ Perspectives.  Southern Journal of Applied Forestry 22(2):101-105.

 

Zekeri, Andrew.  1997.  Community Action in Alabama’s Black Belt Timber-Dependent Communities.  Social Indicators Research 39:203-228.

 

Bliss, John C., Sunil K. Nepal,* Robert T. Brooks, Jr., and Max D. Larsen. 1997. In the mainstream: Environmental attitudes of Mid-south NIPF owners. Southern Journal of Applied Forestry 21(1): 37-42.

 

Bailey, Conner, Peter Sinclair, John Bliss and Karni Perez.  1996.  Segmented Labor Markets in Alabama’s Pulp and Paper Industry.  Rural Sociology 61(3):474-495.

 

Bliss, John C., Sunil K. Nepal,* Robert T. Brooks, Jr., and Max D. Larsen. 1994. Forestry Community or Granfalloon?  Journal of Forestry 92(9): 6-10.

 

Bliss, John C., and Warren A. Flick. 1994. With a saw and a truck: Alabama pulpwood producers. Journal of Forest and Conservation History 38(2): 79-89.

 

Book Chapter

 

Bliss, John and Conner Bailey.  In press.  Pulp, Paper, and Poverty: Forest-based Rural Development in Alabama, 1950-2000.  In, Robert Lee, Don Field, and William Burch (eds.), Community and Forestry.  Corvallis, OR:  Oregon State University Press.  Forthcoming Spring 2005.

 

Other Publications

 

McDaniel, J.M., and V. Casanova*. 2004. Guest Worker Programs and Forest Management in the South. Forest Landowner.  In Press.

 

McDaniel, J.M., and V. Casanova*. 2004.  Profiles of H-2B Forest Workers.  Forest Landowner. In Press.

 

 

Bailey, Conner, Peter Sinclair, and Mark Dubois.  2002.  Forecasting Social and Economic Consequences of Genetic Engineering in Forestry: Focus on the South.  Southeastern Biology 49(3):286-287.

 

Bailey, Conner.  2002.   Biocomplexity, Forestry, and Resource Dependency.  Pp. 74-95 in Mahmoud El-Halwagi, Jonathan Hall, Upton Hatch, Dennis Block, and Erin Geiger (eds.), Proceedings of the International Conference on The Fiber Industry and Environmental Biocomplexity.  Auburn University, January 2002.  Auburn:  Auburn University Environmental Institute.

 

Bailey, Conner and Christopher Newland.  2002.  Toxics, Environmental Justice, and Alabama’s Pulp and Paper Industry.  Pp. 318-334 in Mahmoud El-Halwagi, Jonathan Hall, Upton Hatch, Dennis Block, and Erin Geiger (eds.), Proceedings of the International Conference on The Fiber Industry and Environmental Biocomplexity.  Auburn University, January 2002.  Auburn:  Auburn University Environmental Institute.

 

Bailey, Conner, Bryan Walton*, Lani Merritt*, and Mark Dubois.  2000.  Green groups as clients; opportunities for ACES.   Action; Public Issue Information for Alabama Citizens.  Spring 2000.  Auburn:  Alabama Cooperative Extension System.  4 page newsletter.

 

Dubois, M.R., C. Fowler, S. Loveland, M. Lloyd, G. Brocious, K. Wills, and the Alabama Forestry Association.  1998.  Sustainable forests: Key to your Future!  Alabama Sustainable Forestry Initiative Implementation Committee. Montgomery, Alabama.  16 p.

§         Received the Award for Excellence of the Southern Extension Forest Resource Specialists for exceptional programming in the area of Extension Publication or Series -1999.

 

*Toms, C.W., M.R. Dubois, and J.C. Bliss.  1998.  Horse and mule logging in Alabama. Alabama's TREASURED Forests, 17(2):18-19.

 

*Joshi, Mahendra, John Bliss, and Conner Bailey.  1998.  Pulp Mills and Public Schools: The Tax Abatement Connection.  Highlights of Agricultural Research 45(3):23-24.

