70528 P OV E R T Y- F O R E ST S L I N K AG E S TO O LKIT OVERVIEW AND NATIONAL L E V E L E N G AG E M E N T The Two parTs of The profor poverTy-foresTs Linkages TooLkiT The toolkit provides a framework, fieldwork methods and analytic tools to understand and communicate the contribution of forests to the incomes of rural households. It is presented in two parts. parT 1 ThE NATIONAL LEVEL Purpose: Part 1 discusses and guides the networking and research that is needed at national level to understand and communicate the contribution of forest products to rural livelihoods. Users: Part 1 is intended for the researchers, government officials, staff of national or international NGOs, or consultants who are involved in taking responsibility for the use of the Poverty-Forests Linkag- es Toolkit at national and local levels. Part 1 also provides the necessary foundation for building relation- ships and buy-in from decision makers in the audiences described above. Content: Part 1 provides information on the overall use of the toolkit, an overview of Poverty Reduc- tion Strategies and national forest programs, advice on how to link with key policy makers and officials, and guidance on how to make sure the toolkit fits appropriately into both the country’s general poverty reduction process and into the forest sector’s commitments and interests. It also suggests means of communicating the findings of Part 2 effectively at district and national levels. parT 2 ThE FIELD MANuAL Purpose: Part 2 gives detailed guidance on carrying out fieldwork at village-level to assess the contribu- tion of forest products to rural livelihoods. Users: Part 2 is aimed at the groups gathering data in the field - NGOs, CSOs and local-level officials. It is adapted to local capacity and assumes that members of this audience will need initial training in the use of the toolkit in the field, but that they would be able to manage the process alone on a subsequent occasion. Content: Part 2 gives suggestions for site selection, pre-field planning and organization of the field vis- its. It goes on to describe the field tools, with instructions for their use, providing all the charts needed together with examples illustrating the data they generate. There are full explanations of the purpose of each tool, the materials needed for each, and problems to look out for. The language and explanations have been made as simple and clear as possible. Part 2 is designed so that it can be used as a free-standing manual for use in the field. P OV E R T Y- F O R E ST S L I N K AG E S TO O LKIT OVERVIEW AND NATIONAL L E V E L E N G AG E M E N T Preface iii Building interest in the toolkit 18 How to make sure the toolkit fits 19 Section 1: An overview of the Poverty-Forests appropriately into both the country’s general Linkages Toolkit poverty reduction process and into the forest sector’s commitments and interests Introduction 1 Checklist of information to collect at the 20 Poverty reduction and the potential 1 national level prior to fieldwork contribution of forests What is the problem to which the toolkit 3 is the solution? Section 3: Preparing and presenting data for different audiences Who are the target audiences for results 4 generated by the toolkit? Reporting to the District and Provincial Levels 23 Other audiences 4 Reporting to the National Level 26 Who are the users of the toolkit? 4 How the Poverty-Forests Linkages Toolkit 6 Annex 1: Status of PRSPs (as of 37 can be used August 2008), with nfp status and World Bank Country Income Classification What the Poverty-Forests Linkages Toolkit 6 can be used to deliver Annex 2: Further reading on forests 40 and poverty Section 2: National Level Engagement and Analysis Introduction 9 Annex 3: Spreadsheet Template used 41 The Poverty Reduction Strategy Process 9 to Provide National Overview, and The forest sector and national forest programs 10 Worked Example from Uganda Preliminary national level tasks for toolkit users 12 Understanding the interfaces between levels 16 Acronyms inside back cover of authority PREfAcE AND AcKNOWLEDGMENTS Over the past few years there has been a growing interest knowledge base from field work and research efforts on in the role that forests play in supporting the poor, in the different ways in which forests benefit the poor. The reducing their vulnerability to economic and environ- objective of the partnership was four-fold: first, to devise mental shocks, and in reducing poverty itself. Interna- a rapid methodology for appraising forest-livelihood tional workshops in Italy, Scotland, Finland and Germany linkages from field exercises; second, to undertake more have focused on the contribution of forests to livelihoods extended research through a series of case studies in six and the policies needed to strengthen that contribution. countries; and third, and most importantly, the objective More recently, in late 2006, FAO, ITTO and other part- was to devise ways by which locally gathered data could ners held a major conference on the subject in Vietnam. enrich national level and in due course national level However, this debate has remained largely among forestry processes such as PRSPs (Poverty Reduction Strategy professionals, and the case for the contribution that forests Processes) and nfps (national forest programs). make toward poverty reduction is yet to be convinc- ingly made to policy makers concerned with poverty in Finally, the availability of this data would better equip key Ministries such as Ministries of Finance, Planning countries for international country reporting on forests, or Local Government, or in the supra-ministerial bodies and for participation in the international dialogue where Poverty Reduction Strategy (PRS) processes are on forests. often located. The role of forests in poverty reduction has not so far been reflected in any significant way in This toolkit is the key product from the partnership. national level strategy. It has been tested in Indonesia, Tanzania, Cameroon, Ghana, Madagascar and Uganda, with the help of exter- At the same time, Forestry Ministries, though they are nal agencies. now beginning to feel challenged to demonstrate the ways in which forests contribute to poverty reduction, It is also worth noting that as the toolkit methodology are for the most part moving only slowly to collect new is directed at strengthening the ‘voice of the poor’ in kinds of data to meet this challenge. Their previous expe- national policy debates it has relevance to other policy rience of data collection has not prepared them for this. processes beyond poverty reduction. One example would be the emerging attention being given to the role In May 2004, IUCN, ODI, CIFOR, PROFOR and of forests in national climate change policy. The need to Winrock International formed a working group part- inform and enrich policy development with the expe- nership to consolidate and build upon the growing riences of the rural poor is as much needed to secure 1 “The Role of Forestry in Poverty Alleviation� Cortevecchia, Italy, September 2001; “Forests and Poverty Reduction: How can development, research and training agencies help� Edinburgh, U.K., June 2002; “Forests in Poverty Reduction Strategies: Capturing the Potential� Tuusula, Finland, October 2002; “Rural Livelihoods, Forests and Biodiversity� Bonn, Germany, May 2003. International Conference on ‘Managing Forests for Poverty Reduction’ Ho Chi Minh City,Vietnam October 2006. FAO, ITTO, TFT, RECOFTC, WWF, SNV, Asia-Pacific Forestry Commission. sustainable policy positions around climate change as Tanzania for PROFOR with Devona Bell (Winrock) in it is for wealth generation and poverty reduction. The 2006. She again revised both parts of the Toolkit after the focus in this document on Poverty Reduction Strategy completion of the test, and this version was circulated for Papers could therefore be replaced by other statements of extensive in-house review within the World Bank. A final national policy. revision incorporating comments and suggestions from reviewers was completed in late 2006. The text was then In the development of methodology for the appraisal of ready for external reviewers. forest-livelihood linkages in the six extended country case studies, we would like to recognize the contributions We thank Carolyn Peach Brown for her critical review of of the following people: from Winrock International in the draft chapters, and our dedicated colleagues at the World Guinea—Chris Kopp and Boubacar Thiam; Nepal—Erin Bank, Jill Blockhus, Laura Ivers, Grant Milne, and Moeko Hughes and Shyam Upadhyaya, Tanzania—Devona Bell; Saito, for their support, inspiration and contribution. from CIFOR in India—Deep Pandey and Brian Belcher; from ODI in Indonesia—Gill Shepherd, Adrian Wells, After the case studies were completed, a multi-country and Martin Kayoi; from IUCN in Lao PDR—Andrew W. team evaluated and developed the toolkit further in four Ingles, Sounthone Kethpanh, Andy, S. Inglis, and Kham- countries: Cameroon, Ghana, Madagascar and Uganda phay Manivong; and R.J. Fisher and Ed Barrow. between February 2007 and July 2008. This development phase of the toolkit was managed by Sonja Vermeulen Special thanks go to Gill Shepherd (ODI/IUCN) for of IIED, Des Mahony and Sarah French of the Centre first developing the Toolkit as a way of gathering data for International Development and Training (CIDT) on the overall links between poverty reduction, liveli- and Neil Bird of ODI. The team leaders in the four hoods and forests. She led its initial testing in Papua, countries, who led the testing and evaluation activities, Indonesia for DFID with Adrian Wells and the Pro- were: Cornelius Kazoora of the Sustainable Develop- vincial Forestry Department (in highland, lowland and ment Centre, Uganda, Rakotomamonjy Rasamoelina of mangrove sites) in 2004, the findings being used by the FONIALA, Madagascar, Elijah Danso of Environment Provincial Chief to make policy arguments at national and Development in Ghana, and Camille Jepang from the level. Following redrafting, she re-tested both parts in IUCN regional office in Cameroon. 1 s ec t I o n one AN OVERVIEW Of ThE POVERTy- fORESTS LINKAGES TOOLKIT IntroductIon There are two main reasons why the role of forests in poverty reduction has not so far been reflected in any significant way in either national level Poverty Reduction Strategy (PRS) processes or in national forest programs (nfps). sold) rather than livelihoods, with the sole exception of recording the number of people formally employed in the forest sector. Such reporting sheds no light on the contributions made by forests to the lives of the poor. Poverty reductIon and the PotentIal contrIbutIon of forests First, most countries have little data available to illus- Ways of conceiving and measuring poverty have evolved trate how forests contribute to the livelihoods of poor over time, as the chart below shows, from the use of a purely households. Second, the data that does exist rarely gets dollar-based approach to attempts to capture the voices of presented in ways that are meaningful to those designing the poor themselves in their experience of poverty. PRSPs and nfps. On the poverty side, there is a tendency to underestimate the contribution of forests, and off- Poverty has often been defined as having insufficient farm natural resources in general, to livelihoods. On the material (income, food), or other resources (health, forestry side, reporting is typically in terms of the physical education) to maintain an adequate standard of living. resource (trees planted, forest cover improved, timber More recently it has been broadened to recognize the Can the contribution of for- THE EVOLUTION OF THE POVERTY CONCEPT ests be identified this way? From clear-cut 1945-1960s Monetary income/consumption Yes objective measures National income stats + household income surveys 1970s-1980s Basic needs and poverty alleviation. Yes Nutrition, food security, health, education to ‘softer’ measures 1990s Non-monetary income/consumption Yes which reflect non-income More effort to ensure that goods not entering the marketplace are aspects of poverty, and also taken account of in assessing poverty. the views of the poor. 1990s-2000 Empowerment, security, control of resources. Yes if resources are Poverty reduction may come in part through better governance, allocated in a pro-poor way. and devolution. Resource control gives greater security, reduces vulnerability. But these decrease formal measurability, and 2001 Poverty is seen (by Amartya Sen) as ‘capability deprivation’. Unclear what this means for comparability. Poverty reduction is, in part, access to more freedom of choice. forests. Parts of this table are drawn from data in Arild Angelsen and Sven Wunder 2003, ‘Exploring the Forest-Poverty Link: key concepts, issues and research implications’. CIFOR Occasional Paper no 40. 2 overvI eW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t importance to the poor of assets (natural, physical, finan- poorer households often depend on the forest for a larger cial, human, and social) with which to generate or sustain proportion of their overall livelihoods. They supplement an adequate livelihood, and of the empowering arrange- returns from their more limited land, wealth in animals, ments that allow them, if they are in place, to convert and pool of labor with forest income, and while the amount those assets to livelihood improvements. of income obtained from forest products may be small, as a proportion of overall annual cash and non-cash income, it Research in recent years has shown that the poor are is often significant. Forest product-gathering activities can more vulnerable, more exposed to risk, and have to make be particularly important to women because many activi- a living from more diverse resources than the less poor. It ties can be combined with household tasks, require no has shown that the poor may not have the power or con- capital start-up costs, and generate cash which women can fidence to express the need for change—or a platform allocate to ends not prioritized by their husbands. for the purpose. Research to illuminate the situations of the moderately poor (the just-poor) and of the very poor Finally, and least well understood, is the role that forests (the chronic poor who inherit and bequeath poverty) play in reducing long-term poverty and in helping has been important. And so has work that illuminates the people to escape from poverty. Some researchers have poverty differences dictated by age, gender, ethnicity, class investigated this topic in a rather narrow way, and if or caste and other culturally specific variables. they cannot find forest products which directly and in short order lift their gatherers out of poverty, assume Applying this improved understanding of poverty to the that forests have little role to play in real poverty reduc- role that forests can play has been pioneered in studies tion. In many cases, timber sales constitute the only item by several of the institutions in the PROFOR Working taken into consideration. We suggest that forests help Group2. These studies all suggest that despite the com- to move the chronically poor to the occasionally poor, mon (but by no means universal) trend in many countries and the poor to the less poor, but over more than one for natural forest cover to decline over time, supplies from generation. We have seen how women use forest NTFPs forests continue to be very important to rural people. to generate cash for school fees and school uniforms They are valued for a wide range of current consumption for their primary school children; and how fathers sell needs and for small regular sources of cash. These values timber, or cattle (fed on forest browse) to send those increase in times of difficulty such as when rains fail, or children on to secondary school. The forest also has when productive members of the household fall ill or die. a role in helping part-families survive tough times at They are also important in helping to even out seasonal home while key household members build a bridge- fluctuations in food availability, or for portions of the year head as labor migrants to urban opportunity, or to more when some household members are absent as seasonal money to invest in the farm. These examples show how migrants. They are especially important in remote areas, strategies for escaping poverty are often constructed at a further from markets and roads, where income-genera- household, rather than an individual level. tion and laboring opportunities are more limited. A recent meta-analysis of fifty-four primary studies of Although wealthier rural households within a commu- rural livelihoods in and near forests3 broadly suggests, nity may be greater users of forest products by volume, while it was not a statistically representative sample, that 2 Recommendations for further reading on forests and poverty can be found in Annex 2. 3 Vedeld et al, 2004. ‘Counting on the Environment’. World Bank ENV Paper no 98. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 3 forest income represents approximately 20% of total and Michael Arnold (1997) cite a range of possible fig- annual cash and non-cash income of households in such ures, up to a billion, a figure that does not look too high places. It further suggests that about half of this forest in the light of the other two. 6 income appears as cash, and that forest incomes have a strong equalizing effect. What Is the Problem to WhIch the toolKIt Is the solutIon? The role of forests in poverty reduction requires some definition of what is counted as a forest-based contribu- The adoption of the Millennium Development Goals, tion to livelihoods. Following CIFOR’s PEN (Poverty including the International Development Target of halv- Environment Network) guidelines,4 we define forest ing global poverty by the year 2015, has impacted on products as anything collected from a forest, or from trees. national development strategies and the funding priorities These include timber and non-timber forest products, of multilateral and bilateral agencies. Poverty reduction whether tree, plant or animal-based. as the primary objective of development has required that all sectors, including forestry, are able to articulate their Some stakeholders still live in heavily forested landscapes, contribution to poverty reduction. while many others live in predominantly agricultural or rangeland landscapes with fewer trees. Since such trees Poverty Reduction Strategies Papers (PRSPs)7 have nevertheless remain important, we have accepted a wide become the main mechanism for governments in many definition of ‘forest’ for the purpose of this exercise. least developed countries to define their budget and policy priorities, and to gain access to concessional IDA Finally, we have limited our consideration to stakehold- (International Development Association) loans to help ers5 directly reliant on forest contributions to their meet these priorities. incomes of one sort or another—people who live near to forests, and for the most part gather the forest products In the initial PRSPs and interim-PRSPs, although simple they need, rather than buying them. mention of forests was made in 30 out of 36 assessed by the World Bank researcher Jan Bojö,8 there was almost This poses the question of how many such people are no analysis of the contribution of forests to rural liveli- there in the developing world? Estimates vary widely, but hoods, nor of the measures required to capture or expand there are certainly many hundreds of millions of them. their potential.Very few, if any, links were made between Various people have tried to make informed estimates. PRSPs and country nfps (national forest programs). While O J Lynch and K Talbott (1995) suggest 500-600 million full PRSPs were on the whole better than earlier versions in the Asia and Pacific region. David Kaimowitz (2003) in mentioning the importance of forests, methods for estimated ‘hundreds of millions’ just in Africa. Neil Byron capturing this information remained unelaborated. 4 See http://www.cifor.cgiar.org/pen/_ref/pubs/index.htm 5 There are also off-site, more indirect, forest stakeholders such as urban consumers of forest products, urban-based timber producers, forest product middle-men and downstream beneficiaries of forest services such as water, but this particular toolkit does not address them. 6 O J Lynch and K Talbott in ‘Balancing Acts: community-based forest management and National Law in Asia and the Pacific’ WRI Washington (1995). David Kaimowitz, (2003),’ Not by bread alone…’ (http:// www.efi.fi/publications/proceedings/47)). Neil Byron and Michael Arnold, (1997) ‘What futures for the people of the tropical forests?’ CIFOR Working Paper, no 19, Bogor, Indonesia. 7 PRSPs are explained fully in Section 2. 8 Jan Bojö, Environment Department, World Bank ‘Poverty Reduction, Forests and Livelihoods’. In-house presentation made 27-2-2006. Bojö et al, 2004, ‘Environment in PRSPs and PRSCs’. World Bank ENV paper no. 102 4 ove rvI eW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t If PRSPs fail to incorporate data from the forest sec- n Data collection bodies responsible for contributing tor, national efforts to reduce poverty and vulnerability to the PRS, such as the National Institute of Statistics will undercount the critical role that forest resources and perhaps others. currently play—and the potentially greater role they n Inter-agency committees and working groups whose could play—in the livelihoods of the poor. Similarly, members work together to develop poverty coopera- forest ministries and national forest programs are not tion or to define indicators. Donors are likely to be collecting forest data in such a way that sheds light on represented here and possibly NGOs or other civil the contribution forests make to poverty reduction. As society representatives. we suggest, a limitation has been a lack of information on the contribution of forests to poverty reduction, or The Ministry responsible for gathering forest data rather no good mechanism for moving from interesting and referring it on: research findings to data inclusion, which can lead to n To the PRS Coordinating unit (against clear-cut action. The primary objective of the toolkit, then, is to sectoral poverty indicators agreed with the Coordi- facilitate this inclusion. nating unit). n To the national forest program if there is one.9 The toolkit offers simple methods for capturing data concerning the role of forests and trees in poverty reduc- These are the primary audiences for which the toolkit tion, including both indications of the direct cash con- was conceived. How these bodies are engaged, encour- tributions to poverty reduction that the forest may make, aged to consider the role of forests in poverty reduction but also the wide range of non-cash income that poor more actively, and how they might move to incorporate people derive from the forest. such a consideration into the monitoring being devel- oped and applied, is discussed in the next section. Who are the tarGet audIences for results Generated by the toolKIt? other audIences The toolkit is intended to generate information There are also other potential audiences who are both primarily for audiences to be found at two national user and audience. While the toolkit was originally government levels: conceived simply as a means of making key national level institutions more aware of the key role that forests play Bodies concerned directly with poverty reduction for the poor, it is already clear that its field component n The Central Coordinating Unit (and its Steering has a wider set of potential users, including local NGOs Committee) responsible for developing the and CBOs, national-level NGOs and international country’s Poverty Reduction Strategy, and for agencies—such as IUCN and FAO, which have already developing and harmonizing the sectoral indica- used the toolkit. tors by which the strategy will be monitored. This body may sometimes be found in a Ministry of Who are the users of the toolKIt? Finance or Planning, but is often in an overarching location such as in the Office of the President or The toolkit was originally conceived as a means for Vice-President. enabling its users to gather data with which to make a 9 See next section. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 5 case to the toolkit’s audience for the importance of for- gain their interest and involvement in the purposes for ests to poverty reduction. The toolkit shows users how which the field process is being undertaken. to gather and analyze this information on the ground, n Keeping these bodies informed about progress while as well as how to use findings to present data on forests field exercises are going on. and the poor to key decision makers and planners. Col- Preparing and presenting data for different audiences after it has laboration between the two clusters of users and audi- been collected, by: ences is needed to maximize the impact and benefits for n Taking responsibility for turning field analyses into stakeholders with different goals at different levels (local materials useful to particular national-level audiences, and national). and presenting the results. This information is best presented in a user-friendly form (such as diagrams The first group of users and charts) which represent what is occurring at the If new data from the field is to be delivered successfully local level, and which highlight essential livelihood to appropriate national level audiences (those responsible information and critical factors such as access/tenure, for updating/revising PRSPs, monitoring attainment of markets, and policy challenges. the MDGs, or planning nfps) in useful formats, skilful n Deciding whether, given the status of the country’s national-level toolkit ‘users’ are required. They should data collection systems, the priority is to prepare data be individuals or institutions familiar with national level to: (i) use insights gained from the toolkit analysis to poverty processes and with natural resource ministries modify existing sectoral monitoring processes, which and they should also have, or build, a link with the lead in turn feed into PRS monitoring systems; (ii) use organizers of the field activities. the data in a fairly freestanding way to make a more general case for a re-examination of the importance In the national capital, toolkit users have two tasks: of forests in livelihoods, or (iii) both. Planning the analysis (recommended to be undertaken Where national level change is the goal, this group of before the collection of field data) by: users will have overall control of both local and national n Becoming familiar with the country’s evolution level processes, and will take final responsibility for deliv- in their PRSP process, the kinds of poverty data ering the product. currently being collected, the interest expressed in incorporating forest data into poverty reduction The second group of users strategies, and where new data on the contributions The field component of the toolkit is designed to be of forests to the livelihoods of the poor might fit simple enough to be used easily and relatively quickly into data gathering systems. (These might include by NGOs or CSOs, in collaboration with local forestry household rural or living standard surveys, sectoral personnel and local government staff. The field compo- annual data collection from the local to the national nent enables them to collect information with which to level, for example.) understand forest dependence locally. n Making contact with the main government institu- tion hosting the PRS process, as well as with relevant It is assumed that these users are not specialists and that natural resources ministries, key donors, and other some of them at least will never have had any training important players (civil society groups, NGOs, etc.). in participatory assessment tools or surveys. For them, n Working with the national level audiences identified the field tools have been developed to provide a clearly before any toolkit field data is collected, in order to described step-by-step approach. It is recommended that 6 overvI eW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t hands-on training in the use of the tools be provided. Finally, current data collection systems in most countries These users would then to be able to undertake follow- suggest that making an effort to incorporate forests and up tool applications independently, in order to generate poverty considerations into PRSPs is possibly a less chal- further information in the future. lenging prospect than working to include poverty con- siderations in national forest programs. However, the data hoW the Poverty-forests lInKaGes generated by the toolkit is a good place to start in consid- toolKIt can be used ering how national forestry programs need to evolve. The impetus for using the toolkit may come from one of What the Poverty-forests lInKaGes two directions: toolKIt can be used to delIver n From the national level: An appreciation of the need for The Poverty-Forests Linkages Toolkit is also intended as better data on the role of forests and off-farm natural a first step in a process which could lead to better data resources (including forests and trees) in livelihoods collection by a Forestry Department, so that the real and poverty reduction may begin at the national level. contribution of forests to the nation and its citizens can As the PRSP begins to encompass a broader range of be better understood. sectors, the ministry responsible for forests, researchers, national or international NGOs involved in poverty Like PPAs (Participatory Poverty Assessments), the reduction processes, or donors in the forest or poverty toolkit delivers local-level “snapshot data� on forest sectors may identify this need. reliance and the livelihood and poverty reduction con- n From the local level: In some cases, the desire to see the tribution of forests. This is the first qualitative step in a role of forests making more of an impact in national process intended to make the case of the importance of level poverty strategies may begin at the local level as forests and so lead to the gathering of more quantita- the result of research or project activity. tive data on the role of forests in the incomes of the poor in the future. In either case, analysis and data collection will be needed both nationally and locally. It is only at the national level To that extent the toolkit’s role is to deliver the following: that effort can be invested in having forests and poverty n The making of a documented case for the contribution data taken into account. But it is only through local of forests to the cash and non-cash incomes of the poor; enquiry that a picture can be built up of the key ways in n An assessment of what local people see as the key which forests have an impact on the lives of the poor— problems and solutions for forest management; positively through livelihood support, and negatively if n Strengthened agency and institutional capacity to use of them is formally illegal. identify opportunities and constraints; n An indication of issues that need to be resolved if The results generated can be used at both district/field poverty reduction is to be effectively addressed by level and at higher levels to underline the contribution forestry officials; of forests to the livelihoods of the poor. They are also n And finally, suggestions on how the contributions sometimes used to highlight ways in which the presence of forests to poverty reduction could be better of particular pieces of forest legislation impact negatively captured in a country’s own ongoing data gather- on the poor and need revisiting. ing systems. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 7 The forest sector has for some time been looking for It is also hoped that the toolkit may point the way to a ways to make a better case for its capacity to support the more active role for forestry organizations in the future, poor. It is hoped that this toolkit will be used to raise as contributors of poverty data to national PRS processes, the profile of the role of forests for current consumption, to national forest programs (where they exist) and to help in hard times, and poverty reduction in the lives of compilers of international forest data such as FAO’s poor people. Forest Resource Assessments. WhAT ThE TOOLkIT CAN dO IS: WhAT ThE TOOLkIT CANNOT dO IS: • Rapidly assess current dependence on forests • Deliver data of the kind collected through slower, more detailed and expensive quantitative survey • Provide a vehicle for poor people to comment upon methods (however the snapshot approach of the tool- forest laws, policies and programs and their impacts kit may suggest where more detailed research would upon local people’s livelihoods be of value) • Identify policy problems and opportunities • Systematically monitor progress towards poverty reduction over time • Deliver value where there is a willingness to listen to results from key stakeholders, and where there is an • Change political hearts and minds where there is ability to implement policy change absolutely no interest in a focus on the poor in and near forests and the contribution of forests to their • Deliver data on topics impossible to get at quickly livelihoods through orthodox quantitative methods (but which could subsequently be followed up through quantita- • Provide suggestions of actual indicators that could tive survey methods) be included in regular data collection by government agencies • Complement quantitative data • Indicate the potential of forestry to reduce poverty (the • Indicate the key forest products and forest-dependent toolkit measures current forestry dependence only) livelihood activities that might merit inclusion in gov- ernment data collection processes • Assess the role of forests in providing environmental services at the local and national levels (the toolkit considers forest products only, not services) • Provide a systematic analysis of how current forest policies help or hinder poor people, or contribute to achievement of poverty reduction strategies or the MDGs 2 s ec t I o n t Wo NATIONAL LEVEL ENGAGEMENT AND ANALySIS IntroductIon The purpose of national level engagement and analysis is to set up a meaningful interaction with the key policy makers who will be the audience for the toolkit results, and to find out whether and how policies for poverty reduction link with The World Bank’s Country Assistance Strategies (CAS) for poor countries are now based on their PRSPs, and lending arrangements in the form of Poverty Reduction Support Credits (PRSCs), are harmonized with the timing of the government’s PRS-oriented budget cycle. About seventy poor countries are engaged in PRSP forestry policy.This analysis involves understanding whether and how the contribution of forests to poverty reduction is processes, and the PRS has become the standard planning already being mainstreamed into current national level poli- framework for these countries. The process involves a cies, programs and laws, and whether and how poverty issues comprehensive and participatory diagnosis of poverty, the are taken into account in forest sector processes. prioritization of actions to be taken, and the development of targets, indicators and systems for monitoring and The section begins with a brief explanation of the two rel- evaluating progress towards them. evant policy areas: the Poverty Reduction Strategy Process and the national forest program. It then goes on to provide A PRSP should ideally be country-driven (with good par- guidance on how to interview key policy makers and ticipation by civil society and the private sector); results- officials at national level, how to develop a better under- oriented (focusing on pro-poor outcomes); comprehensive (in standing of links between forestry policies and poverty its recognition of the multi-dimensional nature of poverty); reduction policies, how to build interest in the toolkit and partnership-oriented (bringing bilateral, multilateral and non- how to make sure the toolkit fits appropriately into both governmental partners together in joint planning) and with the country’s general poverty reduction process and into a long-term perspective on poverty reduction. the forest sector’s commitments and interests. The section concludes with a checklist of the information and data that The Poverty Reduction Strategy subsection of the World toolkit users should aim, as far as possible, to collect at the Bank Poverty website shows how much countries vary national level before fieldwork begins. in the progress they have made. Some have drafted both their I-PRSP (interim PRSP) and their first full PRSP, the Poverty reductIon strateGy Process and have completed two or three years’ subsequent insti- tutional development, monitoring and testing, while oth- Poverty Reduction Strategy Processes are now a require- ers have stalled at an earlier stage or have only just begun ment for poor countries if they wish to receive conces- the process. Other countries have already created and sionary assistance from the World Bank (through the undertaken a second generation PRSP document (PRSP International Development Association, IDA) and the IMF. II) based on lessons learned in the first generation.10 10 Based on material in the PRSP section of the World Bank website http://www.worldbank.org/poverty. See Annex 1 for a table showing country-by- country progress in PRSP evolution. 10 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t Full PRSPs have varied in quality, content and the degree strong sectoral monitoring, and the challenge is to unify of participation involved in their preparation, in line data flowing from different sectors. In others, sectoral with the capacities and political culture of the countries monitoring is weak or non-existent, and PRS systems concerned. PRSPs are revised every three to five years, have to help it into existence. Where countries have and it is already evident that second generation Strategies decentralized, there are additional difficulties since it has are improving on the first generation in various ways. been rare so far for regional or local government repre- The first generation contributed to a stronger focus on sentatives to be built into the PRS monitoring structure, poverty inside government, much greater engagement and communication between line agencies and the local of civil society in poverty policy, and better alignment level can be weak.13 among donors at the country level. But many early PRS activities took place at only the highest echelons the forest sector and natIonal of government, often in a specially created niche. The forest ProGrams new focus on poverty reduction was weakly conveyed to sectoral ministries, and rarely reached local government National forest programs (nfps) were one of the out- at all. There was an emphasis on social sectors (health, comes of the inter-governmental forest dialogue that ran education) at the expense of productive sectors. Too from the UNCED conference in Rio in 1992 through many donors continued to provide resources outside the the IPF-IFF (International Panel on Forests—International national budget process.11 Forum on Forests) processes of the 1990s to the forma- tion of the UNFF (United Nations Forum on Forests) in Second generation PRSPs are attempting to deal with October 2000. National forest programs are grounded these weaknesses by developing more comprehensive in earlier attempts to bring donors together to support economy-wide plans. Use of the PRSPs leads to bet- the forest sector and link it to conservation and sustain- ter and more pro-poor expenditure tracking, to a more able development (like the TFAP, the Tropical Forestry logical allocation of resources in government annual Action Plan, or the Asian Development Bank-supported budget cycles, and eventually to longer term Medium Master Forestry Plans of the late 1980s and early 1990s). Term Expenditure Frameworks (MTEFs). Most countries Attempts have been made more recently to implement are only part of the way towards this, and in some, other national forest programs in-country through Sector-Wide reforms must precede the introduction of MTEFs. In this Approaches in which donors collaborate and align their vein, all ministries need to be aware that their programs support to the forest sector. need to be explicitly linked to poverty reduction in the near future.12 The national forest program facility at FAO in Rome came into existence in 2002, and currently has 57 Monitoring systems are based in part on general data developing country partnership agreements (and four gathered by national statistics institutions, and in part on sub-regional organizational partnerships). Of these, 18 sectoral poverty monitoring. In some countries there is are with countries with no PRSP, 33 exist in countries 11 Based on ‘Second Generation Poverty Reduction Strategies’, PRSP Monitoring and Synthesis Project Synthesis Note, ODI, September 2004 (www.prspsyn- thesis.org) 12 ‘Medium Term Expenditure Frameworks: from concept to practice. Preliminary lessons from Africa’. Africa Region Working Papers No 28. Feb 2002 http://www.worldbank.org/afr/wps/index.htm 13 This summary is based on experience analysed in ‘Beyond the Numbers: understanding the institutions for monitoring poverty reduction strategies’, Tara Bedi et al, 2006. World Bank, Washington. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 11 with PRSPs and the rest are in countries with no PRSP in pursuit of the goals of more sustainable forest manage- (mainly because they are middle or upper middle income ment and a more equitable sharing of forest resources. countries).14 But there is a broader involvement with nfps than these figures would suggest. As long ago as National forest programs explicitly state that they should 1998, a survey of countries conducted by FAO indicated be linked to the broader processes of sustainable develop- that 85 non-OECD countries (out of a total of 162) had ment, decentralization and poverty reduction. But the national forest programs, broadly defined, of some kind processes which led to the establishment of the nfp facil- or another.15 ity at FAO,16 and the documents which suggested how the IPF (International Panel on Forests) proposals could The nfp is country-driven, and should address underlying be incorporated into national forest programs, predate the causes of deforestation, as well as forest degradation and development of PRSPs and the MDGs, and are actu- illegality. In addressing these issues, especially in poorer ally strikingly lacking in any real mention of forests and countries, nfps redefine the roles of diverse stakeholders poverty reduction.17 The nfp facility’s raison d’être grew 14 See Table 1 in Annex 1. 15 ‘Status and Progress in the implementation of National Forest Programmes: outcome of a survey by FAO’. FAO Rome, December 1999, mimeo. 16 http://www.fao.org/forestry/nfp-facility 17 See A Practitioner’s guide to the Implementation of the IPF Proposals for Action, and especially its ‘Practical Tool for the Assessment and Integration of the IPF Proposals for Action into National Forest Programs’. FAO and UNDP 1999 (Second edition) 12 overvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t out of sectoral strengthening, rather than the making of out between 2005 and 2007, the study sought to increase an inter-sectoral case. understanding of the role that nfps can play in enhanc- ing the contributions of forestry to poverty alleviation At one level, given the need for sectoral poverty moni- and highlight the critical importance of collaboration toring data for the PRSP, this does not pose a problem. across sectors to achieve this goal. The study revealed that However, while some sectors (education or health, for countries are experiencing problems in establishing closer instance) can relatively easily supply appropriate indica- linkages between the two processes although some are tors for poverty monitoring to the PRSP monitoring implementing innovative approaches to enhance collabora- framework, in the case of forestry, much more adaptation tion. Without exception however, weak capacity was found of data (or additional data) is needed. The forest data tra- to be a serious constraint which all participating countries ditionally collected relates almost entirely to the resource face, albeit to varying degrees. It also identified factors that itself—to total natural forest area, numbers of trees foster or hinder collaboration and propose ways to raise the planted and timber production. It is impossible to dem- profile of forestry in terms of its contributions to poverty onstrate the contribution of forests and forest products to alleviation. The study was conducted in ten countries in the annual incomes of poor people with this kind of data. Africa: detailed reports of findings and conclusions for each Further, the PRS policy framework challenges the forest country are posted at www.fao.org/forestry/site/liveli- sector to start reporting in new or additional ways.18 hoods/en/ under the heading ‘workshops’. Thus traditional forest sector reporting will have to From the point of view of the PRSP, there are two change or be supplemented in due course, and attempts choices: to modify the way in which forest data is col- to do so have already begun in a few countries. There is lected and processed annually within the forest sector, international demand for new forms of reporting as well. or to seek ways of inserting forest-relevant topics and The five-year FAO Forest Resource Assessment process, questions into more general surveys. The first option— built up from country-level reporting, has proposed the modifying data collection—is more sustainable in the inclusion of indicators showing forests’ contribution to long-term. The FAO FRA process and the demands of livelihoods in the data gathered by Forest Departments new kinds of forest data for the PRSP are two key drivers and agencies for the next Forest Resource Assessment towards modification of forest data collection. (FRA) in 2010. While certain kinds of problems will remain (for instance, there is likely to be under-reporting PrelImInary natIonal level tasKs of forest use and dependence in many countries because for toolKIt users such use may be formally illegal), nfps do now need to address poverty issues. Introduction The preliminary tasks for the toolkit users are to become To address this issue, FAO recently conducted a study to familiar (it is assumed in this manual that they are not) determine the extent to which national forest programs with the current progress of the PRSP in the country and are linked to poverty reduction strategies in Africa. Carried with the current capacities and activities of the forestry 18 This section is based in part on ‘National Forest Programmes’. Key-sheets for Sustainable Livelihoods: Policy, Planning and Implementation no. 17. (www.key- sheets.org) Published by DFID, ODI and the Netherlands Ministry of Foreign Affairs, Neil Bird and Gill Shepherd, October 2002; and in part on Tapani Oksanen, ‘National Forest Programs: introduction and overview’ in the European Tropical Forestry Research Network special edition on National Forest Programmes, No 41-42, Autumn 2004. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 13 department. This must be done through interviews and n What inter-agency committees and working groups are through acquiring and reading relevant documents. in place, working together to develop poverty coop- eration or define indicators. NGOs, donors and civil Furthermore, interviews must serve two purposes. On society may also be represented on these committees. the one hand, facts and processes must be mastered. On n What ideas are the Working Groups focused around? the other, interviews and meetings have firstly to serve Often countries develop organizing themes, pillars to build interest in the proposition that the contribution or clusters.19 of forests to poverty reduction has been under-estimated, n Which data collection bodies are responsible for com- and that the purpose of the toolkit is to make this clear piling primary data, collating data from line ministries, and to provoke action. A constituency has to be built for and developing data collection systems and informa- toolkit-related activities, in short. tion technology? The lead institution will probably be the Government Bureau of Statistics, but university In the following sections, the people to be interviewed departments or applied research institutions may also and the subject matter for interviews are set out first have roles. for the poverty and PRSP institutions and then for the forestry institutions. Subsequently, section 2.6 provides Conducting key informant interviews relevant to a discussion of consensus building steps needed for the the PRS toolkit to take place. Each country will have a slightly differing range of key poverty and PRSP stakeholders to interview. To some Becoming familiar with the country’s PRS process extent it does not matter where interviews begin, so long The first thing for national level toolkit users to master as they are cross-checked through interviews with other is the status of the country’s PRS process. This can be interviewees until toolkit users feel they have an up-to- gleaned in a preliminary way from the poverty reduc- date understanding of key issues (see below) and copies tion strategies section of the World Bank poverty website of all the key relevant documents. (www.worldbank.org/poverty). As Annex 1 shows, coun- tries vary considerably in the degree to which they have Whom to interview? advanced their strategy and begun to use it for monitor- Interviewees will be drawn from: ing poverty reduction. n The secretariat of the Ministry which is home to the PRSP process; Toolkit users need to find out: n Possibly, one or more working group chairs; n In which Ministry (often the Ministry of Finance or n The National Bureau of Statistics/Central Statistics Planning, or a supra-ministerial location such as the Agency and/or any agencies working on information Office of the President) the PRS central coordinating technology development; unit/secretariat is located. n World Bank officials working with the PRS process; n Who the key staff are in the central coordinating unit, n Bilateral and multilateral donors working on aspects and the composition of the unit’s Steering Committee. of poverty and the PRSP; 19 Some countries choose a sectoral focus (Zambia); some, aspects of poverty: Growth and Reduction of Poverty; Improvement of Quality of Life and Social Well-Being, Governance and Accountability (Tanzania); Expanding Employment Opportunities, Empowering Communities, Building the Capacity of Poor People, Social Protection (Indonesia). 14 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t n Relevant university or independent research institu- (as in Indonesia). Key one-off or occasional surveys tions linked with some aspect of the PRS process; should also be identified (such as Indonesia’s 2002 n INGOs with strong poverty and development inter- National Socio-Economic Survey or its Family Plan- ests such as OXFAM; and ning Agency survey on household poverty levels by n Local NGOs who may have helped to organize PPAs village). Rural agricultural surveys are also important. or other aspects of civil society consultation. In the case of Liberia (returning to stability after 15 years of civil war), no poverty data is available and The purpose of interviews conducted is: the closest proxy in late 2006 was the World Food (i) To obtain an up-to-date picture of the point the Program “Comprehensive food.security and nutri- PRS process has reached in its evolution, and of the tion study.� next steps being taken. Is the PRSP still in a design phase or has it reached implementation? Is imple- (v) From Bureau of Statistics documents or staff, to mentation already taking place, and if so how far obtain the latest national level per capita income along is it? Joint Staff Assessments and PRSP Annual figure, and any provincial or district level per capita Progress Reports20 will be helpful for understanding income figures that exist, especially for the areas these points, and for assessing possible entry points where the toolkit is to be applied.21 for the toolkit. (vi) To identify new data collection systems currently (ii) To obtain copies of relevant PRSP documents not being devised, perhaps using new forms of informa- yet available on the World Bank’s website and also tion technology. For instance, in Tanzania districts are of key previous documents such as PPAs or other being linked to the national level by computer, and are civil society consultation documents, which might being provided with unified PRS reporting formats. have been produced in the course of generating the I-PRSP or the PRSP itself. Understanding the forest sector In the case of the forest sector, toolkit users have a sim- (iii) To understand the PRS monitoring system already pler task. Once they know whether Forestry is located in in place and plans for its evolution. a free-standing Ministry or whether it is a Department within another Ministry such as Agriculture, or the Envi- (iv) To become familiar with the main data sources used ronment, it is possible to move directly to interviews and to obtain regular insights into rural livelihoods and to document collection. Again it is important to trian- incomes, and the frequency with which each type gulate information by checking the results of interviews of data is collected (annually, periodically, every 5 or against one another. 10 years, etc). These will include censuses, and might include Household Budget Surveys (as in Tanzania) It should be expected that forestry data in the past will or annual food basket and poverty line calculations have been weak on livelihoods and forests. However, a 20 Joint Staff Assessments are documents produced by World Bank staff for reporting on the status of a country’s current PRSP to the Boards of the IMF and the World Bank, and for providing feedback to countries about how to improve their strategies. Annual Progress Reports are produced by govern- ments in each year of PRS implementation, and their objectives are to enhance government performance on poverty reduction, meet donor reporting requirements and support enhanced government accountability to citizens. ‘PRSP Annual Progress reports and Joint Staff Assessments – a review of progress’ PRSP Monitoring and Synthesis Project, Briefing note 9 ODI, September 2004, (www.prspsynthesis.org) 21 Useful summary data on most developing countries, including poverty rate, income distribution, etc., can be found at www.earthtrends.wri.org/pdf_ library/country_profiles. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 15 review of available materials will yield some sense of products (timber and non-timber), trade and processing, how much interest the forest sector has shown to date and a sense of all other currently collected data, includ- on the relationship between poor people and forests. ing forest inventories. For instance, the availability of materials on Community Forest Management, Joint Forest Management, Participa- Conducting key informant interviews relevant to tory Forest Management and/or on-farm tree-planting the forest sector programs gives an indication of the extent to which the country has experience or prior interest in people and Whom to interview? forests issues. Government studies, INGOs’, bilateral and Although each country will have a slightly differing multilateral agencies’ experience, relevant publications by range of key forest stakeholders who should be inter- local research institutions, and private sector documenta- viewed, a generic list would need to include most of tion are all important sources among which studies on the following: poverty, livelihoods and forest use should especially be noted.22 Important documents to locate also include n The Ministry and/or Department responsible for For- relevant national decrees, laws and policies concern- ests and within that, particularly those responsible for ing forest access and use by local people; data on forest Planning and Policy, Forest Information Management, 22 Many donors are prolific in generating reports on these topics, some of which are highlighted in Annex 2 with suggested readings on forests and poverty. 16 overvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t Community Forestry, Production, Conservation, as gathering has taken place (in projects or otherwise) appropriate; on local people’s forest dependence; and to which n The main forest sector donors and any sectoral devel- areas of the country it relates. opment donor working groups (especially in coun- tries where forestry is the subject of a SWAP); iv) To check whether the country is developing com- n National NGOs with forest sector or biodiversity ponents of a national forestry program (see Annex conservation interests; 1 for some of the countries which are); what results n International NGOs with similar interests, such as the nfp has to show; whether any attempt to link the IUCN, WWF, CARE, TNC, WCS; nfp with the PRS has been made; and if so how and n International or national NGOs or CSOs with an with what kinds of data. interest in the rights of forest peoples; n Private sector interests such as associations of foresters, v) To understand how data to be forwarded for FAO or concessionaires; and Forest Resource Assessments are compiled, and to n Academia (e.g. forestry school at the national find out whether either methods or data might be of university) use to the toolkit users. The purpose of interviews conducted with Ministry or Depart- understandInG the Interfaces ment of Forests employees and other forest stakeholders is: betWeen levels of authorIty i) To discover if and how the Ministry/Department of In many countries involved in the PRS process, decen- Forests currently feeds data into the PRS process. If tralization has taken place in recent years, and the old links the entity is a Ministry, the individual or unit that between center, province and local level have weakened or liaises with the PRS secretariat may do so directly. If become more complicated at the very time when clearer it is a department within a larger ministry, the data and stronger information pathways are needed. At the same pathway will be more indirect. time, as Tara Bedi et al (2006) note, in some countries the PRS process has as yet scarcely been communicated to the ii) To understand what data flows into the Forestry local level or to the local officials who are involved in it. Ministry or Department from the local level, how this data is collected, how often it is collected, and in Before the toolkit’s potential role can be assessed, it is what format it is collated and presented for national vital that line management and information pathways level use. Since many Forestry Departments in poor connecting the local and national level for annual data countries are very short of resources, it is often the gathering and for the PRS process be well understood, case that local-level data collection has mainly taken and potential information breakpoints located. Informa- place through the vehicle of donor-funded projects. tion may pass sectorally, or be collated at local govern- Data may have been collected in a variety of formats ment level and forwarded to a national ministry (such as and may be very hard to compare from area to area that for Local Government). The national level and the or over time. local level may have different views about their respective responsibilities, or reporting lines may be pretty clear, if iii) To discover what documentation exists on commu- complex, as in the example from Tanzania. New technol- nity forest management, and on any other projects ogy may be being brought in to help this link to be made concerned with forests and local people; what data more effectively. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 17 EXAMPLE OF ORGANOGRAM FROM TANZANIA: FOREST & BEEKEEPING ADMINISTRATION (DEPICTING REPORTING LINES) (i) District level Forestry officials report to the National level (to the Ministry of Local Government) via District level authorities. (ii) They communicate only very indirectly (dotted lines) to the Director of Forestry and Beekeeping and the Ministry of Natural Resources and Tourism. PS PRESIDENT’S OFFICE MINISTRY OF NATURAL REGIONAL ADMINISTRATION RESOURCES AND TOURISM AND LOCAL GOVERNMENT Director of Forestry and Beekeeping Regional District Commissioner Commissioner Asst Director Asst Director Asst Director Asst Director Forest Forest Beekeeping Forest Research Training and Regional District Development Utilisation Development Statistics Administrative Executive Secretary Director Schedule Officers, nfp, Various Project Coordinators and Institutes (FTI, FITI) District Lands, Natural Natural Resources Resources and Adviser Environment Officer Regional Catchment /Zonal Mangroves Officers and Plantation Forest Managers District Forest and Beekeeping Officers District Catchment Forest and Mangroves Officers Divisional Forest and Beekeeping Officers Divisional Catchment Forest and Mangroves Officers Ward Forest and Beekeeping Officers Ward Catchment Forest and Mangroves Officers Village 18 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t It may not be possible to find an organogram illustrat- helps to make a case for greater consideration of the pov- ing different levels and reporting relationships between erty reduction role that forests can play. those levels. Thus, it may be necessary to generate one through interviews at the national and then at the local At the same time it is important to explain that if the levels, looking for discrepancies. By conducting inter- toolkit successfully makes the case for more precise views with PRS officials, forestry officials and other information about the contribution of forests to local ministries with special responsibilities, it becomes pos- people’s cash and non-cash incomes, two further steps sible to understand the lines of authority and routes for have to be taken. monitoring information. (i) First, the Ministry responsible for forests must make buIldInG Interest In the toolKIt representations to the PRS secretariat and working groups, asking for questions to be inserted into exist- Sections 2.4 and 2.5 have suggested at some length the ing data gathering instruments such as household lines of enquiry needed for toolkit users to understand surveys and agricultural surveys, in order to capture the context in which the toolkit might or might not the contribution of forests to household incomes. be applicable, but they have not addressed the fact that poverty and forestry stakeholders need to be convinced (ii) Second, the forest sector must itself decide how it will that it is worth putting some effort into choosing a gather poverty and forests data in the future, as part of pathway which will build more consideration of forests its annual local-level data gathering. Once it starts to into the PRS. collect such data itself, then its own sectoral monitor- ing can be taken into account in the overall indicators Involving the forest sector framework of the PRSP.The toolkit may also be able to Probably the strongest starting point is within the help generate ideas about how the nfp (national forest Forestry Ministry or Department, where there ought to program) can develop a more proactive stance to pov- be an interest in making the poverty case on behalf of erty reduction, and work more closely with the PRSP. forests, particularly as government budget cycles begin to develop more directly out of PRSP priorities. The The toolkit data can help with the formulation of both ideal way to begin, along with preliminary discussions of these types of questions. and fact-finding, might be with a seminar in which the toolkit users explain the toolkit’s purpose and the If there is a forest sector advisory group in country, the kinds of data it can produce. If there is a strong body of toolkit should be presented there, and regular updates and donors for the forest sector, there should also be presen- report-backs made as the process unfolds in the field, and tations to them about what the toolkit is for and what when data gathering is complete. If there is not, an advi- it can do. sory group for the toolkit process should be established in the forest ministry/department, containing both key staff, The toolkit relies on quick ‘snapshot’ methods, generating including those responsible for forestry data collection, and collating data from small-scale, forest-focused PPAs, and donor representatives. selected from a number of sites around the country. These indicate the level and nature of reliance on forests, and Involving PRS officials the forest-related impediments to and opportunities for From the poverty side, the first reaction of PRS officials poverty reduction identified by local people. The toolkit to suggestions that the forest sector has a contribution to P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 19 make to poverty reduction may be the standard one: that hoW to maKe sure the toolKIt fIts there are plenty of excluded sectors looking for a place aPProPrIately Into both the country’s at the PRS table, not all of which can be accommodated. General Poverty reductIon Process The response to this is that, if the analysis conducted by and Into the forest sector’s commIt- Vedeld et al (2004) is correct, rural incomes are under- ments and Interests counted by 20-25%. Not only is the poverty reduction capacity of forests being ignored, there is a likelihood of The amount of time which might be needed to arrive poverty increase if forest resources are abruptly made inac- at a full understanding of a country’s PRS process and cessible to local people. the level of engagement or potential engagement of the forest sector with it, and with its own national forest pro- The best way to liaise with the PRS secretariat as the gram will vary. It will probably take 10-14 person days. toolkit process unrolls is probably to report regularly to one or more of the PRS working groups, if these are At the end of that time it will be clearer what kind of active. But the matter should be discussed with the PRS toolkit process might usefully take place next. Annex 1 secretariat and their advice taken on the appropriate shows that countries have varied considerably in the rate contact point and modality. at which they have advanced with their PRSP. Some countries have an active or full first or second stage TABLE 2: A FLOWCHART TO ESTABLISH FOCUS AND ENTRY POINTS FOR THE TOOLKIT PRSP In implementation phase, In design phase, Entry points possible through: Entry points possible through: • Sectoral PRSP indicators • Participatory Poverty • Joint Staff Assessments Assessments STALLED • Annual Progress reports • Household surveys • Formulation phase of second • Design of overall PRSP indicators generation PRSP • National policy and budget processes YES YES interested as art of intersted as part of its commitment to its own national NO commitment to the PRS process forest programme FORESTRY DEPARTMENT already has some poverty orientation or is interested in developing skills in this area 20 overv IeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t PRSP, often with a country-specific name for the process with the findings afterwards. In the last case, another (e.g. in Madagascar it is called the Madagascar Action process—designed uniquely in the context of a particular Plan rather than PRSP-2). There are also cases evident country—will be necessary. The rest of the toolkit will from the Annex where the forest sector is actively pursu- assume that one of the first three cases is in play. ing the development of a national forest program, perhaps through partnership with the nfp facility in FAO, but the National level analysis makes it clear whether the country’s PRS process has apparently stalled. toolkit exercise can proceed with the support and encouragement of the Forestry Ministry or Depart- By the end of the national level analysis period, it should ment, of those responsible for the evolution of the be possible to see where the country in question fits into PRS, or of both. this diagram—as a combination of the status and evolu- tion of the PRSP and the commitment to a poverty ‘Champions’ of the process and the data are certainly remit of the forestry department. needed: they will see the point of the exercise; take an inter- est in choices about where and how to collect the data; and The broad possible scenarios can then be seen to be be prepared to help the toolkit team once the data is in, to as follows: find pathways for the results to have political leverage.23 If (i) The national forestry department is interested in no such champions can be found, the toolkit exercise may poverty issues and eager for help in making a well have to be abandoned.There is no point in generating case to those responsible for the PRS (in whatever data that will fall into an institutional vacuum. its current phase) for the role of forests in poverty reduction. checKlIst of InformatIon to (ii) The national forestry department is interested in collect at the natIonal level PrIor poverty issues and eager for help to incorporate pov- to fIeldWorK erty issues into its nfp (and into its reporting to the FAO FRA). However, the PRSP is inactive or not This interviews and interactions with policy makers and relevant to the Forestry Department. officials at the national level will generate considerable (iii) The national forestry department is not at this point information and knowledge, as well as build the links interested in poverty issues. However, those respon- that will be needed to feed back toolkit results to the sible for the PRS are interested in learning more appropriate agencies and individuals. Given the com- about the contribution of forests and forest products plexity of the information and knowledge involved, this to the livelihoods of the poor. section provides a checklist in tabulated form of the (iv) The national forestry department has little interest in fundamentals that are useful to know before embark- poverty reduction and bodies responsible for poverty ing on the field studies. This checklist is by no means reduction at the national level are not interested in comprehensive—much of the knowledge that is needed forests. However, there is pressure from below—from will be highly country-specific, or emergent knowledge civil society or from sub-national bodies. rather than basic facts (e.g. reaching an understanding of whether the results of the toolkit are likely to have In the case of the first three instances, the toolkit field traction among national policy audiences and, if so, with exercise is the same—what is different is what is done which agencies). 23 It is taken as read that there will also probably be a donor for the toolkit process, but that donor alone is not adequate as a champion of the process. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 21 table 3. checKlIst of InformatIon to be collected at natIonal level PrIor to fIeldWorK Information Immediate purpose within the toolkit 1. key government agencies Understanding the key policy frameworks, a. forestry policies how they fit together, and promising entry b. policies related to forest-livelihood interactions (if different) points for delivery of results from the toolkit c. PRS or other poverty reduction and rural development policies d. national census e. other statistics (e.g. forest status and economics, rural livelihoods) 2. Indicators Framing the results of the toolkit to inform a. current PRS indicators that relate to forest dependence (if any) existing indicators and data collection b. current forestry department indicators or regular data collection on forest- livelihood interactions, including both forest dependence (e.g. NTFPs col- lected) and forest regulations (e.g. number and activity of village-based forest committees) c. current census data and other regular data that relate to forest dependence 3. Poverty maps Selecting field sites situated within the poor- including both geographic distribution of poverty and depth of poverty est parts of the country 4. Forest cover maps Selecting field sites that represent the key for- mapping of national vegetation and land use est types in the country 5. Official definitions Aligning definitions used at the site level (e.g. a. National poverty line and poverty definitions villagers’ definitions of who is poor or what b. “Forest�, “woodland� and any related terms constitutes a forest product) with definitions c. Forest products used in national policy dialogue and official policy statements 22 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t 3 s ec t I o n t hr e e PREPARING AND PRESENTING DATA fOR DIffERENT AuDIENcES rePortInG to the dIstrIct and ProvIncIal levels Once data gathering is complete, it will need to be analyzed and prepared for presentation, both to the district, and to higher levels beyond the district, in different formats. selection, discussion, and ideally the involvement in the field of one or two district-level officials. This must be followed up quickly, once the village exercises and the subsequent analysis of results are complete, by a presenta- tion of findings to the district. Otherwise momentum will be lost. As PRS processes have matured in the countries where The preliminary presentation of findings they are evolving satisfactorily, they have generated a Summary data in chart form (large, cleaned-up versions broadening of government ownership, and there have of the village charts) are presented to the district, based been moves to work more intensively first with line min- on the main tools used. Where facilities for PowerPoint istries and then with local government.24 presentations are unavailable, charts should be adequately large, and of a good enough quality (on A1-size card) to Decentralization has also given district level officials new pin up in the district office during discussions, and to planning and reporting responsibilities in many countries, leave up afterwards (if officials so choose). and local and national budgetary cycles may be more systematically linked than before. In some cases (as in The analysis from the toolkit will result in information on: Indonesia) decentralization has disrupted the flow of data n Changes happening in areas likely to impact nega- from the local level to the national level. tively on natural resources and the way in which the poor can access forests (Tool 3). This means that the toolkit may be presented at the local n Level of dependency of community members, par- level as a means of thinking about how to generate better ticularly the poor, on forest products, by gender and data for the PRSP, or it may be seen as a tool in its own by wealth rank (Tool 4). right for better understanding forest issues in the district, n Estimates of the proportion of total income that and for planning purposes. In either case, the local level comes from forest products, by gender and by wealth is likely to be the first place where toolkit data will be rank (Tool 4). presented. Thus, higher-level analyses and presentations n Estimates of what this means in cash terms to poorer will follow on from the initial district level analysis. and wealthier households (Tool 4 + non-toolkit data) n The forest products that are of greatest importance for Maintaining district involvement household consumption and income (Tool 4—ranked in the toolkit process importance of forest products). Section 1 of the Field Manual shows how to involve the n Problems over access and tenure rights, and over district beforehand in the Toolkit process, through site the ways in which local regulations are applied. The 24 Linda Van Gelder, “Poverty Reduction Strategies: progress in implementation� World Bank, February 2005. 24 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t impact of policy and implementation on access and (using the charts and analyses from them for the most income, particularly on the poor (Tools 5 and 6). part). This serves to form a more holistic picture of the n In the case of Tool 5, the villagers’ own analysis will area where the tools were applied, with a short case study need to have been supplemented by facilitators, so write-up to compare and contrast with other cases from that the issues which can only be solved by interven- other parts of the country. tion at district or national level are the ones high- lighted to district level officials. (The household and A brief fully written-up and illustrated case study should intra-village issues are of minor interest at this level). be left with district level officials, or sent to them as soon n Constraints on increasing income from forests (Tool 3 as possible after the field exercise, so that it can become and Tool 5). the basis for other future action. Identifying and discussing issues of special Discussing with district officials how toolkit relevance to district authorities results can be used to influence higher level District level officials are likely to show most interest in processes the Livelihood Analysis (Tool 4), Timeline and Trends (Tool After the presentation of the results from the village, in 3), and Forest Problem and Solution Matrix (Tool 5). They chart form, and the discussion of key local issues that will also appreciate the light shed on the financial contri- arise from them, the next step is to decide how this data bution of forests to livelihoods by Tool 8. can be most useful to the district. Equally important is to determine how it can be used for district representation A further area of interest to district officials may be the to higher levels. opportunity to be alerted to problems that may be devel- oping. These will be most visible in the results of Tool 3 Toolkit data will usually have been gathered with various and Tool 5, although some problems may become appar- possible national level scenarios in mind. From the point ent through the lens of several of the tools. of view of district officials, toolkit results may be seen to have a bearing: For instance, in the case of Tanzania, the toolkit team n on the PRS reporting they are responsible for arrived in the country when a ban on the making of n on Forestry Department reporting charcoal had just been announced, in response to a n or on both. new survey which revealed the deforestation rate in the country. It became very evident during the course of the Such current reporting formats as exist for the PRS and toolkit exercise (see results of Tools 4 and 5) that charcoal the forest sectoral pathways need to be re-examined with was an absolutely vital source of cash in the area where district officials, in the light of the data collected. the team worked, and that it would be almost impossible to ban its production. Equally, urban consumers were pre- During the toolkit testing process, one suggestion was pared to go to almost any lengths to buy bags of charcoal. that the views of district officials on the incorporation District (and national) authorities asked the toolkit team of forest contributions to incomes into data gathering about the response of villagers to the announcement of systems be written up with the assistance of the toolkit the ban, and how likely they were to be able to obey it. team, for submission to: As soon as possible after preliminary findings are ana- (i) the national level body responsible for collecting pov- lyzed, the data generated by the tools can be written up erty data and/or P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 25 PROCESSES AND FORA IDENTIFIED IN UGANDA FOR MAINSTREAMING THE TOOLKIT TOOLKIT KEY NATIONAL OTHER DISSEMINATION PROCESSES POLICY PROCESSES FORA Project Launch and regional training — April 2007 Policy, institutional and knowledge Government releases Concept mapping — April–June 2007 Note for 5-Year NDP, Oct 2007 National Training — July 2007 Response to the government’s concept note to PEAP Secretariat Field survey and data collection, National Report on natural analysis and preliminary findings — resources as core asset for July-August, 2007 poverty reduction, July 2007 Attending donor sub-group meeting on ENR, Nov 2007 IGAD-IUCN Regional Workshop for directors responsible for planning and Policy paper on findings from Draft ToR for sub- sectoral and conservation, Mombasa, Nov 2007 use of the toolkit, May 2008 sectoral papers under ENR to feed into 5-year NDP, Nov 2007 FAO Regional workshop on mainstreaming of forestry in ENR-WG comments on the ToR PRSPs, Nairobi, Nov 2007 and approves them, Dec 2007 Brief presentation to ENR-Sector Consultants write sub-sectoral and National Environment Management working group, August 2008 sectoral papers, Jan –April 2008 Authority disseminates a brief on planning forprosperity, August 2008 End of project regional synthesis report, September 2008 WWF and Nature Uganda use Toolkit for collaborative forest management processes Mar-June 2008 Parliamentary sectoral committee Drafting 5-year NDP (on-going) on environment and natural resource, Nov 2008 Launch of NDP, July 2009 26 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t (ii) the Ministry of Forests as it begins to consider how PowerPoint presentation and discussed (with only the to report on the contribution of forests to poverty higher level issues—which cannot be solved at household reduction. or village level—drawn to their attention from Tool 5). If the meeting time is short, analyses from only Tools 4, 5 The report would include the district officials’ views and 8 will make some key points. about how such data might best be incorporated into regular data gathering systems as they experience them. Meanwhile the toolkit team will be in the process of preparing a short (6-8 page) case study from each village In future, if it is accepted that forest product values will where toolkit exercises were carried out. be recorded as part of household surveys, enumerators will need some training in ways of estimating shadow The report on how questions might be incorporated, from prices where forest products are not usually sold (and the district point of view, will also be presented to the min- have no obvious price). istry, together with the team’s own suggestions drawn from n Products such as fuelwood, honey, charcoal, timber, the interviews undertaken before going to the field.The medicines, and poles are easy to find prices for in local next steps depend on the ministry, and on how engaged the markets. ministry was with the toolkit process before it began. Hope- n For gathered fruits, wild vegetables, mushrooms and fod- fully the ministry concerned with forests will be eager to use der, marketed equivalents would provide a proxy price. data from the toolkit to make a case for the importance of forests to the poor, when all the district reports are in. It would be useful if district level forestry officials regularly updated lists of the prices of such local forest The ministry responsible for forests may also wish to products, for the use of enumerators. make the case for the contributions of forests to the MDGs. Toolkit results can also be used to flesh out these rePortInG to the natIonal level arguments. A version of this chart showing how to fill it in from toolkit data can be found at the end of the sec- Introduction tion on Tool 4 and in the village example. Such a chart The Poverty-Forests Linkages Toolkit process begins from each of the areas where toolkit exercises are con- and ends at the national level. The links established in ducted will be appended to the case studies prepared. the ministry which manages and monitors the progress of the PRS process, and the ministry which is respon- Other ministries sible for forests are the two key points to return to with Depending on how the original contacts were made at the written-up case studies. national level before setting off to conduct field exercises and on the feedback asked for at the time, it may be neces- The Department or Ministry of Forests sary to report back to other Ministries directly, as well as The place to start is the ministry responsible for forests. indirectly via the Ministry of Forests. Opportunities should When all the data is in from all areas—or sooner, with be sought in the first instance with the PRS Secretariat partial results, if officials are keen for early feedback—there and with the PRS working group/s with which contact should be a presentation of the following key elements. was established before going to the field. If time is available, and officials are sufficiently inter- The case study key results and the suggestions made by ested, data from all the Tools should be presented in a the district level for data inclusion should be presented. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 27 Similarly, waiting until results from a variety of districts censuses/surveys and routine data collection systems. are ready makes the most sense. If a national level poverty The PMS will link with the Local Government Moni- monitoring system is established, or in the process of toring Database (LGMD—currently under development) being established, discussion of appropriate questions or to ensure the provision of disaggregated data to facilitate indicators to include may be invited. monitoring at all levels. In all of these cases, short presentations can be based on Potential action: Forestry was not originally included in this results from Tool 4 (see section 3.2.5 for possible themes) system due to a lack of understanding of forests’ contribu- and Tool 7 that are of relevance to the national level. tion to poverty reduction. The designers of the database are Issues such as tenure (or lack of access rights to forests) now revisiting this assumption. and poverty are relevant here and the MDG chart may also be useful. The results from the tools should provoke Opportunity 2: MKUKUTA cluster priorities and targets informal discussion of ways in which new data might best are linked sectorally through the Medium Term Expen- be captured in existing data gathering systems. The views diture Framework (MTEF) and budgeting processes, that of the district, recorded in the report written with them, are tied to financial resource allocation. will also be delivered. Potential action: The Forestry and Beekeeping Division has Final formal requests for change must come from the to make a case for its contribution to poverty reduction and Ministry of Forestry, not from the toolkit team, but much suggest indicators it could use to do so. The findings from ground can be prepared by the latter, if appropriate. Pre- the toolkit are being used to address this need. sentations should also be made to others who expressed an interest before field exercises began. These would certainly Opportunity 3: Forest and natural resources contributions include the World Bank, the other main donors interested to poverty reduction are not currently captured by the in poverty and forests and the PRS Working Groups. Household Budget Survey (HBS). Identifying opportunities for getting poverty- Potential action: However, additional forestry questions forests linkages into data collection systems are now being debated. Staff in the Ministry of Planning As the result of a toolkit exercise, a variety of opportuni- and Empowerment (the new implementing agency for the ties for having the contribution of forests and off-farm PRSP) were convinced by data from the toolkit test that natural resources to livelihoods included in current data forestry needs to be included in the HBS questionnaire. gathering may present themselves. In the case of Madagascar, the opportunities that arose were: In the case of Tanzania, the opportunities that arose were: Opportunity 1: The main policy vehicle for poverty Opportunity 1: MKUKUTA’s Cluster 1 is concerned reduction and rural development in Madagascar is the with growth and the reduction of income poverty. Madagascar Action Plan (MAP), which is a second Under this cluster, Goal 4 aims to reduce the income phase PRSP. MAP’s eight overall commitments include poverty of men and women in rural areas, with the target Commitment 4: Rural Development and a Green Revolution of ‘increased contributions from wildlife, forestry and and Commitment 7: Cherish the Environment. All sectoral fisheries to rural incomes’. Monitoring of this goal will policies come under the umbrella of MAP and aim to be via the Poverty Monitoring System (PMS), through achieve the activities and indicators set out in the MAP 28 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t master plan. Commitment 7 of MAP sets a target for Service of MEEFT could be exploited to monitor the perfor- 2012 for the expansion of land, water and marine pro- mance of forestry in achieving MAP. The Information Service tected areas from the current 1.7 million ha up to 6 mil- of MEEFT could work in partnership with the Observatoire lion ha. To achieve this target, a new program called Le Economique to work out how best to analyze and present this Système des Aires Protégées de Madagascar (SAPM) is under data to provide an effective evaluation of progress. development. Forest dependency by the rural poor— Potential action: SAPM could include indicators not only using Tool 4 to provide a national perspective on land area, but also on poverty reduction and equity, for Tool 4 provides a quantitative insight into forest product example the percentage of tourist revenues that go to local use at the village-level. However, to have impact at the communities. national level, this type of exploratory analysis needs to be supplemented by further comparative study across all Opportunity 2: Other forest-related indicators in MAP’s the sample villages in order to present a broader picture commitment 7 are reforestation, use of alternative ener- of forest product use within the national economy. It gies, reduction in burnt areas, sustainable use plans, forest should be emphasized that this analysis cannot be given control units and tracking systems. Commitment 4 of with any statistical confidence. However, the results MAP does not mention forestry explicitly, but does will still likely be of value in policy circles, as they will acknowledge non-agricultural enterprises as a com- highlight probable levels of dependence and usage of ponent of diversified rural livelihoods. A key target for forest products where often no other figures exist. This Commitment 4 is to raise rural households incomes from approach may justify more rigorous data collection subse- US$123 per household per year in 2005 to US$370 in quently to understand more fully the key issues that have 2012. The toolkit demonstrated that rural households been identified. in Madagascar gain about a third of their income from forests—but this portion of income is not included in This type of analysis should only be undertaken by com- current data collection. puter, using standard spreadsheet software. A simple, inte- grated spreadsheet was developed to answer the following Potential action: The Observatoire Economique (the agency five questions, which emerged from an analysis of the four in charge of collecting economic statistics for MAP) could country studies where the toolkit was tested in 2008. The include forest income within household economy data— spreadsheet template is shown at the end of this section which would not only be more accurate, but go some way and can be downloaded from the PROFOR website. towards helping the government meet ambitious targets for raising rural incomes. 1. How important are forest products to rural peoples’ livelihoods? This is a key figure with which to engage Opportunity 3: The Information service of the Min- national planners. If the contribution of forest prod- istry of Environment, Water and Forests and Tourism ucts to rural peoples’ livelihoods is very low there (MEEFT) collects regular, high-quality data relevant to would be little justification for promoting its attention forest livelihoods (e.g. resource abundance and manage- in national policy circles. A case has to be made that ment activities at commune-level), but these are not well the consideration of forest issues is a strategic prior- communicated beyond the forest sector. ity for those involved in developing national poverty reduction strategies. Potential action: The data already collected by the Information P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 29 From the country studies, it emerges that approxi- worthwhile to look at the separate statistics for the mately one third of all rural household livelihoods average contribution made by forest products to are derived from forest product use. The data from subsistence use and their average contribution to cash Cameroon showed higher levels of use. Under such income. circumstances the absence of detailed considerations of forest use within the national poverty reduction Different conditions were found to exist across the strategy would leave a large hole in such a strategy. four country studies undertaken in 2008. In Uganda and Ghana forest products are of greater importance Forest product for subsistence use. (Therefore a case could be made contribution to Poorer Wealthier in terms of the importance of their role in reducing household households house- Country livelihoods (%) (%) holds (%) the vulnerability of rural communities to external Uganda 30 31 29 shocks). In contrast, in Cameroon the sale of for- Ghana 35 35 35 est products appears to be an important commercial Cameroon 45 44 46 activity for many rural people. The situation suggested Madagascar 29 30 27 for Madagascar is that forest products are not a major source of livelihood for the agrarian communities that were sampled. Under such circumstances making the 2. How integrated with the cash economy are rural people? case for poverty-forests linkages at the national level This second question provides some insight into the will clearly require a more nuanced approach. potential for cash-based growth strategies to deliver poverty reduction in the short-term. The balance between the subsistence and cash economy across Forest product all sites can be estimated from participants’ scoring contribution to Poorer Wealthier subsistence use households house- of tool 4. Across the country case studies where the Country (%) (%) holds (%) toolkit was tested, it can be seen that up to one half of Uganda 43 40 45 rural peoples’ livelihoods is cash-based; the remainder Ghana 49 49 50 never enters the cash economy. Clearly different pov- Cameroon 41 44 39 erty reduction strategies may be appropriate in coun- Madagascar 37 39 34 tries such as Madagascar’s largely subsistence-based economy compared to that of the more monetized Forest product economies of Ghana and Uganda. contribution to Poorer Wealthier cash generation households house- Country (%) (%) holds (%) Country Subsistence use (%) Cash generation (%) Uganda 18 23 13 Uganda 52 48 Ghana 21 23 20 Ghana 51 49 Cameroon 49 45 53 Cameroon 59 41 Madagascar 16 15 16 Madagascar 63 37 3. Are forest products more important for subsistence or 4. Is the balance between subsistence use and cash gen- cash generation? In addition to reviewing the com- eration similar for agricultural crops and forest prod- bined contribution of forest products, it is also ucts? The ratio of subsistence to cash for agricultural 30 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t crops and separately for forest products is a useful (a) in Ghana comparison that helps to explain the ‘visibility’ of n As a contribution to cash income, forest products are forest products in the national economy. For example, more important for women than for men. This holds in both Uganda and Ghana the contribution of for- as incomes (i.e. wealth status) rise. Forest products est products to cash income is much less than for represent a significant source of cash for poor women. agricultural products, which may help to explain their Income earned from the sale of forest products rep- limited consideration in the first iteration of these resented 20-30% of poor women’s’ total livelihood in countries’ PRSPs. For Cameroon and Madagascar the two of the sample villages. situation is reversed, with forest products playing a n For cash income, the northern savannah forests (sur- greater contribution to peoples’ cash income. rounding the villages of Siisi and Dagare) appear to provide a greater contribution to rural livelihoods Ratio of subsistence Ratio of subsis- than the southern high canopy forests. This is closely to cash for tence to cash for Country agricultural crops forest products related to the presence of a forest product (the shea Uganda 1:1 3:1 nut tree—Vitellaria paradoxa) that can be readily com- Ghana 1:1 2:1 mercialised by individuals (mostly women). Cameroon 2:1 1:1 Madagascar 2:1 1:1 (b) in Uganda n In the south-west villages (Ncundura and Muhindura) poor men from the Abatwa culture make consider- 5. Forest product contribution to cash income. The above able commercial use of forest products due to their tables provide some ‘headline’ figures around which intimate knowledge of the forest. This is despite many various policy messages can be constructed that will of them having been evicted from statutorily pro- be of interest at the national level. However, the analy- tected forest areas. Without access to land, government sis of tool 4 can go one step further and provide a is faced with a major challenge to secure for them graphical summary across sites and by wealth and gen- alternative sources of livelihood. Land disputes—and der. Gender, in particular, is recognized as an impor- continuing forest loss—can be expected to continue tant determinant of wealth status and so current use of until there is a resolution of their situation. forest products by gender may provide some clues for further interesting lines of enquiry. (c) in Cameroon n The relative high levels of cash generation from forest The four charts that follow are automatically products in Mapanja village are related to the presence of produced on completion of the standard project a high value forest product: the bark of Prunus africana. spreadsheet to show how the cash component of respondents’ combined income from forest products Preparation of a national briefing paper varies across respondent groups and sample sites Once all the analysis is complete, it is necessary to (similar charts are also produced for the non-cash draw some conclusions and present these in a briefing component). paper that will hold the attention of those involved in policy development. The target audience of this paper These graphs can highlight interesting patterns of forest will be those decision-makers at national level, within product use that can be developed into policy messages the civil service (most importantly in the agencies for consideration at the national level. For example: responsible for poverty reduction strategies, forestry P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 31 FOREST PRODUCT CONTRIBUTON TO CASH INCOME FOREST PRODUCT CONTRIBUTON TO CASH INCOME UGANDA CAMEROON 50% 200% 40% 150% 30% 100% 20% 50% 10% 0 0 Nyantonzi Kasenene Ncundura Muhindura Massea Malea Mapanja Woteva/ (Masindi) (Masindi) (SW) (SW) (South East) Ancien (Mt. Lysoka (South East) Cameroon) (Mt. Cameroon) FOREST PRODUCT CONTRIBUTON TO CASH INCOME FOREST PRODUCT CONTRIBUTON TO CASH INCOME GHANA MADAGASCAR 80% 40% 70% 35 60% 30% 50% 25 40% 20% 30% 15 20% 10% 10% 5 0 0 Siisi Degare Assin Mampong Onyadze Ambina- Ampasi- Ambodi- Ambodi- (Upper (Upper Akropong (Central) (Central) nindrano potsy manga bonara East) East) (Central) Wealthy Men Wealthy Women Poor Men Poor Women 32 overv IeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t and collection of statistics) and in parliament. Second- should be consulted at the beginning of drafting the ary audiences are decision-makers at the international paper and the findings discussed to identify the key level (e.g. World Bank) and sub-national level (e.g. policy messages and the evidence on which these District Officers). messages are based. Where the exercise is sponsored by the World Bank, the WB person in-country The purpose of the briefing paper is to provide should also be brought on board early on for national-level policy makers with the key messages similar reasons. and recommendations that arise from the toolkit. The policy brief will achieve this purpose by linking the Overall, it is suggested that the policy brief: field results with national-level policy priorities and n Be concise (a maximum 8 pages, but aim for less) processes. The briefing paper that was used in Uganda is n Be laid out attractively, using colour and professional provided as a sample in this toolkit, just following layout if possible this Overview. n Include maps, photos and diagrams as far as space allows n Provide clear evidence for assertions made It is important to identify a champion for this policy n Concentrate on 4-6 key policy messages rather than paper, someone who has sufficient standing so as to attempt a comprehensive report of all the results of influence the national policy process. This person the toolkit P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 33 n Use text boxes for all non-critical information, so that but it may be relevant to make a strong point on this readers can move through the document quickly on in certain countries, e.g. in Madagascar where there their first reading is little or no financial and institutional allocation to livelihoods issues in forestry, only conservation). Suggested table of contents: 1. Recommendations for policy (conclusions) 2. Introduction: rationale and approach 2. Introduction: rationale and approach This requires one punchy paragraph on why the policy 3. Poverty & forestry context: status and policy brief matters and what gap it is trying to fill.You could 4. Key findings of the toolkit use a general approach (e.g. forestry has a low profile within 5. Further information national policies and strategies for poverty reduction. But forestry is very important in people’s livelihoods—it is just that this Content within each of these sections: contribution is difficult to recognise and quantify…etc) or a 4. Recommendations for policy nationally specific approach (e.g. Cameroon is in the process of designing and implementing a new PRSP. Forestry has This section should be written last, but should appear an important role in rural people’s livelihoods, but this is not first, at the front of the policy brief. It needs to contain a well documented or quantified…etc). Any additional mate- limited number of clear, hard-hitting messages, presented rial considered critical to the story can go here—but it as bullet points. This section should be used to relate the should be kept brief. toolkit findings to policies, institutions and indicators. Relevant points will be country specific, however impor- 3. Poverty & forestry context: status and policy tant areas to include might be: (a) Status and links:What is the poverty status of the coun- try? This should include the basic statistics on numbers of n Governance: do the findings suggest that decisions on people in poverty, depth of poverty, distribution geographi- forestry should be taken in different ways, e.g. new cally or in different segments of society and include a pov- kinds of inter-sectoral links or a different balance erty map.What is the status of forest cover in the country? between national-level and local-level authority? This requires a basic description of forest cover types and n Information and coordination: do the findings suggest another map. Other forestry statistics or issues may also be a need for coordinating the viewpoints of various included, such as contribution to GDP, allocation from the agencies (e.g. different definitions and comprehension annual government budget, or the relative role of large-scale of forest products or forest functions, how small-scale and small-scale enterprises.This must be very brief, identify- forestry is included in GDP calculations or other eco- ing the strategic and contentious issues only, e.g. is illegal use nomic data)? a major issue? Are there conflicts in rural areas over access n Indicators: do the findings suggest any new indicators rights? Finally, are there any clear correlations and links for the PRS, census, MDGs, district-level data collec- between incidence of forestry and distribution of vegetation tion etc? Or, alternatively, different interpretations of types? (Answer is likely to be “no� in most countries). current statistics? n Budget allocations: do the findings suggest that (b) Policy and indicators: What are the main policy national budget allocations to forestry as a whole, or vehicles for poverty reduction and rural development? sub-allocations within forestry should be adjusted, and (PRSP-equivalent & others; MDGs, if relevant) Is for- how? (This is an ambitious area in which to comment, estry part of these strategies? Explain. What indicators 34 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t are used to measure trends in poverty? Are any of the rich men) before drawing out a finding to go into indicators related to forest livelihoods? Next, what are the policy brief—if there are differences, comment the main forest policy priorities and processes, and are on them, and (b) check results against policy issues— livelihoods and poverty reduction included or excluded? how does the finding inform policy and is the same Explain. What indicators are used to measure trends in language being used as that of policy makers? forests and forestry? These are important. Try to find the ‘forest’ indicators in the PRSP monitoring system and Depending on the nature of debate in country, there may highlight in a text box. Comment on their power to or may not be the need to include some discussion to capture the critical issues that have already been raised. demonstrate the applicability of the site-level results to Are any of the indicators related to forest livelihoods? the national level. Only include this material if you think It may be useful to include a diagram of the key policy the policy brief will be rejected by policy makers because processes and institutions and the links between national it is “not representative� or “irrelevant,� e.g. and sub-national levels. n To what extent the sites are representative of the 4. Key findings of the toolkit country as a whole (or representative of the areas The key relevant findings for policy makers should then where people have forest-dependent livelihoods) be highlighted. It is difficult to give precise guidance here n Comparison of the definitions used by local people because what policy makers will need to hear will differ and by the project compared to definitions in national from country to country. Some tips are: policy statements (such as “poor� or “forest product�) n Make points that policy makers are unlikely to know 5. Further information already, or are in dispute (e.g. they probably don’t need Provide a clear set of contacts for further information to be told “People use firewood for cooking and graze (name, email and phone number), acknowledge support their cattle in the forest�). received and note the link to the PROFOR website, n Use the “rule of seven� (7 = the number of points so that anyone can download the entire toolkit (currently people can comfortably absorb and hold at one time) http://www.profor.info/content/livelihood_draft_ to guide the number of findings that are presented. toolkit.html) n Include points in two areas: (a) how people use forests (from tools 2-5) and (b) people’s perceptions of forest Dissemination problems and solutions, sticking to the solutions that When the briefing paper is complete, its writers and its national-level policy makers are able to address (from sponsor should make every effort to disseminate it, to pres- tools 6-7). However, there is no need to report on ent it widely and to engender discussion of the need for a every tool used. higher profile for forests in the context of poverty. A series n Draw attention to any important differences among of launch events should be planned, with presentations in different types of people (by gender and wealth class) both government and non-governmental venues.25 and different localities (overall forest type, and con- trasts between nearby villages) The World Bank can help to further raise the profile of n Go back and check! (a) Check results across all sites forests in the PRSP, by ensuring that its Joint Staff Assess- and all groups (poor men, poor women, rich women, ments flag up the toolkit process and its results to the 25 Make sure that each district that contributed to the exercise gets several copies. P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 35 Boards of the IMF and the World Bank, and even more Finally, multi-country comparisons of toolkit findings in importantly in the feedback provided to countries to several countries will be of great value. help them to improve their strategies. The Bank can also help by encouraging the PRS secretariat and Board in- The Policy Brief that was prepared in the context of pilot- country to make reference to toolkit findings in Annual ing this Toolkit in Uganda and used to input into national Progress Reports. processes is included in this toolkit as just one example. bacK-uP documents (to be KePt by the researcher In case any PolIcy maKers folloW uP and request more InformatIon) Annex Content Format Poverty mapping National poverty maps and rationale for Poverty maps; site location maps; criteria for site selection selection Policy mapping 1. Policy content, processes and spaces 1. Clear concise description and/or diagrams of (PRSP and forest policy) key PRSP & forest policy 2. Policy actors 2. List + organogram (see example on p24 of Toolkit Part 1) 3. Policy knowledge 3. Annotated list of existing research and policy 4. Suggested indicators for different documents (see example for Tanzania) aspects of PRSP and forest policy 4. See table on p7 of country team ToR Village write-ups Results of the toolkit exercises sum- Base on Annex 2 of Part 1 of the Toolkit marised for communication to policy makers Raw data from villages Copies of original data sheets from As per toolkit toolkit exercises Toolkit evaluation reports 1. User evaluations Use evaluation sheets supplied by international team 2. Audience /Participatory evaluations (village, district, national) 36 overv IeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t a nne X one STATuS Of PRSPS AS Of AuGuST 2008, WITh NfP STATuS AND WORLD BANK cOuNTRy INcOME cLASSIfIcATION countrIes Involved In PrsPs (as of auGust 2008) toGether WIth nfPs and World banK country Income classIfIcatIon Country PRSP Partnership with NFP Country Region classification experience facility Benin AFR low income PRSP II (2008) 2007 Burkina Faso AFR low income PRSP II (2004) 2007 Burundi AFR low income PRSP (2006) No Cameroon AFR lower middle income PRSP (2003) No Cape Verde AFR lower middle income PRSP II (2008) No CAR AFR low income PRSP (2006) No Chad AFR low income PRSP (2003) No Comoros AFR low income I-PRSP (2005) No Congo DR AFR low income PRSP II (2007) 2003 Congo Rep. AFR lower middle income I-PRSP (2004) 2004 Cote d’Ivoire AFR low income I-PRSP (2002) No Ethiopia AFR low income PRSP (2002) 2007 G. Bissau AFR low income I-PRSP (2000) No Gambia AFR low income PRSP II (2007) No Ghana AFR low income PRSP II (2005) 2003 Guinea AFR low income PRSP II (2006) 2007 Kenya AFR low income PRSP (2004) 2003 Lesotho AFR lower middle income PRSP II (2006) 2003 Madagascar AFR low income PRSP II (2007) No Malawi AFR low income PRSP II (2006) 2002 Mali AFR low income PRSP II (2008) 2003 Mauritania AFR low income PRSP II (2006) No Mozambique AFR low income PRSP II (2006) 2003 Niger AFR low income PRSP II (2008) 2003 Nigeria AFR low income PRSP (2005) 2002 Rwanda AFR low income PRSP II (2008) 2003 38 ove rvIeW P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t countrIes Involved In PrsPs (as of auGust 2008) toGether WIth nfPs and World banK country Income classIfIcatIon Country PRSP Partnership with NFP Country Region classification experience facility Sao Tome/Pr AFR low income PRSP II (2005) No Senegal AFR low income PRSP III (2007) 2003 Sierra Leone AFR low income PRSP (2005) 2007 Tanzania AFR low income PRSP II (2005) 2002 Uganda AFR low income PRSP II (2005) 2003 Zambia AFR low income PRSP III (2007) 2005 Cambodia EAP low income PRSP II (2005) 2007 Indonesia EAP lower middle income I-PRSP (2003) 2003 Lao PDR EAP low income PRSP (2004) 2007 Mongolia EAP low income PRSP (2003) 2002 Timor Leste EAP low income PRSP (2002) No Vietnam EAP low income PRSP II (2006) 2005 Afghanistan SA low income PRSP (2008) No Bangladesh SA low income PRSP (2005) No Bhutan SA low income PRSP (2004) No Nepal SA low income PRSP (2003) 2007 Pakistan SA low income PRSP (2003) 2004 Sri Lanka SA lower middle income PRSP (2002) No Djibouti MENA lower middle income PRSP (2004) No Yemen MENA low income PRSP (2002) No Bolivia LAC lower middle income PRSP (2001) No Dominica LAC lower middle income PRSP (2006) No Grenada LAC upper middle income I-PRSP (2006) No Guyana LAC lower middle income PRSP (2002) No Haiti LAC Low income PRSP (2008) Honduras LAC lower middle income PRSP (2001) 2003 Nicaragua LAC lower middle income PRSP II (2005) 2005 Albania ECA lower middle income PRSP II (2008) No Armenia ECA lower middle income PRSP (2003) 2005 Azerbaijan ECA lower middle income PRSP (2003) No Bosnia-Herz ECA lower middle income PRSP (2004) No Georgia ECA lower middle income PRSP (2003) 2004 P o v e r t y- f o r e s t s l I n K a G e s t o o l K I t overvI eW 39 countrIes Involved In PrsPs (as of auGust 2008) toGether WIth nfPs and World banK country Income classIfIcatIon Country PRSP Partnership with NFP Country Region classification experience facility Kyrgyzstan ECA low income PRSP (2002) 2005 Macedonia ECA lower middle income I-PRSP (2000) No Moldova ECA lower middle income PRSP II (2008) No Serbia and Mont. ECA lower middle income PRSP (2004) No Tajikistan ECA low income PRSP (2002) No Uzbekistan ECA low income PRSP (2007) 2007 ACRONYMS dEVELOPING COUNTRIES WhICh ARE NOT ENGAGEd IN I-PRSP Interim PRSP ThE PRSP PROCESS BUT WhICh ARE ACTIVE PARTNERS PRSP (Year) First PRSP (date) OF ThE NFP FACILITY: PRSP II (Year) Second generation PRSP (date) PRSP III (Year) Third generation PRSP (date) Upper Middle Income AFR Sub-Saharan Africa Region Equatorial Guinea, South Africa, Chile, Palau EAP East Asia and Pacific Region ECA Europe and Central Asia Lower Middle Income LAC Latin America and Caribbean Morocco, Namibia, Tunisia, China, Thailand, Philippines, Vanu- MENA Middle East and North Africa Region atu, Colombia, Cuba, Ecuador, Guatemala, Jamaica, Paraguay SA South Asia Region Low Income Source: http://go.worldbank.org/3H3F9VITD0 Sudan Recent partners in NFP Facility WORLd BANk COUNTRY INCOME CLASSIFICATION Angola, Belize, Dominican Republic, El Salvador Low income $875 or less Lower middle income $876-3,465 Upper middle income $3,466-10,725 a nne X t Wo fuRThER READING ON fORESTS AND POVERTy Angelsen, A. and Wunder, S. 2003. Exploring the forest-pov- Mayers, J. and Vermeulen, S. 2002. Power from the trees: how erty link: key concepts, issues and research implications. good forest governance can help reduce poverty. Sustain- CIFOR Occasional Paper 40. Center for International Forestry able Development Opinion Paper. International Institute for Research, Bogor, Indonesia. Environment and Development, London, UK. Arnold, J.E.M. and Bird, P. 1999. Forests and the poverty Oksanen, T., Pajari, B. and Tuomasjukka, T. (eds). 