 

Dubois, Mark R., Richard Brinker, Bob Lanford, John Bliss and Robert Rummer.  1997.  Alabama Forest Resources Today - A Satellite Videoconference.”  The satellite videoconference program was on “Horse & Mule Logging in Alabama.”  April 19, 1997. 

§         The conference was viewed live in 7 Alabama locations and 9 other locations in 7 other states.  Seventy-three (75) requests for videotapes of the program have been received from Alabama and 29 other states and 5 foreign countries. 

§         This program received the Award for Excellence of the Southern Extension Forest Resource Specialists for exceptional programming in the area of Mass Media - Video, April 29, 1998.

 

Dubois, Mark R. and Kenneth McNabb.  1997.  “Multiple-Use Forestry for Nonindustrial Private Forest Owners”, a video for nonindustrial private forest owners and natural resource managers covering the topic of planning and implementing multiple use management.

§         Received the Outstanding Forestry Communications Award for Best Video – 1997, presented by the National Woodland Owners Association and the U.S. Department of Agriculture, CSREES in recognition of excellence in technology transfer promoting good forestry and renewable resource management, October 4, 1997

 

Perez, Karni. R.  1997.  Timber Dependency in Alabama and the Southeast: An Annotated Bibliography.  Circular 319, September 1997.  Auburn: Alabama Agricultural Experiment Station.

 

Zhang, Daowei, Sarah Warren, and Conner Bailey 1997. The Role of Assistance Foresters in Nonindustrial Private Forest  Management. In D. Kluender (ed.) Proceedings of the 27th Southern Forest Economics Workshop: Valuing  Non-timber Forest Resources: Timber Primacy Is Passed. March 19-21. Little Rock, AR.

 

Bailey, Conner, Kelly Alley, Charles E. Faupel and Cathy Solheim.  1993.  "Grassroots Environmentalism in Alabama."  Proceedings, Non-Industrial Private Forests in the 1990s.  Auburn University, 11-12 May 1993.  pp. 31-38.

 

Bliss, John C., Conner Bailey, Glenn R. Howze, and Lawrence Teeter.  1993.  Timber Dependency in the American South.  SCFER Working Paper No. 74.  Research Triangle Park, N.C.:  Southeastern Center for Forest Economics Research.  19 p.

 

Bliss, John, Glenn Howze, Lawrence Teeter, and Conner Bailey.  1993.  Forestry and Poverty in Alabama’s Black Belt.  Pp. 221-227 in Policy and Forestry: Design, Evaluation, and Spillovers: Proceedings of the 1993 Southern Forest Economics Workshop.  Duke University, Durham, North Carolina.  April 1993.

 

Bliss, John and Glenn Howze.  1993.  From Cotton Plantation to Pine Plantation: Forest Dependence in Alabama’s Black Belt. Pp. 61-68 in Proceedings of a Preconference of the 50%h Annual Professional Agricultural Workers Conference, Focus on Black Belt Counties: Life Conditions and Opportunities.  Tuskegee: Tuskegee University and the Southern Rural Development Center.

 

Doctoral Dissertations

 

Brousard, Shorna.  2000.  Sustainability, Awareness and Commitment: Examining Natural Resource Extension Programs in the United States.  Ph.D., College of Forestry, Oregon State University.  (Began work at Auburn under NRI grant and moved to OSU when John Bliss took a faculty position there.)  Chair:  John Bliss.

 

Joshi, Mahendra Lal.  1997.  Industrial Recruitment Policy and Rural Development: A Case Study of Pulp and Paper Industry in Alabama.  Doctoral dissertation in Forestry.  Co-Chairs:  John Bliss and Conner Bailey.

 

Walkingstick, Tamara Lynne.  1996.  Pulpwood, Dinettes, and Double-wides : Comparative Case Studies of Forest Dependency in Alabama.  Doctoral dissertation in Forestry.  Co-Chairs:  John Bliss and Conner Bailey.

 

Masters Theses

 

Casanova, Vanessa.  2003.  An Examination of the Participation of Guest Workers in Alabama's Forest Industry.  MS thesis in Rural Sociology.  Fall 2003. Co-Chairs: Conner Bailey and Josh McDaniel.

 

Crim, Sarah Day.  2003.  Characterization of Underserved Forest Landowners in Rural Alabama.  MS thesis in Forestry.  Spring 2003.  Co-Chairs: Mark Dubois and Conner Bailey.

 

Lupo, Crystal Victoria.  2003.  Labor Market Change and Occupational Community Among Blue Collar Mill Workers in Alabama’s Pulp and Paper Industry.  MS thesis in Rural Sociology.  Spring 2003.  Chair: Conner Bailey.

 

Thomas, Shanna Michael.  2003.  Paper and Water: Case Studies on how Alabama’s Pulp and Paper Industry Influences Water Resources Policy.  MS thesis in Rural Sociology.  Spring 2003.  Chair:  Conner Bailey.

 

Norton, Joni Fisher.  2001.  Social Capital, Economic Diversity and Timber Dependency in Rural West Alabama.  MS thesis in Rural Sociology.  Fall 2001.  Chair: Conner Bailey.

 

Robinson, Laura Jeanette.  2001.  Examination of the Alabama Cooperative Extension System=s County Level Programming.  MS thesis in Rural Sociology.  Fall 2001.  Co-Chairs: Mark Dubois and Conner Bailey.

 

Walton, Bryan Keith.  1999.  Re-Wilding Alabama: Framing Wilderness as Cultural Heritage and Populism in the Activism of the Alabama Wilderness Alliance, Wild Alabama, and WildLaw.  MS thesis in Rural Sociology.  Fall 1999.  Chair: Conner Bailey.

 

Dawson, William David.  1998.  Timber Dependency and Persistent Poverty : Examination from the Theoretical Perspectives of Human Capital and Community Power.  MS thesis in Rural Sociology.  Spring 1998.  Chair: Glenn Howze.

 

Hutchens, Laura Melissa Briggs.  1998.  Women, Forest Dependency and Community in Rural Alabama:  A Case Study.  MS thesis in Rural Sociology.  Winter 1998.  Chair: Conner Bailey.

 

Sisock, Mary L.  1998.  Unequal Shares: Forest Land Concentration and Well-Being in Rural Alabama.  MS thesis in Forestry.  Spring 1998. Co-Chairs: John Bliss and Conner Bailey.

 

 

Invited papers and lectures

 

Bailey, Conner.  2003.  Can't see the People for the Trees:  Poverty and Forestry in Rural Alabama.  USDA Forest Service, Athens, Georgia.  April 2003.

 

Bailey, Conner.  2002.  Human Ecology of the Pulp and Paper Industry: Focus on the South.  Strategy meeting of The Paper Campaign (ForestEthics and Dogwood Alliance, among other groups).  Petaluma, California.  November 2002.

 

Bailey, Conner and Mark Dubois.  2003.  Genetic Engineering in Forestry: Forecasting Social and Ecological Consequences in the South.  Auburn University Environmental Institute.  Spring 2003.

 

Bailey, Conner.  2002.  Social and Economic Implications of Forest Biotechnology.  Symposium on Environmental Perspectives of Biotechnology in Forestry Systems, Association of Southeastern Biology, Boone, North Carolina, April 2002.

 

Bailey, Conner.  2001.  Biotech Branches Out: A Look at the Opportunities and Impacts of Forest Biotechnology.  Pew Initiative on Food and Biotechnology, the Society of American Foresters, and the Ecological Society of America.  Atlanta, December 2001.

 

Papers presented at professional meetings, 1992-2004 (*denotes a student)

 

Bailey, Conner, Mark Dubois, Arnold Brodbeck and Reintje Tuinstra.   2004.  Matching Local Resources to Local Needs:  Forestry and Community Development in Alabama’s Black Belt.  Paper presented at the 2004 meetings of the Rural Sociological Society, Sacramento, California, August. 

 

Bailey, Conner, Christopher Newland, and Patrick Carter-North.  2004.  Impact of the EPA’s Cluster Rules on Public Health:  The Case of Alabama’ Pulp and Paper Industry.  Paper presented at the 2004 meetings of the Rural Sociological Society, Sacramento, California, August. 