2003. Forests nexus. Profor paper prepared for the UNDP/EC Expert in Poverty Reduction Strategies: capturing the poten- Workshop on Poverty and the Environment, Brussels, Belgium, tial. EFI Proceedings 47. European Forest Institute, Joensuu, January 20-21 1999. Program on Forests, Washington DC, USA. Finland. Note: This publication comprises several chapters by different authors on the theme of forestry and poverty reduc- Bird, N. and Dickson, C. 2005. Poverty reduction strategy tion. papers: making the case for forestry. Policy brief. Over- seas Development Institute and Zoological Society of London, Roda, J-M., Mutamba, M., Campbell, B., Kowero, G., Clarke, London, UK. M., Gonzales, L.A., Mapendembo, A., Oka, H., Shackleton, S., Vantomme, P. and Yiping, L. Forests-based livelihoods and Cavendish, W. 2003. How do forests support, insure and poverty reduction: paths from local to global develop- improve the livelihoods of the rural poor? A research ment. Pp 75-96 in G. Mery, R. Alvaro, M. Kanninen, M. Lobo- note. Poverty and Environment Network Working Paper. Cen- vikov, (eds.). Forests in the global balance—changing paradigms. ter for International Forestry Research, Bogor, Indonesia. IUFRO World Series No. 17. International Union of Forest Research Organizations,Vienna, Austria. Chambers, R. and Leach, M. 1987. Trees to meet contingen- cies: savings and security for the rural poor. ODI Social Shackleton, C.M., Shackleton, S.E., Buiten, E. and Bird, N. Forestry Network Paper 5a. Overseas Development Institute, 2007. The importance of dry woodlands and forests in London, UK. rural livelihoods and poverty alleviation in South Africa. Forest Policy and Economics 9: 558-577. Chomitz, K.M., Buys, P., de Luca, G., Thomas, T.S. and Wertz- Kanounnikoff, S. 2007. At loggerheads? Agricultural Sunderlin, W., Angelsen, A. and Wunder, S. 2003. Forests and expansion, poverty reduction and environment in tropi- poverty alleviation. Pp 61-73 in FAO State of the world’s cal forests. World Bank Polict Research Report. World Bank, forests. Food and Agriculture Organization of the United Washington DC, USA. Nations, Rome, Italy. FAO 2006. Better forestry, less poverty: a practitioners’ Sunderlin, W., Dewi, S. and Puntodewo, A. 2007. Poverty and guide. FAO Forestry Paper 149. Food and Agriculture Organi- forests: multi-country analysis of spatial association and zation of the United Nations, Rome, Italy. proposed policy solutions. CIFOR Occasional Paper 47. Center for International Forestry Research, Bogor, Indonesia. Kaimowitz, D. 2002. Not by grain alone... Woodlands and rural livelihoods in dryland Africa. CIFOR Infobrief 4. Wunder, S. 2001. Poverty alleviation and tropical forests— Center for International Forestry Research, Bogor, Indonesia. what scope for synergies? World Development 29: 1817- 1834. Macqueen, D., Barrance, A. and Holt, G. 2001. Common problems of the forest-dependent poor and priority research and development themes to address them. International Forestry Review 3: 105-120. A NNE X T HR E E SpreadSheet template uSed to provide NatioNal overview, aNd worked example from ugaNda WORKED EXAMPLE FROM UGANDA Poor women Poor men Wealthy women Wealthy men Nyantonzi (Masindi) Cash income 40 Cash income 35 Cash income 75 Cash income 46 48 % cash income Farm - crops 30 Farm - crops 29 Farm - crops 63 Farm - crops 35 Farm - animals Farm - animals Farm - animals Farm - animals Forest 9 23 Forest 4 11 Forest 0 0 Forest 6 13 Percentage contribution to cash income Other 1 Other 2 Other 12 Other 5 13 Wealthy 23 Poor Non-cash income 60 Non-cash income 65 Non-cash income 25 Non-cash income 54 18 Combined Farm - crops 43 Farm - crops 40 Farm - crops 10 Farm - crops 6 Farm - animals Farm - animals Farm - animals Farm - animals Forest 4 7 Forest 24 37 Forest 13 52 Forest 42 78 Percentage contribution to non-cash income Other 13 13 Other 1 28 Other 2 13 Other 6 48 45 Wealthy 40 Poor Total 100 100 100 100 43 Combined Kasenene (Masindi) Cash income 52 Cash income 32 Cash income 43 Cash income 23 Percentage contribution to combined Farm - crops 44 Farm - crops 21 Farm - crops 34 Farm - crops 17 29 Wealthy Farm - animals Farm - animals Farm - animals Farm - animals 31 Poor Forest 4 8 Forest 9 28 Forest 5 12 Forest 4 17 30 Combined Other 4 Other 2 Other 4 Other 2 Non-cash income 48 Non-cash income 68 Non-cash income 57 Non-cash income 77 Farm Ratio Farm - crops 30 Farm - crops 47 Farm - crops 40 Farm - crops 38 Subsistence total 455.0 Farm - animals Farm - animals Farm - animals Farm - animals Cash total 506.0 0.9 Forest 18 38 Forest 21 31 Forest 17 30 Forest 39 51 Other 22 Other 30 Other 22 Other 43 Forest Subsistence total 350.0 Total 100 100 100 100 Cash total 132.0 2.7 Ncundura (SW) Cash income 67 Cash income 36 Cash income 30 Cash income 37 Farm - crops 26 Farm - crops 16 Farm - crops 16 Farm - crops 22 Farm - animals Farm - animals Farm - animals Farm - animals Forest 15 22 Forest 19 53 Forest 1 3 Forest 8 22 Other 26 Other 1 Other 13 Other 7 Non-cash income 33 Non-cash income 64 Non-cash income 70 Non-cash income 63 Farm - crops 16 Farm - crops 20 Farm - crops 46 Farm - crops 41 Farm - animals Farm - animals Farm - animals Farm - animals Forest 17 52 Forest 44 69 Forest 24 34 Forest 22 35 Other 32 Other 63 Other 25 Other 30 Total 100 100 100 100 Muhindura (SW) Cash income 63 Cash income 60 Cash income 52 Cash income 76 Farm - crops 35 Farm - crops 28 Farm - crops 42 Farm - crops 48 Farm - animals Farm - animals Farm - animals Farm - animals Forest 4 6 Forest 20 33 Forest 9 17 Forest 15 20 Other 24 Other 12 Other 1 Other 13 Non-cash income 37 Non-cash income 40 Non-cash income 48 Non-cash income 24 Farm - crops 17 Farm - crops 21 Farm - crops 24 Farm - crops 16 Farm - animals Farm - animals Farm - animals Farm - animals Forest 16 43 Forest 19 48 Forest 22 46 Forest 8 33 Other 4 20 Other 39 Other 2 31 Other 23 Total 100 100 100 100 P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T OVE RVIE W SPREADSHEET TEMPLATE A B C D E F G H I J K L M N O P Q 1 Poor women Poor men Wealthy women Wealthy men 2 =SUM(C4:C7) % cash income 3 Village 1 Cash income Cash income =SUM(F4:F7) Cash income =SUM(I4:I7) Cash income =SUM(L4:L7) 4 Farm - crops Farm - crops Farm - crops Farm - crops =AVERAGE(C3,F3,I3,L3,C18,F18,I18,L18,C33,F33,I33,L33,C48,F48,I48,L48) 5 Farm - animals Farm - animals Farm - animals Farm - animals 6 Forest =+C6/C3*100 Forest =+F6/F3*100 Forest =+I6/I3*100 Forest =+L6/L3*100 Percentage contribution to cash income 7 Other Other Other Other Wealthy =AVERAGE(J6,M6,J21,M21,J36,M36,J51,M51) 8 Poor =AVERAGE(D6,G6,D21,G21,D36,G36,D51,G51) =SUM(C10:C13) =AVERAGE(D6,G6,J6,M6,D21,G21,J21,M21,D36,G36,J36, 9 Non-cash income Non-cash income =SUM(F10:F13) Non-cash income =SUM(I10:I13) Non-cash income =SUM(L10:L13) Combined M36,D51,G51,J51,M51) 10 Farm - crops Farm - crops Farm - crops Farm - crops 11 Farm - animals Farm - animals Farm - animals Farm - animals 12 Forest =+C12/C9*100 Forest =+F12/F9*100 Forest =+I12/I9*100 Forest =+L12/L9*100 Percentage contribution to non-cash income 13 Other =+C6+C12 Other =+F6+F12 Other =+I6+I12 Other =+L6+L12 Wealthy =AVERAGE(J12,M12,J27,M27,J42,M42,J57,M57) 14 Poor =AVERAGE(D12,G12,D27,G27,D42,G42,D57,G57) =+C9+C3 =AVERAGE(D12,G12,J12,M12,D27,G27,J27,M27,D42,G42, 15 Total =+F9+F3 =+I9+I3 =+L9+L3 Combined J42,M42,D57,G57,J57,M57) 16 17 18 Village 2 Cash income =SUM(C19:C22) Cash income =SUM(F19:F22) Cash income =SUM(I19:I22) Cash income =SUM(L19:L22) Percentage contribution to combined 19 Farm - crops Farm - crops Farm - crops Farm - crops Wealthy =AVERAGE(J13,M13,J28,M28,J43,M43,J58,M58) 20 Farm - animals Farm - animals Farm - animals Farm - animals Poor =AVERAGE(D13,G13,D28,G28,D43,G43,D58,G58) Combined =AVERAGE(D13,G13,J13,M13,D28,G28,J28,M28,D43,G43, 21 Forest =+C21/C18*100 Forest =+F21/F18*100 Forest =+I21/I18*100 Forest =+L21/L18*100 J43,M43,D58,G58,J58,M58) 22 Other Other Other Other 23 24 Non-cash income =SUM(C25:C28) Non-cash income =SUM(F25:F28) Non-cash income =SUM(I25:I28) Non-cash income =SUM(L25:L28) TOTALS 25 Farm - crops Farm - crops Farm - crops Farm - crops Farm Ratio Subsistence total =SUM(C10,F10,I10,L10,C25,F25,I25,L25,C40,F40,I40,L40, 26 Farm - animals Farm - animals Farm - animals Farm - animals C55,F55,I55,L55) Cash total =SUM(C4,F4,I4,L4,C19,F19,I19,L19,C34,F34,I34,L34,C49,F 27 Forest =+C27/C24*100 Forest =+F27/F24*100 Forest =+I27/I24*100 Forest =+L27/L24*100 49,I49,L49) =+P26/P27 28 Other =+C21+C27 Other =+F21+F27 Other =+I21+I27 Other =+L21+L27 29 Forest =+C24+C18 Subsistence total =SUM(C12,F12,I12,L12,C27,F27,I27,L27,C42,F42,I42,L42, 30 Total =+F24+F18 =+I24+I18 =+L24+L18 C57,F57,I57,L57) Cash total =SUM(C6,F6,I6,L6,C21,F21,I21,L21,C36,F36,I36,L36,C51,F 31 51,I51,L51) =+P30/P31 32 33 Village 3 Cash income =SUM(C34:C37) Cash income =SUM(F34:F37) Cash income =SUM(I34:I37) Cash income =SUM(L34:L37) 34 Farm - crops Farm - crops Farm - crops Farm - crops 35 Farm - animals Farm - animals Farm - animals Farm - animals 36 Forest =+C36/C33*100 Forest =+F36/F33*100 Forest =+I36/I33*100 Forest =+L36/L33*100 37 Other Other Other Other 38 39 Non-cash income =SUM(C40:C43) Non-cash income =SUM(F40:F43) Non-cash income =SUM(I40:I43) Non-cash income =SUM(L40:L43) 40 Farm - crops Farm - crops Farm - crops Farm - crops 41 Farm - animals Farm - animals Farm - animals Farm - animals 42 Forest =+C42/C39*100 Forest =+F42/F39*100 Forest =+I42/I39*100 Forest =+L42/L39*100 43 Other =+C36+C42 Other =+F36+F42 Other =+I36+I42 Other =+L36+L42 44 45 Total =+C39+C33 =+F39+F33 =+I39+I33 =+L39+L33 46 47 48 Village 4 Cash income =SUM(C49:C52) Cash income =SUM(F49:F52) Cash income =SUM(I49:I52) Cash income =SUM(L49:L52) 49 Farm - crops Farm - crops Farm - crops Farm - crops 50 Farm - animals Farm - animals Farm - animals Farm - animals 51 Forest =+C51/C48*100 Forest =+F51/F48*100 Forest =+I51/I48*100 Forest =+L51/L48*100 52 Other Other Other Other 53 54 Non-cash income =SUM(C55:C58) Non-cash income =SUM(F55:F58) Non-cash income =SUM(I55:I58) Non-cash income =SUM(L55:L58) 55 Farm - crops Farm - crops Farm - crops Farm - crops 56 Farm - animals Farm - animals Farm - animals Farm - animals 57 Forest =+C57/C54*100 Forest =+F57/F54*100 Forest =+I57/I54*100 Forest =+L57/L54*100 58 Other =+C51+C57 Other =+F51+F57 Other =+I51+I57 Other =+L51+L57 59 60 Total =+C48+C54 =+F54+F48 =+I54+I48 =+L54+L48 AcRONyMs APR Annual Progress Report produced by MKUKUTA MKUKUTA (Mkakati wa Kukuza Uchumi na governments in each year of PRS Kuondoa Umaskini Taifa) National Strategy implementation for Growth and Reduction of Poverty of Tanzania BAT British American Tobacco MTEF Medium Term Expenditure Framework BUCODO Budongo Forests Community Development Organization (Uganda) NAADS National Agricultural Advisory Services (Uganda) CAS Country Assistance Strategies (World Bank) NFA National Forestry Authority CFM Community forest management nfp national forest program CFR Central Forestry Reserves (Uganda) (nfp Facility located at FAO) CIFOR Center for International Forestry Research NGO Non-Governmental Organization CSO Civil society organization NTFP non-timber forest product ECOTRUST The Environment Conservation Trust ODI Overseas Development Institute (Uganda) OECD Organisation of Economic Cooperation FAO Food and Agriculture Organization of the and Development United Nations PEN Poverty Environment Network (CIFOR) FD Forest Department PMS Poverty Monitoring System for PRS FRA Forest Resource Assessment (conducted every five years by FAO) PPA Participatory Poverty Assessment HBS Household Budget Survey PRA Participatory Rural Appraisal IDA International Development Association PROFOR World Bank Program on Forests IFF International Forum on Forests PRS Poverty Reduction Strategy IIED International Institute for Environment PRSC Poverty Reduction Support Credits and Development PRSP Poverty Reduction Strategy Paper IMF International Monetary Fund (or Process) INGO International Non-Governmental RECOFTC Regional Community Forestry Training Organization Center for Asia and the Pacific IPF International Panel on Forests SAPM Le Système des Aires Protégées de Madagascar I-PRSP Interim PRSP SWAP Sector-Wide Approach ITTO International Timber Trade Organization TFAP Tropical Forestry Action Plan IUCN International Union for Conservation of Nature TFT Tropical Forest Trust JSA Joint Staff Assessments—documents TNC The Nature Conservancy produced by World Bank staff for reporting UNCED UN Conference on Environment on the status of a country’s current PRSP and Development LGMD Local Government Monitoring Database UNFF United Nations Forum on Forests MAP Madagascar Action Plan WCS Wildlife Conservation Society MDGs Millennium Development Goals WWF World Wide Fund for Nature FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO www.profor.info prograM on foresTs (profor) TEL: +1 (202) 458 4822 THE WORLD BANK FAX: +1 (202) 614 4822 1818 H STREET, NW EMAIL: PROFOR@WORLDBANK.ORG WASHINGTON, DC 20433 USA WEBSITE: WWW.PROFOR.INFO The Cover of This pubLiCaTion is prinTed on 50% reCyCLed wiTh 25% posT-ConsuMer fiber paper sToCk. The inTerior is prinTed on 100% posT-ConsuMer fiber reCyCLed paper sToCk. This pubLiCaTion is prinTed wiTh soy-based inks. P OV E R T Y- F O R E ST S L I N K AG E S TO O LKIT F I E LD M A N UA L The Two parTs of The profor poverTy-foresTs Linkages TooLkiT The toolkit provides a framework, fieldwork methods and analytic tools to understand and communicate the contribution of forests to the incomes of rural households. It is presented in two parts. parT 1 ThE NATIoNAL LEvEL Purpose: Part 1 discusses and guides the networking and research that is needed at national level to understand and communicate the contribution of forest products to rural livelihoods. Users: Part 1 is intended for the researchers, government officials, staff of national or international NGOs, or consultants who are involved in taking responsibility for the use of the Poverty-Forests Linkag- es Toolkit at national and local levels. Part 1 also provides the necessary foundation for building relation- ships and buy-in from decision makers in the audiences described above. Content: Part 1 provides information on the overall use of the toolkit, an overview of Poverty Reduc- tion Strategies and national forest programs, advice on how to link with key policy makers and officials, and guidance on how to make sure the toolkit fits appropriately into both the country’s general poverty reduction process and into the forest sector’s commitments and interests. It also suggests means of communicating the findings of Part 2 effectively at district and national levels. parT 2 ThE FIELD MANUAL Purpose: Part 2 gives detailed guidance on carrying out fieldwork at village-level to assess the contribu- tion of forest products to rural livelihoods. Users: Part 2 is aimed at the groups gathering data in the field - NGOs, CSOs and local-level officials. It is adapted to local capacity and assumes that members of this audience will need initial training in the use of the toolkit in the field, but that they would be able to manage the process alone on a subsequent occasion. Content: Part 2 gives suggestions for site selection, pre-field planning and organization of the field vis- its. It goes on to describe the field tools, with instructions for their use, providing all the charts needed together with examples illustrating the data they generate. There are full explanations of the purpose of each tool, the materials needed for each, and problems to look out for. The language and explanations have been made as simple and clear as possible. Part 2 is designed so that it can be used as a free-standing manual for use in the field. P OV E R T Y- F O R E ST S L I N K AG E S TO O LKIT F I E LD M A N UA L Acronyms ii 1 Pre-field planning Introduction 1 Selecting field locations 1 How many sites to select? 3 Making initial contact with district level officials 3 2 The field visits Timeline for the field visits 5 Organizing and training facilitators 6 Working with district officials 7 Working with village leaders 8 Working with the group of 40 participants 9 Rationale for field methodology 10 3 The field tools 11 4 Presenting the results at local level 13 Annex 1: The Poverty-Forests Toolkit - 15 Showing What Forests Mean to the Poor Annex 2: Example of a training program 17 for toolkit facilitators: Ghana 4 f i eL D ManUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T Acro N yM s APR Annual Progress Report produced by LGMD Local Government Monitoring Database governments in each year of PRS MDGs Millennium Development Goals implementation MKUKUTA MKUKUTA (Mkakati wa Kukuza Uchumi na BAT British American Tobacco Kuondoa Umaskini Taifa) National Strategy BUCODO Budongo Forests Community Development for Growth and Reduction of Poverty of Organization (Uganda) Tanzania CAS Country Assistance Strategies (World Bank) MTEF Medium Term Expenditure Framework CFM Community forest management NAADS National Agricultural Advisory Services (Uganda) CFR Central Forestry Reserves (Uganda) NFA National Forestry Authority CIFOR Center for International Forestry Research nfp national forest program CSO Civil society organization (nfp Facility located at FAO) ECOTRUST The Environment Conservation Trust NGO Non-Governmental Organization (Uganda) NTFP non-timber forest product FAO Food and Agriculture Organization of the United Nations ODI Overseas Development Institute FD Forest Department PEN Poverty Environment Network (CIFOR) FRA Forest Resource Assessment PMS Poverty Monitoring System for PRS (conducted every five years by FAO) PPA Participatory Poverty Assessment HBS Household Budget Survey PRA Participatory Rural Appraisal IDA International Development Association PROFOR World Bank Program on Forests IFF International Forum on Forests PRS Poverty Reduction Strategy IIED International Institute for Environment PRSC Poverty Reduction Support Credits and Development PRSP Poverty Reduction Strategy Paper (or Pro- IMF International Monetary Fund cess) INGO International Non-Governmental RECOFTC Regional Community Forestry Training Cen- Organization ter for Asia and the Pacific IPF International Panel on Forests TFT Tropical Forest Trust I-PRSP Interim PRSP UNCED UN Conference on Environment ITTO International Timber Trade Organization and Development IUCN International Union for Conservation UNFF United Nations Forum on Forests of Nature WWF World Wide Fund for Nature JSA Joint Staff Assessments—documents produced by World Bank staff for reporting on the status of a country’s current PRSP 1 s ec T i o n one P rE-FIELD PL ANNIN g inTroDUcTion This field manual will usually come into play once the national-level analysis explained in Section 2 of Part 1 is complete. Alternatively, a local organization may wish to use Part 2 of the toolkit for an independent analysis. Ei- ther way, this field manual is designed as a self-contained manual to guide all of the steps of the field exercise. Readers intending to apply the toolkit in the field should read the whole manual before beginning. It cannot be stressed too strongly that data generated by these tools cannot directly be turned into questions for the government’s existing data gathering process, but are used rather to highlight the need for additional questions in government data gathering, and to help frame the top- ics which they would need to cover. The purpose of the exercise is rather the building of a national picture made up of small-scale forest-focused PRAs from a variety of locations. Section 3 of Part 1 of this toolkit indicates how Field sites should be selected to provide policy makers such a national picture can be compiled. with the best possible “snapshot� of poverty and forestry situations in their country. The recommended approach seLecTing fieLD LocaTions is to use purposive sampling to capture the range of conditions within the country. Purposive sampling The toolkit is intended as a first step in a process which (subjective selection of sites according to a set of selec- could lead to better data collection by a Forestry De- tion criteria) means that the results of the toolkit will not partment, so that the real contribution of forests to the show the whole of the national situation in the way that nation and its citizens can be better understood. It deliv- a fully randomized sample would. Instead, the toolkit will ers local-level “snapshot data� on forest reliance and the highlight particular issues that more formalized statistical livelihood and poverty reduction contribution of forests. exercises may need to include in future. If the research This is the first qualitative step in a process intended to team does have sufficient resources available, then it is make the case of the importance of forests and so lead certainly possible to use a fully randomized sample of to the gathering of more quantitative data on the role of study sites, which will give a statistically robust assess- forests in the incomes of the poor in the future. ment of average forest dependence across the country, 2 f i e LD ManUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T The basic set of criteria—poverty, forest type, tenure— means that, if the data (census maps, vegetation maps, tenure/administration maps) are available, the study sites will be selected to include: (i) sites in the poorest areas of the country (ii) sites across a range of forest types (iii) sites that differ in forest tenure Criterion (i) speaks for itself. The poorest areas of the country are likely to be located far from the capital, with infrastructure and road networks below the national av- erage in quality and availability. Many countries have up- to-date census data and poverty maps which can be used for choosing sites in the poorest parts of the country. The main challenge will be deciding on the best scale to use for site selection, and this should be discussed carefully with government staff responsible for national statistics. For example, some of the less poor districts of the coun- and of variation around this average, but this may not try may include pockets of deep poverty and, if these are be possible in many countries where the toolkit is being forest-dependent areas, it may be useful to sample them. used for the first time. Criterion (ii) might be used to make a selection of two The recommended means to generate the selection or more of the following: dense lowland forest, upland criteria for the study sites is through discussion with both forest, coastal forest, dry forest, savanna, and degraded the ministry responsible for forests and with the Poverty forest or peri-urban areas. Which types of forest are most Reduction Strategy (PRS) secretariat. They can provide relevant to rural livelihoods will depend on the country. information such as poverty and vegetation maps to In many countries, the contrast between moist and dry guide site selection, as well as guidance on any criteria forest is the most important—while a greater range and they regard as important for developing and implement- volume of forest products may be collected in moist for- ing policy. est areas, people in dry forest areas may be just as depen- dent on forest resources in terms of the overall contribu- Criteria for site selection are likely to be: prevalence tion to their income. Many countries have a system of (and/or depth) of poverty, type of forest or ecosystem, forest classification, with readily available maps, that can and type of forest tenure. Other criteria may be added be used for sampling. on the advice of the ministry responsible for forests and with the Poverty Reduction Strategy (PRS) secretariat. Criterion (iii) is important because tenurial arrange- For example, the research team in Uganda was requested ments are critical for the contribution of forests to the to sample within each of the four administrative divisions livelihoods of the poor. In many countries there may of the country in order to maximize credibility among be only one type of forest tenure applicable to all poor national policy audiences. rural people. In large parts of Asia and Africa, land and forest resources are owned by the state, with local people p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T f i eLD Man Ua L 3 allowed access as determined by a mix of state regula- an enormous country such as Indonesia, several for each tions and traditional communal rights. Where there is no of Java, Sumatra, Kalimantan, Sulawesi, and Indonesian diversity in tenurial arrangements in a country, it may be Papua would be required, without even considering possible to select a site near a protected area, a site where other areas of Eastern Indonesia. In this case, selection of community or joint forest management is being prac- only certain regions (or islands) would probably be the ticed, or a site where forests are leased to concessionaires. best way forward. It is suggested that, if resources allow, pairs of villages are interviewed in each location selected, one in a more ac- Including a pair of villages at each study site allows cessible and one in a less accessible location, further from for more efficient use of field research resources, and markets and main roads. allows for interesting comparisons at the local level, such as between villages that are more and less isolated Again, it is important to emphasize that this purposive from roads and services, or nearer to and further from a site selection will deliver toolkit results that are indica- protected forest. tive rather than a full statistical picture of the country as a whole. When presenting the results, it may be helpful Making iniTiaL conTacT wiTh DisTricT to present the toolkit findings alongside the findings of LeveL officiaLs a formal national statistical survey (government census or household survey) to provide a context for the results A preliminary task is to contact district officials by tele- and highlight site-specific findings. phone, email or through official channels to introduce relevant officials to the toolkit and the reasons for under- how Many siTes To seLecT? taking field exercises in the district. Relevant officials will certainly include, at a minimum, those concerned with The aim of the toolkit exercise is the collection of infor- natural resources and planning, together with courtesy mation from different forest contexts, and their collation calls on more senior officials. It may be necessary to into an overview of the role that forests play in the cash explain the country’s Poverty Reduction Strategy, and and non-cash incomes of the poor in the country as a it will almost certainly be necessary to explain why the whole. The series of snapshots generated is intended to contribution of forests to cash and non-cash incomes is create an interest in capturing forest and poverty data often overlooked and needs further investigation. more effectively in due course, and to serve as a basis for more detailed research. A very short, simple document (no more than two pages) should be prepared for distribution to local of- How many sites are needed for such an enterprise? Three ficials, which explains PRSPs, forests and their contri- sites might be quite adequate for a relatively homo- bution to rural incomes, the proposed toolkit exercises geneous country such as Gabon. Ten could suffice in and their purpose. Annex 1 provides an example of such Tanzania, with careful selection. However, in the case of a document. 4 f i eL D ManUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T 2 s ec T i o n T wo T hE FIELD vIs ITs TiMeLine for The fieLD visiTs The field team needs to make time for the following activities at each field site: n Meeting and working with district officials n n Organizing and training facilitators (if the decision has been made to use a different team of facilitators at each site) Implementing the field tools that require working with a small group of village leaders and villagers (Tools 1 and 2) n Meeting and working with village leaders and n Selecting and making contact with the 40 participants villagers who will be involved in the remaining field tools Estimated Visit time Activity Who is involved? Reconnaissance variable Meeting with and working with district officials (repeated Field team, district of- visit (up to 8 meetings throughout the visit) ficials, village leaders days) Meeting and working with village leaders and villagers (repeated meetings and organization of practical logistics) 3 days Organizing and training facilitators Field team + local facilitators ½ day Preparing charts and materials Field team 1 day Tool 1 Field team + village leaders ½ day Tool 2 Field team + small group of villagers 1 day Making contact with 40 participants Field team Return visit (up ½ day Tool 3 Field team + to 5 days) group of 40 villagers 1-1½ days Tool 4 Field team + group of 40 villagers ½ day Tool 5 Field team + group of 40 villagers 1 day Analyses and preparation of presentation Field team 1 day Presentation of results at village level and district level Field team + invitations to all villagers and to district officials1 1 If culturally and politically appropriate, it is a good idea to present the results at one meeting to which both the village and district officials are invited. If this is sensitive for any reason, then the results can be presented separately to the district officials. 6 f i e LD ManUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T n Implementing the field tools that involve the 40 Selection of facilitators requires care. Only people participants (Tools 3, 4 and 5) with some experience in PRA methods can adminis- n Doing analyses and preparing presentations for the ter the toolkit properly. Overall, PRA experience and village and district level “people skills� are more important qualities for field n Presenting the results at the village and district level team selection than numerical and analytic skills. Some local knowledge within the group of facilitators is also These activities could be combined into a single trip important, with knowledge of the local language and lo- to the site, but it may make more sense to divide the cal politics being more important than knowledge of the activities between a reconnaissance visit (covering all local ecology and livelihoods. Sometimes it might make preparatory activities and Tools 1 and 2) and a return sense to choose facilitators that villages will feel more re- visit (covering Tools 3-5 and the presentations of the laxed with because of their gender, age or ethnicity (e.g. toolkit results at village and district levels). The decision groups of poor rural women often feel more comfort- on the number of visits and the length of each visit will able being facilitated by an older man rather than by a obviously depend on a number of factors including the younger man or woman). season (rainy or dry), important events (e.g. national or local elections), and competing demands on time for vil- If a number of sites around the country are to be covered lagers, district officials and the field team (e.g. harvest and in the field work, there are two options for choosing planting seasons, the financial year). The table below gives facilitators. The first option is a single team that goes to a rough guide to the amount of time needed for the all of the sites. The advantages are that only one training various field activities and a suggested split into a recon- session is needed, and that choosing skilled facilitators naissance and return visit. will produce consistent results, while the disadvantages are that a considerable time commitment is required organizing anD Training faciLiTaTors from each facilitator, and there may be problems with local knowledge and local language. The second option Field exercises demand a facilitator for each group, and is different teams for each site, with an opposite set of at least one supervisory team facilitator, who moves advantages and disadvantages. among groups to make sure that the tools are being applied properly, particularly if group facilitators are The best approach to selecting and training the team new to the task. This means that five facilitators are depends on the country circumstances. In the testing of required for one village exercise. These five facilitators the toolkit, the Uganda team used the same facilitators at will need to make the following time commitments all sites, taking advantage of their consistently strong skills. to carry out the field work in one village: to train for The Cameroon team, on the other hand, used two different one to three days, to facilitate the tools with villagers sets of field facilitators to deal with language differences in for three to five days, to put extra time aside if neces- different parts of the country.The Madagascar team used a sary for analysis and preparation of outputs and to group of ten facilitators, with two groups of five working in attend the village-level and/or district-level plenary at two nearby villages at the same time, and meeting up in the which the tools are presented. In addition, on comple- evenings to discuss progress; the two villages came together tion of the field work time must be set aside so that for a shared plenary presentation at the end of the week. the village report can be written up. It is best to do this immediately after the field work, whilst the les- The facilitators and government official who are going sons learned are well remembered. to observe or take part in the exercise, and the superviso- p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T f i eLD Ma n Ua L 7 ry facilitator(s) should spend one to three days in training with national levels of government. District officials before the field exercise, depending on their level of ex- can help in turn with introductions, advice on field perience with PRA techniques. Training should include sites, and local information such as maps, surveys and the following components: policy documents. n Understanding the purpose of the overall toolkit and In terms of information gathering, the first task is to of each tool ask for any background data available at the district n Going through the steps of the tool, discussing any level such as maps, copies of previous forest or pover- issues of content or of facilitation that might arise ty-related surveys, project documentation and regular for each data recording exercises (e.g. logs of forest law in- n Drawing the charts and understanding how they are fringements). Local population and per capita income to be filled in figures should be sought, along with any other data n Clarifying any issues of language, such as the most available on the distribution and nature of poverty in appropriate translations of terminology in the toolkit the district. into the local language n Deciding on shared definitions of forest products The second task is to arrive at an understanding of among all facilitators (including deciding whether and the role of district level government with regards how these should fit with any definitions in national to the national level. This will depend in part on policy; e.g. can fish be a forest product?) whether or not decentralization has taken place. In n Directly practicing each of the tools, through run- many countries, the district/provincial level is now throughs and role-plays, including practice in using critical in implementing policies and taking respon- the charts and doing the calculations sibility for the management of resources. This makes n Agreeing practical logistics, such as the materials the district/provincial level personnel’s task more needed for each day, the timing of breaks and lunch, complex, as they need to understand local people’s and so on. needs and priorities, to interpret national policies to them, and to develop working plans and activities that An example of a country level training exercise is de- take account of both. scribed in Annex 2. For this analysis, it is necessary to understand: working wiTh DisTricT officiaLs n which decisions can be taken locally and which must be referred upward; The first contact at the district level will be with the n what data is collected and used locally, and what is district officials with whom initial contact has already collected to be sent to the national level; been made (see Section 1.4). The district level is n the data currently collected, particularly on the forest/ likely to be a key level of decision-making and hence natural resources/agricultural sectors and on poverty an important proponent in the implementation of the and/or household incomes; toolkit and the uptake of its results. The field team n the annual budgeting and planning timetable which should aim to collaborate closely with district officials dictates when data is collected, when it is collated, and help them get the best possible information from and when it is forwarded to the national level; and the toolkit implementation in their area to inform n to which ministry or other body at the national level their policy decisions and their communications the data is sent. 8 f i eL D Ma nUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T The next steps are to: factor might be important in making a final selection. n obtain copies of the forms which are used for sector It will be necessary to make contact with the local of- data collection; ficials below the district level who have responsibility for n interview one or two of the data gatherers who com- the immediate area where the toolkit exercise will be plete forms at sub-district level; conducted. If possible, a forestry official or some other n interview at least one of the data collators at the official from this bottom level should participate in the district level, who compile the reports that are sent to toolkit exercise.3 the national level; n develop an understanding of the local use (if any) of working wiTh viLLage LeaDers the data for planning or monitoring purposes; and n if a computer program is used for this purpose, find When district level enquiries and pre-planning and train- out what the program is and how it is being used. ing are complete, the team is ready to make a preliminary visit to the village selected, to meet village officials, and The third task is to understand the relationship the dis- to explain the process which will be followed. An inter- trict government has to the inhabitants. Are there further mediary will be needed to introduce the toolkit team to government levels (sub-district, ward, and village) that the village authorities: a district level official, or a leader have a more direct understanding of local conditions of an NGO or a project known to village leaders. than do district level officials? What is the protocol for making contact with them? How and how often do they The team needs to explain to village leaders the pur- report to the district level? pose of the toolkit, the tools to be used, and what will be asked of different sets of villagers: the leaders, the With these preliminary enquiries out of the way, the village as a whole, and the 40 participants selected for fourth task is to discuss with district officials2 and others Tools 3-5. A timetable can then be arranged to fit with an appropriate location for the application of the toolkit. village commitments and activities (there will probably Through consultation, it should be possible to pick areas: be a reluctance to take part in toolkit activities on market n with some forest cover, days, or on days normally allocated to church or mosque, n not too near to district headquarters, for instance). The 40 participants will need to be able to n with infrastructure and road networks probably below spare about three days for Tools 3-5, either in a single average in quality and availability for the area, and block or broken up to fit into their schedules. n with a high incidence of poverty. Explanations need to be made about the national level If there is an intermediary institution such as an NGO or PRS process: what it is for, and how it is intended that project to facilitate access to villages in particular areas, this the activities undertaken in the village will be made use 2 Several of the reviewers of this toolkit have warned of the bias which may creep in as a result of too close an association with local officials. It is our view, however, that the toolkit is at all points a training and capacity building exercise, not a research exercise. In that light, it is important to work through the criteria for village selection with local officials, and help them to understand the logic of the choices finally made – choices which hopefully they have contributed to. 3 If intermediaries (NGOs, researchers) helping with the application of the toolkit as facilitators advise that villagers will feel unable to speak up about local problems in front of even very junior officials, the answer is to invite such officials on the first day of the exercise only. Thus, it is best to not invite officials to the days when tools generate a discussion of problems and solutions. Where possible, though, it is better if bottom-rung forest officers, in particular, can be present to learn and to gain insight into the complexities of local problems. p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T f i eLD Man Ua L 9 of at the national level. It should be clearly pointed out Villagers may start off rather shy, needing help and that the toolkit exercise will not lead to direct benefits prompting to give their responses. This may be particu- for the village. Nor is it the preliminary stage of a project. larly true of women’s groups, and it is often best to put the most experienced, and possibly the older facilitators Since it will not lead to direct benefits, it is essential to with women’s groups. compensate villagers for their time. One way of doing so is to provide participants with food during the exercise. How concepts are explained in the local language is a Providing, for example, “luxury� foods from town (rice, major determinant of the outcomes and success of the cold drinks) and paying for the slaughter of animals for toolkit—so it is worth dedicating time during training to roasting, usually works well. Field teams may consider choosing good translations for key concepts. The Cam- compensating the 40 participants directly for their time eroon team took time during training to translate key or transport costs—the ethics and practicalities of this vocabulary and concepts in the local language Pidgin. will be very much site-dependent. All these issues need The Madagascar team undertook a similar exercise, into to be planned with the village leaders. Malagasy (attentive to the local dialect of Malagasy at the two sites) and prepared all of the charts in Malagasy. In working wiTh The groUp of Ghana, all discussions took place in the local language 40 parTicipanTs (Twi), with reporting in English. This proved acceptable to villagers who although they were bilingual felt more Start the work with the 40 participants at a short comfortable speaking in their own language. plenary, on the first day, before breaking into groups. Use this meeting to make introductions, to explain the If there will be a language problem (this may be a purpose of the exercise, to give an estimate of how long problem when women do not speak an intermediary the exercises will take each day, and to agree practical language) it is important to make sure that facilitators details regarding where each group will sit, and ar- rangements for meals and refreshments. Give plenty of time for participants to air any questions and concerns. Bigger issues, such as whether and how participants’ costs will be compensated, the total number of days the participants will need to attend and the spread of these commitments to best fit with their other activities should have already been negotiated in advance during the reconnaissance visit. Each day, several of the tools will be completed. It is courteous to have a short plenary each morning, to present key findings from the day before, before begin- ning on the new tools of the day. The final plenary has a similar purpose. A filled-in copy of all the tools sheets and charts should be given to the village, so that villagers can, if they wish, display them in the village headquarters. 10 f i eL D M anUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T selected speak the local language and are given neces- n Facilitation of true focus group discussion is a skilled sary training to address this. There may well be a literacy activity, and many individuals find it difficult.This is in problem in some groups. In this case, facilitators need to part why PRA-type methods have become so popular keep reading out the contents of lists made, and to keep over the years—they are straightforward for the inter- repeating instructions, so that group participants remain viewer as well as the interviewee. For that reason, the fully in control of what is required of them. It is impor- work proposed here has been simplified in various ways. tant not to rush the tools. n Facilitators find the exercises easy to conduct because: raTionaLe for The fieLD MeThoDoLogy n Information is captured on pre-prepared charts; n Although they are instructed to prompt if infor- Summarizing the World Bank Participation Sourcebook, mation is not forthcoming, facilitators do not have participatory rural appraisal (PRA) is a label given to a to sort long informal conversations into key topics. growing family of participatory approaches and methods The charts—and the ranking exercises that group that emphasize local knowledge and enable local people members use them for—do the work for them; to make their own appraisal, analysis, and plans. PRA uses and group animation and exercises to facilitate information n All group participants can make their opinion sharing, analysis, and action among stakeholders. Al- count, without the facilitators having to bring though originally developed for use in rural areas, PRA them in informally. has been employed successfully in a variety of settings. The purpose of PRA is to enable development practi- n Participants find the exercises more enjoyable than tioners, government officials, and local people to work household questionnaires or focus group discussions together to plan context-appropriate programs.4 because: n Even though the activity takes place as a group, The method described in the toolkit attempts to com- everyone gets a series of chances to relay their bine the rich data often associated with informal focus personal views, through voting. group5 discussion, with some of the two-way, transparent n Voting keeps participants more engaged than dis- and visual qualities of PRA. At the same time it refines cussion alone, and creates a feeling of progress as a the quality of the data usually gathered under both these series of definite steps are completed. methods. n Voting gives them a chance to see what their peers think, without waiting for verbal consensus. n Careful grouping (usually by wealth level and gender, n The method is faster—and much more demo- but see below) creates small focus groups with 10 cratic—than the reaching of consensus within the participants in each, plus a facilitator. focus group. 4 For further details, please refer to the following website: http://www.worldbank.org/wbi/sourcebook/sba104.htm 5 Focus group discussions involve group interviews or discussions in which participants are selected because of shared interests or characteristics (e.g. poor women, wealthy farmers, NTFP collectors). 3 s ec T i o n T hr e e T hE FIELD Too Ls To recap, the fundamental objectives for using these tools are: n to understand the contribution of forests and trees to rural cash and non-cash incomes in this area. n to identify key constraints to and opportunities for in- creasing local benefits under current forestry policies There are eight field tools in total. Some of these are participatory tools, to be undertaken with a small group of village-level informants or within the group of 40 participants, while others are tools for analysis and com- munication, to be undertaken by the facilitators on their own during the evenings or after the field visit. The table and practices. below summarises these characteristics. n to gather information for the national level that will enable the ministry responsible for forests to see how For each of the tools, the text gives the main aim, the to address poverty more effectively, to contribute to steps for undertaking that tool, the key questions that the achievement of the Millennium Development need to be asked, the equipment needed, and one or Goals and to participate in the PRS process. more worked examples. Participatory or analytical/ Tool number Tool name communication? Who is involved? 1 Wealth ranking Participatory Village leaders + facilitators 2 Landscape analysis Participatory Small group of village informants + facilitators 3 Timeline and trends Participatory 40 villagers + facilitators 4 Step 1 Livelihood analysis Participatory 40 villagers + facilitators 4 Step 2 Participatory 40 villagers + facilitators 4 Step 3 Participatory 40 villagers + facilitators 4 Step 4 Analytical Facilitators alone 5 Problem and solution matrix Participatory 40 villagers + facilitators 6 Ranking forest products Analytical Facilitators alone 7 MDG chart Analytical Facilitators alone 8 Monetary values Analytical Facilitators alone 12 f i e LD ManUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T 4 s ec T i o n fo Ur Pr EsE NTI N g ThE rEsULTs AT LocA L LEvEL The final activity at the site level is to present the results to the whole village and to district officials. Ideally, this can be done in one joint session, inviting the whole village along with district officials to a presentation of results in the village. If possible, the presentation can be made into a special event, providing a meal and thanks TOOL RESULTS WHICH NEED TO BE PRESENTED IN THE VILLAGE-LEVEL OR DISTRICT-LEVEL PLENARY TOOL 3 (TIMELINE AND TRENDS) Major trends are well worth highlighting. In the Indonesian Papua example given, the women’s analysis of mounting agricultural for the village. This should take about half a day, but with problems arising from the absence of teenage sons at considerable preparation and follow-up involved. school, a major resulting labor shortage and the need for paid laborers, came as news to the men, to our surprise. Women were working harder and harder to try to deal with The field team should present the results of the toolkit difficulties, but men had seemingly not put together the clearly and simply—noting that not all of the Tools need component parts of the problem before. to be presented (see below) and using visual techniques as far as possible. The team should allow plenty of time TOOL 4 (LIVELIHOODS, STEPS 1, 2 AND 3) Findings can for comments and discussion among the villagers. Short be presented as large pie charts, demonstrating the extent of forest dependence. responses from district officials will likely be part of the presentation too—but the field team should be careful TOOL 5 (FOREST PROBLEM AND SOLUTION MATRIX) to make sure that the session is about the toolkit and the identifies and sorts out problems and solutions into an villagers’ viewpoints rather than being co-opted by dis- agenda for action for villagers, as well as providing insight trict officials into a series of political speeches or lectures. to the toolkit team. It is thus well worth presenting to the village at this stage. To conclude, thank villagers for their time and explain TOOL RESULTS WHICH DO NOT NEED TO BE again how the information is going to be used at higher PRESENTED IN THE PLENARY levels. Make sure, too, when clean copies of the charts are redrawn, that the village has a set to keep for their TOOLS 1 (RANKING) AND 2 (LANDSCAPE SITUATION own use. Also, make sure that both the village and the ANALYSIS) are irrelevant to this plenary, of course. The district officials are sent copies of site-level and/or data was collected for the use of the toolkit team, not the villagers. district-level reports. TOOL 7 (MDG CHART) is for presentation elsewhere. TOOL 6 (RANKING TREE AND FOREST PRODUCTS) While this tool highlights forest products important for analysis, it contains no surprises for villagers and need not be presented. 14 f i eL D M anUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T a nne X one ‘ Th E P ov E rT y-ForEsTs TooL kIT— s h ow I N g w h AT For EsTs M EAN To Th E P o o r ’ A short document for translation and distribution to gov- poverTy-foresTs TooLkiT fraMe- ernment officials and others, when explaining the purpose work—a sTep-by-sTep process of the toolkit The Poverty-Forests Toolkit framework uses a series of Forests’ contribution to rural households is widely recog- tools that have been adapted to achieve specific results. nized, but not well understood. There is little knowledge The initial phase is diagnostic, consisting of data gather- about how rural households depend on forest and tree ing to identify forest/household use linkages and priori- resources to meet their daily needs, and even less about ties for decision makers. The second phase presents the the potential of this resource to reduce poverty. Forests findings for discussion, planning and future monitoring products, especially non-timber forest products, are often at the district level. The third phase involves identifying overlooked in the data collection activities of forestry and ways of incorporating the results in national level poverty agricultural agencies so that their importance to house- reduction strategy processes. The box below provides an holds is under-estimated. indication of activities during each phase. The toolkit is designed to address the problem by pro- viding a framework for gathering and analyzing data that THE POVERTY-FORESTS TOOLKIT FRAMEWORK can offer a clearer understanding of the role of forest and PHASE 1: NATIONAL LEVEL ANALYSIS tree products in poverty reduction. It addresses social, Identify (i) data available related to the dependence of institutional and environmental concerns in the context poor people on forests, and impediments to their advance- of local and national planning processes; and is able to ment out of poverty, in the contexts of the PRSP, nfp and identify the most forest-dependent and the impact on other frameworks; (ii) data currently collected; (iii) criteria them of forest policies and programs. for field site selection. PHASE 2: LOCAL SITUATION ASSESSMENT Directed primarily towards non-specialists with relatively Identify (i) the users of forest resources; (ii) their level of de- little experience in data collection or poverty/forest link- pendency on forests/ tree products; (iii) existing resources ages, the toolkit’s approach streamlines information gath- and products; (iv) key constraints in the existing system ering, identifies priority areas and helps define minimum (access, policy, market system). Prepare the results. information requirements. The results are made accessible through the use of indicators that are easily understood PHASE 3: PRESENTING INFORMATION (PRIORITIES) AT HIGHER LEVELS by local people and decision makers alike. The toolkit is (i) Discuss and reframe data at district level with the designed to be used by the staff of forestry agencies, local assistance of local officials, to fit with district-to-national government and/or NGOs, together with community reporting requirements; (ii) at national level streamline data members, to gather and analyze information. further to fit with formats needed for the PRS process, the nfp process, and others as relevant. 16 f i e LD ManUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T a nne X T wo E x A M P L E o F A Tr AININg Progr AM Fo r To o Lk I T FAc IL ITATors: ghAN A inTroDUcTion Points raised: It is important to have clarity on the objectives of the The training of the national research team took place toolkit. As stated in the toolkit, there are three main over a two day period, 9th-10th July 2007. It was carried objectives: out in a classroom venue in Kumasi, Ashanti Region, where all the participants met and worked through the n To understand the contribution of forests and trees to toolkit documentation. rural cash and non-cash incomes in the area studied. n To identify key constraints to and opportunities for kUMasi cLassrooM Training increasing local benefits under current forestry poli- cies and practices. Two days were spent familiarizing the research group n To gather information for the national level that will with the documentation of the toolkit. This proved to enable the ministry responsible for forests to see how be time well spent, as it meant all the participants were to address poverty more effectively, to contribute to familiar with all the tools before going into the field. the achievement of the Millennium Development There were 14 participants in total. In addition to the Goals, and to participate in the PRSP process. four members of the country team, three participants came from the national forest service, three from national Wealth ranking tool (to be carried out with village authority): NGOs, and three from the Akropong community where there is ambiguity in defining a household in Ghana. This the training exercise was to be carried out, together needs to correspond with the family unit, based on those with one academic (a member of the national university ‘who eat from the same pot’. where natural resource courses are taught). This provided a good mix of relevant skills and experiences. Of this Local landscape situation analysis (carried out with selected vil- total, five were funded by IUCN and eight would form lagers): it was suggested that it might be useful to prepare the national research team for the project. a sketch map prior to going on the walk, based on vil- lagers’ descriptions. The value of different groups, e.g. a Monday, 9th July am man’s group and a women’s group, was noted. Introduction and overview of research project Poverty Mapping Timelines and trends (carried out with all groups together): Introduction to the toolkit manual when to begin in time and what themes to follow needs to be locally determined—facilitators should be wary of Monday, 9th July pm imposing their own views. In completing the timeline Description of all tools 1-3 the effects of the themes on the poverty-forestry rela- Description of tool 6 tionship should be explored. 18 f i eL D M anUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T User rights and duties (not clear with whom to carry this out): n The importance of putting a financial figure on the the difficulty of scoring was discussed and it was agreed final statistic was raised. that there is a need to emphasize that what is being scored are how rights are exercised in practice and not Tuesday, 10th July pm what is meant to happen. Group work to complete Tool 4: three groups of four people each worked through the application of tool 4. Tuesday, 10th July am Description of evaluation approach. Review of day 1 Description of Tool 4 Points raised: Should national resources be devoted to the development of this Points raised: toolkit? An interesting discussion took place on whether n Definition issues: there is need for clarity on what is the toolkit is valuable in terms of bringing out the con- or is not a ‘forest product’. tribution of forestry to rural livelihoods. It was suggested n Boundary cleaning, and other forest-based activities, that the toolkit might be applied in other sectors and should be categorized under ‘other sources of cash’; individual tools may be used in other circumstances, e.g. but recognized as income derived from the forest wealth ranking might be used to identify the differing n The selection of areas where the research is undertaken income backgrounds of school children. However, there will influence how to deal with legality issues. There was some scepticism raised on the ‘added value’ of the is a need to rely on local community leaders to help toolkit over other PRA tools. Much information has address this difficult issue. Care is required in how the research is presented to local communities to minimise been collected already, but the information is not given the impact of illegal activities on the research analysis. priority at the policy level. One challenge in the devel- n There was concern over how to carry out the catego- opment of the toolkit project was to make these linkages rization of individual forest products (e.g. medicinal more effective than in previous research attempts. plants and individually named plants). p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T f i eLD Man Ua L 19 20 f i e LD ManUaL p o v e r T y- f o r e s T s L i n k a g e s T o o L k i T FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO www.profor.info prograM on foresTs (profor) TEL: +1 (202) 458 4822 THE WORLD BANK FAX: +1 (202) 614 4822 1818 H STREET, NW EMAIL: PROFOR@WORLDBANK.ORG WASHINGTON, DC 20433 USA WEBSITE: WWW.PROFOR.INFO The cover of This pUbLicaTion is prinTeD on 50% recycLeD wiTh 25% posT-consUMer fiber paper sTock. The inTerior is prinTeD on 100% posT-consUMer fiber recycLeD paper sTock. This pUbLicaTion is prinTeD wiTh soy-baseD inks. 1 TO O L 1 W E ALTH R A NKING AIM: TO SELECT PARTICIPANTS WHO ARE REPRESENTATIVE OF THE LOCAL POPULATION FOR THE TOOLKIT EXERCISES In order to understand how poor households use and are dependent on forest resources, it is important that they can be readily identified for interviews. But since the activities of average and wealthy households also have an impact on both the access of the poor to forest resources CONDUCTED WITH THE VILL AGE LEADERSHIP about “house owners�, “coffee farmers�, “seasonal crop farmers� and “landless/ jobless�. The Madagascar team used the terms “rich� and “poor� only with a small group of elders for Tool 1 but in the sessions and ple- nary report-back labeled the groups A, B, C, D (although and on the use of forest resources by the community, it people could obviously see the differences among the is important to be able to identify not only the poor, but groups for themselves, these labels avoided embarrass- other households as well. ment). The Uganda team succeeded in the wealth rank- ing by explaining first that the purpose of the ranking “Wealth ranking�1 is firstly a tool to discuss the attributes was to avoid the usual bias towards wealthy men. of “rich�, “average�, “poor� and “very poor� people in the selected area, and then to rank all the households in STEP 1 the area against these criteria, into the categories selected. LOCAL DEFINITIONS OF “EXTREME Since wealth ranking takes several hours, and only POVERTY�, “POVERTY�, “AVERAGE� involves a small subset of villagers (usually village leaders, AND “WEALTHY�. and sub-village heads who know the households they The team begins by identifying what criteria are com- are responsible for, and their wealth levels, pretty well) monly used in the area to classify a household as being in this is essentially a pre-tool that needs to be undertaken a one of these categories. The objective is to identify three day or two before the main exercise. This gives time for or four key indicators or criteria for each on which there leaders to locate the household representatives who will is agreement among informants that adequately define be selected, to make sure they are able to come on the the broad economic categories. Key informants include chosen day, or to find a same category substitute. community leaders as well as households. However, wealth is a contentious issue and—especially Materials needed: Flip charts, blank walls or a display as this is the first tool—a lot of care and sensitivity is area to pin or stick them up where they can be seen, needed to get it right. Experience during the develop- marker pens. ment of the toolkit included the Cameroon team’s use of the terms “long fingers� and “short fingers� as acceptable Criteria may include the number of months a year that a local synonyms for “wealthy� and “poor�. The Ghana household can normally grow its own food, the numbers team avoided the terms “rich� and “poor� by talking of animals it owns, the amount of land it holds, the 1 In Indonesian Papua, where mention of the wealth or poverty of individuals was deemed to be unacceptable, discussion with the intermediary NGO led to the choice of ‘old’ and ‘young’ as the proxies for male ‘wealth’ and ‘poverty’. Women constituted a third, undifferentiated group in this location. While reviewers have suggested other location-specific criteria which might be considered as well (ethnicity, caste, etc.), it is our view that the guiding principle should be the capacity to make a contribution to the PRS processes. For that, some attempt to identify the rich, poor and very poor, by whatever appro- priate local means, is essential. 2 TO O L 1 P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T materials out of which the house is built, and the valu- STEP 3 ables it is known to own (such as a plough, a bicycle, a SELECTING HOUSEHOLDS TO INTERVIEW. cart, a tractor or other vehicle). Being old and alone and The team then selects 40 households to request to pro- living on the charity of non-relatives may be a sign of vide a male or female adult household member to partic- extreme poverty. ipate in Tools 3, 4 and 5. Given the short time of the field assessment, only a relatively small number of households In Tanzania, animal ownership and numbers owned, can be sampled, and by selecting relatively homogeneous together with the amount of land held, were the key groups to go through the subsequent tools together may criteria. Costly housing materials and consumer durables be the least time-consuming way to work. were not regarded as very important. The team needs to select: STEP 2 n a wealthy/average male group drawing five names WHICH HOUSEHOLDS? from each category - 10 in all After the criteria are agreed upon, a sample frame is needed to generate a complete list of all households. This n a wealthy/average female2 group drawing five names information may come from the village register, or it from each category - 10 in all may be accessible by simply obtaining a listing from each n a poor/very poor male group drawing five names sub-village head of the households in his/ her quarter of from each category - 10 in all the village. A technique that enables a quick ranking is to put the names of each household onto a card or piece n a poor/very poor female group drawing five names of paper. The village committee then uses the criteria from each category - 10 in all already generated to sort the cards into tins, boxes or baskets which represent the four categories selected. The aim should be to select the 10 households ran- domly from each category, to avoid biases that come in Materials needed: Small index cards and marker pens; if the choice is made deliberately. However, there will four big tins, boxes or baskets for sorting into. be some limitations to random sampling, such as avail- ability of household members for the period of time The first sorting provides a snapshot of the village when needed to undertake the tools. The 40 participants cards are counted and the number of households in each will need to be able to spare about three days for Tools category is identified. The “poor� and “very poor� cat- 3-5, either in a single block or broken up to fit into egories will probably encompass the bulk of the village. their schedules. 2 The females selected for the two female groups do not need necessarily to be from female-headed households (though some will be). This is a rough and ready exercise and there is no one correct way to conduct the toolkit exercises. EXAMPLE OF WEALTH INDICATORS FROM NYANTONZI PARISH, MASINDI DISTRICT, UGANDA Source of Land Ownership of Quality of Source of livelihood Social indicator ownership Land size Livestock other assets housing income Education (non- cash) behaviour Very poor Individuals may 0.25 acre. They have no No assets. Small grass Income is Have never They work for They have household have no land. livestock. huts with walls obtained from been to school. food, beg or small families, made of grass casual labour steal. unstable and They may have Those who may and no doors. and stealing. tend to migrate land but do not have sell off to avoid being work. (lazy) immediately. No latrines too. held account- able for bad practices e.g. stealing Poor May have land At least 2 May have land, May have a The houses Income comes May have Grow own food Usually have household i.e. inherited. acres. and own about bicycle, small are usually of from sale of ag- studied up to crops. big families and 1-5 goats, radio and a mud and grass ricultural prod- primary level. store cereals. chicken and a disco watch. thatch, well ucts, casual pig. maintained labor, renting with a kitchen out land and and latrine. sale of livestock and crafts. Average Own land 8-15 acres of May have May own a Houses usually Income comes May have Have got many Boastful, “Ebin- Wealthy (inherited), buy land. between 10-15 good looking of mud walls from sale of gone through opportunities tu biruho� household land and may chickens, 7-10 bicycle, fam- but roofed puppies and secondary grab land. goats, 3 pigs ily motorcycle, with iron livestock, sale level education and 2 ducks grinding mill, sheets have a of agricultural although could with dogs to radio cassette grass-thatched products (from be rich without protect them. and a mobile kitchen and own farm or education. phone. latrine. bought), sug- arcane selling (out growers) and milling. Wealthy Own land by 15 acres and May have May own grind- Brick walled Rent out their May have gone Have many op- Boastful, household lease, buying more. about 30 local ing mill, televi- and iron buildings, sell through post portunities “Ebintu biruho or grabbing. chicken 15-20 sion, radio roofed houses, sugarcane (out secondary muno, nkutere goats, 5 pigs, cassette and a kitchens and growers), and education. nkugure� 5 ducks, 2 tur- phone. latrines. sell livestock. keys, 2 dogs, They also get 8 sheep and income from between 20-25 milling. cattle. 4 TO O L 1 P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO WWW.PROFOR.INFO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. P OV E R T Y- F O R E ST S L I N K AG E S TO O LKIT S A M P L E POLICY BRIEF POVERTY-FORESTS LINKAGES IN UGANDA SEE OVERVIEW AND NATIONAL LEVEL ENGAGEMENT, SECTION 3 (P. 35) 2 PO LI CY B RIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T TA BLE OF C O N T E N TS Acknowledgement 1 Executive summary 2 Introduction 4 The Poverty-Forests Toolkit Approach 5 Socio-Economic and Political Settings 6 of the Study Sites Forest products’ contributions to Rural Livelihoods 11 Contribution of forest products to 13 Millennium Development Goals Communities’ understanding of user rights, 14 duties, benefits and potential solutions to existing problems Conclusion and Recommendations 16 Annex 1: Mapping of priority sources of 18 livelihood by gender, wealth category and location Acronyms 20 References 21 P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B RI E F 1 ACkNOWLEDGEMENT Sustainable Development Centre would like to acknowledge the research team which carried out this study, includ- ing Mr. Robert Esimu (Range Manager, Budongo Forest), Mr. Patrick Musiime (Range Manager, Echuya Forest), Ms. Fiona Driciru (Community Partnership Specialist), Mr. Deziderius Irumba (Sector Manager, Budongo Forest) all of the National Forestry Authority (NFA); the District Forest Officers (DFO), Mr. Simon Biryetega (DFO, Masindi District), Mr. John Mary Karugaba (DFO, Kabale District), Mr. Henry Mutabazi (DFO, Kisoro District). Equally, the participation of . Dr. Wilson Kasolo (Principal, Nyabyeya Forestry College), Ms. Zenab Musiimire (Capacity Development Officer, Nature Uganda), Mr. Emmanuel Wankya (MSc. Student, Faculty of Forestry and Nature Conservation, Makerere University) and Mr. Levand Turyomurugyendo of Forestry and Farm Income Enhancement Project is highly acknowledged. We would also want to recognize the following people from institutions visited who contributed to the study through guidance on methodology, provision of information and describing the policy formulation processes in the country. They are: Steven Kaukha, National Forestry Authority (NFA); John Bosco Kavuma, National Planning Authority (NPA); Margaret Kakande, Ministry of Finance Planning and Economic Development (MFPED); Josephine Nakamya ,Uganda Bureau of Statistics (UBOS); Dr. Mukadasi Buyinza, Faculty of Forestry and Nature Conserva- tion, Makerere University; Alex Muhwezi, International Union for Conservation (IUCN); Ronald Kaggwa, National Environment Management Authority (NEMA). Others are Tom Mugisa, Plan for Modernisation of Agriculture (PMA); Onesmus Mugyenyi, Advocacy Coalition for Development and Environment (ACODE); and Christine Nantongo, Environmental Alert. We thank the forest communities of Budongo Forest in Masindi district and Echuya Forest in Kabale and Kisoro districts who participated in the study. Special thanks go to Des Mahony a Lecturer at the Centre for International Development (CIDT), Wolverhampton, UK who worked as an International Consultant for this project and Neil Bird a Research Fellow at the Overseas Development Institute, London who worked on the international synthesis of the findings. In a very special way, our thanks go to Honourable Dr. W. Kisamba Mugerwa, the Chairman of the Board for National Planning Authority for his critical review of the draft paper. Finally, we would like to thank PROFOR a multi-donor trust fund programme housed in the World Bank for sponsor- ing the study. 2 PO LI CY B RIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T E x ECuTIVE SuMMARY This policy brief paper was prepared following the test- 3. Although the monetary (cash) contribution to ing of the Poverty-Forests Linkages Toolkit at four sites households from forest products was only 8% for the in Masindi, Kabale and Kisoro Districts of Uganda. In four sites, some groups and some sites registered a addition to gathering information on the linkage be- much higher contribution. This was true among the tween forests and poverty, the toolkit produced evidence very poor/poor men and women of Ncundura at to inform national planning processes, including the 19% and 15% respectively, and among the very poor/ formulation of the 5-year National Development Plan. poor men in Muhindura at 20%. On the contrary, the Eight key findings, all of which have national policy dependency on forest products by the average wealthy, relevance, can be highlighted. both men and women for cash is lower, at 6%. Forest products therefore constitute an importance direct 1. First, a key finding was that rural communities do not source of income for the very poorest. As households use the $1 standard available for daily expenditure to become better off, their dependence on forest prod- gauge poverty. Instead they use a package of indica- ucts starts to decline. tors thereby demonstrating the complex and multi- dimensional nature of rural poverty. By implication, 4. In Kisoro and Kabale, the former forest indigenous poverty eradication requires a holistic and integrated Abatwa have not been fully resettled. Unless gov- approach to rural development, including its as- ernment takes a bold position to settle them, their sessment. Access, by rural communities, to natural continued dependence on forests for their livelihood resource assets, including forests, is central to any could in the long-run be very counter productive to poverty reduction strategy for Uganda. sustainable forest management. 2. The subsistence economy was found to be 52%, 5. Forest linkages to the growth of other sectors such slightly higher than the cash economy at 48% for all as crop production, livestock rearing, construction, sites in this study. But compared to agricultural crops, trade and health were considerable although there which command a 1:1 ratio between the subsistence is no national system to capture such linkages. This and cash economy, the forest products ratio of 3:1 under estimates the contribution of forests/forest implies that they are mainly used for subsistence. This products to national development. Their contribu- phenomenon makes them almost invisible in the Pov- tion to the attainment of Millennium Development erty Reduction Strategy of the country, one of whose Goals (MDGs) would be higher if communities had key objectives has been “to increase the ability of the access to appropriate and affordable technologies for poor to raise their incomes�. value addition such as honey and timber processing. P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B RI E F 3 The improvement in rural physical infrastructure (e.g. a developmental objective “to develop and optimally roads, electricity) and provision of social services (e.g. exploit the natural resource base and ensure environmental education and health services) would also contribute and economic sustainability�. to rural transformation. 6. In Masindi, large areas of private natural forest were found to be under pressure from commercial agricul- ture. Government needs to identify a package of in- centives including carbon finance so that households with private natural forests can conserve them instead of converting them to agriculture. 7. Between 1971-1986, communities witnessed over exploitation of forest products due to (i) the trans- border illegal trade known as “Magyendo� and (ii) institutional breakdown,of the then Forestry Depart- ment (now National Forestry Authority) and local authorities. The main policy message is that poor governance and break-down of the rule of law has negative repercussion for rural livelihoods . 8. A key finding from the listing of duties among com- munities is the desire for sustainability. This represents a considerable opportunity for the promotion of co-management arrangements in forestry between government authorities and the communities. Using the Poverty-Forests Toolkit, communities can generate information to guide their participation in sustainable forest management. The formulation of the 5-year National Development Plan should take cognizant of the findings in this paper, more so given that it has 4 PO L I CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T FIGURE 1 ThE POOR wOMEN RANK FORESTS IN LIVELIhOODS I NTRODuCTIO N No doubt that deforestation results in increased poverty through higher fuel wood (firewood and charcoal) costs, both in terms of money and time spent in collection. Ac- Uganda’s Progress Report (2007) on the Millennium cording to the Poverty Eradication Action Plan (PEAP) Development Goals (MDGs) has asserted that forests and 2004/5, the distance traveled, particularly by women and woodlands are critical to the protection of the Ugandan children, to collect firewood has increased dramatically landscape and are vital to people’s livelihoods. A wide between 1992 and 2002 from 0.06km to 0.73km.This range of products and ecological services are provided on impacts negatively on household productivity since the which the poor depend for employment and economic time spent on collecting firewood could have been used growth. Nationally, forests and woodlands are estimated for other economic activities. to cover 20% of the country’s area. Of this, 70% is on private farmland with the balance being in Central and There is considerable rationale for the government to local forest reserves, national parks and wildlife reserves. place the natural resource base as a central issue for de- However, the conversion of land for agriculture, together velopment in general. First, there is the need to curb the with policy failures and a lack of alternative energy degradation described above, but second, is to recognize sources has led to over-harvesting of trees and forest loss, the contribution that forests and woodlands can make to especially on private farmland. the livelihoods and transformation of households and the economy in general. The competing interests to conserve forests on one hand and to convert them to alterna- P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B RI E F 5 tive uses like sugar cane production, industrialization Chapter 6 reviews the communities’ perceived rights, and settlement on the other raises the urgency to make responsibilities and benefits as well as the problems and informed trade-off choices. solutions in the use of forest products. Finally, chapter 7 provides conclusion and major policy recommendations. Presently, little evidence has been generated to dem- onstrate how forest products used in combination with other livelihood assets sustain rural livelihoods. Unless this is systematically done over time as a good practice of T h E POV E RT Y- FORESTS planning and forest governance, forests will continue to be out-competed in resource allocation from government TOOLk I T A PPROAC h and its supporters. Against this background, a partnership of institutions1 This report is based on the Poverty-Forests Toolkit which has supported Uganda alongside Cameroon, Ghana and has several methodologies for snap-shot information Madagascar to test a field-based research methodology to: gathering. They are (i) wealth ranking, (ii) local landscape and situational analysis, (iii) timeline and trend analysis, (i) gather evidence on the linkage between forests and (iv) livelihood analysis, (v) assessment of user rights, duties poverty, and and benefits and (vi) forest problem and solution matrix. (ii) use that evidence to inform and influence national Table 1 summarizes the main features of each tool. The and sectoral level planning processes. use of these tools helps to generate evidence on subsis- tence and cash use not only for forest products but also The methodology is fully described in a separate crops, livestock and other sources of livelihood. They PROFOR Poverty-Forests Linkages Toolkit, available also generate information about communities’ perceived on: http://www.profor.info/profor/node/103. Although the rights, responsibilities and benefits as well as problems Toolkit was being tested, it nonetheless generated im- and solutions for forestry management. Collectively, the portant findings worthy of sharing among policy makers. tools communicate the Voices of the Poor concerning The testing was done in 2007/8 in two sites in Mas- indi district and one site in each of Kabale and Kisoro FIGURE 2 wOODY BIOMASS Districts of Uganda. Overall, the paper presents the DISTRIBUTION IN UGANDA contribution of forests products to rural livelihoods in the context of their wider rural economy in which commu- nities find themselves. This Chapter has provided the introduction to the study. Chapter 2 gives the toolkit approach and chapter 3 gives MASINDI TwO SITES the social, economic and political setting of the four sites for the study. Chapter 4 summarizes the contribution of forests to livelihoods, while Chapter 5 analyses their con- tribution to the Millennium Development Goals (MDGs). KISORO ONE SITE KABALE 1 PROFOR, IIED, ODI and CIDT, Wolverhampton, UK ONE SITE 6 PO LI CY B RIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T TAbLE 1 OveRview OF the tOOls used tO gatheR evidence On use OF FORest PROducts Tool What it is 1. Wealth ranking A way to discuss perception of well-being and poverty and to classify house- holds in relation to degrees of well-being. 2. Local landscape and situational analysis An informal tool that reveals the sense of way in which the landscape and its resources are used by the local people and the rules they apply. 3. Time-line and trend analysis A way to discuss positive and negative changes that have affected people’s well-being over time. 4. Livelihood analysis A tool to analyse the circumstances and survival strategies of individual households. 5. ser rights, duties and benefits A way to gauge households perceived rights to a resource, the responsibilities they have to look after the resource and the benefits they are deriving. 6. Forest problem and solution matrix A tool to enlist the major problems of forest management as perceived by households, and the solutions they propose against each problem. forestry use for rural livelihoods. The toolkit was used in urban settings. The Districts and Sub-counties have pow- four sites, two of which were in Masindi (Nyantonzi and ers for planning under a decentralized system. The main Kasenene parishes), one in Kisoro (Muhindura parish) economic activities common to all the study sites are and the last one in Kabale (Ncundura parish). See Figure agriculture and livestock rearing. In addition, Masindi has 2. Figure 1 is an illustration in the application of one of small-scale industries e.g. milling, furniture making and the tools, the livelihood analysis tool. By their nature, pit-sawing. All sites are hard-to-reach areas for the roads these methodologies generate qualitative data. According- leading to them are poor (murram roads) which become ly, the evidence they generated has been complemented impassable in the rainy season. with quantitative data from other surveys and studies. Population density in Kabale and Kisoro are very high by national standards, explaining why the forest area per capita (ha) is also lower than national average (Table 2). SOCIO -ECONOMIC AN D All sites have a Human Development Index (HDI) below the national one, and wood fuel energy dependency POLITICAL S ET TINGS O F above the national one, both of which indicate the rela- Th E ST uDY SITES tive poverty of these communities. Of the three districts, Kisoro is the poorest by its human poverty index ranking NATIONAL ESTIMATES OF wEALTh ThE COMMUNITIES’ RANKING OF wEALTh It is imperative for one to briefly understand the con- Using the wealth ranking tool, the study team facilitated text in which communities’ wealth ranking should be the communities in the four study sites to rank house- construed. Uganda’s political and administrative manage- holds by 4 categories of: ‘very poor’, ‘poor’, ‘average ment is operated through a local government system wealthy’ and ‘wealthy’. The common indicators proposed constituted by districts and sub-counties in rural areas by the study team for comparability were land ownership, and municipalities, town councils, divisions and wards in land size, livestock ownership, ownership of other assets, P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B RI E F 7 TAbLE 2 demOgRaPhic and welFaRe indicatORs FOR masindi, Kabale and KisORO distRicts DISTRICT AVERAGE National Indicator Average Masindi * 1 Kabale * 2 Kisoro * 3 1. Population Density (persons/ sq Km) 123 54.4 281.1 324 2. Human Development Index 0.581 0.524 0.567 0.495 3. Human Poverty Index 27.69 29.4 24.0 40.2 4. Economic activity indicators % working population 30.7 25.8 23.9 15 in subsistence farms 5. Energy consumption (%) Cooking (wood fuel) 96 97.3 97.3 97.3 6. Forest area per capita (Ha) 0.053 0.19 0.009 0.018 *1- Nyantonzi and Kasenene parishes *2- Ncundura parish *3- Muhindura parish and quality of housing and sources of income. However, The key lessons from the use of the wealth ranking tool communities generated additional indicators, notably were that (i) the variables by which households rank education and non-cash sources of livelihood (Nyantonzi), wealth vary by location although the main indicators social behaviour and clothing (Kasenene), education and remain consistent, (ii) households value a package rather capacity to employ (Muhindura) and education and health than one variable for their socio-economic transforma- (Ncundura) thereby bringing out the multi-dimensional tion and (iii) while it is fairly straight forward to count aspect of poverty. In Muhindura-Kisoro district commu- the number of people living on the equivalent of US$1 nity members observed during landscape situation analysis: per day, it is more demanding to determine the true na- “Families which reap big from agricultural produce but fail to ture and extent of poverty using the wealth ranking tool. send children to school cannot be considered wealthy�. The main policy message is that the complex and multi- Although there is some variation among sites (Figure dimensional nature of rural poverty in Uganda requires 3), the general picture across all sites is that 28% of the a holistic and integrated approach to rural development, households were very poor, 47% were poor, 21% aver- including its assessment. age wealthy and only 4% are wealthy. If one combines . the first two categories, 75% of the households are very ACCESS TO FOREST PRODUCTS poor/poor. These findings are consistent with other studies. For example, it is stated that although prog- Masindi District – high forest cover ress has been registered in reducing the percentage of Masindi households generally have larger parcels of land population below the poverty line from 56% in 1992 to and more trees compared to those in Kabale and Kisoro. 31% in 2006, the disproportionate contribution of rural A few individuals in Masindi retain natural forests on areas where 88% of the population lives to national pov- their land, although some of them are converting them to erty remains high, at 93% [UNDP, 2007 pg 12]. Many commercial agriculture (Figure 4). Government should households also remain vulnerable to poverty [Okidi & explore the possibility of integrating such households McKay, 2003]. into carbon market to give them incentives to conserve 8 PO L I CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T FIGURE 3 WEALTH RANKING BY HOUSEHOLDS IN their natural private forests. A large section of Budongo 120 FOUR SITES forest area has gradually changed over the past 60 years from tropical high forests to a mixed type forest due 100 to selective logging and widespread silviculture, which favoured the growth of valuable timber species such as 80 mahogany (Muhereza, 2003). There is a slow attrition of forest patches that form part of the larger Budongo forest 60 ecosystem. 40 Government needs to identify a package of incentives in- cluding carbon finance so that households with big chunks 20 of private natural forests in Masindi and elsewhere utilize them sustainably and wisely for the common good instead 0 Nyantonzi Kasenene Ncundura Muhindura Average of converting them to agriculture. (n=350) (n=286) (n=190 (n=324) The private forest patches are under continuous pressure Wealthy Average Wealthy Poor Very Poor from other land uses, e.g. large sugar cane plantations FIGURE 4 PRIVATE NATURAL FOREST BEING CONVERTED TO SUGARCANE PLANTATION IN MASINDI P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B R I E F 9 associated with the Kinyara Sugar Works, tobacco, food charcoal production for export to Rwanda. In the same crop cultivation and land for human settlement. areas, the size of land holding reduced tremendously due to population growth, thereby creating fragmentation. Migrants from the Democratic Republic of Congo As a coping mechanism, some households rent land from (DRC) are encroaching on the southern fringes of the those who have more. Livestock grazing is constrained in forest. Most migrants are seasonal farmers who clear land this part of the country. The promotion of trade lib- near the forest for producing tobacco and return to DRC eralization and privatization led to the collapse of local after selling their tobacco (Muhereza, 2003) institutions and cooperatives for collective marketing. Kabale and Kisoro Districts – low forest cover The main policy message is that poor governance (con- In Kabale and Kisoro, the low forest cover on farmland stitutionalism, accountability, transparency in decision is visible. The communities of Ncundura (Kabale) and making human rights at all levels) and break-down of the Muhindura (Kisoro) therefore rely on harvesting forest rule of law has negative repercussion for rural livelihoods products from Echuya Forest Reserve. The reserve was and their transformation gazetted in 1939 and was mainly bamboo forest with very few hardwood trees at that time. However, the cur- It would have been difficult for many households to meet rent ecological situation shows that hardwood trees have their food security and commercial needs in agriculture been colonizing the bamboo forest, with the area of pure had it not been that Non-Governmental Organisations hardwood stands having increased from 16% to 51%. The (NGOs) and research institutions like Africare, CARE, exclusion of fire, herbivores and human activities after Africa 2000 Network, ICRAF introduced high yield- reservation of the forest has gradually led to the conver- ing varieties of Irish potatoes, beans and temperate sion of the grassland bamboo ecosystem into a hardwood fruits. They also introduced soil and water conserva- forest ecosystem. tion techniques, agro-forestry and collaborative forests management. The uncertainty being expressed because of Previously the use of forest resources was policed by the weather variability in recent years is a problem for which NFA but this proved impossible to supervise due to pop- communities have not sought sustainable coping mecha- ulation pressure. That pressure is reflected in the fact that nisms. Communities attribute prolonged and unpredict- households cultivate to the margin of the reserve. Now able drought and erratic rainy seasons to deforestation. the community right to access and obligation to protect In Masindi on the other hand, the demand for sugar the forest is delivered under a series of community forest cane from out growers by Kinyara Sugar Works Ltd and management agreements. tobacco by British American Tobacco Ltd have led to conversion of forests to agriculture. TIMELINE AND TREND ANALYSIS In its World Development Report for 2008 entitled The use of timeline tool gave quite interesting revela- “Agriculture for Development�, the World Bank has tions. Across all the sites, the break-down of the rule stated that agriculture contributes to development as of law (1971-1985) was responsible for encroachment, an economic activity, as a livelihood, and as a provider illegal harvesting of forest products and breakdown of of environmental services, making it unique instrument the capacity of institutions (Forest Department and Local for development (World Bank 2007). It continues to governments). In Kisoro and Kabale, the illegal trade, then state that, managing the connections among agriculture, locally known as ‘Magyendo’ led to timber harvesting and natural resource conservation and environment must be 10 PO L I CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T an integral part of using agriculture for development. practices like “Hinga-Raza� type of fallowing and terrac- Accordingly, donors and governments should re-discover ing of the 1960s have declined due to poor enforcement the importance of forests and trees for poverty eradica- and weakened extension service. The recently introduced tion and especially on private farmland. soil and water conservation technologies like “fanya juu/ fanya chini�, agro-forestry and zero grazing have not yet In all sites, there was appreciation by communities that yielded benefits on a scale to offset the losses incurred government is investing in Universal Primary Education over the long term. (UPE) and Universal Secondary Education (USE). There is also increasing access to the mobile telephone. Unfor- Communities mentioned recent developments which tunately, all sites do not have access to electricity, a factor if harnessed would add value to the rural economies, holding them back in small and medium processing including the use of forest products. Women are equally enterprises. The roads are also still very poor, although the entitled as men to access forest products on a regu- study team left at a time when the construction of Kisoro lated basis from CFR under the introduced community road was commencing. Women’s participation in decision resource management programme of the NFA. The Na- making, including use of household assets has improved tional Agricultural Advisory Services (NAADS), which is particularly after coming into power of the current gov- a publicly funded but privately run extension service and ernment in 1986. NGOs are training farmers and providing new technolo- gies. Women’s voices in decision making are starting to The key message is that improvement in rural physical be heard. The poor women in Kisoro commented: “Men infrastructure (e.g roads, electricity) and provision of social these days consult us before selling land�. With the intro- services (e.g education and health services) would greatly duction of Universal Primary Education and Universal contribute to rural transformation. Secondary Education, it is hoped that many households will have the capacity either to adopt better practices for Since the 1970s, communities have witnessed changes agriculture and forestry husbandry or to leave land in which point to the increasing scarcity of forest products. preference for paid employment. The adoption of high Abundance is decreasing due to high population growth yielding Zero grazing cattle and ruminants by women is a rates, immigration and liberalized trade. The specula- great opportunity because ownership of livestock gener- tive and illegal trade in the 1970s and early 1980s in ally has been found to account for families coming out of Kisoro and Kabale districts, known as “Magendo�, made poverty four times faster than those purely dependent on the export of both firewood and charcoal to Rwanda food crops [MFPED 2005]. The expansion of the mobile lucrative but at the expense of forest management. Fuel phone also provides an opportunity to access information wood is now scarce and expensive. Households are cop- on markets by farmers. ing with this scarcity by planting tree species on their private landholdings. Many NGOs (e.g. Nature Uganda, However, government is still challenged to improve the ECOTRUST, Africa 2000 Network and BUCODO) enabling environment for rural economic transformation. as well as the NFA are educating communities on the The poor road infrastructure frustrates trade and market- sustainable use of forests. ing especially in the rainy season. The lack of electricity and other low-cost alternative energy sources continue Another observed feature is that land parcel sizes have to lead to the over-use of forests for household energy. fallen across all sites, with purchase and renting prices Introduction of rice growing in Masindi is likely to lead and land conflicts on the increase. Sustainable agricultural to the reclamation of wetlands unless proper guidance is P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B RI E F 11 provided. The improvement in the health service should al., 2006), which found that across all forest types and equally be used to help households cope with HIV/ income groups, households derive 20% of their overall AIDS and its impact on agriculture and forestry. income from forests, with 76% of the value of goods harvested from forests consumed in the home. Amongst income groups, high income households appropriated a greater overall value of forest goods. Recently, the Moving FOREST PRODuCTS’ out of Poverty study showed that 52% of the households reported improved welfare, due mainly to the accumula- CONTRIBuTIONS TO tion of assets in land and livestock [World Bank 2007]. RuR AL LIVELIhO O DS Communities in Masindi confirmed this observation by stating that the average wealthy people are identified by such terms as “Ebintu biroho�, literally meaning that they This study has brought to light the fact that forests and have property. forest products constitute a very large asset base for livelihood strategies, accounting for 30% of households’ The National Household Survey 2005/2006 high- livelihoods on average over the four study sites. The sub- lighted that 78% of the households depend on firewood sistence use of forest products is 22% compared to 8% for for cooking and 18% on charcoal. Overall, 96% of the cash income. They are rivaled only by agricultural crops, households depend on wood fuel for cooking purposes which contribute close to 50% (Figure 5). These figures which is a challenge to achieving the MDG targets and are reasonably consistent with another study (Bush et promotion of environmental sustainability. Even though FIGURE 5 THE PROPORTION OF LIVELIHOOD FIGURE 6 DEPENDENCY ON FORESTS TO SOURCES IN ALL SITES RURAL LIVELIHOODS 100% 100% 80% 80% 60% 60% 40% 40% 20% 20% 0 0 Forests Crops Livestock Others Kasenene Nyantozi Ncundura Muhindura Average (Masindi) (Masindi) Kabale) (Kisoro) Total Subsistence Cash Others Livestock Crops Forests 12 PO LI CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T government removed Value Added Tax (VAT) on Liquid key objectives has been “to increase the ability of the poor Petroleum Gas (LPG) in 2006 to allow the poor to make to raise their incomes�. substitution, it has been found that many barriers still ex- ist to allow the poor access LPG. They are low incomes, Although the monetary contribution to households fear of fire risk and lack of extension service on energy. from forest products was only 8% for the four sites, (Kazoora C. et al, 2008). some sites registered a much higher contribution. This was true among the very poor/poor men and women The main policy message is that access to natural resource of Ncundura at 19% and 15% respectively, and among assets, including forests, is central to any poverty reduction the very poor/poor men in Muhindura at 20%. For- strategy for Uganda. est products therefore constitute an important direct income source for the very poorest. As There are other findings about forest product use specific households become better off, that dependence starts to to location, gender and wealth category. For example, decline. It was found for example, that for the average across all wealth categories men derive a higher propor- wealthy (both men and women), their dependence on tion (19%) than women (11%) from forest products. On forest products for cash income was 6%. Construction the other hand, the average women’s dependence on materials like building poles, ropes, thatch, timber and agricultural crops (55%) was higher than that of men charcoal are more commonly used by men than women (44%), except in Ncundura where average wealthy men’s reflecting men’s role in construction. Firewood and wa- dependence on crops was exceptionally high, at 63%. This ter command equal demand between men and women. is attributed to the easy access to and prevailing market (See Annex 1). for the crop products especially Irish potatoes and cab- bages that double as food and cash crops. The very poor/poor men in Muhindura (Kisoro) heavily rely on gathering honey, wild meat and medicinal herbs Ncundura’s dependence on forest products is 37%, which for their subsistence and cash income (38%). This depen- is much higher than the 30% average for all sites (Figure dence is higher than 30% for all sites for both subsistence 6). The dependence among the average wealthy men was and cash use of forest products. Further inquiry revealed also very high in Nyantonzi at 47% and Kasenene at 43% that these men were “Abatwa�, an originally forest because of their low participation in crop production and dwelling community. Most of them have no land, having relatively more abundant forest resources compared to been displaced from the adjacent forests of Echuya, the South Western Uganda. then Bwindi Impenetrable Forest Reserve and Mgahinga Forest Reserve in 1991 when government elevated some The subsistence economy was found to be 52%, slightly forest reserves to national parks. Government failure to higher than the cash economy at 48% for all sites. But resolve the rights of formerly dependent forest commu- compared to crops, which command a 1:1 ratio between nities has also been reported in the press, particularly with the subsistence and cash economy in the above structure, regard to the Benet of Mt.Elgon National Park. the forest products ratio is 3:1; which, implies that they are mainly used for subsistence. Unless government takes a bold position to settle the former forest indigenous Abatwa, their continued de- The low contribution of forests products to cash income pendence on forests for all their livelihood could in the makes the forest contribution almost invisible in the Pov- long run be very counter productive to sustainable forest erty Reduction Strategy of the country whose one of the management. P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B R I EF 13 In Ncundura (Kabale) and Muhindura (Kisoro), the bam- ages, their contribution to national development is grossly boo stems and other tree stems are important inputs into under estimated at present. Authorities are called to agriculture, serving as stakes for climbing beans. Compared recognize the importance of forestry resources by increasing to other beans, they are favoured for their taste, high mar- investment in these areas. ket value and ease of cooking. Forest products therefore support agriculture in an intimate way. Nonetheless, at the local level, communities appreciate all of the above values, explaining why they continue to Households also sell forest products to be able to meet invest in forests both at the household and community a wide range of their expenditures. The sales from crafts level. In the former, the common investments are tree meet the small everyday purchases of sugar, salt, paraf- planting and agro-forestry. In the latter, communities fin and occasionally medium-size expenses like clothes, participate in formulating bye-laws to regulate access to school uniforms. It is mainly very poor/poor women forests, enforcement, boundary maintenance, enrichment involved in these transaction. Bamboo sales cut across planting and fire control during dry seasons. They also wealth categories for meeting small and medium ex- manage communally established woodlots (e.g. Eucalyp- penses in Ncundura and Muhindura, where bamboo is tus woodlot in Gisasa, Muhindura), and regulate access to harvested from the nearby Echuya Central Forest Re- natural communal forest (e.g Tengele in Nyantonzi). serve on a regulated basis. On the other hand, sales from timber meet the medium to large expenses e.g. school fees, dowry and emergencies C O N T R I Bu T I O N O F e.g. major illness. This was particularly true for average wealthy men in Nyantonzi and Kasenene where timber is FO R EST P RO DuCTS legally and illegally harvested from both on-farm private TO MI L L E N N Iu M forests and Budongo Forest Reserve. Forest products are D EV E LOPM E N T GOA LS widely used for many household investments. Poles and bamboos are used to construct bee-hives, homesteads and for fencing livestock. Forest products contribute, both directly and indirectly, to the attainment of the Millennium Development In the dry season, some families collect fodder from Goals (MDGs). Overall, across the studied communities, forests. Timber supports small and medium enterprises in they contributed 8% in monetary terms to households’ furniture making. Income derived from the sale of forest income, and 22% in subsistence form. Forest products products is also used for purchase of agricultural inputs. are supporting local trade. It has also been studied that Forest products are equally used to support community in- Uganda has 2,000-3,000 forest-based associations which vestments like construction of schools, churches, mosques, span a number of different areas: forest production health clinics, markets and market stores. In the remote (timber and non-timber forest products), primary and areas like Muhindura, Kisoro, they are used to make village secondary processing, enterprise support and environ- ambulances traditionally known as “Engonzi�. mental services such as ecotourism and carbon sequestra- tions projects (Kazoora C. et al, 2006). It would have been Forest products offer many linkages to the growth of other extremely difficult for the former forest dwellers, the sectors like crop production, livestock rearing, construction, Abatwa, to meet their food security needs had they not trade and health. Due to the failure to capture such link- been gathering honey, wild meat, root-tubers and fruits 14 PO L I CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T from Echuya Forest Reserve in Kisoro and Kabale Dis- C O M Mu N I T I ES’ tricts. They are lacking technologies to add value to these products. These examples illustrate the forest contribution u N D E RSTA N D I N G O F to MDG1 that is the eradication of extreme poverty and uS E R R I Gh TS, Du T I ES, hunger. In Nyantonzi, the poor men’s category put it: “A BE N E F I TS A N D POT E N T IA L family that grows food crops and stores them in granary to last the dry season is not considered poor�. The rugged and hilly SO Lu T I O N S TO E xI ST I N G land terrain in Kisoro and Kabale districts has always frus- PROBLE M S trated health service delivery. As a response, communities traditionally organize themselves in self-help ambulance groups known as “Engonzi� to carry the sick to the near- The number of forest-product users was found to be est health centre. The stretcher they use is made of forest many, 16 of them. The study team established from them products, thus contributing to MDGs, 4, 5 and 6, with what they considered their rights, duties and benefits re- respect to reducing child mortality, improving maternal lated to forest product use. For each category, communi- health and combating HIV/AIDS, malaria and other ties were asked to give a rating on a scale of 1 to 5, with diseases respectively. 1 being the lowest and 5 the highest. Owing to the growing scarcity of forest products in With respect to user rights, a major finding is that the some places due to population pressure, households and list of products to which communities consider them- communities are investing in tree planting as well as selves entitled is long. This is important so as to map out regulating access to forest reserves. In so doing, they are strategies to reconcile the divergent and sometimes con- directly contributing to environmental sustainability or flicting interests of resource users. The potential con- MDG7. For a district like Kisoro where access to water is flicts and management challenges that may emerge are only 43.9% and below the national average rate of 67%, also real. To note, communities listed alternative strate- the forest’s regulation of water, on which communities gies including free access (e.g. for firewood, herbs, water, greatly depend, equally contributes to MDG7. Use of community based tourism) while for others appreciated water harvesting technologies is not widespread. the need for regulated access with a permit (e.g. for pit sawing, charcoal burning, collecting of crafts materials Indirectly, the cash from the sale of forest products sup- and building materials). ports primary education (MDG2), and pays for medical expenses associated with child mortality, mater- A key revelation from the listing of duties is the desire nal health, combating HIV/AIDS, malaria and other for sustainability. This was expressed in many ways, diseases (MDGs 4, 5, and 6) (See Table 3). including cutting only dry (dead) trees for timber, selective harvesting of crafts materials, avoidance of use The contribution of forests and forest products to the at- of fires within forests and the use of selective traps for tainment of MDGs would have been higher if communi- hunting wildlife. The fact that resource users did not at- ties had access to appropriate and affordable technologies tach high scores is a reflection of their failed duties (e.g. for value addition e.g. honey harvesting and processing abiding by the law on not hunting wild animals). None- and timber processing. This emphasizes the need for in- theless, it is a good indicator that communities would novative research. be willing to trade duties for benefits, a key ingredient for sustainable use resource agreements. P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B R I EF 15 TAbLE 3 evidence On hOw FORest PROducts cOntRibute tO attainment OF millennium develOPment gOals Goal Target Contribution to the MDG 1. Eradicate extreme Target 1: Halve, between 1990 and 2015, Communities derive part of their incomes from forest prod- poverty and hunger the proportion of people whose income is ucts less than $ 1 a day. Target 2: Halve, between 1990 and 2015, It would have been difficult for marginal communities like the proportion of people who suffer from Batwa to meet their food security needs had they not been hunger gathering honey, wild meat, root tubers, vegetables and fruits for both subsistence and cash income 2. Achieve universal Target 3: Ensure that, by 2015, children Timber, poles, thatch, sand and clay are used to build com- primary education everywhere, boys and girls alike, will be munity schools able to complete a full course of primary schooling. Income from sale of forest products is used to contribute to education 3. Promote gender Target 4: Eliminate gender disparity in Income from sale of forest products supports education of equality and em- primary and secondary education prefer- girl child. power women ably by 2005 and in all levels of education no later than 2015 4. Reduce child Target 5: Reduce by two-thirds, between Timber, poles, thatch, sand and clay are used to construct mortality 1990 and 2015, the under-five mortality health clinics rate Village ambulances (called Engonzi) particularly in Muhin- dura-Kisoro are made of forest products Many herbs are collected to treat sickness Cash income derived from sale of forest products is used to meet health-related expenses. 5. Improve maternal Target 6: Reduce by three-quarters, As above heath between 1990 and 2015, the maternal mortality ratio 6. Combat HIV/AIDS, Target 7: Have halted by 2015 and begun As above malaria and other to reverse the spread of HIV/AIDS diseases Target 8: Have halted by 2015 and begun As above to reverse the incidence of malaria and other major diseases 7. Ensure environ- Target 9: Integrate the principles of sustain- Both households and communities at large are investing in mental sustainability able development into country policies and tree planting, regulating access to forest reserves, participat- programs, and reverse the loss of environ- ing in bye-law formulation and enforcement in order ensure mental resources regular flows of benefits from forest The harvesting of fodder particularly in drought periods acts as a safety net against climatic vulnerability Target 10: Halve, by 2015, the proportion Many clean water sources are found in forests of people without sustainable access to safe drinking water Target 11: Have achieved, by 2020, a sig- Some materials harvested from forests support construction nificant improvement in the lives of at least in rural towns 1h00 million slum dwellers 8. Develop a global Target 12: Develop further an open, rule- No evidence established partnership for based, predictable, non-discriminatory development trading and financial system 16 PO LI CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T The generally high scores attached to benefits is an indica- reforms that offer incentives to tree planting and intro- tor of the appreciation of the values that communities duction of value-addition and technologies encourag- derive from forest products. For example, across all the four ing resource users to form marketing associations were sites, benefits from the collection of firewood, herbs, water, advanced as some of the solutions. building materials, timber, seeds, all scored high values. The “non-diplomatic� approach used by NFA staff was A key revelation from the listing of duties is the desire for condemned by Communities as much as denying them sustainability. This represents a considerable opportunity affirmative action to allow them access to the more for the promotion of co-management between government valued resources like timber. Even though some of the authorities and the communities concerned. transactions like pit sawing require high capacity and expensive equipment, there could be a lee-way for com- Communities identified several forest-based problems, munities to benefit through private sector community their solutions and agencies to take the lead in addressing partnerships. them. They cut across all wealth and gender groups and therefore represent an important community consensus. A key policy message is that communities strongly believe They have been grouped under five categories namely: they have a stake in the management of forest resources, (i) policy and legal problems, (ii) forest management and and to the extent possible, they should always be consulted. sustainability problems, (iii) market and trade related Using the Poverty-Forestry Toolkit, communities can gen- problems, (iv) conflict problems and (v) socio-economic erate information to guide their participation in sustain- and political problems. able forest management It emerged that communities consider the existing for- est legislation and regulations as too bureaucratic. They would prefer legislation that is accessible to all and more C ON C LuS I ON A N D affordable charge system for forest products. REC OM M E N DATI ON S Unclear forest reserve boundaries, corruption of govern- ment officials and local leaders, low government sup- The dependence on forest products by the rural poor, port to forest activities and overexploitation undermine especially for subsistence is enormous. Unfortunately, long term sustainability of the benefit flows from forest because of the informal nature of many of the above products to communities. Leaders should be held ac- transactions, they are not captured in the traditional countable for their misdeeds. Concern was also raised national data gathering systems like the National House- that conflict between the NFA and communities was rife, hold Budget Survey. This is where tools like the Poverty- mainly because communities incur losses from raids by Forests Linkages Toolkit can complement the existing wild animals for which there are no direct compensation data gathering methods. Its value as a tool would greatly mechanisms to the affected people. The National Forestry be enhanced if it is repeated after some years to capture and Tree Planting Act, 2004 is silent about this problem. the temporal change. Nonetheless, the findings from the snap-shot use of the tool has pointed to the conclusion Communities feel their benefits from use of forests would that the Voices of the Poor need to be heard in the be enhanced if for example, their entitlements in form planning processes. The 5-year National Development of shared revenue would be timely and regular. Fiscal Plan offers a fertile entry point to incorporate the find- P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B R I EF 17 ings from this study more so given that one of the devel- (iv) The Faculty of Forestry and Nature Conservation opmental objectives of the plan is: to develop and optimally and Nyabyeya Forest College should popularize exploit the natural resource base and ensure environmental and the Poverty-Forests Toolkit among its students for economic sustainability� [MFPED 2007] purposes of carrying out Rural Rapid Appraisal in planning for more in-depth research. Based on the findings from this study, the following key (v) Government should take bold steps to address the recommendations are made: long standing problems of former forest dwelling communities, especially the Abatwa by empowering (i) National Forestry Authority (NFA) and District them with education, health services and income Forestry Service should adopt the Poverty-Forests generating activities. Linkage Toolkit for data gathering as an integral (vi) The donors should support the building of capacity activity of forest management planning. of Non-Governmental Organisations to empower (ii) The Secretariat for the Plan for Modernization of the poor voice their concerns for sustainable man- Agriculture (PMA) should promote the planting of agement of forests and adoption of multi-purpose multi-purpose trees on private farmland through tree species on private land to enhance ecosystem the National Agricultural Advisory Services . services. (iii) The National Forestry Authority (NFA) should make (vii) Uganda Bureau of Statistics (UBOS) should in- accessible the regulations for harvesting the forest clude information gathering on the use of natural products from Central Forest Reserves to communi- resources including forests when it designs Com- ties using multiple communication channels. munity Information Service (CIS) at sub-counties. 