 

*Carter-North, J. Patrick.  2004.  A Stakeholder Analysis of the Upper Cahaba and Upper Black Warrior Watersheds:  An Exploratory Assessment of Perspectives, Concerns, and Interests.  Alabama Water Resources Conference, Perdido Beach.  September 2004.

 

Bailey, Conner, Peter Sinclair, and Mark Dubois.  2003.  Pushing Paper: Market Demand and Market-Based Environmentalism.  Paper presented at the 2003 meetings of the Rural Sociological Society.  Montreal.  July 2003.

 

*Crim, Sarah, Mark Dubois, and Conner Bailey.  2003.  Underserved Forestland Owners in a Rural Landscape: A Case Study of Three Alabama Counties.  Paper presented at the 2003 meetings of the Rural Sociological Society.  Montreal.  July 2003.

 

*Casanova, Vanessa.  2003.  A Theoretical Analysis of the Participation of Guest Workers in Alabama=s Forest Industry.  Paper presented at the 2003 meetings of the Rural Sociological Society.  Montreal.  July 2003.

 

*Norton, Joni Fisher and Conner Bailey.  2003.  Social Capital, Economic Diversity, and Timber Dependency in Rural West Alabama.  Paper presented at the 2003 meetings of the Rural Sociological Society.  Montreal.  July 2003.

 

*Crim, Sarah, Mark Dubois, Conner Bailey, and John Schelhas.  2003.  Female Forest Landowners.  Southern Forest Economics Workers Conference, New Orleans.  April 2003.

 

McDaniel, J.M., and V. Casanova*.  2002. Tree Planting and H2B Guest Workers: Assessing the Impact of Labor Recruitment on Local Labor Markets in Rural Alabama.  Rural Sociological Society.   Chicago, IL. August, 2002.

 

McDaniel, J.M., and V. Casanova*.  2002.  Migrant Workers and Forest Industries in Alabama: Social      Networks and Economic Restructuring. Latinos in the South Symposium.  Southern Rural      Development Center, Atlanta, GA, April 2002.

 

Bailey, Conner, Mark Dubois, and Peter Sinclair.  2002.  Social Implications of Biotechnology in the Forestry Sector.  Paper presented at the 2002 meetings of the Rural Sociological Society, Chicago, Illinois.  August 2002.

 

*Crim, Sarah, Mark Dubois, and Conner Bailey.  2002.  Characterization of Underserved Forest Landowners in Rural America.  Paper presented at the 2002 meetings of the Rural Sociological Society, Chicago, Illinois.  August 2002.

 

*Robinson, Laura, Kent Reid, Mark Dubois, Conner Bailey, and John Dunkelberger.  2002.  Community Awareness Campaigns for Tiber and Non-Timber Resources in Rural Romanian Villages.  Paper presented at the 2002 meetings of the Rural Sociological Society, Chicago, Illinois.  August 2002.

 

Bailey, Conner and Mark Dubois.  2002.  Social Implications of Biotechnology in the Forestry Sector.  Paper presented at the 2002 meetings of the Southern Rural Sociological Association, Ft. Worth, Texas, February 2002.

 

Bailey, Conner and Christopher Newland.  2002.  Toxics, Environmental Justice, and Alabama's Pulp and Paper Industry.  Paper presented at the International Conference on the Fiber Industry and Biocomplexity.  Auburn University, January 2002.

 

Sinclair, Peter, Conner Bailey, and Mark Dubois.  2001.  One Engineer and a Dog: Systemic Changes in Alabama’s Pulp and Paper Industry.  Paper presented at the 2001 meetings of the Rural Sociological Society, Albuquerque, New Mexico, August 2001.

 

Bailey, Conner, Christopher Newland, and Shanna Thomas*.  2001.  Toxics, Environmental Justice, and the South’s Pulp and Paper Industry.  Paper presented at the 2001 meetings of the Southern Rural Sociological Association, Ft. Worth, Texas, January 2001.

 

Bailey, Conner and Christopher Newland.  2000.  Toxics, Environmental Justice, and Alabama's Pulp and Paper Industry.  Paper presented at the 2000 meetings of the Rural Sociological Society, Washington, D.C., August 2000.