18 PO L I CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T ANNE x 1: M APPING OF P R I O R I T Y SOu RC ES O F LIVELI hOOD BY GEND E R, W E A LTh CAT EGO RY AND LO CATIO N Wealth Gender category Mode 1st ranking 2nd ranking 3rd ranking 4th ranking 5th ranking K AS E N E N E PA R I S H ( MA S I N D I ) Cash Onions Pigs Poles Rice Firewood Very poor/ Goats Chicken poor Non- Cash Cassava Building poles Water Maize Beans Men Cash Tobacco Millet Groundnuts Timber Goats Average Millet wealthy Firewood Maize Non- Cash Cassava Fiber (ropes) Beans Water Building poles Craft materials Cash Millet Groundnuts Maize Cassava Pigs Very poor/ poor Forest Non- Cash Maize Water Firewood Craft materials vegetables Women Cassava Bananas/ Sweet potatoes Millet Cash Cassava Chicken Average Matooke Tobacco Maize wealthy Maize Bananas/ Non- Cash Water Firewood Beans Cassava Matooke N YA N T ON Z I PA R I S H ( MA S I N D I ) Vegetables e.g Cash Millet Pigs Beans/Peas Maize cabbages Very poor/ Chicken poor Millet Non- Cash Maize Firewood Poles Beans/Peas Cassava Men Fruits e.g Rice Cash avocado, Pigs Timber Beans/Peas Tobacco Average pawpaw wealthy Medicinal herbs Non- Cash Firewood Poles Water Pineapples Grass Very poor/ Rice Women Cash Cassava Maize Beans/peas Firewood poor Sweet potatoes Simsim Non- Cash Petty trade Pigs Millet Maize Soya beans Average Workshops and Cash Beans/Peas Maize Fruits Rice wealthy seminars Non- Cash Water Firewood Beans/Peas Cassava Sweet potatoes P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B RI EF 19 Wealth Gender category Mode 1st ranking 2nd ranking 3rd ranking 4th ranking 5th ranking N C U N D U R A PA R I S H ( K A B A L E ) Construction Thatch material Cash Irish potatoes Maize Bamboo Material e.g Grass Goats Very poor/ Chicken Thatch material poor Construction Non- Cash Firewood Water Stakes e.g Grass Material Men (for beans) Ropes (fibre) Bamboo Honey Average Cash Irish potatoes Casual labour Charcoal Sheep Cattle wealthy Non- Cash Firewood Irish potatoes Sweet potatoes Beans Sorghum Cash Irish potatoes Casual labour Bamboo Petty trade Ropes (fibre) Very poor/ poor Sweet Non- Cash Firewood Bamboo Beans Maize potatoes Women Honey Average Cash Casual labour Chicken Village circles Beans wealthy Irish potatoes Non- Cash Firewood Irish potatoes Sweet potatoes Beans Sorghum M UH I N D U R A PA R I S H ( KI S OR O) Cash Casual labour Irish potatoes Bamboo Water Sheep Very poor/ poor Beans Non- Cash Branch wood Water Irish potatoes Sorghum Maize Men Beans Cash Irish potatoes Poles Shop keeping Sorghum Average Goats wealthy Poles Non- Cash Irish potatoes Beans Fire wood Maize Sorghum Cash Casual labour Irish potatoes Beans Sorghum Petty trade Very poor/ Casual labour poor Non- Cash Irish potatoes Fire wood Beans Bamboo Water Women Average Cash Pigs Tomatoes Wheat Ducks Peas wealthy Firewood Stakes (for Non- Cash Irish potatoes Beans Water Construction beans) materials 20 PO LI CY BRIEF P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T ACRON Y MS bucOdO Budongo Forests Community Development Organisation cFR Central Forestry Reserves cidt Centre for International Development and Training cis Community Information Service dFO District Forestry Officer dRc Democratic Republic of Congo ecOtRust The Environment Conservation Trust hdi Human Development Index hiv/aids Humane Immune Deficiency Virus /Acquired Immune Deficiency Syndrome icRaF The International Centre for Research on Agroforestry iied International Institute for Environment and Development mdgs Millennium Development Goals mFPed Ministry of Finance, Planning and Economic Development naads National Agricultural Advisory Services nFa National Forestry Authority ngOs Non-Governmental Organisations Odi Overseas Development Institute PeaP Poverty Eradication Action Plan PROFOR World Bank Program on Forests Rdc Resident District Commissioner ubOs Uganda Bureau of Statistics undP United Nations Development Programme uneP United Nations Environment Programme uPe Universal Primary Education use Universal Secondary Education P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T P O LI CY B R I EF 21 REFERENCES 1. Cornelius Kazoora et al (2008). Economic instruments for promoting sustainable natural resource use, environmental sustainability and response to climate change Economic instruments for promoting sustainable natural resource use, environmental sustainability and response to climate change. A UNDP/ UNEP Poverty-Environment Initiative forthcoming publication. 2. Cornelius Kazoora, et al [2006] Forest-based associations as drivers for sustainable development in Uganda. 3. Frank, Emmanuel Muhereza, [2003]. Decentralizing Natural Resources to consolidate the central state. 4. Glenn K.Bush et al [2006]: Economic Importance of Forests to local users and the Implications of Natural Forests Management in Uganda. 5. Ministry of Finance, Planning and Economic Development [2005]. Uganda Poverty Status Report, 2005, Progress in Implementing the Poverty Eradication Action Plan. 6. Ministry of Finance, Planning and Economic Development [2006]. The Budget Speech, 2006/2007 financial year. 7. Ministry of Finance, Planning and Economic Development [2007]. Concept Note for the Revision of PEAP. 8. Ministry of Finance, Planning and Economic Development [2004].Poverty Eradication Action Plan 2004/5. 9. Okidi, John & Andrew McKay [2003] ‘Poverty dynamics in Uganda: 1992 to 2000’ Chronic poverty Research Centre, University of Manchester, Working Paper No.27. 10. Uganda Bureau of Statistics [2007] Uganda National Household Survey, [2005/2006]. 11. UN System in Uganda [2007] Millennium Development Goals. Uganda’s Progress Report 2007. 12. UNDP [2007]: The Human Development Report 2007; Rediscovering Agriculture for Human Development. 13. World Bank [2007]. World Development Report, 2008. 14. World Bank [2007]. Moving out of Poverty. FURThER INFORMATION This policy brief was prepared in June 2008 by Cornelius Kazoora, Zainab .S. Birungi and Lucy Dranzoa of the Sustainable Devel- opment Center in Uganda. It is based on research funded by the Bank-Netherlands Partnership Programme and the Program on Forests (PROFOR). The toolkit document can be downloaded in English from the PROFOR website: http://www.profor.info/profor/node/103 PROFOR Program on Forests, c/o World Bank, 1818 H Street, NW; Washington, DC 20433, USA; proforinfo@worldbank.org; Tel: +1-202-458 4822 FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO www.PROFOR.INFO PROGRAM ON FORESTS (PROFOR) TEL: +1 (202) 458 4822 THE WORLD bANK FAX: +1 (202) 614 4822 1818 H STREET, NW EMAIL: PROFOR@WORLDbANK.ORG WASHINGTON, DC 20433 USA WEbSITE: WWW.PROFOR.INFO ThIS PUBLICATION IS PRINTED ON 100% POST-CONSUMER FIBER RECYCLED PAPER STOCK USING SOY-BASED INKS. 2 TO O L 2 L A NDSCAPE ANALYSIS AIM: TO UNDERSTAND THE WAY IN WHICH LOCAL RESOURCES ARE USED BY MEMBERS OF THE VILLAGE This tool is primarily for learning by the field team rather than for shared learning among village participants. It is important for the field team to observe the kinds of resources that exist in the area, in the company of people who live there and who understand how the landscape TOOLKIT TEAM PLUS SELECTED VILL AGERS KEY QUESTIONS to ask while doing a landscape analysis or transect FOREST AND TREES OFF-FARM n Who owns this forest/land? n Who knows where the boundaries (if any) are? is being used. A map may be available to work with. If n What institutions allocate land and look after land? not, a sketch map or a series of landscape sketches can be n Who makes most of the main decisions about this made as the visits proceed. forest/land? n Are there ever conflicts over the use of forest Materials needed: Notebooks and pens. Large flipchart products in these areas? (Ask about both conflicts sheet to record information upon return to the between local groups and conflicts with those from village from the landscape exercise. outside). n Who is allowed to use the forest (tree and non-wood A traditional transect cuts through an area in a straight forest products) and for what purposes? Are the rules the same for all local forests? line and provides an idea of the diverse resources and n For trees off-farm: who is allowed to use the trees land use in an area. However, it is more useful to visit and for what purposes? Are the rules the same for all the different kinds of resources which local people draw tree species? Do they vary depending on where the upon, and which they suggest. In that way, a landscape tree is located? analysis of forest and agricultural land use can be made. A n Do people plant trees? Protect trees? If yes, which straight line transect is not always able to capture all this. type of trees? Who plants the trees (Men? Women? Particular groups in the community?) Similarly, if time is available, it is more useful to do two n Do people manage/ protect the forest? (fire man- landscape analyses, one with a men’s group and one with agement; limit or restrict access; local institutions/ groups tasked to protect) a women’s group, since their reasons for drawing on n How does forest/tree use vary at different times of natural resources are different. year? Team member(s) accompanied by local informants walk AGRICULTURE the area and ask questions relevant to it. These walks n How is it decided who cultivates where? also provide good opportunities for village members to n How long are plots farmed (years) and then how long discuss problems of forest use, resource use norms and are they fallow? conflicts, etc. n When plots are resting, are they still seen as the property of particular households, or do they revert Tool 2 is an informal tool to get a sense of the way in to general group ownership? which local people use the landscape, and the rules they n Are areas of permanent cultivation expanding/declin- apply to it (or that others apply to it). It is invariably an ing? 2 TO O L 2 P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T exercise during which various problems get mentioned as It is useful to make an informal sketch (or sketches) of well, which can be picked up on in later tools, especially the landscape visited, annotated with key pieces of infor- the last, if they do not recur spontaneously. mation which were offered. The final sketch might look something like the examples below. A WORKED ExAMPLE OF TOOL 2: LOCAL LANDSCAPE SITUATION ANALYSIS— AMbODIbONARA VILLAGE, SOFIA DISTRICT, MADAGASCAR A WORKED ExAMPLE OF TOOL 2: LOCAL LANDSCAPE SITUATION ANALYSIS— ShINYANGA DISTRICT, TANzANIA FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO WWW.PROFOR.INFO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. 3 TO O L 3 T I M E LI NE AND TRENDS ALL VILL AGE MEMBERS SELECTED TO TAKE PART IN THE TOOLKIT E XERCISE AIM: TO RECORD A SHORT HISTORY OF THE COMMUNITY AGAINST WHICH TO PROJECT A PICTURE OF CHANGES IN FOREST RESOURCES, IN AGRICULTURE, IN LOCAL LIVELIHOOD STRATEGIES AND IN SOURCES OF INCOME The history of a community, especially change in the land use system, provides important background infor- mation. The purpose of this tool is to develop a timeline of key events which can then serve as a background against which to discuss trends and the current situation. STEP 3 When the village decides the timeline is complete, discuss a series of trends1 across the timeline. This information may already have been mentioned, but the trends discus- sion usually produces a more coherent picture. This is a good tool for wide community participation. n How have forest resources (both area and quality/ It can be conducted with the group of 40 participants diversity) changed over the timeline period? selected for Tools 3-5. The field team should decide whether to conduct the tool with the group as a whole, n What was happening in agriculture in each of these or, if they are concerned that this will limit participation periods? from less confident members of the community (e.g. n What have been the changes in local livelihood poorer people or younger people), in separate groups of strategies? 10. The team should work to make certain that there is good participation from the various participants during n What changes have taken place in the area in terms of the discussion. the arrival of roads, schools etc., and their impact on natural resources? Materials needed: Large pieces of flip chart paper, n How have people’s sources of income changed over color markers, and sticky tape. the period of the timeline? STEP 1 n Any key changes in the lives of men? Women? Tape two or three pieces of paper together to make a Children? long wide rectangle. Draw a long straight horizontal line across the top of the page. At the far right-hand side, Write in the answers for each period of the timeline, add- write NOW. ing paper to the timeline underneath the original sheets if needed. Make sure to include changes in key areas of STEP 2 natural resources and governance (e.g. forestry, agriculture, Ask the community about events in local history which land tenure, institutions) but allow the villagers to include mark off key periods of time starting say, 30-40 years any other categories they believe to be important (e.g. one ago or less. As each period is identified, ask what the key set of villagers in Madagascar wished to include gender events were which happened in each time period. relations as a key area of change over time). 1 It is important to discuss trends in roads, agriculture, schooling, etc. because these have a bearing on our main object, forest trends. 2 TO O L 3 P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T WORKED EXAMPLE FROM TANzANIA In this example, from Shinyanga in Tanzania, participants established their timeline with reference to a series of political eras and events and more recently simply decades. They chose four themes to run across the timeline: cattle, forests, land ownership, and the political institutions which deal with land. 1980s 1960s 1970s Nyerere retired Colonial period to Ujamaa and 1985, slow end Time periods Independence Villagization of Ujamaa 1990s Now 2000- 2006 Cattle Bush areas which Great growth in Growth in cattle Growth in cattle Too many cattle— used to harbour cattle and human and human and human and nowhere to tsetse fly gradually numbers. numbers numbers feed them. cleared from the 1920s onwards. Cattle then multi- plied. Heavy defor- estation resulted. Forests Original vegeta- Ujamaa and Villa- HASHI2 project But by the 1990s Communal ngitilis tion, woodland/ gization destroyed launched in 1986. people had seen are not always in bushland. Ngitilis many indigenous HASHI wanted to that creating more the right place. set aside by Su- natural resource revive the ngitilis. ngitilis was a very More demand for kuma people as systems. Many Some still there good idea. They ngitili products dry season grazing ngitilis destroyed but very depleted; began to be cre- than can be sup- reserves, when when people were some newly cre- ated rapidly. This plied, especially for forest cleared for moved into villages ated by HASHI. time they were the poor. Com- agriculture. Trees and the forest they People cautious at not just used for plaints that there were incidental - had protected was first - watched and fodder, but for a is not enough just shade protect- left unattended. judged activities. wider range of tree land for any more ing the grass. products. ngitilis. Land ownership Land ownership The Ujamaa and HASHI wanted to People rushed to About half of ngiti- originally followed villagization of help people own create their own lis are small private Sukuma custom. Nyerere created their resources private ngitilis, as ones and half There were private state ownership again. well as communal larger communal fields, private graz- of rural lands, not village ngitilis. ones. Most owned ing reserves and private ownership. by men—women communal forest It caused degrada- They sometimes may use them. areas. tion because actu- bought land to ally all lands were do it. There is a growing open to anybody. land shortage and some people are now landless, having sold land to others. Institutions A council of elders Traditional institu- — In 1999 the Village Govern- ruled the village tions which used Village Govern- ment has the right and imposed pun- to manage ngitilis ment became the to control ngitili ishments on those were destroyed lowest government allocation and use. breaking land use level. rules. 2 HASHI – Soil Conservation, Shinyanga (Hifadhi Ardhi, Shinyanga). The program was supported by the Norwegian Government for many years. WORKED EXAMPLE FROM UGANDA In this second example, from the Nyantonzi parish of Masindi district in Uganda, changes in forestry and agriculture are described for three recent periods, distinguished by the changing political regime. 1985/ 86-1995 People gained confidence 1996-2000 in the new Government, The first national 2001-2007 leading to a new presidential elections The 2nd and 3rd presidential elections were TIME PERIOD constitution in 1995 were made in 1996 made in 2001 and 2005 respectively FORESTRY Ownership Taungya in communal forests. Rich people outside Masindi A few people have started planting trees. Resi- started pitsawing. dents joined outsiders to cut timber illegally from Budongo Forest Reserve Abundance Forest canopies were closed. - - Access for women Fetching firewood. Fetching firewood. Fetching firewood. Access for men Looking for timber and poles. Looking for timber and poles. Looking for timber and poles. Management Forest Department (FD) was not Sensitisation of the people on forest importance caring for the forests by NFA. Utilization No interest in forest encroach- Less abundant land, people Undertaking of shifting cultivation in privately ment, land was abundant. cultivating on their own farms. owned forest lands AGRICULTURE Land ownership Community heads allocated Some people started buying Land acquisition is expensive and there are land land for cultivation to house- land. conflicts too. holds Size of land holdings Very big chunks of land — Land holdings are about 5-10 acres to a house- hold Types of crops Many grew tobacco for sale and Maize, cassava, and sorghum Rice cultivation is very recent because of the millet for home consumption. were grown for food, tobacco market. for sale. Productivity Productivity was very high Tobacco production reduced as its price fell. Agricultural practices Agricultural practices were poor — NAADS and BUCODO training has brought in better practices. LIVESTOCK Ownership by women and Owned pigs and goats in small Owned pigs and goats in small Men sometimes sell without the consent of their men quantities quantities wives knowledge Types of animals Hunted wild pigs and baboons Owned pigs and goats in small Own pigs and goats in bigger numbers for food (these eat their crops), quantities goats were also reared. Fodder/ pasture Fodder was very abundant. Abundant. Fodder is still abundant. MARKET, TRADE AND PRICES Forest products — Not many people were involved Many people harvest timber but NFA and the in timber trade. CFMs regulate them Agricultural products People were organised in co- Mangoes were eaten free There is no market for mangoes, tobacco prices operative unions to sell tobacco because of their abundance; are picking up and rice prices are increasing (e.g. Bunyoro Growers Union) tobacco prices fell and it was (Ushs 750-1100@ kg). abandoned by some people because of over production. Livestock products — — Some livestock sold more than in the past EXTENSION & TRAINING Forestry Illegal pitsawyers bribed forest NFA and ECOTRUST teach people about tree officials. planting but no tree seeds/ seedlings have been given to the community members yet. Agriculture BAT only sensitized the farmers Mastermind (BAT’s competitor) BAT and Mastermind still carry out some exten- on tobacco growing related provided extension services for sion services issues. tobacco production. NAADS introduced extension services in agricul- ture generally. BUCODA also provides extension services but on contract basis. Livestock Exotic chicken and goats were introduced 4 TO O L 3 P O V E R T Y- F O R E S T S L I N K A G E S T O O L K I T FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO WWW.PROFOR.INFO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. 4 TO O L 4 L I V EL I HOOD ANALYSIS aiM: tO DIScOVEr tHE ExtENt Of cASH AND SubSIStENcE rELIANcE ON fOrESt rESOurcES AND tHE prOpOrtION Of tHE tOtAL ANNuAL LIVELIHOOD (frOm ALL SOurcES) tHAt cOmES frOm fOrESt rESOurcES. in grOups seLecTed by gender and weaLTh caTegOry The wealth ranking exercise (or its equivalent) will have generated groups of households of similar status.These groups will take part in exercises in which they are con- sulted first about the main sources of their annual cash and non-cash incomes and then about a range of other forest Explain that, by a household’s annual income we mean all the resources that a household needs to get through the year successfully. People in rural areas produce much of what they need themselves, but they do need cash for some purposes. issues. All the exercises are conducted with the same groups. A NOTE ABOUT PREPARATIONS FOR TOOLS 4 and 5 Tools 4 and 5 are based on a series of charts the outlines of which have to be drawn ahead of time, if being done manually. Otherwise the tables and charts will be produced electronically by spreadsheet (a standard template is available from the PROFOR website). Tool 4 uses five charts while Tool 5 uses two. Seven large flip-chart sheets are thus needed for each sub-group to be worked with. A minimum of four subgroups is needed (see Tool 1) for which 28 flip-chart sheets would be needed before going to the field. The task is made much easier if three or four facilitators help and if there are one meter long rulers available (or A1 cardboard sheets to act as rulers – such as the backs of flip-chart pads). The task still takes about half a day but it is a good way of making facilitators thoroughly familiar with the charts before they are used in the village. Those training the facilitators should be present to help throughout, to reduce errors. Another task for facilitators is to count out 20 beans or stones into each of 40 or so small plastic bags—enough for 10 per group if it has been decided that there will be 10 participants in a group. Allowing a few spares, that means 800–900 beans or stones. It is important to choose an object of a standard size and that will not confuse participants by breaking in half dur- ing the exercise. (It should not be too edible—avoid peanuts.) Choose beans or stones that do not roll about or blow away. Dry, hard maize kernels, haricot beans, coffee beans or gravel work well. The counting is quick with a few helpers. It is important that there are exactly 20 beans in each bag. Materials needed: 28 (7 x number of groups—it might be more than this) pre-drawn flip-chart sheets; other blank flip-chart sheets; plenty of marker pens in black (for drawing charts) and in other colors (for filling them in). Ideally, 4 meter-long rulers. Counters for participants. Each participant in a group needs a plastic bag with 20 stones or beans in it—say 20 x 10 = 200 x 4 = 800 in all. Calculators, compasses and protractors will be needed to prepare pie charts on flip-charts for Tool 4. Calcula- tors are needed for percentages on other tools. Where possible, the use of laptop computers, with all the sheets set up within a spreadsheet program, is highly recommended. This saves considerable time and is a more secure method of data collection. 2 TO O L 4 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T So a household’s annual income means: sources of income—‘gum’, ‘charcoal’ ‘maize’, etc. (see n All the items grown on farm or gathered from forests filled chart below). (including timber) or other off-farm natural resources, n As each individual completes his/her column, and and sold. is satisfied with it (they often want to adjust a little), n All the items, grown on farm or gathered from forests write the numbers in the squares, and return the (including timber) or other off-farm natural resources, beans/stones to the individual. Check that for each and consumed or used at home without being sold. individual allocated 20 stones the numbers written n Money received in wages or through trading. add up to 20. Begin again with the next person. n Money sent by other family members living and work- ing outside the community (remittances). Third n At the end of Step 1, count totals laterally, and put sTep 1 them in the column on the right. an OVerView OF The Main cash n Check that each vertical column totals 20 and that (if cOMpOnenTs OF The hOusehOLd’s there are 10 people in the group) the next column to annuaL LiVeLihOOd the right totals 200. a blank table layout for this step is provided on page 9 Later that evening First Work out the percentages and write them in. (This is n Write the heading ‘Forest products’ at the top of the unnecessary if the data have been recorded directly onto left hand column, and have group participants list all a computer). those they can think of that are regularly sold—the number will vary, which is why the chart cannot be sTep 2 completely pre-drawn. an OVerView OF The Main nOn-cash n Then write the heading ‘Farm produce—crops’ cOMpOnenTs OF The hOusehOLd’s n Then write the heading ‘Farm produce—livestock’ annuaL LiVeLihOOd and do the same. (following the same procedure in Tool 4 Step 1) n Finally write the heading ‘Other sources of cash’. a blank table layout for this step is provided on page 10 Prompt if necessary for ‘wage-laboring’, ‘wages’, ‘trade’, ‘remittances’, ‘compensation payments’, pensions, etc. First n Write the heading ‘Forest products’ at the top of Second the left hand column, and have group participants n Give each individual in the group 20 beans/stones in list all those they can think of that are regularly a plastic bag. used. Go through all the items in step 1 (since many n Get group members, one by one, to assign ALL their items are of course used in the household as well as 20 beans/stones across the categories on the chart, sold) and add to them as necessary—the number will putting more beans/stones where cash income sources vary which is why the chart cannot be completely are more important. pre-drawn. n Make sure to say that it is fine to leave empty squares n Then write the heading ‘Farm produce—crops’ if no cash income comes from that source. n Then write the heading ‘Farm produce—livestock’ n Do not let individuals put beans on generic lines such and do the same. Go through the list on chart 1 and as ‘forest products’, ‘farm produce’ but only on specific add to it if necessary. p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T TO O L 4 3 an eXaMpLe OF TOOL 4 – sTep 1 cash cOMpOnenTs OF hOusehOLd’s annuaL LiVeLihOOd busOngO ViLLage, shinyanga, Tanzania — grOup 1 pOOr wOMen Group Participants 1 2 3 4 5 6 7 8 9 10 Totals % Forest products 27 14% Gum 3 - - 7 - - 3 6 5 - 24 Charcoal - - - 3 - - - - - - 3 Farm produce 150 75% Cotton 11 10 15 6 10 10 5 14 6 6 93 Sesame for oil 2 - - - - - - - - - 2 Green gram - - - - - - 3 - - - 3 Groundnuts - 3 - - - - - - - - 3 Maize 4 7 3 4 5 4 2 - 5 4 38 Sorghum - - 2 - 5 - 4 - - - 11 Other sources of cash 23 11% Petty trade - - - - - 6 3 - 4 10 23 TOTALS 20 20 20 20 20 20 20 20 20 20 200 100% an eXaMpLe OF TOOL 4 – sTep 2 nOn-cash cOMpOnenTs OF hOusehOLd’s annuaL LiVeLihOOd busOngO ViLLage, shinyanga, Tanzania — grOup 1 pOOr wOMen Group Participants 1 2 3 4 5 6 7 8 9 10 Totals % Forest products 89 44% Wild green leaves - 1 1 1 2 - 1 1 1 1 9 Fuelwood 2 1 2 2 2 - 2 2 2 2 17 Charcoal 2 1 1 - 1 3 1 2 1 - 12 Mushrooms - 1 1 1 - - - - - - 3 Tamarind 2 1 1 2 1 - 1 1 1 1 11 Honey - 1 1 1 - - - - - 1 4 Materials for building 2 1 2 1 2 1 1 2 2 1 15 Thatch grass 1 1 1 1 1 1 1 1 1 1 10 Fodder - 1 1 1 1 - - 1 2 1 8 Farm produce 111 56% Maize 2 2 1 1 2 5 2 3 3 2 23 Sorghum 1 2 1 2 1 - 1 1 2 1 12 Groundnuts 2 1 1 1 - 3 1 1 1 1 12 Mung beans - 1 1 1 2 - 1 1 1 1 9 Sweet potatoes 2 1 2 3 3 3 3 2 2 2 23 Sesame 1 - - 1 1 - 1 - - - 4 Greengram 1 1 1 - - - 1 1 - 1 6 Green vegetables 1 1 - - - 2 1 1 1 1 8 Red Beans 1 1 1 - 1 2 1 - - 1 8 Fruits - 1 1 1 - - 1 - - 2 6 TOTALS 20 20 20 20 20 20 20 20 20 20 200 100% 4 TO O L 4 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T n Finally write the heading ‘Food for work, barter’. sTep 3 Prompt if necessary. prOpOrTiOn OF The hOusehOLd’s enTire Second annuaL incOMe ThaT cOMes FrOM n Give each individual in the group 20 beans/stones in cash sOurces, and prOpOrTiOn which a plastic bag. cOMes FrOM nOn-cash sOurces n Get group members, one by one, to assign ALL their a blank table layout for this step is provided on page 11 20 beans/stones across the categories on the chart, putting more beans/stones where their non-cash Explain that in the last two exercises we have looked at income sources are more important. the income that comes from cash sources, and the in- n Make sure to say that it is fine to leave empty squares come which comes from non-cash sources. if no cash income comes from that source. n Do not let individuals put beans on generic lines such The pre-prepared chart is placed on the floor. Make as’ forest products’, ‘farm produce’ but only on specific sure each individual has his/her small bag containing 20 sources of income – ‘gum’, ‘charcoal’ ‘maize’, etc. (see beans/ stones. Take someone’s pile of stones and pile it completed chart on page 3). on the mid-line between cash and non-cash. Explain as n As each individual completes his/her column, and follows, demonstrating as you go: is satisfied with it (they often want to adjust a little), write the numbers in the squares, and return the ‘Suppose this pile of stones represents your household’s whole beans/ stones to the individual. Check that the indi- annual income, from all the sources we have just looked at. Let’s vidual allocated 20 stones and numbers written add split it into two, to show how big a pile the cash part of that up to 20. Begin again with the next person. income represents, and how big a pile the non-cash part of it represents. This side of the line is the cash side, and that side is Third the non-cash side. (Make it clear which is which if participants n At the end of Step 2, count totals laterally, and put are not literate). them in the column on the right. n Check that each vertical column totals 20 and that (if If you are a school teacher, probably most of your income is in there are 10 people in the group) the next column to cash, like this, but a little comes from the fodder your wife gathers the right totals 200. for your animals – so you use some non-cash sources too. If you are a farmer, you might decide that your cash pile looks smaller, Later that evening like this, and your non-cash pile larger, like this.’ 1 Work out the percentages and write them in (if manual data recording is used). It is important to try to avoid using the words ‘propor- tion’ or ‘percentage’ – these are too abstract. Invite one of the more self-confident participants in each group to have a try first. S/he can spend time thinking about it and pushing stones to and fro across the line. Do not hurry him/her. 1 Some reviewers found it hard to believe that villagers would be able to make this cash/ non-cash estimate. However, from our experience at a variety of sites and wealth groups, so long as it is explained and demonstrated in an unrushed way, making these estimates gives them no trouble at all. It is es- sentially the calculation that rural people have to perform in their heads to get through the year. p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T TO O L 4 5 an eXaMpLe OF TOOL 4 – sTep 3 sTep 4 prOpOrTiOn OF incOMe FrOM cash caLcuLaTiOns FOr FaciLiTaTOrs and nOn-cash sOurces TO underTaKe, based On TOOL 4, sTeps 1, 2 and 3 busOngO ViLLage, shinyanga, a blank table layout for this step is provided on page 12 Tanzania — grOup 1 pOOr wOMen CASH NON-CASH Total NB:Tool 4 Step 4 does not need to be done with the villag- 1 12 08 20 ers. It is an analytic tool that can be done by facilitators in the 2 11 09 20 evening to prepare for the plenary report-back to the village (see 3 11 09 20 Section 4). 4 10 10 20 5 11 09 20 Tool 4 Steps 1-3 provide the data for a set of diagrams 6 10 10 20 to express the contribution of forestry to livelihoods in 7 08 12 20 terms of a set of simple pie charts for communication 8 05 15 20 both to local audiences and national-level policy audi- 9 12 08 20 ences. The choices made by individual participants in 10 08 12 20 Step 1 (their own main sources of cash coming from TOTALS 98 49% 102 51% 200 forest resources, farm resources and other cash sources), and Step 2 (forest and farm-based non-cash livelihood resources) are totalled and then represented as percent- When the individual is happy with the relative sizes of ages on the charts. They are turned into pie charts for his/her two piles, say, ‘So—you mean this pile to repre- presentations back to the community and to higher level sent cash and this pile non-cash. Am I right?’ When he/ bodies in the following way. 2 she agrees, count the stones in each pile, write the num- bers in the cash and non-cash columns against number 1 1. For each of Step 1 and Step 2, work out what per- below, and start with the next person. centage of the total is taken up by each of the group’s ‘forest products,’ ‘farm produce,’ ‘livestock (if any)’ and This exercise has been tested successfully in a variety of ‘cash sources (if any)’. country contexts. Those who have not observed it being 2. Draw a large pie chart (circle) for each step, using carried out find it hard to believe that participants do not compasses. find the assessment difficult, once they have understood what is being asked for. This represents the rough and 3. Using a protractor, and remembering that a circle has ready calculations that rural people have to make in their 360º, each percentage category can be represented on heads every year. the circle by multiplying the percentage by 3.6 to give correct proportions. 2 If computers are available these pie charts can easily be generated with Excel. But if poorly resourced district officials are being trained, it is better that they know how to make the calculations and present findings without using computers. 6 TO O L 4 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T Cash + Poor Women Cash Non-Cash non-cash % Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Forest Products 14 6.86 7 44 22.44 22 29 Farm produce 75 36.75 37 56 28.56 29 66 Livestock 0 0 0 0 0 0 0 Other Cash 11 5.39 5 - - - 5 Totals (%) 100 49.00 49 100 51.00 51 100 PIE CHART FROM STEP 1 IN BUSONGO, TANZANIA 4. CHART FROM STEP the BUSONGO, PIEFor example, suppose 1 IN chart gives: TANZANIA POOR WOMEN, CASH Forest products 14% x 3.6 = POOR WOMEN, CASH AND NON-CASHS 50 degrees Farm produce 40% x 3.6 = 144 degrees Other Sources Livestock 35% x 3.6 = 126 degrees Other Cash Other cash sources 11% x 3.6 = 40 degrees 11% TOTALS 5%100% = 360 degrees Forest Products 14% their piles of stones A third step asks participants to divideForest Products 29% into two which represent, by their size, the relative weight- ing of cash and subsistence components in their annual in- come. In the case of the Busongo ‘poor women’ group, this 75% came to 49% from cash, and 51% from subsistence items. Farm Produce 66% Combining results from the three steps Farm Produce Using these weightings, the two pie-charts representing the cash and subsistence components of the income can be combined into a single final pie-chart which repre- sents the contribution (cash and subsistence) of forests, PIE CHART FROM STEP 2 IN BUSONGO, TANZANIA agriculture, livestock, and cash–income to the total an- POOR WOMEN, NON-CASH nual livelihood. The way to make this calculation (using no more than a calculator) follows below. Forest Products Column 1—shows the original cash figures from Tool 4 44% Step 1. Column 4—shows the original non-cash figures from Tool 4 Step 2. 56% Farm Produce Columns 2 and 5—From Tool 4 Step 3 we discovered that in the case of the poor women’s group from Buson- go, the cash contribution to the year’s income was about 49%, and the non-cash contribution is 51%. Write these figures in at the bottom of these columns. p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T TO O L 4 7 Column 2—To obtain the figures that total 49% in PIE CHART FROM STEP 1 IN BUSONGO, TANZANIA column 2, divide each figure in column 1 by 100, and MIDDLE-INCOME AND RICH MEN, CASH multiply by 49. Livestock Column 5—To obtain the figures that total 51% in column 5, divide each figure in column 4 by 100, and 33% multiply by 51. Forest Products 7% Columns 3 and 6 round the figures up or down so you have whole numbers. Round figures coming to .50 or above up to the next whole number, and round those 20% Other Cash coming to .49 or less, down to the next whole number, 45% as shown. Farm Produce Column 7—Add together the figures in columns 3 and 6 to obtain the numbers in Column 7, which should then total 100%. Column 7 gives you the combined cash PIE CHART FROM STEP 2 IN BUSONGO, TANZANIA and non-cash contribution of the listed items to the an- MIDDLE-INCOME AND RICH MEN, NON-CASH nual income. Thus Agricultural Products contribute 66% and Forest Products 29%. Farm Produce 23% The resulting pie-chart looks like this: TANZANIA PIE CHART FROM STEP 1 IN BUSONGO, TANZANIA 35% POOR WOMEN, CASH AND NON-CASHS 27% Livestock Forest Products Other Cash 5% 15% st Products Other Cash 29% Forest Products PIE CHART FROM STEP 3 IN BUSONGO, TANZANIA MIDDLE-INCOME AND RICH MEN, CASH AND NON-CASH Other Cash 17% Produce 66% Farm Produce 29% 24% Forest Products Livestock All three of these pie-charts give quick instantly-accessi- ble ways of seeing the extent to which Busongo’s poorer TANZANIA women depend on forest resources. By contrast, the way the three pie-charts look in the case of Busongo’s 30% Farm Produce middle-income and rich men is displayed at right. roducts 8 TO O L 4 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T ranKing The iMpOrTance OF Tree and n Each group relies on a different forest product as FOresT prOducTs drawn FrOM TOOL 4 their main source of cash income: for A/B men it is bushmeat, for A/B women it is mushrooms, for C/D A ranking of forest products, in terms of their importance men it is snails, and for C/D women it is firewood. for both cash and non-cash use, can be made by referring n The C/D women rely on the largest range of forest to the first two data tables of Tool 4. Each forest prod- products for cash, whilst the C/D men utilize the uct is listed in the table below, using the totals for each largest range of forest products for non-cash needs. respondent group to rank their importance, beginning n Bushmeat (i.e. hunting) is predominantly a male activity. with the highest scoring products. Where products have n Mushroom and snails appear to be the most widely used the same total score they are given the same rank (see ex- non-timber forest products (in cash and non-cash terms). ample). The number of ranked products is also recorded. n Medicinal plants are also widely used by all groups, although they have a lower rank than for mushrooms Several issues stand out: and snails—perhaps as a consequence of the intermit- n All groups rely on a greater range of forest products tent need for medicine compared to the everyday for their non-cash needs than their cash needs. need for foodstuffs. resuLTs FrOM The anaLysis OF TOOL 4 ranKing The iMpOrTance OF Tree and FOresT prOducTs, by gender and by weaLTh ranK assin aKrpOng, ghana Poor women Middle/rich women Poor men Middle/rich men Forest Product Cash Non-cash Cash Non-cash Cash Non-cash Cash Non-cash Bushmeat 1 1 3 1 6 Wrapping leaves 2 13 4 Mushrooms 2 1 5 2 3 3 Charcoal 2 4 5 9 Wild Yam 4 3 6 5 Sponges 7 9 7 Spices 6 11 Snails 6 3 1 5 2 2 Pestle 2 9 7 Palm wine (adoka) 3 Medicines 8 2 4 2 7 4 Lumber Handicrafts 1 Fruits and Nuts 6 12 Firewood 3 2 4 1 1 Chewsticks 6 10 7 Building materials 9 5 Total number of ranked products 4 9 2 9 4 13 6 9 Note that low numbers mean a high ranking p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T TO O L 4 9 LayOuT FOr TOOL 4 – sTep 1 cash cOMpOnenTs OF hOusehOLd’s annuaL LiVeLihOOd Name of location: Name of group: Group Participants 1 2 3 4 5 6 7 8 9 10 Totals % 10 TO O L 4 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T LayOuT FOr TOOL 4 – sTep 2 nOn-cash cOMpOnenTs OF hOusehOLd’s annuaL LiVeLihOOd Name of location: Name of group: Group Participants 1 2 3 4 5 6 7 8 9 10 Totals % p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T TO O L 4 11 LayOuT FOr TOOL 4 – sTep 3 prOpOrTiOn OF incOMe FrOM cash and nOn-cash sOurces Name of location: Name of group: CASH NON-CASH Total 1 20 2 20 3 20 4 20 5 20 6 20 7 20 8 20 9 20 10 20 11 20 12 20 13 20 14 20 15 20 16 20 17 20 18 20 19 20 20 20 12 TO O L 4 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T resuLTs FrOM The anaLysis OF TOOL 4 ranKing The iMpOrTance OF Tree and FOresT prOducTs, by gender and by weaLTh ranK Name of location: Name of group: Poor women Middle/ rich women Poor men Middle / rich men Forest Product Cash Non-cash cash Non-cash Cash Non-cash cash Non-cash FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO www.prOFOr.inFO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. 5 TO O L 5 FO REST PROBLEM AND SO LUTION MATRIX in grOups seLecTed by gender and weaLTh caTegOry aiM: TO IDENTIFy AND RANk ThE MAIN FOREST PROBLEMS, AND SUggEST POTENTIAL SOLUTIONS. PROBLEMS OF LAw, POLIcy, TENURE AND AccESS ARE cAPTURED ThROUgh ThIS TOOL. Ask: What do you think are the main forest problems in this area? Brainstorm a list and write them down in the left hand column. Roads/markets: If no mention of markets or road access is made, ask if there are problems in getting forest prod- ucts to market, or in accessing markets for forest products A NOTE ABOUT PREPARATIONS FOR TOOLS 4 and 5 Tools 4 and 5 are based on a series of charts the outlines of which have to be drawn ahead of time, if being done manually. Otherwise the tables and charts will be produced electronically by spreadsheet (a standard template is available from the PROFOR website). Tool 4 uses five charts while Tool 5 uses two. Seven large flip-chart sheets are thus needed for each sub-group to be worked with. A minimum of four subgroups is needed (see Tool 1) for which 28 flip-chart sheets would be needed before going to the field. The task is made much easier if three or four facilitators help and if there are one meter long rulers available (or A1 cardboard sheets to act as rulers – such as the backs of flip-chart pads). The task still takes about half a day but it is a good way of making facilitators thoroughly familiar with the charts before they are used in the village. Those training the facilitators should be present to help throughout, to reduce errors. Another task for facilitators is to count out 20 beans or stones into each of 40 or so small plastic bags—enough for 10 per group if it has been decided that there will be 10 participants in a group. Allowing a few spares, that means 800–900 beans or stones. It is important to choose an object of a standard size and that will not confuse participants by breaking in half dur- ing the exercise. (It should not be too edible—avoid peanuts.) Choose beans or stones that do not roll about or blow away. Dry, hard maize kernels, haricot beans, coffee beans or gravel work well. The counting is quick with a few helpers. It is important that there are exactly 20 beans in each bag. Materials needed: 28 (7 x number of groups—it might be more than this) pre-drawn flip-chart sheets; other blank flip-chart sheets; plenty of marker pens in black (for drawing charts) and in other colors (for filling them in). Ideally, 4 meter-long rulers. Counters for participants. Each participant in a group needs a plastic bag with 20 stones or beans in it—say 20 x 10 = 200 x 4 = 800 in all. Calculators, compasses and protractors will be needed to prepare pie charts on flip-charts for Tool 4. Calcula- tors are needed for percentages on other tools. Where possible, the use of laptop computers, with all the sheets set up within a spreadsheet program, is highly recommended. This saves considerable time and is a more secure method of data collection. 2 TO O L 5 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T LayOuT FOr TOOL 5 – sTep 1 Name of location __________________________ and name of group __________________________ TOOL 5: FOREST PROBLEM AND SOLUTION MATRIX SHEET 1 : MAIN FOREST PROBLEMS Group Participants 1 2 3 4 5 6 7 8 9 10 Totals % Problem 1 Problem 3 Product 3, etc. TOTALS 20 20 20 20 20 20 20 20 20 20 200 100% Tenure/access rights: If no mention of problems ac- where solutions ought to come from. It is usually possible cessing forest resources is made, ask if there are tenure or to sort problems out into: access problems n Problems that could be solved by the household n As each individual completes his/her column, write itself, or by the village government using the rights the numbers in the squares, return the beans/stones to it has. the individual, and begin again with the next person. n Problems that need to be taken to the local authorities n Count totals laterally, and put them in the column on beyond the village. In the example below, some clearly the right. constitute requests for help, or adjudication, to higher n This will give a ranking of problems from greatest to local authorities. least. n Problems that (even if villagers do not understand n Copy these problems down, IN RANK ORDER, this) can only be solved at higher levels. Some prob- onto the next sheet before working through it with lems given in the list below need to be addressed at the group. the national level. The problems raised – as perceived by richer and poorer, The different kinds of problems can be marked with male and female groups will cover a range of issues as different colored markers, so that they can be grouped the example shows. Each time this exercise has been together, for presentation at the final plenary (Tool 6) and run, there has been a very good discussion afterwards of for raising elsewhere. LayOuT FOr TOOL 5 – sTep 2 Name of location __________________________ and name of group __________________________ TOOL 5: FOREST PROBLEM AND SOLUTION MATRIX SHEET 2 : FOREST PROBLEMS RANKED Forest Problems Ranked Solutions To The Main Forest Problems 1 2 3 etc. p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T TO O L 5 3 wOrKed exaMpLe FrOM Tanzania: The FinaL cOLuMn was added FOLLOwing discussiOns FOREST PROBLEMS SOLUTIONS TO MAIN FOREST PROBLEMS LEVEL AT WHICH TO DEAL WITH ISSUE LAND SHORTAGES FOR FARMING AND FOR THE CREATION OF NEW VILLAGE FORESTS Pw: 1 Lack of land for Tree boundary planting Some solutions at farm level, but lack of forest restoration/ village Agroforestry village forest land and farm land needs forests to be addressed at village, district and regional level. Pw: 4 Landlessness Reallocation of land for equal utilization especially for those who have large pieces of land not fully utilized LACK OF WATER / DROUGHT Pw: 2 Lack of water Plant trees during rainy season Farm level hinders tree-planting Rw: 3 Dying of tree Water tree seedlings and use manure. Use of natural regenera- Farm level seedlings due to drought tion of tree seeds dispersed by cattle. Rm: 5 Drought Tree-planting of drought tolerant species and fruit trees. Farm level FUELWOOD SHORTAGES Pw: 3 Only one source On-farm tree-planting Farm level, but see also land redistribu- of fuelwood tion problems CONFLICT WITH AUTHORITIES OVER CHARCOAL Pw: 5 Conflict between Re: charcoal-burning from own farmland, the Village Govern- Lack of clarity about documents needed villagers and foresters ment should provide the permit so that it can be taken to mar- to sell charcoal from own land. District over forest products ket. That permit should be respected on the road by police etc. Level and Village Government. TREE DISEASES Rw: 4 Dying of tree Plant many. Use pesticides and mixed ashes and manure. Farm-level seedlings due to dis- eases and insects GUM MARKETING Rm: 4 Lack of promising Request assistance on better markets for gums, and better Better market intelligence, through re- markets for gum (+ Low knowledge of current prices. quest from District-Regional level forestry market prices for gum); officials to National Forestry and Bee- 7 Lack of knowledge on Education to gum collectors on the importance of gum quality, keeping Division of Ministry of Natural gum quality and the mix- and the importance of not mixing different gums. Resources. ing of gums of different qualities and tree species ILLEGAL USE OF VILLAGE FORESTS BY OTHERS Rw: 1 Illegal cutting of To establish protection measures for village and private owned Village Government and some outside trees in village land and forests. Sharing patrol/ policing of the resources. Education/ facilitation from ward forester forest conservation areas sensitization through meetings in the village. Rw: 5 Illegal tree cutting For conservation areas, get permits from sub-village forest of- for fuelwood for home ficer. For village forest, get permission from the village chairman use owning village forest. Abide by regulation on use/ harvesting of forest resources as advised by authorities (forest department and village government). Pm: 1 Accidental start- Arrest and take to Village Government who will fine him/her. Village Government ing of forest fires Rw: 2 Illegal/ unauthor- A village meeting to put in place security strategies to solve the Village Government ized grazing of cattle in problem of illegal activities. Use village bylaws appropriately. village forests Change security guards. Pm: 2 Unauthorized Arrest and take to Village Government to fine or warn him/ her. Village Government grazing 4 TO O L 5 p O V e r T y- F O r e s T s L i n K a g e s T O O L K i T wOrKed exaMpLe FrOM Tanzania, cOnTinued FOREST PROBLEMS SOLUTIONS TO MAIN FOREST PROBLEMS LEVEL AT WHICH TO DEAL WITH ISSUE ILLEGAL USE OF VILLAGE FORESTS BY OTHERS Rm: 6 Inappropriate Enact local bylaws on sustainable forest utilization. These Village Government/ Ward/ Division livestock grazing should be given equal importance among other bylaws in the village/ ward/ division. Reinforcement of current bylaws on for- est utilization and management. Pm: 3 Unauthorized Arrest and take to Village Government to be judged and pun- Village Government tree cutting ished accordingly (fine or warn) Pm: 4 Unauthorized Arrest and take to Village Government with his/ her roots/ Village Government collection digging of medicine as evidence. herbal medicine prod- ucts Pm: 5 Unauthorized/ Arrest, take to court, fine. Village Government illegal cultivation in for- est/ village forest areas Pm: 6 Illegal hunting in Arrest and report to village bylaws councils to be fined Village Government village forests (punished). NEED FOR MORE FORESTRY INPUT AT THE LOCAL LEVEL Rm: 1 Lack of forestry Urgent request to government to provide forest extension District Level Government extension officers officers for improved forest productivity. Education through seminars and workshops on forest conservation. Rm: 2 Lack of education Education on sustainable forest management and conservation Contact ward-level forestry official on tree-raising and forest through seminars and workshops. conservation Rm: 3 Lack of projects Request projects on tree-planting and conservation. District Level government for seed supply, tree nurseries and planting Requests for tree seeds, seedlings, plastic poly bags, and book- lets on tree-establishment. Requests for help to form farmer groups to undertake tree-nursery raising. Rm = rich men; Pm = poor men; Rw = rich women; Pw = poor women FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO www.prOFOr.inFO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. 6 TO O L 6 RANKING FOREST PRODUCTS AIM: TO RANK FOREST PRODUCTS by ImPORTANCE, FOR CASh AND/ OR FOR SUbSISTENCE USES. Obtaining a ranking of the importance of tree and forest products can be done without administering a further tool to the four groups. Key data can be drawn from Tool 4 Steps 1 and 2, collating the results from all the four groups’ results by the facilitators. of the time on grazing which is reserved for them inside small privately and communally owned forests, where the trees protect the grazing until late in the dry season. However, although the huge importance of cattle came out in Tool 4 (for all groups except poor women), and The results show clearly which are the most valued for- they were far more important than any (other) forest est products, and which are of most value to the poor product, fodder was only mentioned inconsistently as a and to women. ‘forest product’. For that reason, cattle have also been included here. Cattle are the chief asset and store of wealth in Shinyanga, and they are fed, according to their owners, from 60-90% a blank table layout for this step is provided on the reverse A wOrked exAMpLe Of TOOL 6 RANKING THE IMPORTANCE OF TREE AND FOREST PRODUCTS, BY GENDER AND BY WEALTH RANK Poor women Middle/rich women Poor men Middle /rich men Forest Product Cash Non-cash Cash Non-cash Cash Non-cash Cash Non-cash Cattle 1 1 1 1 1 1 Gum 1 2 2 4 Fuelwood 1 4 2 4 Building materials 2 5 3 2 Traditional medicine 3 3 Wild animals, birds 3 Charcoal 2 3 3 7 3 2 2 4 Tamarind and other 4 wild fruit Timber 5 4 Thatch grass 5 5 5 Fodder 7 4 Wild green leaves, 6 vegetables Honey 8 Mushrooms 9 Note that low numbers mean a high ranking 2 TO O L 6 p O V e r T Y- f O r e S T S L I N k A G e S T O O L k I T LAYOuT fOr TOOL 6: rANkING THe IMpOrTANCe Of Tree ANd fOreST prOduCTS, BY GeNder ANd BY weALTH rANk Poor women Middle/rich women Poor men Middle /rich men Forest Product Cash Non-cash Cash Non-cash Cash Non-cash Cash Non-cash FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO www.prOfOr.INfO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. 