 

Bailey, Conner, Mark Dubois, Erika Johnson*, and Chris Newland.  1999.  Land, Air, and Water: Ecological and Public Health Issues Associated with the Pulp and Paper Industry in Alabama.  Paper presented at the 1999 meetings of the Southern Rural Sociological Association, Memphis, February 1999.

 

Bailey, Conner, Mark Dubois, and Ben Cashore.  1999.  Environmental Impact and Regulation of Alabama’s Forest Products Industry.  Paper presented at the 1999 meetings of the Rural Sociological Society, Chicago, August 1999.

 

Bailey, Conner, Bryan Walton*, and Lani Merritt*.  1999.  In Defense of Nature: Citizen Activism and Natural Resource Management in Alabama.  Paper presented at the 1999 meetings of the Rural Sociological Society, Chicago, August 1999.

 

Bailey, Conner, Peter Sinclair, and John Bliss.  1998.  Commodity Chain Analysis of Alabama’s Pulp and Paper Industry.  Rural Sociological Society, Portland, Oregon.  August, 1998.

 

*Sisock, Mary, John Bliss, Conner Bailey, and Greg Somers.  1998.  Unequal Shares: Forest Land Concentration and Well-Being in Rural Alabama.  Rural Sociological Society, Portland, Oregon. August 1998.

 

Bailey, Conner and John C. Bliss.  1997.  Collaboration for Sustainable Development: Activists, Agents, and Academics in Alabama.  Deep South Environmental Conference, Auburn University Environmental Institute.

 

Bailey, Conner, John Bliss, Glenn Howze and Larry Teeter.  1996.  Rural Development and Timber Dependency in Alabama.  Paper presented at the 1996 meetings of the Rural Sociological Society, August 1996, Ames, Iowa.

 

Bailey, Conner, Peter Sinclair, John Bliss and Karni Perez.  1995.  Segmented Labor Markets in Alabama=s Forest Products Industry. Paper presented at the 1995 meetings of the Rural Sociological Society, August 1995, Washington, D.C.

 

Perez, Karni, Conner Bailey and John Bliss.  1995.  Race and Unions in Alabama’s Forest Products Industry.  Paper presented at the 1995 meetings of the Society for Agriculture and Human Values, June 1995, Tuskegee University.

 

Bailey, Conner, Peter Sinclair, and John Bliss.  1994.  "Woods Work and Mill Work:  Segemented Labor Markets in Alabama's Pulp and Paper Industry."  Paper presented at a conference on Forestry and the Environment:  Economic Perspectives, Banff, Alberta, Canada, October 1994.

 

Howze, Glenn, Conner Bailey and John Bliss.  1994.  "The Development of Timber Dependency:  An Analysis of Historical Changes in the Demographic, Social, Economic and Agricultural Profiles of Timber Dependent Counties in Alabama."  Paper presented at the 1994 meetings of the Rural Sociological Society, Portland, Oregon.

 

Teeter, Lawrence, John Bliss, Glenn Howze and Conner Bailey.  1994.  "Using GIS to Study Resource Dependency in the Rural South."  Paper presented at The Fifth International Symposium on Society and Resource Management, Fort Collins, Colorado, June 1994.

 

Bailey, Conner, John Bliss, Glenn Howze, and Larry Teeter.  1993.  Dependency Theory and Timber Dependency.  Rural Sociological Society, Orlando, Florida, August 1993.

 

Bliss, John, Conner Bailey, Glenn Howze and Larry Teeter.  1992.  "Timber Dependency in the American South."  8th World Congress for Rural Sociology, Penn State University, August 19

 

 



[1]    The USDA Forest Service only recently has started to publish data on landownership, and these are the only states for which such data are available at present.  

 

[2]  The Economic Research Service (n.d.) of the USDA uses a standard of 15% for farming and mining dependency and 25% for manufacturing dependency.   The forest products sector shares attributes of all three activities and we have chosen the figure 20% accordingly.  Employment figures will be based on the following North American Industrial Code System (NAICS) sectors:  Forestry and Logging (113), Support Activities for Forestry (1153), Wood Manufacturing (321), and Paper Manufacturing (322).