7 TO O L 7 MILLENNIUM DEVELOPMENT GOALS CHART AIM: TO SHOw THE CONTRIbUTION Of fORESTS TO THE ACHIEVEMENT Of THE MDGS. All the data from the Steps in Tool 4 are useful for com- pleting a chart which shows the contribution of forests in this location to the achievement of the Millennium WOrked exAMpLe frOM TAnzAnIA Development Goals. This chart will not be used in the village, but is filled in after discussion and analysis by the toolkit team and facilitators. THE MILLENNIUM DEVELOPMENT GOALS AND TARGETS, AND THE CONTRIBUTION OF FORESTS TO THEM ACTUAL CONTRIBUTION OF FORESTS IN THIS CASE POTENTIAL CONTRIBUTION OF (drawn from Tool 4, steps 1,2,3) GOALS TARGETS FORESTS TO THESE Busongo, Tanzania Goal 1: Eradicate Target 1: Halve, between Are improvements in livelihoods Villagers cite forest contribution to extreme poverty 1990 and 2015, the pro- coming about as a result of using the livelihoods of 20-29% in Busongo, and hunger portion of people whose forest? Tanzania. income is less than $1 a day Charcoal, fuelwood, ghee and milk, livestock, gum, thatch and fodder Target 2: Halve, between Are improvements in food security grass contribute directly and indirectly 1990 and 2015, the pro- coming about as a result of using the to the meeting of these targets. portion of people who forest? suffer from hunger Forest protection ensures their availability. Goal 2: Achieve Target 3: Ensure that, by Does generation of cash from forest Livestock, charcoal, gum, fodder and universal primary 2015, children every- products help access of primary age thatch grass sales all mentioned for education where, boys and girls children to school (where fees and these purposes by individuals. Forest alike, will be able to bus-fares are barriers)? protection ensures their availability. complete a full course of primary schooling Village forests are used to construct staff houses for primary schools and extra classrooms. Goal 3: Promote Target 4: Eliminate gen- Girls’ access to school cannot be Women mention goats and cattle as gender equality + der disparity in primary directly promoted through using the items sold to raise money for these empower women and secondary education forest. But girls as well as boys are expenses. Forest protection ensures preferably by 2005 and more likely to attend school where their availability. in all levels of education forest incomes help women to find no later than 2015 cash for school fees and uniforms. As incomes rise overall, it is observed that girls are more likely to be sent to school as well as boys. 2 TO O L 7 p O V e r T Y- f O r e S T S L I n k A G e S T O O L k I T WOrked exAMpLe frOM TAnzAnIA, COnTInUed THE MILLENNIUM DEVELOPMENT GOALS AND TARGETS, AND THE CONTRIBUTION OF FORESTS TO THEM ACTUAL CONTRIBUTION OF FORESTS IN THIS CASE POTENTIAL CONTRIBUTION OF (drawn from Tool 4, steps 1,2,3) GOALS TARGETS FORESTS TO THESE Busongo, Tanzania Goal 4: Reduce Target 5: Reduce by two- Are improvements in access of Charcoal, fuelwood, ghee and milk, child mortality thirds, between 1990 mothers and children to good quality livestock, gum, thatch and fodder and 2015, the under-five foods, to forest medicines and to the grass contribute directly and mortality rate money to buy food and pay for medi- indirectly to the meeting of these cal attention coming about as a result targets. Forest protection ensures Goal 5: Improve Target 6: Reduce by of using the forest? their availability. maternal health three-quarters, between 1990 and 2015, the maternal mortality ratio Goal 6: Combat Target 7: Have halted Are improvements to health coming Charcoal, fuelwood, ghee and milk, HIV/AIDS, malaria, by 2015 and begun to about as a result of using the forest livestock, gum, thatch and fodder and other diseases reverse the spread of for food, medicine, and to pay for grass contribute indirectly to the HIV/AIDS medical attention? meeting of these targets. Forest protection ensures their availability. Target 8: Have halted by 2015 and begun to reverse the incidence of malaria and other major diseases Goal 7: Ensure Target 9: Integrate the Are improvements to environmental Households invest in, and enrich, their environmental principles of sustain- resources coming about as a result small ‘village forests’ because they sustainability able development into of better protection of forests (which own them and the forests support country policies and occurs, for example, where pro-poor their animals (‘their bank’). programs, and reverse policies of devolution and tenure or the loss of environmental access rights are secured)? The Village Government protects the resources forest, applies bylaws and encour- ages natural regeneration, so that a good flow of products continues to be available Target 10: Halve, by Are there any improvements to water NO FIELD DATA 2015, the proportion of flow/water quality noticeable in this people without sustain- location, as a result of better able access to safe protection of the forest? drinking water Target 11: Have achieved, Not the direct task of rural people. NO FIELD DATA by 2020, a significant But better rural livelihoods reduce improvement in the lives migration to towns/ cities. of at least 100 million slum dwellers Goal 8: Develop a Target 12: Develop NOT APPLICABLE NOT APPLICABLE global partnership further an open, rule- based, predictable, non- discriminatory trading and financial system p O V e r T Y- f O r e S T S L I n k A G e S T O O L k I T TO O L 7 3 WOrked exAMpLe frOM CAMerOOn THE MILLENNIUM DEVELOPMENT GOALS AND TARGETS, AND THE CONTRIBUTION OF FORESTS TO THEM ACTUAL CONTRIBUTION OF FORESTS IN THIS CASE POTENTIAL CONTRIBUTION OF (drawn from Tool 4, steps 1,2,3) GOALS TARGETS FORESTS TO THESE Woteva/ Lyssoka, South West, Cameroon Goal 1: Eradicate Target 1: Halve, Are improvements in livelihoods Percentage of livelihood supported by forest is extreme poverty between 1990 and coming about as a result of using the between 2-22%, bush meat, honey, fuel wood, wild and hunger 2015, the proportion forest? vegetables, wild fruits and small scale commercial of people whose timber are primary sources of income; they contrib- income is less than ute directly to meeting these targets; $1 a day Use of forest as farmlands provide food products Target 2: Halve, Are improvements in food security which contribute between 8-38% of livelihood. between 1990 and coming about as a result of using the Protection and restricted access from strangers 2015, the proportion forest? ensures reduced pressure and therefore their of people who suffer availability from hunger Goal 2: Achieve Target 3: Ensure that, Does generation of cash from forest Timber from the forest, has been used to construct universal primary by 2015, children products help access of primary age benches for a primary school and cash derived from education everywhere, boys children to school (where fees and sales of timbers and NTFP like bush meat, honey, and girls alike, will be bus-fares are barriers)? and fuel wood are used for paying school fees, able to complete a and buying school supplies. Payment of the Parent full course of primary Teacher Association (PTA) fees is used to pay part schooling time teachers. Protection and restricted access from strangers ensures reduced pressure and there- fore their availability. Goal 3: Target 4: Eliminate Girls’ access to school cannot be Women mention selling forest products like timber, Promote gender gender disparity directly promoted through using the honey, spices and fuel wood to pay fees for both equality and in primary and forest. But girls as well as boys are male and female children. empower secondary education more likely to attend school where women preferably by 2005 forest incomes help women to find and in all levels of cash for school fees and uniforms. As education no later incomes rise overall, it is observed than 2015 that girls are more likely to be sent to school as well as boys. Goal 4: Reduce Target 5: Reduce by Are improvements in access of Use of locally available medicinal plants was men- child mortality two-thirds, between mothers and children to good quality tioned to contribute directly for the treatment of 1990 and 2015, the foods, to forest medicines and to the some common diseases like malaria and typhoid. under-five mortality money to buy food and pay for medi- rate cal attention coming about as a result Cash from sales of forest products like bush meat, of using the forest? timber, honey and fuel wood is used to pay medical Goal 5: Target 6: Reduce bills at a nearby village health centre. Improve by three-quarters, maternal health between 1990 and Protection and restricted access from strangers 2015, the maternal ensures reduced pressure and therefore their mortality ratio availability. Goal 6: Combat Target 7: Have halted Are improvements to health coming Use of locally available medicinal plants was men- HIV/AIDS, by 2015 and begun about as a result of using the forest tioned to contribute directly for the treatment of malaria, and to reverse the spread for food, medicine, and to pay for some common diseases like malaria and typhoid. other diseases of HIV/AIDS medical attention? Cash from sales of forest products like bush meat, Target 8: Have halted timber, honey; fuel wood is used to pay medical by 2015 and begun bills at a nearby village health centre. to reverse the inci- dence of malaria and Protection and restricted access from strangers other major diseases ensures reduced pressure and therefore their availability. 4 TO O L 7 p O V e r T Y- f O r e S T S L I n k A G e S T O O L k I T WOrked exAMpLe frOM CAMerOOn THE MILLENNIUM DEVELOPMENT GOALS AND TARGETS, AND THE CONTRIBUTION OF FORESTS TO THEM ACTUAL CONTRIBUTION OF FORESTS IN THIS CASE POTENTIAL CONTRIBUTION OF (drawn from Tool 4, steps 1,2,3) GOALS TARGETS FORESTS TO THESE Woteva/ Lyssoka, South West, Cameroon Goal 7: Ensure Target 9: Integrate Are improvements to environmental Households invest in the forest by having a pro- environmental the principles of resources coming about as a result tected community forest, and fruit trees, and by not sustainability sustainable develop- of better protection of forests (which felling all trees on their owned farmlands to ensure ment into country occurs, for example, where pro-poor sustainability of the forest resources; policies and pro- policies of devolution and tenure or grams, and reverse access rights are secured)? There is a feeling of ownership of the forest by the the loss of environ- entire village and extraction of some products like mental resources fuel wood and timber are controlled by the village council which also collect levies from an external timber exploiter and the tourism organisation (ecotourism). Protection of the seedlings of timber species in their respective farms. Target 10: Halve, by Are there any improvements to The village use revenue from the forest to maintain 2015, the proportion water flow/ water quality noticeable local pipe borne water supply. of people without in this location, as a result of better sustainable access to protection of the forest? safe drinking water Target 11: Have Not the direct task of rural people. Information obtained reveal that most persons achieved, by 2020, a But better rural livelihoods reduce considered wealthy with Zinc roofed houses, significant improve- migration to towns/ cities. Motorbikes and small scales enterprises in the ment in the lives of village got their money from sales of timber, fuel at least 100 million wood and ecotourism. This activity helped employ slum dwellers some youths who are now based in the village and reduced the rate of theft and prostitution thus con- tribute in its development. Villagers mostly depend on forest products for payment of electricity bills, and purchases of basic needs, thereby improving livelihoods. Goal 8: Target 12: Develop NOT APPLICABLE Develop a global further an open, rule- partnership based, predictable, non-discriminatory trading and financial system FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO WWW.prOfOr.InfO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. 8 TO O L 8 M O NETARY VALUES aim: TO ExpRESS ThE cONTRibUTiON Of fORESTRY iN MONETARY TERMS. In order to make the case for the importance of forests to local people, some kind of numerical data is almost essen- tial. Calculations suggested here view the data gathered during the Field Toolkit exercise in the context of official per capita income data. This is the only way of deriving and forestry (as in the worked example from Tanzania be- low). It is important to know whether and how different forms of non-cash income are included, because these differences will affect your calculations of monetary value. numerical data from toolkit data. Even a rough and ready Two worked examples, from Tanzania and Madagascar, method for assigning cash values to the forest proportion demonstrate the use of this tool using slightly different of annual incomes can be useful for making a preliminary approaches. Again, note that your calculation will most case for the importance of including forest product ques- likely need to be adapted according to the kind of official tions in future household surveys. statistics that you have and the assumptions made in those statistics (e.g. inclusion of forest products and of non-cash The critical first step is to obtain data from the national income). The example from Tanzania is worked in US$ or provincial statistics body and to understand what these values, useful for international communications, but can figures do and do not include. The data needed for this be worked in the same way in the national currency. exercise, which should be readily available, include: WOrked exampLe frOm Tanzania n Mean income for the country n Mean income for the actual province, district, ward Figures and definitions from Bureau of Statistics data or village surveyed (or at least a breakdown between 1. The average per capita income for all Tanzanians in rural and urban income) 2005 stood at $327. n An analysis of where this income comes from (e.g. percentages from employment, remittances, agricul- Making an estimate of unaccounted for income from ture and other activities) forests. The example of poor/very poor women in Busongo n Mean household size for the country, and for the Cash income estimated as Cash income 49% of total income actual province, district, ward or village surveyed 1.Forest 14% 6.86 7 n The number of households in the village or district 2. Farm 75% 36.75 37 where the tools were applied 3. Other 11% 5.39 5 n The number of households in each of the four wealth 100% 49.00 49 categories (these figures come from Tool 1, Wealth Non-cash income estimated Ranking, rather than from official statistics) Non-cash income as 51% of total income 4. Forest 44% 22.44 22 Usually, the official statistics on sources of household 5. Farm 56% 28.56 29 income do not include non-cash income. Sometimes the 100% 51.00 51 statistics do include non-cash income from agriculture Total annual cash and 100.00% 100% but not non-cash income from collected wild products non-cash income 2 TO O L 8 p O V e r T Y- f O r e S T S L i n k a G e S T O O L k i T Column 1 % of Busongo Ave. No of Column 2 income owned Wealth Rank categories Cattle (score Ha. of land Column 1+2 Wealth score x by each wealth of HHs in Busongo 1 per head) (score 3 per ha) Wealth Score no. of HHs category Rich HHs 18 30 10 x 3 =30 60 1080 28.0 Middling 29 15 5 x 3 =15 30 870 22.0 Poor 150 5 2x3= 6 11 1650 42.0 Very poor 58 1 1x3= 3 4 290 8.0 TOTALS 255 3890 100.0 2. Shinyanga (where the toolkit was tested), as one of the GOinG beYOnd an aVeraGe per capiTa country’s poorest regions averages 74% of this figure, fiGUre: WeaLTh diSTribUTiOn or $242. 3. Average household size in Shinyanga is about six, so However, an average figure for the whole of Shinyanga the average household income in the region is $1,452. does not allow us to look at the different cash value of for- 4. Per capita income includes cash income from all est for richer and poor people. Is there any way of taking sources (1, 2 and 3 in the chart) and non-cash income the calculation further? An attempt was made as follows. in the form of farm-raised crops consumed at home (5 in the chart). It excludes non-cash off-farm income 1. In the original village wealth-ranking exercise, the such as forest products, which are consumed and not team was told that there were 255 households in the sold (4 in the chart). village in total of which 18 were wealthy, 29 were middling, 150 were poor and 58 were very poor. USinG The fiGUreS in cOnjUncTiOn WiTh 2. The team was also given average cattle numbers and TOOLkiT daTa land holdings for each of these categories as indicators. 3. From these, a simple scoring system was devised in or- 1. Adding in the missing fraction of income derived from non- der to develop a ‘wealth score’ for each category, with cash forest resources. The average per household income which to develop an indication of wealth distribution figure from the official statistics ($1452) includes non- among the four categories. cash income from agriculture but not from forestry. 4. Shinyanga’s 255 households, with an average of six Therefore the total household income (cash and non- household members each, have a population of 1,530. cash) must be higher than the official figure. If 22% With official per capita income at $242, it can be said of total household income is non-cash income from that Busongo’s total average income is $370,260. In- forestry, then the total household income amounts to cluding the component from non-cash forest income, 100/(100-22) x $1452 = $1862. This is an additional the per capita income comes to $310 ($242 + $68) $410 a year per household. and the total for Busongo is $474,300. How is that 2. Additionality. An additional $410 a year for a house- sum split between the different wealth categories? hold ($68 a head) may not sound like much, but the sum may be much more than the annual per capita These calculations can be used to show what proportion sum allocated by the district to a specific budget item of total household income, expressed in monetary terms, such as health or education in the area. comes from forest for households in different wealth categories. p O V e r T Y- f O r e S T S L i n k a G e S T O O L k i T TO O L 8 3 % of Busongo Wealth Rank income owned Proportion of all categories of HHs by each wealth Busongo income in Busongo No. HHs category in $$ Income Per HH Income Per cap. Rich HHs 18 28 132,804 7,378 12,300 Middling 29 22 104,346 3,598 600 Proportion of all Wealth Ranking of % of all Busongo Busongo income HHs in Busongo No. HHs income in $$ Income Per HH Income Per cap. Poor 150 42 199,206 1,328 221 V.poor 58 8 37,944 654 109 TOTALS 255 100 474,300 WOrked exampLe frOm madaGaScar + other) revenues. Using the percentage of households in each of these four groups in the two villages, it is possible South-East to calculate overall figures for the importance of forest What is the overall dependence on forest products for all resi- products to cash, non-cash and total income. dents (poorer and richer, men and women) of both villages? How do we apply a monetary value to these percentages? In Ambinanindrano and Ampasipotsy there are a total of The average income of rural households in Vatovavy 220 households (from Tool 1), which have been classified Fitovinany Region was 215,536 Ariary in 2005 (Source: by local people into categories of richer (Rich + Middling) l’Enquête Periodique Ménages 2005, INSTAT-DSM) and poorer (Poor + Very Poor). We assume an equal distri- and is expected to be similar in 2008. This figure includes bution of men and women in the two wealth categories. both cash and non-cash income. The Enquête Periodique Different wealth and gender classes within the two vil- Ménages 2005 estimated that non-cash income from lages have a different split between cash and non-cash in- agriculture accounts for about 30% of total household come and between forestry and non-forestry (agriculture income, which is comparable to the finding in this study ESTIMATION OF OVERALL VALUE OF FOREST PRODUCTS TO ALL RESIDENTS IN AMBINANINDRANO AND AMPASIPOTSY Ambinanindrano Ampasipotsy PW PM RW RM PW PM RW RM Total Number of households 57 57 22 22 20 20 11 11 220 % total hhs in the 26% 26% 10% 10% 9% 9% 5% 5% 100% two villages % income that is 57.5% 60% 35% 71.5% 65% 70% 37% 66.5% 58.5% non-cash % forestry contribution 45% 36% 23% 23% 39% 38% 40% 40% 37% to non-cash income % forestry contribution 5% 7% 30% 4% 22% 9% 6% 16% 10% to cash income % forestry contribution 28% 25% 27% 17% 33% 29% 19% 32% 26% to total income 4 TO O L 8 p O V e r T Y- f O r e S T S L i n k a G e S T O O L k i T Annual Column 1 Annual value of Ave. No % of village household forest Wealth Rank of Cattle Column 2 Wealth income income products categories of HHs (score Ha. of land score x owned by (cash + to house- Ambinanindrano and 1 per (score 3 per Column 1+2 no. of each wealth subsistence) hold in Ampasipotsy (Mizilo) head) ha) Wealth Score HHs category in Ariary Ariary Rich 17 4 4 x 3 =12 16 272 23.5 655,480 150,760 Middling 48 2 2,25 x 3 =6.75 8,75 420 36.5 360,574 82,930 Poor 148 0 1x3=3 3 444 39 124,950 34,990 Very Poor 7 0 0,5 x 3 = 1.5 1,5 10.5 1 67,740 18,970 that non-cash contributions from agriculture account for 1. In the initial classification of households by wealth/ from 22% to 55% of total household incomes, with an social class, the team established that there was a total overall contribution to all households of 37%. of 220 households (158 Ambinanindrano, 62 Ampa- sipotsy), of which 17 (12+5) were Rich, 44 (31+13) However, the Enquête Periodique Ménages 2005 Middling, 147 (111+36) Poor, and 7 (4+3) Very Poor. estimates the contribution of non-cash income from 2. The team also recorded the average number of live- non-agricultural enterprises, including forestry, at only stock and the average cultivation area (paddy fields + 0.2% of total household income, whereas the estimate dryland fields) for each of those classes, as indicators. in this study is 21% (proportion of income that is non- 3. On that basis, a simple scoring system was devised to cash x proportion of forestry’s contribution to non-cash establish a “wealth score� for each class, to provide an income). There are several possible explanations for this indication of wealth distribution among the four classes. difference, including (a) the EPM definition of agricul- 4. If the total income of the two villages is 47,417,920 tural products includes some of the products that the Ariary per year (215,536 x 220), the mean income can Forests-Poverty Toolkit defines as forest products, such be estimated separately for each wealth class by dividing as fruits, (b) the EPM figure includes urban households, total income proportionately among the four classes. which are expected to have a lower dependency on forest 5. The contribution of forestry can then be calculated products, (c) the questions in the EPM do not extract separately for the four classes using the percentage of the full range of forest products that are recorded in the total income from forestry for the richer group Forests-Poverty Toolkit. (23%; Rich and Middling) and the poorer group (28%; Poor and Very Poor). If the total household income in Vatovavy Fitovinany Region is 215,536 Ariary per year and forest products North-West contribute 26% of this income (cash + non-cash) then What is the overall dependence on forest products for all resi- the annual contribution from forestry to each household dents (poorer and richer, men and women) of both villages? is 56,039 Ariary (approximately US$35). In Ambodimanga and Ambodibonara there are a total of However, it is not possible, from an average figure of 278 households (from Tool 1), which have been classified the two villages, to estimate the respective financial by local people into categories of richer (Rich + Mid- contribution of forests for the richer and the poorer. dling) and poorer (Poor + Very Poor). We assume an equal distribution of men and women in the two wealth catego- p O V e r T Y- f O r e S T S L i n k a G e S T O O L k i T TO O L 8 5 ESTIMATION OF OVERALL VALUE OF FOREST PRODUCTS TO ALL RESIDENTS IN AMBODIMANGA AND AMBODIBONARA Ambodimanga Ambodibonara PW PM RW RM PW PM RW RM Total Number of households 72 72 18 18 39 39 10 10 278 % total hhs in the two 26% 26% 6% 6% 14% 14% 4% 4% 100% villages % income that is non- 72% 73% 79% 74% 72% 53% 46% 37% 68% cash % forestry contribution 40% 20% 12% 43% 52% 41% 43% 52% 36% to non-cash income % forestry contribution 26% 29% 23% 11% 13% 9% 23% 15% 21% to cash income % forestry contribution 37% 22% 14% 35% 37% 26% 33% 38% 30% to total income ries. Different wealth and gender classes within the two cash x proportion of forestry’s contribution to non-cash villages have a different split between cash and non-cash income). There are several possible explanations for this income and between forestry and non-forestry (agriculture difference, including (a) the EPM definition of agricul- + other) revenues. Using the percentage of households in tural products includes some of the products that the each of these four groups in the two villages, it is possible Forests-Poverty Toolkit defines as forest products, such to calculate overall figures for the importance of forest as fruits, (b) the EPM figure includes urban households, products to cash, non-cash and total income. which are expected to have a lower dependency on forest products, (c) the questions in the EPM do not draw out How do we apply a monetary value to these percentages? the full range of forest products that are recorded in the The average income of rural households in Sofia Region Forests-Poverty Toolkit. was 225,240 Ariary in 2005 (Source : l’Enquête Peri- odique Ménages 2005, INSTAT-DSM) and is expected If the total household income in Vatovavy Fitovinany to be similar in 2008. This figure includes both cash and Region is 225,240 Ariary per year and forest products non-cash income. The Enquête Periodique Ménages contribute 30% of this income (cash + non-cash) then 2005 estimated that non-cash income from agriculture the annual contribution from forestry to each household accounts for about 30% of total household income, is 67,572 Ariary (approximately US$42). which is comparable to the finding in this study that non-cash contributions from agriculture account for However, it is not possible, from an average figure of the from 30% to 70% of total household incomes, with an two villages, to estimate the respective financial contribu- overall contribution to all households of 45%. tion of forests for the richer and the poorer. However, the Enquête Periodique Ménages 2005 1. In the initial classification of households by wealth/ estimates the contribution of non-cash income from social class, the team established that there was a total non-agricultural enterprises, including forestry, at only of 278 households (180 Ambodimanga, 98 Ambodibo- 0.2% of total household income, whereas the estimate nara), of which 8 (4+4) were Rich, 49 (32+17) Middling, in this study is 20% (proportion of income that is non- 151 (96+55) Poor, and 70 (48+22) Very Poor. 6 TO O L 8 p O V e r T Y- f O r e S T S L i n k a G e S T O O L k i T Annual Column 1 Annual value of Ave. No % of village household forest Wealth Rank of Cattle Column 2 Wealth income income products categories of HHs (score Ha. of land score x owned by (cash + sub- to house- Ambodimanaga and 1 per (score 3 per Column 1+2 no. of each wealth sistence) in hold in Ambodibonara head) ha) Wealth Score HHs category Ariary Ariary Rich 8 15 3 x 3 =9 24 192 18 1,408,880 394,490 Middling 49 4 1.5 x 3 =4.5 8,5 416,5 40 511,160 143,120 Poor 151 1 0.5 x 3 = 1.5 2,5 377,5 36 149,280 44,790 Very Poor 70 0 0,3 x 3 = 0.9 1 70 6 53,670 16,100 2. The team also recorded the average number of can be estimated separately for each wealth class livestock and the average cultivation area for each of by dividing total income proportionately among the those classes, as indicators. four classes. 3. On that basis, a simple scoring system was devised to 5. The contribution of forestry can then be calculated establish a “wealth score� for each class, to provide an separately for the four classes using the percentage of indication of wealth distribution among the four classes. total income from forestry for the richer group (28%) 4. If the total income of the two villages is 62,616,720 for the Rich and Middling and the poorer group (30%) Ariary per year (225,240 x 278), the mean income for the Poor and Very Poor. p O V e r T Y- f O r e S T S L i n k a G e S T O O L k i T TO O L 8 7 8 TO O L 8 p O V e r T Y- f O r e S T S L i n k a G e S T O O L k i T FOR MORE INFO ON THIS TOOLKIT OR OTHER PROFOR ACTIVITIES, GO TO WWW.prOfOr.infO PRINTED ON SYNTHETIC PAPER MADE FROM POLYPROPYLENE PELLETS — 100% RECYCLABLE. POVERTY AND FORESTS LINKAGES A SYNTHESIS AND SIX CASE STUDIES PROFOR POVERTY AND FORESTS LINKAGES A Synthesis and Six Case Studies PROFOR 2008 The World Bank Washington, D.C. Material in this book can be copied and quoted freely provided acknowledgement is given. This report was prepared by: ii The Program on Forests (PROFOR) at the World Bank 1818 H Street NW Washington DC 20433 United States E-mail: profor@worldbank.org Website: http://www.profor.info Published 2008. Printed on 80% post consumer fiber paper. Cover photo credit: Curt Carnemark/World Bank. Contents iii Acknowledgments ix Acronyms and Abbreviations xi 1. Linking Poverty Reduction, Livelihoods, and Forests 1 Introduction 1 Forests and Poverty Linkages 2 Strategies for Poverty Reduction 3 Methodology 4 Synthesis of Findings from Case Studies 5 Rural People and Forests 5 Forests in National Economies 6 Poverty Reduction Strategy Papers 7 Forests as a Strategy for Poverty Reduction 8 Summary of Main Case Study Findings 12 Nepal 12 Guinea 13 Indonesian Papua 14 Tanzania 15 Lao PDR 15 India 16 Conclusions 17 Lessons Learned 17 Implications for PRSPs 18 References 18 2. Summary of Case Study—India 21 Executive Summary 21 Background and Overview of India 22 Forest Resources 23 Forestry Contribution to Gross Domestic Product 23 Structure of the Domestic Forest-Based Industry 24 National Wood Supply and Demand Trends 24 National Forestry Policy 25 Forest Livelihoods: Perspectives of Forest Dwellers and Key Issues 26 iv Forest Management Systems and Community Forestry 26 Forest Marketing Systems and Benefit Sharing 27 The Tenth Plan—India’s Poverty Reduction Strategy 27 Forestry in the Tenth Plan 28 A Case Study 29 Overview of the Three Focal States and Tribal Characteristics 29 Background and Study Area 29 Livelihoods Impact Pathways 30 Indicators 32 Conclusions 35 Recommendations for Forest Poverty Linkages 35 1. Achieving More Secure Forest Resource Tenure and Management Rights 35 2. Strengthening Forest Management, Monitoring, and Control Systems 36 3. Gaining Access to More Efficient Market Systems 37 4. Developing More Effective and Flexible Institutional Models 38 References 39 3. Summary of Case Study—Nepal 41 Executive Summary 41 Background and Overview 42 Poverty in Nepal 42 Forest Resources and Management 43 National Forestry Plan and Policies 45 Poverty Reduction Strategy Paper: Nepal’s Tenth Plan 45 Donor Programs in the Forestry Sector of Nepal 48 A Case Study 49 Sites: TAL Area 49 Methodology 50 Dovan 50 Lamahi 52 Mahadevpuri 54 P OV E RT Y A N D F O R E S T S L I N K AG E S Contribution of Forests to Poverty Alleviation 55 Community Forestry 56 Leasehold Forestry 56 Protected Areas 57 Forestry and the MDGs 57 Conclusion 57 References 59 Appendix 60 4. Summary of Case Study—Indonesian Papua 61 v Executive Summary 61 Forests and Local Land Rights in Indonesia 62 Indonesia’s Poverty Reduction Strategy and Land Rights 62 Indonesia’s Forests 62 Emerging Opportunities for Change in the Forest Sector 63 Introduction to Papua 63 Forests in Papua—The Issues at Stake 64 High Growth, High Poverty 64 Livelihoods and Legal Uncertainty over Land and Resource Rights 64 Contested Decentralization 65 An Emerging Consensus for Policy Reform 67 The Coalition for Change 67 The Multistakeholder Policy Agenda in Papua 68 Toward a New Way of Allocating Forest Resources 69 Recalculating Forest Potential 69 KPH as a Framework for Land Reallocation 70 Clarifying the Rules for Forest Management Rules for KPH-HKMs 71 Rules for Large-Scale Investors 71 Institution Building 72 Strengthening the Role and Inclusiveness of Community Institutions 72 Building Vertical Integration between Community Producers and the Private Sector 72 Repositioning Government 73 Enabling Legislation 74 Conclusions and the Future 75 References 76 Appendix 77 5. Summary of Case Study—Guinea 79 Executive Summary 79 Introduction 80 CONTENTS Background 80 Government, Political, and Economic Conditions 81 Forest Resources 82 Forest Products and Trade 83 Forest Policy and Legislative Framework 83 Guinea’s Forestry Action Plan 84 Guinea National Forest Fund 85 Guinea’s PRSP 85 PRSP Development Process 86 vi Inclusion of Forestry and Forestry Issues in the PRSP 86 Introduction to the Case Study 88 Research Area 88 Methods 89 Land Tenure Aspects 90 Current Forest Use and Income Generation 90 Conclusions 93 Recommendations for PRSP Process 94 References 95 Appendix 96 6. Summary of Case Study—Lao PDR 97 Executive Summary 97 Introduction 98 Background 98 The Relevance of NTFPs to Rural Livelihoods and Forest Conservation in Lao PDR 98 Lao PDR’s PRSP: National Growth and Poverty Eradication Strategy 101 The Role of Forests in the PRSP 101 The Pilot Site of Ban Nampheng and the NTFP Project 102 The Positive Impacts on Livelihoods at Ban Nampheng 104 Information Flows from Projects within the Ministry of Agriculture and Forestry (MAF) 104 Study Questions and Methods 106 Findings about Scaling Sideways (the Horizontal Influence of the Project) 107 Replication of Pilot Village Interventions Elsewhere in Lao PDR: Extent and Mechanisms 107 What Spreading Mechanisms Worked Best, and Why? 107 Factors that Influence Local Replication 108 Forest Land Allocations for Sustainable NTFP Use and Management 109 Domestication of NTFP Species with High Market Demand 109 NTFP Marketing Improvements 109 Rice Banks 109 P OV E RT Y A N D F O R E S T S L I N K AG E S Findings about Scaling Upwards (the Vertical Influence of the Project) 110 Dissemination of Project Lessons within the Forest Sector 110 Perceptions about the Influence of the Project 110 Discussion, Recommendations, and Suggestions 110 Regarding Scaling Sideways 111 Regarding Scaling Upwards 113 References 115 7. Summary of Case Study—Tanzania 117 Executive Summary 117 vii Background and Overview of Tanzania 118 Poverty Status and Distribution 118 Forest Cover and Status 118 Institutional Framework for Forest Management 119 Current Issues Facing Forest Management 120 Legal, Policy, and Regulatory Frameworks for Forest Management 120 The Contribution of Forests to Livelihoods and the National Economy 121 Forestry, Natural Resources, and Environment within Broader Poverty Reduction Processes 122 Case Study, Shinyanga Region 124 Background on the Shinyanga Region 124 Forest Resources in Shinyanga Region 126 HASHI Program 126 Contribution of Forests to Poverty Reduction 127 HASHI Challenges 129 Conclusion and Recommendations 130 National-Level Recommendations 130 Local-Level Recommendations 132 References 132 Appendix 136 Boxes Box 1.1: World Bank Guidelines for PRSPs 8 Box 1.2: Poverty Reduction Strategy Documents 9 Box 1.3: Forests and Poverty Alleviation in Lao PDR’s PRSP (Lao PDR, 2004) 11 Box 2.1: Pressures on India’s Forests 23 Box 3.1: Four Pillars and Cross-Cutting Approaches of Nepal’s PRSP 46 Box 3.2: Forest-Based Enterprises in Dovan 52 Box 3.3: Forest-Based Enterprises in Lamahi 54 Box 4.1: Vulnerability to Land-Use Change 65 Box 4.2: Legal Conflict over Community Logging Rights 66 Box 4.3: The Search for Social Justice and the Rule of Law: Converging Agendas 67 CONTENTS Box 4.4: Customary Land Tenure—A Viable Basis for Growth and Poverty Reduction? 68 Box 4.5: Participatory Mapping—Staking Out Customary Management Space 69 Box 4.6: A Scenario for a KPH-HKM 72 Box 5.1: Population Characteristics of Guinea 81 Box 5.2: PRSP NRM and Environment Strategy 87 Box 5.3: Guinea: Obstacles to Private Sector Development 93 Figures Figure 2.1: India 22 Figure 2.2: GDP Shares, Forestry and Logging, and Agriculture, India 24 viii Figure 2.3: Conceptual Model of CFM Contributions to Livelihoods: Impact 33 Figure 3.1: Map of Nepal Showing Five Physiographic Regions 42 Figure 3.2: Terai Landscape Corridors and Bottlenecks 49 Figure 3A.1: Organizational Chart of the Ministry of Forestry and Soil Conservation 60 Figure 4A.1: Indonesia 77 Figure 4A.2: West Papua 77 Figure 5.1: Map of Guinea 80 Figure 5.2: Forest Products and Trade in Guinea 83 Figure 5.3: Location of Sinc´ery-Oursa and Other Classified Forests in Guinea 89 Figure 6.1: Forest Food Security and Forested Protected Areas in Lao PDR 100 Figure 6.2: Learning from Projects: Information Sources and Flows 106 Figure 6.3: Mechanisms Contributing to the Sideways Spread of the NAFRl/IUCN NTFP Project Interventions 108 Figure 7.1: Map of Africa and Tanzania, Showing the Districts of the Shinyanga Region 125 Figure A7.1: Institutional Arrangements for Forest Management 136 Tables Table 1.1: Summary of Case Study Findings 19 Table 2.1: Possible Indicators of Livelihood and Livelihood Change at the Village Level in Jharkhand 34 Table 3.1: Use of Forest Products by Respondent Households in Dovan 52 Table 3.2: Use of Forest Products by Respondent Households in Lamahi 53 Table 3.3: Use of Forest Products by Respondent Households in Mahadevpuri 55 Table 3.4: Summary of Findings 58 Table 5.1: Zone-Specific Forest Product Information: Collectors, Users, Uses, and Importance 92 Table 5.2: Income from Selected Forest Products 92 Table A5.1: Wealth Ranking and Definition of Poverty 96 Table 6.1: Main NTFP Project Interventions in Ban Nampheng 103 Table 6.2: Changes in Village Development Indicators, 1996–2006 105 Table A7.1: Summary of Forestry-Related Goals and Strategies in the National Strategy for Growth and Reduction of Poverty 137 P OV E RT Y A N D F O R E S T S L I N K AG E S Acknowledgments ix cknowledgments for the first chapter of this (World Bank)); ODI in Indonesia (including Gill A volume go to Gill Shepherd (ODI/IUCN), Jill Blockhus (PROFOR, World Bank), H. Carolyn Peach Brown (University of Guelph), and Shepherd, Adrian Wells (ODI), and Martin Kayoi); IUCN in Lao PDR (including Andrew W. Ingles, Sounthone Kethpanh, Andy S. Inglis, and R.J. Fisher (IUCN), and to Carolyn Peach Brown for Khamphay Manivong); Winrock International in editing the case studies. Case study work featured in Nepal (including Erin Hughes and Shyam this publication was led by Winrock International in Upadhyaya); and Winrock International in Guinea (including Chris Kopp and Boubacar Tanzania (including Devona Bell (Winrock Thiam); CIFOR in India (including Deep Pandey International), Moeko Saito (World Bank), Jill (CIFOR), Brian Belcher (CIFOR) and Grant Milne Blockhus (PROFOR), and Ed Barrow (IUCN)). Acronyms and Abbreviations xi APHI Association of Indonesian Forest DFID Department for International Industries (Asosiasi Pengusaha Development Hutan Indonesia) DFRS Department of Forest Research and BPKH Ministry of Forests Survey BPS Central Statistics Bureau (Biro Pusat DNEF Direction Nationale des Faux et Statistik) Forêts (National Directorate of CBFM community-based forest manage- Waters and Forests) ment DNPWC Department of National Parks and CBNRM Community-based natural Resource Wildlife Conservation Management DPIP District Poverty Initiatives Program CBO community-based organization DFE Department of Forests and CBS Central Bureau of Statistics Environment CESS Centre for Economic and Social DOF Department of Forest Studies DTE “Down to Earth� Journal, Delhi CIFOR Centre for International Forest India Research ENRMA Expanded Natural Resource CFM Community Forest Management Management Activity CFR community forest reserve FAO Food and Agriculture Organization CFUG community forest user group FBD Forestry and Beekeeping Division CSO Community Support Organization FDA Forest Development Agency DAFEO District Agriculture and Forestry and FRC Forestry Research Centre Environment Offices GAA German Agro in Action Accord DAFO District Agriculture and Forestry GDP Gross Domestic Product Office(r) GF Guinean franc DAP Papuan Customary Council (Dewan GNI gross national income Adat Papua) HDI Human Development Index DDC district development committee INGO international nongovernmental organizations IPKMA customary community timber har- NPEP National Poverty Eradication vesting license (Ijin Pemungutan Program Kayu Masyarakat Adat) NRM natural resource management I-PRSP Interim Poverty Reduction Strategy NrP Nepalese rupee Paper NTFP non-timber forest product ITTO International Tropical Timber ODI Overseas Development Institute Organization OTSUS Special Autonomy (Otonomi IUCN The World Conservation Union Khusus) IUCN-CEM IUCN-Commission on Ecosystem PAFO Provincial Agriculture and Forestry Management Office(r) JFM Joint Forest Management PCSSF Papuan Civil Society Support KPH forest management units (Kesatuan Foundation xii Pengelolaan Hutan) Perdasus special regional regulation (Peraturan KPH-HKM community forestry management Daerah Khusus) unit (Kesatuan Pengelolaan Hutan— PESA Panchayat Raj (Scheduled Areas) Act Hutan Kemasyarakatan) PF private forest LAFR local authority forest reserve PMO-RALG Prime Minister’s Office-Regional Lao PDR Lao People’s Democratic Republic Administration and Local LFP Livelihood Forestry Programme Government LSFP Lao-Swedish Forestry Programme PNG Papua New Guinea MAF Ministry of Agriculture and Forestry PP Implementing Regulations MDGs Millennium Development Goals (Keputusan Pemerintah) MNRT Ministry of Natural Resources and PRA participatory rural appraisal Tourism PROFOR Program on Forests MOEF Ministry of Environment and PRS poverty reduction strategy Forestry PRSP Poverty Reduction Strategy Paper MOF Ministry of Finance RIM Medium Term Plan (Rencana Jangka MOFSC Ministry of Forests and Soil Menengah) Conservation RUPFOR Resource Unit for Participatory MRP Papuan People’s Council (Majlis Forestry Rakyat Papua) SP Woodworkers Union (Serikat MT metric tons Pekerja) NAFRI National Agriculture and Forestry ST Scheduled Tribes Research Institute SWAP sectorwide approach NBCAs National Biodiversity Conservation TAL Terai Arc Landscape Areas TPTI Indonesian selective cutting system NBSAP National Biodiversity Action Plan (Tebang Pilih Tanam Indonesia) NESAC Nepal South Asia Centre VDC village development committee NFC National Forest Commission VFMPC Village Forest Management and NFP National Forest Program Protection Committee NFR national forest reserve VLFR village land forest reserve NGO nongovernmental organization WWF World Wildlife Fund NPC National Planning Commission YBAW Foundation for the Customary NGPES National Growth and Poverty Development of Walesi (Yayasan Eradication Strategy Bina Adat Walesi) P OV E RT Y A N D F O R E S T S L I N K AG E S CHAPTER ONE Linking Poverty Reduction, 1 Livelihoods, and Forests INTRODUCTION the fact that national economic planners and policy makers do not often recognize the extent to which The majority of the world’s poor are concentrated in forest resources contribute to the rural economy rural areas and consequently depend on natural and rural livelihoods. Poverty Reduction Strategy resources, and often forests in particular, for their Papers (PRSPs) for most countries tend to show lit- livelihoods.1 It is estimated that 60 million indige- tle awareness of the potential contribution of forests nous people are totally to alleviating poverty, or at best are vague about how Forests are important for dependent on forests, the potential can be harnessed. National forest livelihoods of the rural poor. The potential of forests in 350 million people are action plans tend to ignore poverty altogether, or poverty reduction is not highly forest-dependent, simply assume that changes in institutional arrange- often recognized by national and 1.2 billion are ments in sustainable forest management will address economic planners. dependent on agro- poverty. Consequently, there is a need to provide forestry (World Bank documentation in a form that will highlight the eco- 2004). The forest-dependent poor lack the basic nomic value of forests for poverty reduction in order necessities to maintain a decent standard of living, to facilitate better incorporation of forests in pover- such as sufficient and nutritious food; adequate ty reduction strategies, and to encourage appropri- shelter; access to health services, energy sources, safe ate investment. drinking water, and education; and a healthy envi- A working group partnership was formed in late ronment. With the adoption of the Millennium 2003 among staff from the World Bank’s Program Development Goals (MDGs), the countries of the on Forests (PROFOR), the International Union for world have set a target of halving global poverty by Conservation of Nature (IUCN), the Overseas 2015. Given the importance of forests for the rural Development Institute (ODI), the Center for poor, it is increasingly argued that these can be a International Forestry Research (CIFOR), and resource for poverty reduction. Winrock International. This partnership aimed to An emphasis on the potential of forests to con- build on the knowledge base from field work and tribute to poverty reduction, however, is limited by research efforts in identifying the different ways forests can (and cannot) benefit the poor. In May 2004, a working group on poverty-forest linkages 1. A livelihood comprises the capabilities, assets (material and was launched by these same organizations. The social resources), and activities required for a means of living. Assets important in livelihoods are natural, physical, human, objective of the working group was to identify the financial, and social assets (Kusters et al. 2005). contribution that forests make to poverty reduction by facilitating inclusion of forest-poverty linkages people are totally dependent on forests, and 350 mil- into the PRSPs and, where possible, poverty issues lion people are highly dependent on forests for sub- into National Forest Programs (NFPs). The strategy sistence and income. In developing countries, about was to develop a methodology that, with a reason- 1.2 billion are dependent on agroforestry farming able degree of confidence, gauges the economic and systems that help to sustain agricultural productivi- welfare contributions of forests. The objective was ty and generate income (World Bank 2004). The twofold. The first was to devise a rapid methodolo- chronically poor tend to live disproportionately in gy to appraise forest-livelihood linkages from field rural areas, leading to an overlap of severe rural research and case study examples, and to explore poverty and remaining natural forests in developing how sustainably managed forests can help to countries. While there are many areas of chronic enhance rural livelihoods. The second was to make a poverty without forests, and some forest areas with- case at the national level, using local-level data, for out chronic poverty, the reality is that the correla- 2 the poverty-forest linkages and to enrich national- tion between forests and poverty is strong level instruments such as PRSPs and NFPs. The out- (Sunderlin et al. 2005). put from this activity consists of a set of case studies The convergence of the poor and forests is a and a toolkit describing the methodology developed, result of many factors. Forests tend to be located in including tools for local-level study and the results remote areas where the reach of the market econo- of the series of case studies. my is inhibited and technological progress is slow This report presents an edited version of the case Often, investment by national governments in rural studies,2 which document the important role of areas is minimal. Furthermore, primordial poverty forests and natural resources in poverty reduction exists among traditional indigenous peoples whose and livelihood security, focusing on both the house- dependence on forests is deeply rooted in history hold and community levels. The case studies also and long predates modern social change. Forests are describe links to national-level indicators of welfare also a refuge for relatively powerless and poor rural that inform national strategy and are used to meas- people fleeing war. And because access to them is ure progress toward the MDGs. This introductory open, forests are a magnet for the poor, as they pro- chapter presents a brief discussion of the literature vide new agricultural lands and economic opportu- on poverty-forest linkages and highlights those link- nities for people with limited options. Commonly, ages found in the case studies. Furthermore, it sum- forest-dependent people tend to be politically weak marizes the PRSP process in the six countries and or powerless (Sunderlin et al. 2005; Sunderlin et al. analyzes how it has incorporated the potential of 2006). forests into strategies for poverty reduction. Approaches to defining poverty have evolved and Highlights of the case studies are given and findings changed over time, moving from an exclusive discussed, along with lessons learned and sugges- emphasis on monetary income to recognition of the tions for how forests can be further mainstreamed critical importance of including goods not entering into poverty reduction strategies. the marketplace into the definition. Later, an The World Bank defines poverty as a pronounced empowerment and deprivation of well-being FORESTS AND POVERTY LINKAGES institutional extension related to a lack of was added to the pover- material income or According to the World Bank, ty concept (Angelsen consumption, low levels of There is a strong education and health, correlation between more than 1.6 billion people and Wunder 2003). vulnerability and exposure forests and poverty. worldwide depend on forests Poverty is normally to risk, no opportunity to be for their livelihoods; 1.2 billion contextually defined in heard, and powerlessness. of these people live in extreme poverty. Of that relation to a particular number, it is estimated that 60 million indigenous socioeconomic context, but overall it is multidimen- sional, with deprivation relating not only to lack of 2. For the original versions of the case studies, please contact basic material resources such as food, shelter, and PROFOR (contact information is available at the following medical treatment, but also to lack of social Web site: http://www.profor.info/contact.html). resources, such as access to education, information, P OV E RT Y A N D F O R E S T S L I N K AG E S and respect. It is also complex and dynamic, with poverty in forested areas Poverty reduction conditions being shared among people experiencing there needs to be renewed strategies need to include similar hardships that are difficult to overcome emphasis on poverty secure tenure for local (FAO 2006). The World Bank defines poverty as a reduction strategies in people in forested areas. pronounced deprivation of well-being related to a policy. This will involve a There is a need to devise strategies to avoid “elite lack of material income or consumption, low levels need for people-centered capture� in communities. of education and health, vulnerability and exposure forestry where local peo- to risk, no opportunity to be heard, and powerless- ple, as the main stake- ness. While emphasis on traditional income meas- holders, are given a greater voice in managing forests ures of poverty is common, efforts to develop ade- to improve their livelihoods. However, many quate indicators and measures of the more national governments retain natural forests as state qualitative aspects of poverty, such as security and assets and restrict local people’s rights of access. The 3 empowerment, continue (World Bank 2001). poor are statutorily excluded from access to timber wealth because of its high value and because they lack power to compete for access to high-value STRATEGIES FOR POVERTY REDUCTION resources. Therefore, transfer of forest land tenure from governments to indigenous or other commu- Poverty Mitigation ver- nities should be a leading strategy for improving the Strategies for poverty mitigation are important. sus Poverty Reduction. livelihoods of the rural poor in forests areas. While However, there is a need for While it has been sug- in many cases governments tend to decentralize renewed emphasis in policy gested that forest management for the least valuable forests, this on poverty reduction resources represent should change so that the more valuable forests, great potential to allevi- including timber, are transferred to communities. ate poverty, it is important to define what that actu- Furthermore, ways to avoid “elite capture� by the ally means. First, there is extensive documentation most powerful in communities need to be devised of the many products that are used for food, fiber, (Angelsen and Wunder 2003; Sunderlin et al. 2003; medicine, and other purposes as part of a subsis- Sunderlin et al. 2006). tence-level livelihood (Neumann and Hirsch 2000). Veldeld et al. (2004) found that beyond consump- Improving Market Access. Poverty reduction tion at home, forest resources provided about one- strategies include makingA key part of poverty fifth of the total income of rural households. markets work for the reduction is increasing Second, forests are used as a coping strategy, or forest-dependent poor. market access for the rural “safety net,� where people draw on available poor. While trade in forest resources to meet needs between seasons or when products provides substantial income for the poor, there is an emergency (Angelsen and Wunder 2003; because of the informal nature of this trade, its Ruiz Perez et al. 2004; Sunderland et al. 2004). Both impact on livelihoods and poverty reduction the current consumption and safety net roles of remains poorly understood in policy circles. Many forested areas serve to reduce the severity of depri- policies pose formidable barriers for low-income vation and keep people from becoming poorer. This producers, discriminating against community forest can be termed the “poverty mitigation component enterprises, keeping prices low, and limiting income of poverty alleviation. The third component of opportunities. Therefore, increasing market access poverty alleviation is “poverty reduction or elimina- for the poor will involve leveling the playing field by tion.� This use of forest products helps to lift the removing policy barriers that discriminate against household out of poverty by functioning as a source small producers. Furthermore, strategies need to be of savings, investment, accumulation, asset building, put into place to aid the rural poor in developing and lasting increases in incomes and well-being forest enterprises that respond to consumer prefer- (Belcher 2005; Sunderlin et al. 2005). ences, and in developing improved market strategies (Scherr et al. 2003, 2004). Additionally, partnerships Forest Tenure. While an emphasis on poverty miti- could be developed between smallholders or com- gation is important, in order to lift people out of munities and commercial timber companies. Such LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS arrangements could ensure a supply of wood for the positive changes in recent years, forestry laws and company and adequate economic return for the regulations in many countries were written to assure community. While non-timber forest products have that the privileged had access to timber wealth, and been a main focus in discussions of improving liveli- to prevent counterappropriation by the poor hoods for many years, research indicates that this is (Sunderlin et al. 2005). This limits the consideration only possible in limited circumstances (Belcher of the forest sector in national poverty reduction 2005; Ruiz Perez et al. 2004; Sunderlin et al. 2006). strategies. Despite these challenges, potential exists in the PRSP process to leverage the mainstreaming Payments for Ecological of forests in poverty reduction policies through tar- Payments for forest environmental services Services. With the geted strategies to benefit the poor. have potential as a increasing concern about poverty reduction strategy, global climate change, 4 but there is a need to METHODOLOGY there is great potential for nurture the ability of forest people to access the forest-dependent poor these payments. to benefit from payments Case studies were chosen from six countries that for forest environmental represented different volumes and types of forest services. Compensation mechanisms are potentially resources, ranging from the vast tropical rainforests relevant in four forest areas: carbon storage and of Indonesian Papua to the miombo woodlands of sequestration, biodiversity, conservation, hydrologi- Tanzania. Each case study explored the national cal services, and tourism (Angelsen and Wunder context of poverty-forest linkages, including policy 2003). If forest dwellers are compensated to keep and policy implementation, and carried out local- forests standing, or to restore them, it will contribute level studies at one or more rural sites. In some case to their well-being as well as to the public good. study areas, the forest resources were represented by However, in order to maximize participation of the dense primary forest, and in others the forests were poor in such schemes, it is necessary to proactively secondary growth or degraded from unsustainable nurture the interest and capability of marginal use. Four of the countries were in Asia and two were landowners, and to devise ways to minimize trans- in Africa.3 All of the case study countries had devel- action costs (Sunderlin et al. 2003; Sunderlin et al. oped a PRSP with the World Bank, except for India, 2006). whose Tenth Plan outlined that country’s plan for In summary, to achieve poverty reduction. poverty reduction based on These is a need for Data were collected using a mixed methodologi- emphasis on poverty forest products, there is a reduction in policies cal approach, including both quantitative and qual- need to remove policy con- and for development itative measures.4 In the rural case study areas, data straints to increasing the of institutions to on the contribution of forests to the livelihoods of creation of wealth through implement policies. the rural poor was collected using quantitative sur- forest product production, veys and Participatory Rural Appraisal (PRA) tools, processing, and marketing, and for mechanisms to such as wealth ranking and mapping. Other qualita- ensure that some of that wealth is captured by the tive methods used included semistructured inter- intended beneficiaries. This can be accomplished views and focus groups. Different categories or only when there is a real demand for the products, groups of rural people were targeted in data collec- and the necessary physical and institutional struc- tion based on differences such as gender, ethnicity, tures are in place. Forest sector policy can also or status within a community. Information on the address the empowerment and rights aspects of the PRSP process was collected through review of the poverty definition through changes in governance, related government documents and also through which devolve the decision making about and the interviews with government officials, donors, and benefits from forest management to the people liv- civil society groups involved in the process. It should ing in and around forests (Belcher 2005). Unfortunately, the value of forest resources, partic- ularly timber, is often the basis for a political patron- 3. A seventh case study on Mexico was planned, but the report age system linking heads of state, the military, and is not yet ready for publication. the private sector. Although there have been some 4. Case studies used different methodologies in data collection. P OV E RT Y A N D F O R E S T S L I N K AG E S be noted that the editor also reviewed electronic dependence on forest resources differs according to copies of PRSP documents and the Tenth Plan of many factors. India to fill in information gaps in some case studies. Subsistence. Subsistence Forest products are used for food, construction, use of the forest in the case SYNTHESIS OF FINDINGS medicinal, cultural, or studies mainly consists of FROM CASE STUDIES spiritual purposes. the collection of forest products for use as food, in Rural People and Forests construction, for medicinal, and also cultural or spiritual purposes. In one study undertaken in the There are high levels Forests and Poverty in Case poorest district of the poorest province of Lao PDR, of poverty in case Studies. Consistent with the non-timber forest products (NTFPs) were found to 5 study areas. literature, people in the case contribute one-third of the household economy; study areas were considered to almost all energy, medicinal, and building needs; 80 be poor by both country and world standards. For percent of (non-rice) food consumption by weight; example, in Papua, the level of rural poverty, at 45 and 30 to 50 percent of all protein types. In India, 70 percent, is the highest in Indonesia, according to percent of the rural population depends on fuel- national poverty standards. One-third of Papuan wood to meet domestic energy needs. The forest children do not go to school, and 9 out of 10 villages provides an estimated 30 percent of household sub- do not have a health center, doctor, or midwife. sistence needs in Indonesian Papua. In countries According to national poverty data, the standard of such as Guinea, with a tradition of shifting cultiva- living in Papua fell by 15 percent over the last 20 tion, the forested areas are also used in farming. years, and rural poverty rates in Papua are higher Furthermore, the forest is often a key part of a com- inside the national forest estate than outside. Among munity farming system in providing fodder and bed- the rural poor in India are 89 million tribal people, ding for livestock. This was clear from the increased the most disadvantaged section of society, of whom availability of such products from restored tradition- more than half live in forest fringe areas. In Guinea, al ngitili in the Tanzania case study. In Nepal, some there is a strong connection between farming and rural farmers graze their livestock in the forest. poverty, with farmers, who represent 61 percent of the population, representing 80 percent of the poor. Income. The collection and Depending on the Therefore, in the case study areas it is evident that sale of both timber and non- context, sale of forest most forest-dependent people in rural areas are con- timber forest products pro- products can provide sidered to be living in poverty. vide a source of cash income up to 50 to 60 percent of household for the rural poor. Research cash income. They Dependence on Forests. Most people are in Guinea indicated that vil- also have importance Research conducted in the partly dependent on lagers derive up to 25 to 30 as a “safety net.� case study areas indicated forests. They derive percent of their income from their main livelihood that forests played an impor- from other activities, collecting and selling forest products. PRA assess- tant role as part of the liveli- such as agriculture. ments in Indonesian Papua showed that 40 percent hood strategies of the rural of household cash needs were met by the forest. poor. Most people in case study areas, however, did Estimates of household and village economic contri- not depend solely on the forest and its products as butions from restored ngitili in the Shinyana region sources of sustenance and income. For the most of Tanzania were US$14.00 per month, which is sig- part, they are partly dependent people who derive a nificantly higher than rural Tanzania’s average per- greater portion of their livelihood from agriculture person monthly spending of US$8.50. Of the 16 but may depend on the forest for certain products. products commonly collected, fuelwood, water, and Therefore, their livelihood strategies from the forest medicinal plants were of greatest economic benefit consist mainly of using forest resources for subsis- to households. In other semi-arid regions of the tence needs and as a source of cash income. country, 58 percent of the cash income of farmers However, it is important to note that the rural poor came from collecting forest products, one-third of are not a homogenous group. Therefore, the level of which came from honey alone. In forest-dependent LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS villages in Lao PDR, NTFPs sales commonly gener- Status within a community, which is often linked ate about 50 percent of cash income to households. with ethnicity, also determines levels of forest These sales are very important because they allow the dependence. In India, tribal groups represent a sig- purchase of goods and services in situations where nificant share of the population in forested and hilly there are few alternative income sources. However, areas, and depend on forests for their cultural and in other countries such as India, rural people gener- spiritual needs, and to varying degrees, their eco- ally earn very little cash income from forests because nomic needs. Tribal-dominated communities are of poor roads, a focus on low-value products, poor among the poorest groups in society. In Nepal, an forest quality, and weak market linkages. increased emphasis is being placed on access of The collection and sale of forest products also women, disadvantaged groups, and Dalits provides a very important safety net function for the (untouchables) in community, leasehold, and col- rural poor. In remote upland areas in Lao PDR, laborative forests because of their level of depend- 6 households commonly experience rice shortages for ence on forest resources. The case study in Nepal up to three months. NTFPs provide food security showed that normally the households that are through either direct consumption or through their wealthier in a community benefit more from rev- barter or sale to obtain rice. The safety net function enues from community forests. Similarly, the Lao of NTFPs is even more important in bad times, PDR case showed that the poorest people were the when crops fail or are destroyed. In Tanzania, most dependent on forests. Therefore, the market according to the surveyed farmers, agriculture has interventions for NTFPs were successful in provid- become less profitable, which induces them to find ing an escape ladder out of poverty. other means for earning a living through collecting and selling forest produce. Infrastructure improve- Forests in National Economies ments have made it easier for them to bring their forest products to markets for sale. Therefore, forest Forests are important assets in The true value of resources clearly provide an important safety net for the case study countries, offer- forests is not resource-poor households, particularly at times ing numerous goods and serv- captured in GDP. when other income sources are unavailable, such as ices in the national economy, Undervaluation limits integration of when rains fail and harvests are poor. to society at large, and to local forests in national livelihoods. With the excep- economic plans. Forest-dependent Heterogeneity in Degree of tion of Indonesia, however, poor are not a Dependence. While the rural forests are not seen as major drivers of economic homogenous group. poor exhibit significant growth. Consequently, they are undervalued. The Level of dependence dependence on the forest to GDP contribution from forestry and logging in varies on the basis of age, gender, ethnicity, provide for subsistence and India was 1.1 percent in 2001, versus 20.7 percent and status within a cash needs, it is important to for primary agriculture, almost a 20-fold difference. community. note that the rural poor are However, the strict definition of GDP underesti- not a homogeneous group. mates the total economic value of forests in India. Findings in the case study areas showed that the level Many goods and services from the forests are not of dependence on forest resources varies based on traded in formal markets: for example, subsistence gender, age, ethnicity, and status within a communi- NTFPs, fuelwood, and vital ecological service func- ty. Levels of dependence are also greater for settle- tions, such as carbon sequestration, aesthetic values, ments nearer to forest areas and further from towns. and soil stability on slopes. In Indonesian Papua, for example, forest depend- Similarly in Tanzania, the official forest sector ence is high for young, unmarried men not yet enti- contribution to the economy is between 2 and 3 per- tled to their own agricultural land. As cash is of cent of total GDP, but evidence shows that the cash growing importance, the sale of timber constitutes and noncash contributions made by forests and nat- one of their only reliable sources of cash in remote ural resources to household income and livelihoods areas. Women, however, are generally somewhat less are not accurately captured by official statistics. dependent on forests and use them mainly for sub- Values of forest goods and services are often under- sistence through the collection of firewood, fruit, estimated, wrongly attributed to other sectors, or and wild vegetables. entirely omitted. These include nonmarketed tim- P OV E RT Y A N D F O R E S T S L I N K AG E S ber, NTFPs, forest products harvested illegally (pos- ed to involve broad participation by civil society, the sibly up to 80 percent of all forest harvesting), private sector, and bilateral, multilateral, and non- tourism and recreational services, and ecosystem governmental development partners, including the services such as the positive influences of forests on Bank (see box 1). The resulting document is expect- agricultural production, water quantity and quality, ed to explain poverty and its causes in the respective energy sources, carbon storage, and biodiversity pro- country, analyze constraints to faster growth and tection. Studies taking the nonindustrial or informal poverty reduction, set goals and targets, and estab- forest sector into account estimate that the contribu- lish indicators to measure progress. tion of the forest industry, nonindustrial forestry, Experience so far highlights some of the difficul- and logging in 1989 was 13.9 percent of GDP. ties with formulating approaches to address the Therefore, official GDP figures, on which the complex dimensions of poverty. In some instances, analysis of economic growth is made, do not neces- there was little correlation between national priori- 7 sarily reflect the “true� economic importance of the ties and budget allocations; local and district priori- forest sector to the national economy. This “under- ties were not always reflected in national priorities; valuation� matters because the contribution to GDP and a large proportion of resources to reduce pover- and its growth determines decisions made by ty were directed to government ministries at head- national governments, and also to some degree its quarters, rather than to investment and services in development partners, regarding the allocation of rural communities. financial resources. The Guinea case demonstrates that economic growth is necessary, particularly in Overview of Integration. A review of 43 the rural sectors, in order to generate benefits that While it has been well estab- PRSPs showed that can be targeted to the poor. However, it is important forests are not well lished that forests contribute to to note, as indicated in the Nepal case, that econom- integrated into the livelihoods of many rural ic growth and income generation in any sector are poverty reduction. people, it is increasingly argued not enough to ensure that benefits reach the poor. that they can be a resource for poverty reduction. Recent research indicated that while forest sector issues have been well integrated POVERTY REDUCTION STRATEGY PAPERS into some PRSPs and Country Assistance Strategies (CAS), for the most part, forests have not been sat- Since 1999, Poverty Reduction Strategies have isfactorily factored into strategies for poverty reduc- become a major national development framework tion and development. A review of the PRSPs of 43 in many countries. Originally set as a requirement countries showed that in 24 countries there was for debt relief under the Enhanced Heavily Indebted some discussion of the main challenges facing the Poor Countries (HIPC) facility, many non-HIPC- sustainable development of forest resources and eligible countries have also invested in preparing opportunities for interventions. However, in some these plans (Bird and Dickson 2005). The Poverty countries with a substantial portion of their land Reduction Strategy Papers (PRSPs)5 are long-term, area under forest cover, there was no discussion of strategic planning instruments that describe a coun- forests in their PRSPs. In 23, there was a discussion try’s macroeconomic, structural, and social policies of policy and program responses to address the chal- and programs that promote growth and reduce lenges and opportunities identified, but only 12 poverty, and also identify external financing needs PRSPs translated these responses into a coherent to achieve goals. The PRSPs are broadly endorsed by strategy of policy and institutional reforms to the World Bank and the International Monetary improve forest management within the context of Fund (IMF) as a requirement for concessional assis- overall poverty reduction strategies. In almost all tance through the International Development cases, the quality of analysis was poor. Association (IDA) and the IMF through the Poverty The absence of and Reduction Growth Facility. When preparing PRSPs, poor treatment of forest Absence of forests in the government of a low-income country is expect- issues in PRSPs may be to PRSPs may be due to the result of lack of politi- sensitive national and international dimensions 5. Information from The World Bank (2007), FAO (2006), cal support for the sector, of forest resources. and Contreras-Hermosilla and Simula (forthcoming). or an insufficient capacity LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS BOX 1.1 World Bank Guidelines for PRSPs The five core principles for the design and implementation of PRSPs: Country-driven and country-owned They should be produced by the government, with the broad participation of civil society and private sector at all stages from design to implementation. Results-oriented They should focus on specific results that would benefit the poor. 8 Comprehensive They should include multidimensional actions to reduce poverty. Partnership-oriented They should involve the coordinated participation of development partners. Based on medium- and long-term perspectives They should recognize the long-term nature of actions to reduce poverty. of country governments to properly integrate forests not available, or interventions may be considered in their PRSPs. As the countries design PRSPs, gov- high risk. Public consultations done as part of the ernments are expected to closely identify their PRSP development process have not revealed a actions with the objectives and priority programs of strong concern for forestry issues among the poor. their own strategy papers. It may be easier for gov- This may be a result of the enormous power imbal- ernments to give a positive image of themselves, and ances and conflict between local people and outside the partnerships they favor, when presenting social interests concerning forests resources. This would sector poverty reduction strategies, such as health likely be a disincentive for the poor to express their and education, than natural resource-based ones. views on forestry in open, public meetings (Bird and This is particularly true regarding forest resources, Dickson 2005). Therefore, these deficiencies in inte- which have sensitive national and international grating forests into PRSPs not only reduce opportu- public goods dimensions. There may be less contro- nities for Bank engagement in forests, but also pose versy as to the legitimate role of the state, and the barriers to the management of interactions that necessity and benefits of state intervention, where originate from changes in macro policies or in other social sector issues are concerned (Bird and sectors having considerable impacts on forests. Dickson 2005). Furthermore, a country’s effort to reduce poverty is Issues of forest tenure may also limit the mention also constrained by not taking advantage of oppor- of forests as part of poverty reduction strategies. tunities that forest programs can provide. Many countries may be reluctant to relinquish their state control over forests, and the benefits they Forests as a Strategy for Poverty Reduction bring, to rural people as a Other reasons for deficiencies may include pathway out of poverty The important role of Poverty-environment issues of forest tenure, (Bird and Dickson 2005). strengthening environmental linkages are lack of awareness of The low level of awareness and natural resource manage- recognized in PRSPs forest potential and of the role that forests can ment, in order to have sus- of six case studies. possible impact, and issues of participation of play in poverty reduction tainable development, was local people in may also be a main cause of recognized in the poverty reduction strategy docu- consultation processes. inadequate integration of ments for all six case studies (see box 1.2; table 1.1). forest sector issues in This significant mention of environmental and nat- PRSPs. Additionally, sufficient data and information ural resource issues in the PRSPs of the case studies to design forest-based interventions are generally is likely a result of the recognition in government P OV E RT Y A N D F O R E S T S L I N K AG E S programs of the cross-cutting nature of poverty and indicators do not have the ability to capture forests’ environmental issues. In particular, the unsustain- and natural resources’ contribution to livelihoods able use of the natural resource base, coupled with accurately. The indicator, worded as “proportion of natural disasters, was seen as constraining rural households whose main income is derived from the growth, eroding sources of livelihoods, and ulti- harvesting, processing, and marketing of natural mately contributing to poverty. This recognition of resources products,� loses the noncash contribution poverty-environment linkages, however, does not that forests and natural resources have to liveli- necessarily translate into specific planning strategies hoods, and also does not capture the multitude of that actually contribute to poverty reduction in households that do not derive their main income forested areas. from forests and natural resources. Given that poor households must put together a particularly diverse Measuring Poverty- portfolio of livelihood options, this is a significant Indicators in PRSPs do 9 not adequately capture Forest Linkages. This loss of information on the important role that forests contribution of forests to recognition of the role of and natural resources play in livelihood strategies. livelihoods of rural poor. sustainable management and development of Forest Tenure and Local Participatory forest forests in poverty reduction was particularly strong Management. A recurrent management is a in the PRSPs of some countries. Tanzania is clearly poverty reduction strategy common theme in making significant progress in mainstreaming the theme in PRSPs is the impor- PRSPs. environment into poverty reduction strategies. This tance of involving local com- is also evident in the overall goal of the National munities in management of forest resources. In Forest Policy, which is to “enhance the contribution Indonesian Papua, where lack of recognition of cus- of the forest sector to the sustainable development of tomary tenure in forested areas has led to violent Tanzania and the conservation and management of clashes with timber companies, the emphasis on the her natural resources for the benefit of present and importance of community arrangements in deter- future generations.� However, in order for that con- mining the poverty outcomes of forest management tribution to be fully realized, information on their are particularly acute. The PRSP calls for the consis- importance must be captured, measured, and tar- tent application of the Basic Agrarian Law in all nat- geted toward poverty reduction policies. ural resource sectors, including forests, which would Unfortunately, the current poverty-environment institutionalize collective land management and BOX 1.2 Poverty Reduction Strategy Documents Country PRSP or other plan National Name for the PRSP (if any) Tanzania PRSP MKUKUTA* Guinea PRSP National Growth and Poverty Eradication Strategy (NGPES) Lao PDR PRSP Indonesian Papua PRSP Nepal PRSP Tenth Plan India Tenth Plan Source: Author’s (H. Carolyn Brown) compilation. Note: *The Kiswahili name for the new strategy is Mkakati wa Kukuzo Uchumi na Kuondoa Umaskini Tanzania (MKUKUTA). LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS involve the poor in spatial planning processes. This disadvantaged by establishing forest-based microen- case, in particular, highlights the importance of terprises. issues of control of resources, as opposed to exis- The issue of targeting marginalized groups such tence of resources, to poverty reduction. as tribal communities—which are among the poor- Local arrangements and secure tenure also con- est groups in society—through community forestry tribute to sustainable forest management as well as is also evident in the Tenth Plan of India. Tribal poverty reduction. In the case of Tanzania, poverty communities represent a significant portion of the and forest degradation continued in parallel until population in forested and hilly areas, and the forest the institutional framework was changed in such a occupies an important way that forests were restored and contributed to Nepal and India planning place in their psyche as the documents specifically poverty reduction. In the case of Lao PDR, develop- mention strategies to mainstay of their social and ment of local institutions and marketing arrange- reduce poverty among religious practices. The pol- 10 ments contributed to poverty reduction. In other marginalized groups. icy of joint forest manage- countries such as Nepal, forestry is not mentioned in ment (JFM), while making reference to governance in the PRSP, despite the fact some strides in forest conservation, unfortunately that community forest user groups (CFUGs) are one does not usually recognize the unique characteristics of the few remaining local institutions in areas heav- of tribal peoples, which can reduce the effectiveness ily affected by the ongoing Maoist insurgency. of project thrusts and their impacts on poverty. Furthermore, JFM has been prone to elite capture, Community Forestry and Marginalized Groups. where the poorest may actually be made worse off as Community-based management of forest resources those with more power take advantage of new is a prominent theme in some case study countries, opportunities for their own benefit. Additionally, such as Nepal and India, which have long-standing the current JFM model is weighted in favor of state community forestry programs. In Lao PDR, enhanc- forest department control over planning, manage- ing village-based natural resource management for ment, investment, harvesting, and marketing. JFM poverty alleviation and sustainable forest manage- does not enable communities to legally exploit the ment is a new and important part of the PRSP (see full potential of forests to improve local livelihoods. box 1.3). In Nepal, while discussion of the role of For communities to capture this untapped potential, forestry in poverty reduction occupied a full chapter wide-ranging and phased reforms are required at of the PRSP, the history of performance of the com- both the national and state levels. The Tenth Plan munity forestry program in addressing poverty has states that it will adopt an effective strategy that not been particularly impressive. The PRSP, howev- takes into account the prospects of the tribal peo- er, continues the focus on participatory forest devel- ples, as well as protection of forests, complementing opment activities as a means for supporting poverty each other in such a way that the tribal peoples are reduction by creating opportunities for income gen- closely and gainfully involved with all the activities eration and employment for the poor, women, and related to regeneration, afforestation, protection, disadvantaged groups. The plan proposes three and management of forest areas under JFM. main strategies for achieving this objective: (i) Therefore, while improved forest management, eco- expansion of leasehold forestry to create employ- nomic growth, and income generation are impor- ment for disadvantaged member households that tant, poverty reduction seems often to require tar- are below the poverty line; (ii) increased access of geted intervention in order to address the concerns women, disadvantaged groups, and Dalits of the poor and marginalized. (untouchables) in community, leasehold, and col- laborative forests; and (iii) promotion of private- Market Barriers. All the PRSPs indicate the need sector investment and exports for sustainable man- PRSPs emphasize the role to improve market agement and proper utilization of valuable that the lack of infrastruc- infrastructure and non-timber forest products. The plan also intro- ture, markets, and market marketing strategies. duces the concept of leasehold forestry within com- access play as barriers to munity forests to benefit subgroups of the poor and achieving poverty reduction and growth. The case P OV E RT Y A N D F O R E S T S L I N K AG E S study in Lao PDR was particularly impressive in from the PRSP, however, that this was seen as a showing that investment in market interventions for poverty reduction strategy. In Nepal’s PRSP, forest NTFPs, through the establishment of NTFP market- timber production is not mentioned, despite sub- ing groups, and adding value through enhanced stantial potential, particularly in the Terai region. processing, made a substantial difference in improv- The plan also does not mention timber harvesting ing the wealth status of poor households. Therefore, with respect to CFUGs. it is perhaps not surprising that in Lao PDR’s PRSP, participatory management and processing of NTFPs Limitations. The recogni- Costs of PRSPs often are is mentioned as a poverty reduction strategy. India’s vague and lack concrete tion in PRSPs and NFPs of Tenth Plan states that measures will be initiated to plans to achieve goals. the importance of forests, strengthen efforts to promote commercial cultiva- however, is not the same as tion and collection of medicinal plants as one of the implementing forest management, which actually 11 avenues for reducing poverty among tribal commu- contributes to poverty reduction. Generally, there nities. In some other countries, however, such as seems to be a problem that even where PRSPs and Nepal, forestry is not mentioned under trade in the NFPs refer to forests and poverty, the references PRSP, even though substantial volumes of NTFPs are appear to be very general, and there are usually very exported both legally and illegally each year. few clear pro-poor provisions. This is particularly evident in the case study of Guinea, where general Timber production is Timber Production. In all goals of the PRSP and Forest Action Plan are very not named as a poverty case study countries, little vague, and are concerned more with protection of reduction strategy. emphasis is placed on pover- the natural potential than with detailed ways to use ty reduction strategies from it to benefit the poor. This lack of specific detail as to commercial timber production, although that clearly how to accomplish stated goals is a common prob- could be a source of revenue for the poor from com- lem with the PRSPs in all case studies. It is in this gap munity-managed forests. This was particularly evi- that the Poverty-Forests Linkages Toolkit can play a dent from the case study in Indonesian Papua, key role in helping governments to translate often where timber companies and community groups vague strategies into concrete plans for achieving appeared to have common interests. It was not clear poverty reduction in forested areas. BOX 1.3 Forests and Poverty Alleviation in Lao PDR’s PRSP (Lao PDR, 2004) The government strives to implement the following measures to alleviate poverty and to ensure more sustainable management of Lao forests: • Enhancing the village-based natural resource management for poverty alleviation • Revising the system for harvest determination, from focus on capacity of the wood industry to focus on sus- tainable supply • Restructuring the wood industry in Lao PDR to bring processing capacity into closer accord with a sustain- able raw material supply • Controlling unsustainable harvest and export of NTFPs by unregulated traders and promoting sustainable participatory management and processing of NTFPs • Promoting tree planning; formulating mechanisms for certifying sustainably managed tree plantations • Preventing encroachment, illegal activities, and biodiversity degradation through effective law enforcement, building capacity, and the participation of villages in conservation activities • Formulating a national land-use policy and introducing land-use planning at both the macro and field levels. Source: Author’s (H. Carolyn Brown) compilation. LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS SUMMARY OF MAIN Nepal has two other forest programs that are rel- CASE STUDY FINDINGS evant to poverty reduction. One is the leasehold forestry program, under which degraded land is leased to groups of landless people with a program Nepal of support, such as loans. The other is collaborative The Nepal study examines the policy framework rel- forest management, which involves joint manage- evant to the links between poverty reduction and ment by communities and the Department of forests. It then describes the results of local case Forests, with sharing of income benefits. This pro- studies in three communities, two in the lowland gram was conceived as an alternative to community Terai and one in the hills adjacent to the Terai. forestry for the Terai, where commercial harvesting The potential contribution of forests to poverty of timber has major potential. This case study reduction is reflected in policy, but the manner in researches three community forestry user groups in 12 which it is reflected highlights key issues. The Master or near the lowland Terai but, unfortunately, there is Plan for the Forestry Sector (1989–2010) was not no detailed discussion of community forestry in the concerned explicitly with poverty reduction, but hills, where community forestry has been most fully rather with meeting subsistence needs from forests. implemented. There is a history of reluctance by the To the extent that there was a concern with poverty MOFSC to apply community forestry in the Terai, reduction, it involved an implicit trickle-down theo- largely because the timber in the Terai is accessible ry. The PRSP, Nepal’s Tenth Plan, has a chapter on and a potential source of major revenue. It is proba- forests and poverty that goes beyond a general con- ble that somewhat different issues would emerge in cern with the potential of forests to contribute to cases in the hills, and care is needed in generalizing economic growth, and identifies some strategies from the three case studies, especially the two from specifically to target the poor (for example through the Terai. leasehold forestry). Significantly, there is no refer- The report notes that the forests of Nepal are ence to the potential for timber harvesting as a underutilized in terms of their capacity to con- source of income for forest user groups (FUGs), tribute to national income. It also notes the com- which is something that the Ministry of Forests and mon perception that less conservative management Soil Conservation (MOFSC) has always been reluc- of community forests would enable increased and tant to allow. The implication here is that having sustainable availability of forest products. The forest-poverty linkages in PRSPs is not enough to potential for forests to contribute to both provision lead to the effective implementation of a poverty of products to rural people and increased income is focus in forestry. Issues of control of valuable clear from the study. It is also clear that there is resources remain important. potential for an even greater contribution if timber Nepal is noted for its established community harvesting and processing become a resource for forestry program, formalized in the Master Plan for FUGs. A factor limiting the contribution of forests the Forestry Sector and subsequently in legislation. to poverty reduction is lack of access to commercial- Under the community forestry program, authority ly valuable products. This point applies in many to use and manage areas of national forests is trans- cases beyond Nepal. ferred to local user groups called community forest For the three local case studies, participatory user groups (CFUGs), with use subject to manage- wealth ranking was used to develop a set of wealth ment plans negotiated with and approved by the categories. These were then applied to assess the Department of Forests. Although the program orig- benefits from community forestry for each category. inally evolved as a means of achieving sustainable In all three cases, there was a general pattern of forest management and providing forest products to wealthier people gaining greater benefits from com- support community livelihoods, it obviously has munity forestry in terms of the extent of forest prod- implications for poverty reduction. Poverty reduc- ucts obtained from community forests. This was tion increasingly has become a focus for many pro- particularly clear in the case of Dovan (in the hills ponents of community forestry. However, as the adjacent to the Terai). It was slightly less clear in the report points out, the extent to which poverty other cases, probably because wealthier people, with reduction is an appropriate objective for the forest larger landholdings, were able to obtain some prod- agencies is debated by forestry officials. ucts from their own land. Thus, while community P OV E RT Y A N D F O R E S T S L I N K AG E S forests did provide products to support the liveli- However, it is not clear from the study whether the hoods of the poor, wealthier people obtained more. claims of the program are justified in practice, as This pattern of unequal and inequitable distribution none of the local case studies involved leasehold of benefits is consistent with findings from other forestry. research on community forestry in the hills, which suggests that the poor frequently obtain a lesser Guinea share of forest products than wealthier people (Shrestha 2005; Malla 2000). The reasons for the The Guinea study looked at the economic, institu- lesser share are complex, but certainly suggest that tional, and policy context of forests and poverty. mere provision of benefits may not reach the poor This included analysis of the part played by forests in unless they are specifically targeted. Cash income Guinea’s PRSP, and the extent to which the NFP from sale of forest products was generally devoted to addresses poverty concerns. This was complement- 13 community development activities (such as roads ed by the study of the role of forests in the local and schools). Again, while broad community/rural economy in villages in and around the Sinćery- development may benefit the poor, it does not Oursa Classified Forest in central Guinea. specifically contribute to poverty reduction. Key findings from the research showed that tim- Thus, the performance of community forestry in ber and wood products do not play a large role in Nepal in addressing poverty has not been particular- Guinea’s exports, but forests are important for ly impressive so far. There is no doubt that commu- domestic trade. There is a strong connection nity forestry has contributed to the supply of forest between farming and poverty with farmers, who products for livelihoods and subsistence, to represent 61 percent of the population and 80 per- increased household income in some places, and to cent of the poor. While none of the farmers inter- the generation of funds used for community bene- viewed in the survey was classified as forest-depend- fits. However, there is also evidence that the poorest ent, which is defined as fully dependent on forests of the poor (bearing in mind that even “wealthy� for their livelihoods, villagers typically derive up to farmers in Nepal are poor by most standards) often 25 to 30 percent of their income from collecting and do not get fair shares of forests products or increased selling forest products. incomes, and are sometimes absolutely worse off as The report shows that PRSPs and NFPs, which a result of community forestry. It is clear that the recognize the importance of forests for poverty case of community forestry is consistent with the reduction, are not the same as implementing forest broader generalization that growth does not neces- management that actually contributes to poverty sarily lead to poverty reduction. A key implication reduction. While it is important to have such recog- from the study is that increasing GDP nationally (or nition in policy documents, the detailed description increasing incomes locally) is not enough to address of the PRSP and the Forest Action Plan suggest that poverty reduction. There is a need for targeted the focus of the goals is very vague. The Forest strategies to ensure that growth and income reach Action Plan seems to have very conventional the different categories of the poor. forestry objectives, with an implicit assumption that The study does refer to some CFUGs that had sustainable forest management will lead to poverty internal mechanisms to target the poor, including reduction. The PRSP’s forestry focus is more con- revolving funds. This makes it clear that inequity is cerned about the protection of the environmental not inevitable in community forestry, and that and timber benefits from forests than with detailed CFUGs have the capacity to develop means to ways to use it to benefit the poor. A key point is that ensure that community forestry can contribute to forests have a role in helping to sustain rural liveli- poverty reduction. However, more research needs to hoods, but this is not the same as lifting people out be done on the factors that lead to such approaches of poverty. As there is little or no growth occurring being adopted by CFUGs. How much comes from in Guinea in rural sectors, this suggests limited local leadership? How much from facilitation by scope for benefits targeting the poor. outside agencies? The lack of infrastructure, markets, and market The brief discussion of leasehold forestry in the access is seen as a barrier to achieving poverty reduc- report highlights the importance and potential of tion and growth. An important point is that the exis- forestry policies that specifically target the poor. tence of good forest management provisions for LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS forests is not enough to achieve poverty reduction Papua. It strongly supports the importance of issues and growth. A viable commercial system is essential. of control of resources (as opposed to existence of National policy encourages peoples’ participa- resources) to poverty reduction. tion in forest management, especially in the form of The paper describes in detail the policy frame- “collaborative forest management.� However, the work within which forest management operates in report finds that willingness to participate “is clearly Papua. The broad context is the contradiction related to their need for forest products … as well as between decentralization policies and the grant of their access to and availability of those resources.� special autonomy to the province, and tensions over such matters as the granting of logging licenses to communities and the absence of mechanisms for Indonesian Papua registering collective claims to land.6 It is clear that This case study presents an analysis of policy issues contradictions between policy instruments and 14 relevant to forests and poverty reduction for authorities often make application of policies very Indonesia generally, and more specifically for the difficult. Indonesian province of Papua. It is particularly con- The great value of the paper is the analysis of the cerned with institutional change processes likely to multi-actor processes leading to creation of an insti- allow better flow of benefits to communities (which tutional framework for devolved control of include the poor). It highlights the importance of resources to communities. There is a common institutional arrangements in determining the assumption that the interests of timber companies poverty outcomes of forest management. and local communities are usually (if not always) Although the paper does not attempt a detailed antithetical. In Indonesian Papua, various stake- assessment of the contribution of forests to liveli- holders have found lack of clarity of tenure to be a hoods, or poverty reduction in the province or in barrier to investment. This has lead to coalitions of any particular field site, it does present a brief analy- industry, communities, and provincial authorities sis of correlations between poverty and forests in concerned with advocating change in national-level Indonesia generally, based on existing national data regulations and policies. and surveys. Based on these data sets, it concludes One interesting implication of the study (not that: explicitly discussed) is that commercial timber pro- duction may have the potential to contribute to ■ Villages in and near forest areas were worse off in poverty reduction. It is sometimes assumed that terms of infrastructure and services. commercial timber production provides few oppor- ■ The percentage of poor households in villages tunities for community income because of needs for and near forests is greater than for villages far capital and expertise (see, for example, Wunder from forests, even in Java, the wealthiest region. 2001). It seems from this study that there is poten- ■ Poorer households were more dependent on for- tial for timber companies to have common interests est income than richer households. with communities. These could be activated in the ■ There is a clear correlation between poverty and form of community concessions where communi- forests in Indonesia, the result partly of the fact ties have resource control, the companies can pro- that both forests and the asset poor are found in vide the expertise and capital, and the communities remoter areas, and partly that living in or near can benefit from the fees. forests reduced income overall in some way, despite the opportunities the poor identified for deriving income from forests. 6. The emphasis on communal tenure reflects the concerns of communities for the maintenance and recognition of custom- On the last point, the paper notes that “lack of ary title, seen as a resource for economic development, not as access to and use rights in forests are the other cru- a disincentive. Regarding the issue of communal tenure in Papua, there has been a debate in Australia led by the conser- cial component of forest-related poverty, but the vative economist Helen Hughes arguing that development in correlations summarized here do not deal with that Melanesia (by which she mostly means PNG) is not possible fact.� Nevertheless, the paper pays a great deal of without privatization (Hughes 2004). This has been vigorous- attention to the need to establish secure rights in ly attacked in a recent collection edited by Fingleton (2005). P OV E RT Y A N D F O R E S T S L I N K AG E S Tanzania Project (National Agriculture and Forestry Research Institute/IUCN—The World Conservation Union) The Tanzania report examines policy instruments in the Lao PDR. The project operated from 1995 to related to poverty reduction and forests in Tanzania. 2001. It discusses the importance of NTFPs to liveli- It then examines the experiences of the HASHI proj- hoods in Lao generally, and then documents project ect in the Shinyanga region of northwestern intervention strategies and results of interventions Tanzania in promoting forest restoration based on in Ban Nampheng in Oudomxai province. The report traditional local institutions. These activities have compares impacts on livelihoods and poverty based had significant implications for poverty reduction. on data collected in 2002, just after the project ended, In terms of national policy, the report points out and in a 2006 followup study. A short summary of that the most recent poverty reduction strategy rec- the role of forests in the PRSP is also included. ognizes the contribution of natural resources to Participatory poverty assessments undertaken in 15 poverty reduction. It also shows how the Forest Policy 1996, 2002, and 2006 used locally recognized indica- of 1998 explicitly recognized the contribution made tors of wealth and poverty, and had village inform- by forests to poverty reduction and human welfare. ants rank each household accordingly. There was a However, the impacts remain hard to assess, largely very substantial change in the wealth status of vari- as a result of poor monitoring and evaluation. ous households, with the overall percentage of The discussion of the Shinyanga experience, over households in the poorest class dropping from 33 almost 20 years, suggests very impressive achieve- percent in 1996 to 13 percent in 2006. Importantly, ments, especially in terms of scale for poverty reduc- “fourteen households graduated one wealth class tion. The HASHI project has supported restoration between 1996 and 2002. Over the next four years, of forests through the recognition and restoration of another seven households graduated one wealth ngitili (forest and shrub land set aside as traditional class, while previous gains were held by all but one grazing and fodder reserves). Rights to use and sell household that slipped back a class.� forest products from ngitili are recognized, and tech- These changes arose primarily out of the NTFP nical support is provided to improve productivity. interventions, which revolved around marketing Support is also provided for expanding markets for and local institutional development. An NTFP products and for the development of new products. Development Fund, which collected 10 percent of By 2004, at least 350,000 hectares of ngitili had been NTFP sales, funded a large number of community restored or created in 833 villages, encompassing a projects and continued to grow and function after population of 2.8 million. It has been estimated that the project ended in 2002. Individual households the benefit per person per month of ngitili is US$14. made significant income from sale of NTFPs. Income from ngitili has also been used to support The most striking developments mentioned in schools and other forms of rural development. the report relate to the unplanned replication of the Prior to the establishment of HASHI, the forest approach throughout Lao PDR. The report found lands of Shinyanga were highly degraded, largely as that interventions undertaken by the project were a result of government (both colonial and postcolo- being replicated by other projects and communities nial) policies, such as villagization and commercial almost throughout the whole country by 2006. (The coffee growing. The important point is that the rela- replicated interventions included domestication of tionship between poverty and degradation, and the marketable NTFPs, the establishment of NTFP mar- relationship between local use and degradation, keting groups, and forest land allocation with man- were reversed as a result of policy changes, which agement of NTFPs.) This “sideways� spread is returned control to the community and trans- attributed to a number of factors, including general formed pressures to degrade the environment into awareness of the project, formal visits to the project incentives to restore it (Fisher et al. 2005). site, ad hoc visits by people passing by, and reloca- tion of pilot site households to other villages. There was some “vertical� spread of ideas from the project, Lao PDR with the project influencing the forestry sector in This report focuses on factors that have affected the terms of policy and practice. This was largely a result broader adoption of approaches to forest-based of the project’s conscious efforts “to learn, docu- livelihood developed by the NAFRl/IUCN NTFP ment, and present its lessons to a wider audience.� LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS Clearly, the report has major implications with participatory management and processing of NTFPs. regard to the concerns of the Forests as a Resource While unknown, it is possible that the decision to for Poverty Reduction project by finding ways to include this strategy in the PRSP may be a result of the influence policy makers and scale up useful inter- vertical spread of ideas from this successful project. ventions. Generally, the most important thing that In terms of methodology, the application of the comes out of the report is the evidence that “noth- wealth-ranking methodology over time could be ing spreads like a good idea.� It is remarkable how usefully applied elsewhere to demonstrate the much unplanned replication has occurred. impacts of poverty-related interventions. The However, this is not accidental. Having conscious methodology is relatively simple and quite robust. strategies for critical documentation and distribu- tion, as well as training and public awareness strate- India gies, were crucial. This is clearly a generalizable find- 16 ing and one that should be noted in similar projects. The case study for India differs from the others as it It is a striking paradox that sideways replication focuses primarily on analysis of the potential of by projects focused heavily on the technical innova- forests from the document Unlocking Opportunities tions, rather than the institutional ones. It is inter- for Forest-Dependent People in India (World Bank esting that the more spontaneous, nonproject-sup- 2006), which focuses on joint forest management ported innovations took more account of the social (JFM). Additionally, a methodology being developed ones, as if villagers understood their importance bet- by CIFOR for measuring changes in livelihoods at ter than the staff of “copycat projects. It would be the village level is presented. quite interesting to know why the social innovations Forestry is the second largest land use in India were not more directly copied, and why the package after agriculture. An estimated 275 million people in was treated more as a menu of items to be selected rural areas depend on forests for at least part of their one by one. Is it because many project staff tend to livelihoods. Forest dwellers, which include a high be more technically oriented? Is it because they tend proportion of tribal peoples, are among the poorest to be locked into log frames that don’t allow much and most vulnerable groups in society. The govern- room for out-of-the-box thinking?� ment of India has adopted JFM as the principal The finding that government of Lao PDR staff approach for community forestry. The program now did not promote the approach, except where there covers 27 percent of the national forest area across 27 was external funding, has important implications. It states, and encompasses 85,000 village committees. seems that the absence of financial support from the The current JFM model is heavily oriented government of Lao PDR may have been a major fac- toward forest conservation and commercial planta- tor. This relates to the emphasis in the PROFOR tions managed by state forest departments. project on getting to national economic planners in Although evolving, JFM does not enable communi- order to encourage investment in the forestry sector. ties to legally exploit the full potential of forests to The report refers to government officers, but they improve local livelihoods. Most communities still seem to be mostly from forestry and natural resource use forests mainly as a safety net during difficult eco- management (NRM) agencies. The idea (Recom- nomic periods, or for seasonal subsistence products mendation U.1) of preparing materials for national like fuelwood and fodder. For communities to assembly members could be expanded to preparing exploit the untapped potential of forests, wide-rang- materials for financial bureaucrats. Along the same ing and phased reforms are required at both the line of thought, Suggestion U.4 refers to decision national and state levels addressing: (i) stronger for- makers in the forest and agriculture sectors. This est rights and responsibilities for forest communi- should be broadened to include the finance sector. ties; (ii) more effective management systems target- Analysis of Lao PDR’s National Growth and ed at community forestry models; (iii) improved Poverty Eradication Strategy (NGPES) indicated access to more efficient market systems for major that one of its priorities was to strengthen natural and minor products; and (iv) more effective and resource and environmental management. In the flexible institutions and capacities. India’s Tenth section on the role of forests, one of the measures to Plan focuses on many of these reforms, particularly reduce poverty outlined is to promote sustainable as they relate to forests and tribal communities. P OV E RT Y A N D F O R E S T S L I N K AG E S The state of Jharkhand, with support from the described in the Lao PDR and India studies) can World Bank, is planning major new investment in be particularly valuable if used over time to iden- community forest management, with an explicit tify changes in poverty and wealth. objective to improve the livelihoods of rural people, 3. It is important to distinguish among supporting especially in forest-fringe villages. Jharkhand is one livelihoods, wealth creation, and poverty reduc- of the poorest states in the nation, with 44 percent of tion. Forest policies seem to have done better at the population living below the poverty line. A large supporting livelihoods or poverty mitigation percentage of the population is from tribal groups. than at focused poverty reduction. The Jharkhand Department of Forests and 4. Economic growth is important in order to bene- Environment (DFE), as an integral part of the pro- fit the poor, but targeted interventions are gram, intends to implement a monitoring system to required so that the poor actually benefit. assess the livelihood changes resulting from their 5. The existence of policy instruments that recog- 17 investment. This will facilitate modification of the nize the connections between forests and poverty program as appropriate, in an adaptive management reduction is not enough to ensure appropriate framework. action. Factors such as contradictory policies, The case study proposes a tool based on the overlapping or conflicting authorities, and reluc- livelihoods framework to measure village-level indi- tance to relinquish control over forest resources cators. A synthesis of these indicators will be used to often prevent policy intentions from being assess development trajectories at the village level, achieved. Furthermore, forest policy needs to be and will allow some inferences about household- viewed together with changes in other sectors as level livelihoods status and changes. It will be an part of a comprehensive rural development strat- additional tool for use by the Department of Forests egy to reduce poverty. and Environment to help it improve the livelihoods 6. Providing access to forest resources and of local people. improved income does not guarantee that the benefits are directed to the poor, or that benefits will be distributed equitably. Many national CONCLUSIONS policies simply assume that the benefits of improved production and access to forests will Quite apart from the rich analysis of the linkages be distributed in such a way that the poor bene- between forests and poverty reduction as they apply fit. There is a need for safeguards to ensure that in the various countries studied, the reports pre- benefits are not captured by elites at the expense pared for the PROFOR project “Forests as a of the poor. Resource for Poverty Reduction� provide a number 7. Poverty-forest linkages are not inevitable and can of valuable insights with broader applicability. be changed through transforming structures. This can be accomplished through local institu- tions for forest restoration, as in Tanzania, or Lessons Learned through the development of local institutions 1. It is clear that forests provide important support and marketing arrangements, as in Lao PDR. It is for rural livelihoods in many countries. It is also also important to note that with increasing clear that they have great potential to contribute demand and market access, it is essential that to improved livelihoods and, more specifically, to local institutional arrangements be able to regu- poverty reduction. late sustainable harvest of resources. 2. Evidence demonstrating the value of forests for 8. Clear, recognized, and enforceable rights of livelihoods and income generation, and the access to resources are among the most impor- impacts of planned interventions aimed at pover- tant transforming structures. The issue of control ty reduction, can be achieved through method- of forest resources, including obvious tenure ologies combining rapid appraisal methods as issues and the broader issue of reluctance of for- used in the case studies and as described in the est authorities to relinquish real control of valu- toolkit. Participatory wealth ranking, combined able resources, underlies all of the reports, but is with the use of well-being indicators (as not usually addressed explicitly. LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS TABLE 1.1 Summary of Case Study Findings Forests Country in PRSP Key Issues in Forests Key Forest Issues Included in PRSP Guinea Yes • Rural poor derive 25–30 percent of • Protection of forests (2002) income from forest products • Forests important for domestic trade • Timber and wood products not large part of export trade • Lack of economic growth 18 India Yes • Forests are undervalued in GDP • Need to ensure environmental • Forests are degraded from sustainability unsustainable use • Need to place forests in broader • JFM has not resulted in poverty context of rural development reduction • Revise policy of JFNI to better address • Dependence on forests, particularly for poverty reduction concerns tribal communities • Involve tribal communities in managing • Interests of tribal communities and benefiting from forests marginalized • Improve market strategies • Market imperfection Indonesian Yes • Lack of customary tenure in forested • Calls for forest tenure reform Papua areas (2004, full • Local conflict with timber companies document • Increasing poverty in forest areas not • High dependence on forest resources available) for livelihood Lao PDR Yes • NTFPs are key source of livelihood • Enhancement of local management of • Investment in marketing and local forest resources institutional development result in • Participatory management and improved poverty reduction marketing of NTFPs • Rules for sustainable wood industry Nepal Yes • Forests important as livelihood strategy • Strategies to target the poor through (2003) • Community forestry important in leasehold forestry poverty mitigation • Emphasis on community forestry • Community forestry does not necessarily benefit the poorest of the poor • Lack of access to commercially valuable products, such as timber Tanzania Yes • Forest products important for • Forests are important for poverty (2005) livelihoods reduction • Forests undervalued in GDP • Emphasis on community management of • Local institutions important in forest resources restoration and sustainable management • Importance of sustainable use of • Need to improve markets resources Source: Author’s (H. Carolyn Brown) compilation. P OV E RT Y A N D F O R E S T S L I N K AG E S Implications for PRSPs Fingleton, J., ed. 2005. “Privatising Land in the Pacific: A Defence of Customary Tenures.� Dis- 1. Attempts to change policy to provide better sup- cussion Paper No. 80, The Australia Institute. port for poverty reduction through forests can be Fisher, R. J., Stewart Maginnis, W. J. Jackson, enhanced by careful documentation of activities, Edmund Barrow, and Sally Jeanrenaud. 2005. strategies, and impacts, as seen in the Lao PDR Policy and Conservation: Landscapes, People and study. Power. Gland, Switzerland, and Cambridge, 2. Building coalitions of interest among stakehold- UK: IUCN—The World Conservation Union. ers can also contribute to changing policy. Hughes, H. 2004. “Can Papua New Guinea Come Back from the Brink?� Issue Analysis No. 49, The fact that the potential for forests to con- The Centre for Independent Studies. NSW, tribute to poverty reduction is not well recognized by Australia. 19 national economic planners and policy makers high- Kusters, K., B. Belcher, M. Ruiz Perez, and R. Achdi- lights a need for a methodology that allows rapid col- awan. 2005. “A Method to Assess the Outcomes lection of data and production of key information of Forest Product Trade on Livelihoods and the for national planning and decision-making process- Environment.� CIFOR Working Paper No. 32, es. Such documentation would enable recognition CIFOR, Bogor, Indonesia. of the opportunities from forests in poverty allevia- Malla, Y. B. 2000. “Impact of Community Forestry tion, and could secure a better integration of forests on Rural Livelihoods and Food Security in in PRSPs and other macro-planning instruments, Nepal.� Unasylva 202: 37–45. such as NFPs and CASs. To that end, the PROFOR Neumann, R. P., and E. Hirsch. 2000. “Commercial- Poverty-Forests Linkages Toolkit provides valuable isation of Non-Timber Forest Products: Review methods and resources for government officials and and Analysis of Research.� Bogor, Indonesia: nongovernmental facilitators in making the poverty- CIFOR. forest linkages clear to economic planners. This, in Ruiz Pérez, M., B. Belcher, R. Achdiawan, M. Alexi- turn, will help to overcome some of the constraints ades, C. Aubertin, J. Cabellero, B. Campbell, C. to mainstreaming forests into the poverty reduction Clement, T. Cunningham, A. Fantini, H. De policy process. Foresta, C. Garcia Fernandez, K. H. Gautam, P. H. Martinez, W. De Jong, K. Kusters, M. G. Kutty, C. Lopez, M. Fu, M. A. Martinez Alfaro, REFERENCES T. K. R. Nair, O. Ndoye, R. Ocamp, N. Rai, M. Ricker, K. Schreckenberg, S. Shackleton, P. Angelsen, A., and S. Wunder. 2003. “Exploring the Shanley, T. Sunderland, and Y.-C. Youn. 2004. Forest-Poverty Link: Key Concepts, Issues and “Markets Drive the Specialization Strategies of Research Implications.� CIFOR Occasional Forest Peoples.� Ecology and Society 9(4). Paper No. 40, CIFOR, Bogor, Indonesia. Scherr, S., A. White, and D. Kaimowitz. 2003. “Mak- Belcher, B. 2005. “Forest Product Markets, Forests ing Markets Work for Forest Communities.� and Poverty Reduction.� International Forestry International Forestry Review 5: 67–73. Review 7: 82–89. Scherr, S., A. White, and D. Kaimowitz. 2004. A New Bird, N., and C. Dickson. 2005. “Poverty Reduction Agenda for Forest Conservation and Poverty Strategy Papers: Making the Case for Forestry.� Reduction: Making Markets Work for Low- ODI Forestry Briefing, Number 7, Overseas Income Producers. Washington, DC: Forest Development Institute, London. Trends. Contreras-Hermosilla, Amoldo, and Markku Simu- Shrestha, Khrishna K. 2005. “Collective Action and la. Forthcoming. World Bank Forest Strategy Equity in Nepalese Community Forestry.� Implementation Review. Washington, DC: Unpublished PhD thesis, University of Sydney. World Bank. Sunderland, T. C. H., S. T. Harrison, and O. Ndoye. FAO (Food and Agriculture Organization). 2006. 2004. “Commercialisation of Non-Timber For- “Better Forestry, Less Poverty: A Practitioner’s est Products in Africa: History, Context and Guide.� FAO Forestry Paper 149, Food and Prospects� In Forest Products, Livelihoods and Agriculture Organization, Rome. Conservation: Case Studies of Non Timber Forest LINKING POVERTY REDUCTION, LIVELIHOODS, AND FORESTS Product Systems Vol. 2—Africa, ed. T. C. H. Sun- World Bank. 2001. World Development Report derland and O. Ndoye, 1–23, Bogor, Indonesia: 2000/2001: Attacking Poverty. Washington, DC: CIFOR. World Bank. Sunderlin, W. D., A. Angelsen, and S. Wunder. 2003. ———. 2004. Sustaining Forests: A Development “Forests and Poverty Alleviation.� In State of the Strategy. Washington, DC: World Bank. World’s Forests 2003, pp. 61–73. Rome: Food ———. 2006. Unlocking Opportunities for Forest- and Agricultural Organization. Dependent in India (Vol 1). Washington, DC. Sunderlin, W. D., A. Angelsen, B. Belcher, P. Burg- ———. 2007. Poverty Reduction Strategy Source- ers, R. Nasi, L. Santoso, and S. Wunder. 2005. book. Washington, DC: World Bank “Livelihoods, Forests, and Conservation in Veldeld, P., A. Angelsen, E. Sjaastad, and G. Developing Countries: An Overview.� World Kobugabe Berg. 2004. “Counting on the Envi- Development 33: 1383–1402. ronment: Forest Incomes and the Rural Poor.� 20 Sunderlin, W. D., S. Dewi, and A. Puntodewo. 2006. Environmental Economics Series Paper No. 98, “Forests, Poverty, and Poverty Alleviation Poli- World Bank, Washington, DC. cies.� Background paper for World Bank Policy Wunder, Sven. 2001. “Poverty Alleviation and Trop- Research Report “At Loggerheads: Policies for ical Forests: What Scope for Synergies?� World Development, Poverty Alleviation, and Envi- Development 29 (11): 1817–33. ronment in the World’s Tropical Forests,� CIFOR, Bogor, Indonesia. P OV E RT Y A N D F O R E S T S L I N K AG E S C H A P T E R T WO Summary of Case Study—India 21 EXECUTIVE SUMMARY managed by state forest departments. Although evolving, JFM does not enable communities to legal- A recent study by the World Bank indicates that ly exploit the full potential of forests to improve forests offer huge potential for poverty reduction local livelihoods. Most communities still use forests and rural economic growth in India,1 while also sup- mainly as a safety net during difficult economic peri- porting critical national conservation goals. Forestry ods, or for seasonal subsistence products like fuel- is the second-largest land use in India after agricul- wood and fodder. For communities to exploit the ture. An estimated 275 million people in rural areas untapped potential of forests, wide ranging and depend on forests for at least part of their liveli- phased reforms are required at both the national and hoods. Forest dwellers, which include a high pro- state levels addressing: (i) stronger forest rights and portion of tribal peoples, are among the poorest and responsibilities for forest communities; (ii) more most vulnerable groups in society. Given the com- effective management systems targeted at communi- plexity of the issues and the diversity of India’s for- ty forestry models; (iii) improved access to more est areas, the Bank has proposed a long-term dia- efficient market systems for major and minor prod- logue with the Indian government to foster ucts; and (iv) more effective and flexible institutions common understanding of the constraints to, and and capacities. India’s Tenth Plan focuses on many opportunities for, poverty reduction in and around of these reforms, particularly as they relate to forests the forest areas. and tribal communities. The government of India has adopted Joint The potential benefits from such a reform pro- Forest Management (JFM) as a principal approach gram around community forestry, coupled with for community forestry. The program now covers gains in forest productivity, are enormous. 27 percent of the national forest area across 27 However, it is important that improvements in states, and encompasses 85,000 village committees. livelihoods be quantified. The Center for The current JFM model is heavily oriented toward International Forestry Research (CIFOR) is in the forest conservation and commercial plantations process of developing a tool to monitor these poten- tial changes in livelihoods as a result of JFM. The 1. Original information on the case study was prepared by case study outlines the process and indicators for Deep Pandey and Brian Belcher (CIFOR) (November 2005). monitoring such change. BACKGROUND AND OVERVIEW OF INDIA encompasses traditional village farming, modern agriculture, handicrafts, a wide range of modem industries, and a multitude of services. Services are India, with an area of 3,287,590 square kilometers, is the major source of economic growth, accounting located in southern Asia, bordering the Arabian Sea for more than half of India’s output with less than and the Bay of Bengal (figure 2.1). The terrain varies one-quarter of its labor force. Capitalizing on its from upland plain in the south to flat plains along large number of well-educated people skilled in the the Ganges River to deserts in the west and the English language, India has emerged as a global Himalayas in the north. India, a vibrant democracy, player in information technology, business process has a population of roughly 1.1 billion, of which 35 outsourcing, telecommunications. and pharma- percent live below the poverty line—75 percent of ceuticals. However, about three-fifths of the work- whom live in rural areas. However, official estimates force is in agriculture, leading the government to 22 show a decline in poverty from 36 percent in the articulate an economic reform program that early 1990s to 26 percent in 1999. Nevertheless, includes developing basic infrastructure to India is home to 22 percent of the world’s poor. improve the lives of the rural poor and boost eco- India has one of the world’s fastest-growing nomic performance.2 economies, with average growth rates of 8 percent over the last three years. This diverse economy 2. Information added by editor. FIGURE 2.1 India Source: The CIA World Factbook. P OV E RT Y A N D F O R E S T S L I N K AG E S BOX 2.1 Pressures on India’s Forests Pressure on India’s forests come from a variety ■ exposure of half of all forests to risk from tires of sources, including the following: ■ shifting cultivation, which affects almost 10 million hectares of forest ■ the increase in population, from 390 million ■ encroachment on 1.36 million hectares of for- in 1950 to 1 billion in 2001 est by 2002, with evictions accounting for only ■ the loss of 4.5 million hectares since 1950 10 percent of affected land by 2004. through agricultural conversion and other uses ■ the high percentage (78 percent) of forest sub- Sources: Indiastat (2005); Bahuguna and others (2004). 23 ject to heavy grazing Forest Resources3 grazing pressure, fire, and overcutting (Bahuguna and others 2004). About 41 percent of the country’s Forestry is the second-largest land use in India after forest cover has been degraded to some degree in the agriculture, covering approximately 641,130 square past several decades (converted to open or scrub for- kilometers, or 22 percent of the total land base of 3.3 est, for example), due to intense pressure from a million square kilometers. These 64 million hectares range of human and biophysical causes (box 2.1). of forest cover (FAO 2005) are allocated among Timber and fuelwood demand is well above the sus- dense (59 percent), open (40 percent), and coastal tainable harvest level. This underscores the national mangrove (1 percent) categories.4 The forest type government’s commitment to forest conservation varies according to climate and elevation. Roughly and massive efforts to develop new forests to meet a 275 million rural poor in India depend on forests for goal of increasing forest cover to 33 percent of the at least part of their subsistence and cash livelihoods land area by 2012. from fuelwood, fodder, poles, and a range of non- timber forest products (NTFP) such as fruits, flow- Forestry Contribution to ers, and medicinal plants. Seventy percent of India’s Gross Domestic Product rural population depends on fuelwood to meet domestic energy needs. Half of India’s 89 million As a major land use, primary forestry pales com- tribal people, the most disadvantaged section of pared to agriculture, based on the share of gross society, live in forest fringe areas and tend to have domestic product (GDP). The GDP contribution close cultural and economic links with the forest. from forestry and logging in India was 1.1 percent in An estimated 41 percent of the country’s forest 2001, versus 20.7 percent for primary agriculture, cover has been degraded to some degree in the past almost a 20-fold difference (figure 2.2).5 The share several decades, and average forest productivity is of Indian GDP for both sectors has declined slightly about one-third of potential rates. Reasons for low from 1982; however the percentage drop in forestry productivity in India include human removal of for- and logging GDP contributions is almost double the est biomass that is not recycled into soil nutrients, rate for agriculture. Across selected states, forestry and logging account for between 0.48 and 2.97 per- 3. Information on forests based on Unlocking Opportunities cent of GDP in current values. The strict definition for Forest-Dependent People in India (World Bank 2006b). of GDP underestimates the total economic value of 4. According to India's Ministry of Environment and Forests, forests in India. Many goods and services from the dense forest is defined as land having tree cover with a canopy density of at least 40 percent. Open forest is defined as land having tree cover with a canopy density of 10–40 percent. 5. Source: World Bank database, Central Statistical Other categories include scrub forest, with a canopy density of Organization. It should be noted that state-level GDP data do less than 10 percent; mangrove forest, consisting of salt-toler- not disaggregate secondary forestry activity (sawmilling, pulp ant forest ecosystems found mainly in tropical and subtropi- and paper, millwork, furniture and milling, and so forth) cal intertidal regions; and non-forest areas, in which there is from manufacturing. Thus, GDP comparisons are restricted no tree cover of any kind . to logging and forestry services. SUMMARY OF C A SE STUDY—INDIA FIGURE 2.2 GDP Shares, Forestry and Logging, and Agriculture, India 35 30 GDP contribution (%) 25 20 15 24 10 5 0 1982 1991 2001 Forestry and logging Agriculture Current Constant Current Constant Sources: World Bank (2005a), World Bank databases. forest are not traded in formal markets, such as sub- would fall into the small-scale category. It is clear sistence NTFPs, fuelwood, and vital ecological serv- that the secondary forest industry encompasses a ice functions such as carbon sequestration, aesthetic broad array of products. There are several emerging values, and soil stability on steep slopes. The fuel- investment constraints, including raw material wood trade in India is estimated to have an annual shortages (mainly for logs due to felling bans in turnover of around US$17 billion (MOEF 2000a) many state forests until forest management working and is a source of livelihood for over 11 million peo- plans were completed, and numerous restrictions on ple, making it the largest employer (formal and log supply from private land and farmers); growing informal) in the Indian energy sector. Estimates concern over environmental issues (mainly in larger have been made (Chopra et al. 2002) for ecotourism production facilities such as pulp and paper mills); and carbon sequestration in forest areas, which judicial decisions to close unlicensed mills (particu- increases the national GDP share from forests from larly in the northeast); economic liberalization and 1.07 to 2.4 percent. But even adding these values and competition from imports (especially with pulp considering non-market fuelwood and NTFPs, the imports and impacts on domestic mills); and poor share of forestry GDP will still be far below that of management and technical skills (in sawmills for agriculture. example, less than 3 percent of lumber meets Indian grading standards). Structure of the Domestic Forest-Based Industry National Wood Supply and Demand Trends The majority of processing capacity is small scale. India is facing serious wood supply-demand imbal- Indian forest-based secondary industry encompass- ances. An examination of primary forest product es a wide range of small-, medium-, and large-scale supply and demand is quite telling. For timber (logs) firms that process primary timber (logs) into a vari- and fuelwood, demand was projected to increase ety of products for the domestic market. By far, the from 1996 to 2006 against a relatively flat supply vast majority of plants and production capacity curve, leading to significant and growing fiber sup- P OV E RT Y A N D F O R E S T S L I N K AG E S ply deficits (Bahuguna 2004; ITTO 2003). These forest products imports (Australian National projections suggest that by 2006, an estimated 139 University 2003). Yet, in 2000–01, roundwood million tons of fuelwood will be harvested above the imports were only 2.1 million cubic meters. For sustainable supply from regulated sources. Other products like pulp and paper, alternative supply estimates (Saigal et al. 2002) suggest fuelwood over- options exist such as bamboo, or importing pulp cutting of 131 million cubic meters. Perhaps half of and paper directly. But for timber, the current level this gap is made up by subsistence collection of of log imports does not come close to meeting the deadfall and nondestructive wood sources from nat- supply gap. While available data preclude a detailed ural forests (collecting branches and litter) in rural analysis of the national timber market, the areas. The balance of the deficit, however, is met inevitable conclusion is that much of the log supply through unregulated removal of fuelwood from nat- deficit is being met through illegal harvesting, put- ural and plantation forests, and regeneration on ting additional pressure on remaining high-quality 25 degraded lands or wastelands, with subsequent dense forests. The supply-demand situation under- impacts on forest productivity and sustainability.6 scores the national government’s strong support for Driving the fuelwood deficit is the relatively high forest conservation, manifested through efforts to cost of liquid propane gas for lower-income house- protect existing forests and grow new plantations holds in rural areas, and lack of distributional net- under JFM. works (UNDP/World Bank 2003). For timber, supplies from natural forests have National Forestry Policy been limited following the 1988 National Forest Policy, which discourages harvesting of natural Forestry is a concurrent subject under the Indian stands, and the 1996 Supreme Court decision Constitution, which means that both state and requiring an approved working plan prior to com- national governments share jurisdiction. The Indian mercial harvesting of green timber in any state for- Forest Act 1878 and Indian Forest Act 1927 empha- est division. While supplies are likely to increase in sized commercial timber production. The Forest the future as management plans continue to be Conservation Act of 1980 and the 1988 National approved and new plantations come on stream, it Forest Policy shifted the pendulum strongly toward will not meet rising domestic demand. The project- forest conservation and JFM. This conservation ed timber supply deficit for 2006 is 39 million cubic direction was also complemented by the 1972 Indian meters, met partially through imports of logs from Wildlife (Protection) Act. As a supporting strategy, overseas suppliers, particularly Malaysia, Myanmar, West Bengal and a few other progressive states Indonesia, and Nigeria. Log imports are supported experimented with allocating a specific area of forest through a favorable tariff regime, with a 5 percent to communities, along with limited management charge on logs, compared to 25 percent for sawn responsibilities, in return for a share of forest rev- wood. On a volume basis, approximately 95 percent enues from timber and better access to NTFP. This of all wood imports to India are industrial round- model of JFM is now a principal element of forest wood, mainly tropical hardwoods. On a value basis, management strategies in the country, with a pri- roundwood accounts for around 42 percent of total mary focus on protection and conservation goals. Since 1988, JFM operations have continued to evolve, with greater attention to rural livelihoods. 6. These estimates must be viewed with caution (see Pandey Programs currently span 27 states, represent 85,000 2001). Much of the supply is not market-based and is used for subsistence. Supplies often consist of twigs and forest litter village committees, and cover over 17.3 million (non-destructive) rather than larger logs (destructive), espe- hectares of forest land. cially if natural forests are located far from the village and In spite of this progress, forest ownership in people are gathering material from wastelands. Most studies India remains concentrated in the public sector. In do not examine where fuelwood is obtained and in what form. Also, prices (either at collection time or through market prices India, 65 percent of the forest is administered solely for commercial fuelwood) are not usually factored into by the government, and another 27 percent is demand estimates. There is an urgent need for a detailed reserved for community and indigenous groups analysis of fuelwood supply and demand at the national level (through JFM), but is still largely administered by and impacts on growing stock. In the interim, however, most analysts agree that fuelwood consumption is a largely uncon- the government. Additionally, the current JFM trolled and a major drain on the forest. model is weighted in favor of state forest department SUMMARY OF C A SE STUDY—INDIA control over planning, management, investment, larly fuelwood and fodder, are the main contribu- harvesting, and marketing. JFM does not enable tors from the forest to local livelihoods. Rural peo- communities to legally exploit the full potential of ple generally earn very little cash income from forests to improve local livelihoods. Most forest forests due to poor roads, a focus on low-value communities still use forests mainly as a safety net products, poor forest quality, and weak market link- during difficult economic periods, or for seasonal ages. Communities, including those with large trib- subsistence products like fuelwood and fodder. For al populations, often view JFM as bringing external communities to capture this untapped potential, rules that ignore existing management institutions wide-ranging and phased reforms are required at governing prudent uses of natural resources that both the national and state levels. Another key issue incorporate local knowledge and cultural contexts. relates to decentralization. The 73rd Constitutional The JFM formation process is seen by many villagers Amendment of 1992 supports the government of as a top-down, non-participatory process, which can 26 India’s goal for decentralization of governance exacerbate existing social tensions between tribal through Panchayat Raj Institutions.7 Under the and non-tribal peoples. Participation in the Panchayat Extension to Scheduled Areas Act, 1996 microplanning process is seen as weak, with a less (PESA), gram sabhas or village assemblies in tribal than full regard for people’s subsistence forest areas were endowed with powers over community requirements and broader development needs. resources generally, and more specifically with own- Forestry in most areas is not a high development ership of minor forest produce; to prevent alien- priority for rural people; the most pressing needs for ation of land in the Scheduled Areas and to take development expressed by communities tend to be appropriate action to restore any unlawfully alienat- the following: improved agricultural production ed land of a Scheduled Tribe;8 and the power to through irrigation (check dams, ponds, water manage village markets. A number of potential areas pumps) and extension services; safe drinking water of conflict and uncertainty exist between state forest and simple hand pumps; assistance with village- legislation and PESA that need to be better under- based income-generating activities; access to elec- stood and addressed. tricity; improved roads and better transport facili- ties; and better access to education and health facilities. Yet rural development programs for Forest Livelihoods: Perspectives of remote forest communities appear to be poorly Forest Dwellers and Key Issues coordinated and suffer from anemic service delivery. Tribal peoples represent a significant share of the population in forested and hilly areas, and depend Forest Management Systems on forests for their cultural and spiritual needs, and and Community Forestry to varying degrees, their economic needs. Tribal- dominated communities are among the poorest Several key issues around management planning groups in society. While economic exploitation, and resource assessment systems appear to hinder land alienation, and displacement have all affected more progressive community forest management. scheduled tribes, a further complicating influence in First, resource assessment systems need further local decision making is the decline of traditional strengthening, even in states such as Madhya institutions. Government devolution programs or Pradesh, where forest inventory, and growth and sector-driven initiatives such as JFM do not usually yield systems are reasonably robust. At the commu- recognize the unique characteristics of tribal peo- nity level, resource assessment is quite weak, partic- ples, which can reduce the effectiveness of project ularly for NTFPs. Second, mapping capacities vary, aims and their impact on poverty. Agriculture, but all states examined require significant incremen- labor, and forests all contribute to rural livelihoods tal investments in financial and technical resources. in forest fringe areas. Subsistence products, particu- Third, given deficiencies in forest resource assess- ment systems and mapping, it is difficult for state forest departments to effectively monitor how the 7. Panchayati Raj institutions are the units of administration forest is changing over time. Forest livelihoods and found at the village, block, and district level. 8. Scheduled Tribes are tribal communities that are accorded poverty are also not routinely monitored. The focus special status by the Constitution of India. of forest departments is on meeting annual targets P OV E RT Y A N D F O R E S T S L I N K AG E S rather than outputs, impacts, and outcomes. Fourth, fuelwood demand and improving livelihood oppor- the geographic area of responsibility and range of tunities require innovative solutions on both the responsibilities for field staff are much higher than supply and demand sides. Medicinal plants and aro- in many other countries. More creative options for matic oils offer exciting promise for the future in all forest department staffing and mandates need to be states. Madhya Pradesh and Assam provide exam- considered for field operations that build on ples of positive progress in developing demand- resource realities and comparative advantages of driven market systems through partnerships forest department field staff, private consultants, between communities, and public and private sector and communities. Fifth, community forestry needs interests. Approaches in these two states and others more guidance from financial and economic analy- such as Andhra Pradesh illustrate that forest depart- sis, yet there is little technical capacity in state forest ments don’t need to control the market, but can departments and the Ministry of Environment and instead play a supportive and facilitating role. 27 Forestry (MOEF). Five areas are emerging where The forest fiscal system in India has a number of economics analyses could support policy reform and problems relevant to continued transformation of program implementation: reviewing alternative community forestry. First, the current JFM benefit- tenure and access rights systems, and their relation- sharing system is overly complex, has high transac- ship to conserving forest livelihoods, forest produc- tion costs, and is focused on a narrow range of rev- tivity, and public expenditures; evaluating the eco- enue-generation options at the primary resource nomics of silviculture for community forests; level. Second, the policy direction for this approach assessing local incentives by allocating good-quality is not clear, and there are contradictions with eco- forest along with degraded land to communities; nomic theory. Further, while some commercial analyzing the costs and benefits of farm forestry; and products harvested by communities are subject to reviewing current benefit-sharing schemes. benefit sharing, others can be marketed privately, with the state collecting no revenue. Third, average revenue generation from primary forest production Forest Marketing Systems by the forest departments is fairly low, reflecting and Benefit Sharing poor commercial opportunities for communities A range of forest product marketing models exist in and suboptimal forest productivity. India, and they are continuing to evolve. However, for many timber and NTFP species with commercial THE TENTH PLAN—INDIA’S POVERTY value, market systems are still largely dominated by REDUCTION STRATEGY9 state monopolies supported by a restrictive legal and regulatory framework. Private sector involvement in forest resource establishment and marketing In conjunction with the World Bank, the govern- appears to be quite limited. An analysis of several ment of India has outlined a poverty reduction strat- major product groups illustrates a range of critical egy embodied in India’s Tenth Five-Year Plan. The issues and opportunities in forest product market Tenth Plan covers 2002/03 to 2006/07 and was pre- systems. For example, with timber, communities are pared over a two-year period, involving an extensive given very little space to engage in direct marketing, process of consultation (with various tiers of gov- which could open significant opportunities for for- ernment, civil society, donors, and the private sec- est revenues, while also reducing the need to main- tor) and consensus building. It lays out even more tain costly state institutions in harvesting and mar- ambitious goals than the Millennium Development keting. With Kendu leaf, market forces are not Goals, and acknowledges that a higher level of per- allowed to operate at all points along the value formance will require some radical departures from chain. Collectors are simply paid a wage per bag, existing practices in India. largely divorced from market signals around prod- The essence of the Tenth Plan is to change the uct quality. Bamboo is a major product in north- role and improve the effectiveness of government, so eastern India, which offers excellent opportunities as to better support the private sector and ensure for private growers to supply pulp mills. However, widespread improvement in well-being. The strate- in Assam, market distortions exist through a com- plex, cross-subsidized purchasing scheme. Meeting 9. Information added by editor. SUMMARY OF C A SE STUDY—INDIA gy has four core components. First, governance and must consider all activities that can influence forests service delivery are to be improved. Greater reliance and related social, economic, and environmental is to be placed on the private sector and on public outcomes. It acknowledges that growth alone can- sector reforms to deliver accountability, reduce not combat poverty effectively, but more focused opportunities for corruption, and improve the speed interventions are required that address issues relat- and effectiveness of government at all levels. Second, ing to opportunity, empowerment, and the security poverty is to be reduced, particularly in the lagging of the livelihood of the poor who depend on forests states, through the implementation of policies that in different ways. A broader approach to improving encourage growth, employment generation, and livelihoods is proposed that covers productive access to elementary education (especially for girls) capacity, institutional and legal structures, market and to primary health care (especially for women). access and tenure, and places forests in the broader Most of India’s poor live in rural areas, and studies context of rural development. The proposed focus is 28 consistently show that agricultural growth and to be on improving governance (especially correct- improved marketing, expanding opportunities for ing major distortions in incentives and markets that farm and nonfarm employment, developing physi- are reducing the value of the forest resource), devel- cal and social infrastructure, and empowering the oping efficient markets, and encouraging competi- poorest citizen to access services are essential for tive private sector participation in the forestry sec- rural poverty reduction. Third, the growth rate is to tor. Among the specific actions outlined in the be increased, including through greater public Tenth Plan chapter on forests and environment are investments, requiring fiscal adjustment at both the development of special programs for villages central and state levels, as well as reform of the dependent on forest use, promotion of agroforestry, financial system, and trade liberalization. Finally, marketing of medicinal plants, and changes in JFM improvements in infrastructure and the productive to assure appropriate distribution of benefits arising base are at the heart of the Tenth Plan. from the forest. The chapter on India’s Scheduled Tribes, who represent 8.6 percent of the population, recognizes Forestry in the Tenth Plan that the land is not only a productive resource base Ensuring environmental sustainability in India is for tribal peoples, but also occupies an important central to the lasting success of the country’s devel- place as part of their cultural and religious practices. opment efforts, particularly in the context of accel- While the National Forest Policy in 1988 recognized erating growth and expanding infrastructure. this dependency on forests, the tribes have continu- Forests are considered to be natural assets and pro- ally been marginalized and displaced from their tra- vide a variety of benefits to the economy, but the fact ditional lands. Poverty among members of that 41 percent of India’s forests are degraded means Scheduled Tribes is much higher than for other sec- that they are considered to be unable to play an tions of the population. The Tenth Plan outlines a important role in environmental sustainability and three-pronged strategy to reduce poverty among in meeting the forest produce needs of the people, tribal peoples through social empowerment, eco- industry, and other sectors. The problems and con- nomic empowerment, and social justice. A key straints in forestry development include a lack of action is to restore traditional lands to tribal com- awareness about multiple roles and benefits of munities and to involve tribal peoples in JFM, social forests, no linkages between management and the forestry, agroforestry, and to facilitate collection and security of the livelihoods of the people, market marketing of minor forest products. Forest villages imperfection, and an overemphasis on government would be improved through the basic provision of involvement and control, with a low level of partici- infrastructure and services. Special focus would be pation by the people. given to women in tribal communities in order to Despite significant resource flows and national enhance their capacity in the society through effec- concern, the potential of forests to reduce poverty, tive steps to improve their status. One avenue would realize economic growth, and contribute to the local be to promote their leadership in JFM. The chapter and global environment have not been fully realized. on other socially disadvantaged groups does not The Tenth Plan states that an effective strategy to include forestry as a strategy in poverty reduction promote the poverty reduction potential of forests (India 2002). P OV E RT Y A N D F O R E S T S L I N K AG E S A CASE STUDY10 of socio-political organization. Tribal peoples have a very long tradition of tribal governance systems, which conflict with the conventional wisdom of rec- Overview of the Three Focal States ognizing them as a homogenous group. Govern- and Tribal Characteristics11 ment devolution programs to Panchayat Raj Institu- tions through PESA, or sector-driven programs such The states of Jharkhand, Madhya Pradesh, and as JFM, do not usually recognize the unique charac- Assam are poor, based on income per capita and teristics of tribal peoples. Human Development Indices (HDI) falling well below the national average. In addition, the percent- Background and Study Area age of people below the poverty line is much higher than the national average. The small average land The state of Jharkhand, with support from the 29 holding, low productivity of agriculture, and limited World Bank, is planning major new investment in opportunities to earn nonfarm income from other community forest management (CFM12), with an resources such as forests, leads to migration as an explicit objective to improve the livelihoods of rural important coping strategy for people in many rural people, especially in forest-fringe villages. As an inte- areas. Approximately 742 million people, or 72.2 gral part of the program, the Jharkhand Department percent of India’s population, live in rural areas. Of of Forests and Environment (DFE) intends to imple- these, 88.8 million belong to scheduled tribes. The ment a monitoring system to assess the livelihood Scheduled Tribes are mainly concentrated in the so- changes resulting from their investment. This will called “Tribal Belt� of central India, with a second facilitate modification of the program as appropri- concentration in the northeast. ate, in an adaptive management framework. The Tribal Belt represents a distinct geo-cultural The monitoring system will be applied statewide, region and is home to the main tribal groups eventually covering up to 16,000 villages, but will throughout India (Gonds, Santhals, Oraons, focus initially on 50 villages in a pilot phase. It must Mundas, and Khonds), as well as hundreds of sub- provide consistent and comparable information tribes, each with distinctive dialects, and specific about livelihoods and livelihood changes using rela- customs and traditions. Tribal peoples generally tively low-cost and easily accessible data. This case dwell in forested and hilly areas, and depend on study proposes a tool based on village-level indica- forests for their cultural and spiritual needs-and to tors. A synthesis of these indicators will be used to varying degrees-their economic needs. The tribal assess development trajectories at the village level, communities in Jharkhand, Madhya Pradesh, and and will allow some inferences about household- Assam are among the poorest groups in society. level livelihoods status and changes.13 Thus, the According to Shah and Sah (2004), the following are monitoring tool monitors livelihoods and not the key factors explaining the higher incidence of forests. It is not intended to reduce or replace the poverty in tribal regions: (i) tribal peoples’ low bar- conventional efforts of the Department of Forests gaining capacity; (ii) their low degree of political and Environment to monitor forest quality. It is an representation and poor quality of local governance; additional tool for use by the department to help and (iii) constrained access to forest, land, and improve livelihoods of local people. water. The tribal individuals, regardless of wealth and social position, are not fully integrated into the Study Area community unless they own some land in its area. Only land ownership and farming seem to give the Jharkhand is one of the least-developed states in feeling of full integration into the tribe (Van Exem India. It is a new state, created in 2000 when it was 1991). Traditional socio-political systems extend from the village to the cluster and regional levels. 12. Also known as Joint Forest Management. In past work- Clusters of 10 to 20 villages constitute the next level shops related to World Bank lending projects, the term CFM has been used and some of the participants in this workshop 10. Case Study based on document by Belcher (undated) expressed a strong preference for the term CPM. C1FOR. 13. A second, complementary, survey will be done at two or 11. Overview from document Unlocking Opportunities for more time periods for a quantitative assessment of livelihoods Forest-Dependent People in India (World Bank 2006b). status and change at the household and village levels. SUMMARY OF C A SE STUDY—INDIA separated from Bihar. It is located in east-central ■ encouraging forest regeneration, especially India, south of the Ganges River. Jharkhand has rel- through planting and reduced grazing by live- atively high forest cover of 2.5 million hectares, or stock 32 percent of its total area—mainly sal and mixed ■ reducing illegal and unsustainable harvesting, deciduous. Most of that forest is state forest, under through improved discipline by members, the jurisdiction of the Jharkhand Ministry of improved enforcement of rules, and reduced ille- Environment and Forests (MOEF). There are high gal use by outsiders levels of poverty in the state, with an estimated 12 ■ reducing forest losses to fire, through more care- million people (44 percent of its population) living ful use, fire prevention, and fire suppression by under the national poverty line. State GDP per capi- community members ta in 2000 was Rs 10,772, compared to the national ■ encouraging community norms useful for collec- average of Rs 18,625. Agriculture is the main eco- tive action 30 nomic activity, with rice the major commodity (82 percent of food grain output), but only 8 percent of The DFE intends to work with communities to cultivated area is irrigated, and crop yields are low, support the development of management plans, to at less than half the national average. Transportation provide information and other extension services to and communication infrastructure is poorly devel- support improved natural resources management, oped, and an active Marxist insurgency has prevent- and to provide improved planting material. ed infrastructure improvement, especially in the Members (villagers) will benefit from improved more remote areas. With high levels of rural pover- resource flows through direct use of forest resources, ty, poorly developed infrastructure, a large tribal through income and employment in the forest sec- population, and large remaining forest areas, it is tor, and through revenue sharing from forest expected that forest-based income will be high, but resources disposed of collectively. to date this has not been well quantified. This discussion identifies a first basic division of stakeholders, between those who are included in for- est user groups and those who are excluded. People Livelihoods Impact Pathways who formerly used forests and who will be excluded In order to measure and monitor livelihoods and under CFM can be expected to be made worse off as livelihood change resulting from CFM in Jharkhand, a result. Some of the most important forest products we first need to anticipate what kinds of changes will used by people in Jharkhand are fuelwood, fodder, result, how those changes will translate into liveli- various NTFPs (Kendu leaf, mahua flowers and hood benefits (or costs), and who the winners and fruits, honey, lac, medicinal herbs and roots), and losers will be. The actual outcomes will depend on timber for construction and poles. Increased pro- how CFM programming is conceived and imple- duction of these resources is expected to increase mented. We will need an iterative process to develop welfare though increased availability and decreased the monitoring tool, with ever more precise approx- collecting costs for direct (subsistence) consump- imations as the planning (and implementation) of tion, and through increased quantity, and possibly the CFM programming proceeds. It is intended that improved quality, of products for sale. feedback from the monitoring will inform imple- Forests also provide valuable services, though it is mentation, making it possible for program man- not clear how this will translate into benefits to agers to support and replicate successes and address livelihoods. Some of the people consulted in this problems as they arise. process feel that improved forest cover and quality In its basic form, CFM will operate in designated will have a positive impact on the quality and quan- forest villages (villages adjacent to forest lands) tity of water available. This will be realized if through a committee that makes management deci- improved cover increases infiltration, therefore reg- sions and organizes and authorizes management ulating the flow or increasing the groundwater lev- activities (e.g. planting, maintenance, fire protec- els, or reducing erosion and siltation in streams and tion, guarding against unauthorized use). It is tanks. However, increased forest cover might also intended that this approach will lead to improve- increase evapotranspiration and lead to reduced ment in the quality and quantity of forests by: water throughput from the system. Biodiversity is P OV E RT Y A N D F O R E S T S L I N K AG E S also expected to increase, which may have tangible These kinds of investments are expected to pay off benefits in increased availability of useful plants and by improving livelihoods directly (e.g. improved animals (e.g. for food, medicines, pollination). health) and indirectly (e.g. improved agricultural The actual benefits realized by people will production, reduced transport costs). depend on many factors. At a village level, it will There are other less tangible, but equally impor- depend on the quantity, quality, and potential of the tant, potential benefits. Group formation and group forest resources. This “initial endowment� varies strengthening, as well as individual capacity devel- markedly village by village. Jharkhand’s JFM resolu- opment, can have major payoffs. Efforts to build tion is considered to be relatively progressive in that capacity within communities that focus on Village good-quality (and not only degraded) forests are to Forest Management and Protection Committees be included in the scheme for joint management. (VFMPCs) may also have spinoff benefits. The Benefits derived will also depend on the kinds of direct effect of improved capacity in the VFMPC 31 interventions, effectiveness of management, the may be improved natural resource management. number of people sharing the resource, market But the same group, or other local groups, can cap- access, and the skills and abilities of people in the vil- italize on new strengths and opportunities to organ- lage, individually or collectively, to take advantage of ize collective marketing, new productive develop- new opportunities. Research has shown that entre- ment, or any number of other initiatives and preneurial skills are important to market forest activities that will lead to livelihood gains. A promi- products or capitalize on opportunities that arise. nent example of such an initiative can be the consti- CFM investments may directly or indirectly improve tution of village self help groups to initiate micro- capacity in this area through training, improve- credits and microenterprises. ments in post-harvest processing, development of Here again we need to be mindful of the poten- marketing cooperatives, product development, or tial costs, and not just potential benefits. Several other means. respondents expressed their concerns that preexist- One of the criticisms of JFM, and Community- ing and effective forest management groups (i.e. Based Natural Resource Management (CBNRM) groups formed through local initiative, without DFE more generally, has been that it is prone to “elite intervention) could be compromised or entirely dis- capture,� where the poorest may actually be made placed by external (DFE) efforts to build new worse off as those with more power take advantage groups. This is an important concern, and care must of new opportunities for their own benefit. And be taken in the implementation of the new CFM there is a tendency for men to take control of com- efforts to strengthen (and not undermine) effective mercially valuable resources, which may lead to local organizations. There were also important ques- inequities in the home, especially if the resources are tions about the legal structure of VFMPCs, and con- or were formerly important in the subsistence econ- cern that decision making must be placed effectively omy. This suggests that the indicators may need to in the hands of the communities. This question is take account of inter- and intra-household equity. under active consideration by the CFM designers, in The forest department has recognized that there consultation with stakeholders. are important constraints at the village level outside the forest sector proper. People in forest fringe vil- Direct and Indirect Benefits lages need better access to potable water. They need better health and education services. They need sup- Some of the potential benefits identified above will port for agriculture, particularly improved irriga- impact directly on livelihoods, contributing to tion. And they want better roads to improve their meeting basic needs and reducing vulnerability. access to product and labor markets. As part of cur- Most obviously, increased forest products availabili- rent and planned CFM activities, the forest depart- ty will translate into increased consumption and, ment will provide some investment in basic infra- possibly, into increased cash earnings, capital accu- structure—tube wells, school buildings and clinics, mulation, or productive investment. Improved check dams, pumps for lift irrigation, and road drinking water and better education and health improvements. Some DFE officers working at the facilities will translate into healthier and more pro- local level even carry primary health care materials. ductive people. Other changes will contribute indi- SUMMARY OF C A SE STUDY—INDIA rectly to improvement of livelihoods, by improving invested in physical capital, including productive agricultural productivity (irrigation water, increased assets (that will contribute to higher productivity fodder), or improving the capacity of village people and earnings from forestry, agriculture, and other to engage in markets and so capture more value enterprises) and consumer goods. from their production. The changes are complex Human capital refers to people’s skills, knowl- and involve many feedback loops. edge and information, health, and ability to work. It The “Livelihoods Framework� provides a useful is important for enjoying life and for productivity. structure within which to organize these ideas. CFM will contribute directly through training and Within each of the categories of “capital assets� we extension, capacity building, and provision of edu- list: (i) anticipated changes due to CFM; (ii) expect- cation and medical facilities. There is a high ed causality (why the change is expected), and; (iii) expressed demand for educational and medical serv- indicators of change. We classify these changes as ices in the area, and it is expected that increased 32 “direct� or “indirect,� with key feedback loops indi- financial capital will be invested in human capital cated. Figure 2.3 attempts to capture this in development at the community and household lev- schematic form. “Livelihood� is defined as that els (e.g. schools and school fees, respectively). which comprises: “…the assets (natural, physical, Social capital includes networks, groups, trust, human, financial, and social capital), the activities, and access to institutions. CFM will involve direct and the access to these (mediated by institutional investment in group formation and strengthening, and social relations) that together determine the liv- support of groups, and capacity development for ing gained by the individual or household.� forest/natural resources management. The same Natural capital refers to the forest, land, water- groups, or at least the skills, trust, and other ele- the biological products and environmental services ments of social capital, can also be applied beyond available to people. This is the main focus of CFM. forest management, for example, in collective mar- Natural capital can be increased through two inter- keting, or in terms of political power to help advo- related mechanisms. First, CFM is intended to give cate for other changes. people more rights and responsibilities over forest resources. And second, CFM is intended to improve Indicators the stock and flow of resources. As discussed above, livelihoods will be impacted directly through Indicators are used to assess current conditions and changes in direct consumption and sales of natural changes, to compare across places and situations, to products. Indirect impacts will be realized as inputs assess conditions and trends in relation to goals and to agriculture (e.g. irrigation water, fodder). targets, to provide early warning information, and Financial capital encompasses savings, credit, to anticipate future conditions and trends. They remittances, and other cash-based assets. This is the allow us to simplify complex phenomena, quantify most common (and easiest) measure of welfare. information so that its significance is apparent, and CFM is expected to have an impact on financial cap- communicate information between data collectors ital by offsetting expenses (increased direct con- and data users. sumption) and increasing earnings through sales of The Jharkhand DFE will use the indicators in all forest and agricultural products and processed natu- of these ways. They will be used in individual villages ral resource-based products. There are also to get a snapshot of current livelihood conditions prospects for improved income and employment and to monitor change over time as CFM is imple- within the forest sector. If very successful, condi- mented (and in “control� villages where CFM is not tions could be established that facilitate the creation implemented). This will help local managers to of new enterprises, with associated employment, identify and capitalize on positive changes, and to income, and other benefits. address and arrest negative changes. They will be Physical capital is human-made capital, for used in program management to assess overall example, shelter, vehicles and transportation infra- progress and trends, and to do comparative analyses structure, agricultural machinery, and communica- that will be useful in identifying the most successful tions facilities. As discussed above, CFM may approaches and those approaches that are less suc- involve direct investments in community assets. It is cessful. They will help identify major problems and anticipated that some increased earnings will be the need for midcourse correction. With this kind of P OV E RT Y A N D F O R E S T S L I N K AG E S FIGURE 2.3 Conceptual Model of CFM Contributions to Livelihoods: Impact Skills, capacity CF roup g Tr FM G ildin ing M bu ain C ca man So pit al ca ci al pit 33 Hu al in e tments med ation, . , etc duc nt s Inve geme mana tion c Prote Ph ial ys anc Improve cap ical Fin ital me tion, storage ital cap bui comm dical gs unity processing a fac catio ft irrig edu ds, li FM C or pay Lab nts FM ilitie n + C me ldin Natural s, a capital Ro c sa on Dir le su ec s m t re , co ptio ve lle n ion nu cti , at e ve Ir rig CFM Extension, planting stock, management planning + technology (forestry) Source: “Poverty And Forestry-A Case Study: India� overview of the program, it will be possible to antic- achieved. That is the main concern of this monitor- ipate future developments and difficulties, and man- ing tool, with the main emphasis on impacts on age accordingly. If the system is agreed upon by a wide livelihoods. However, given the high level of interac- range of stakeholders, and implemented as agreed, it tion and feedback between the livelihood compo- will provide a reasonably objective information base nents and CFM inputs, it is anticipated that we will for discussion, including answering criticisms. need to use some output indicators in conjunction Indicators can focus on different aspects. They with outcome indicators. Table 2.1 indicates some can indicate program/project performance in terms possible indicators to use to assess changes in differ- of inputs (whether planned project inputs are actu- ent capital assets. ally purchased/implemented), process (whether intended actions are done), or outputs (whether Data collection planned outputs are achieved). These kinds of indi- cators are mainly important for assessing project This information will be collected by forest guards implementation. Indicators can also focus on who, by the nature of their work, have a close asso- impacts—whether the intended objectives are ciation and a good knowledge of the village situa- SUMMARY OF C A SE STUDY—INDIA TABLE 2.1 Possible Indicators of Livelihood and Livelihood Change at the Village Level in Jharkhand Capital Indicators Source of Information Financial 1. Forest Dept. wages/capita (3-year rolling average) 1. Forest dept. records Assets 2. Forest revenue/capita (3-year rolling average) 2. Forest dept. records 3. Number of kiosks selling consumer goods 3. Survey of kiosks 4. Average price of 5 most expensive items 4. Survey of kiosks Physical 1. Number of pukka houses/capita 1. Observation/key informants Assets 2. Number of houses with electrical service/capita 2. Observation/key informants 3. Number of motorcycles/capita 3. Observation/key informants 34 4. Number of functioning wells/capita 4. Observation/key informants 5. Average travel time (or cost) to nearest market 5. Observation/key informants 6. Area of irrigated land/capita 6. Records/key informants 7. Number of functioning tractors/capita 7. Observation/key informants 8. Number of functioning water pumps/capita 8. Observation/key informants. Natural 1. Standing volume of timber/capita 1. Forest dept. estimate Assets 2. Area of productive fruit tree plantations/capita 2. Forest dept. estimate/key informants 3. Area of key NTFPs/capita 3. Forest dept. estimate/key informants 4. Number of livestock (in cattle equivalents)/capita 4. Observation/key informants 5. Average time spent collecting fuelwood per household per 5. Key informants month 6. Key informants 6. Average time spent collecting water per household per 7. Forest dept. records month 8. Forest dept. records/key informants 7. Value of annual timber production (3-year rolling 9. Official buyer records average)/capita 10. Key informants/village records 8. Value of annual firewood production/capita 9. Value of annual NTFP (nationalized NTFPs) production/capita 10. Annual rice production (kg.)/capita Human 1. Infant mortality/capita 1. Village records/key informants Capital 2. Number of deaths during dry season/capita 2. Village records/key informants 3. Percentage of school age children attending school 3. School records 4. Average age of school leaving 4. School records 5. Number of people who work outside village on a daily 5. Observation/key informants basis/capita 6. Observation/key informants 6. Number of people that leave village to work outside for extended periods/capita Social 1. Proportion of adult population participating in VFMPC 1. VFMPC secretary Capital 2. Proportion of VFMPC members who are women 2. VFMPC secretary 3. Number of VFMPC meetings and attendance 3. VFMPC secretary 4. Number of other citizens' groups active in the village 4. Observation/key informants 5. Collective selling of agricultural or forest products results in 5. Key informants/focus group improved prices (yes/no) Source: Authors’ compilation. P OV E RT Y A N D F O R E S T S L I N K AG E S tion. They will also consult with a range of key globally. Forests are not a major contributor to cash informants, such as the village head, school livelihoods in most communities, yet the potential teacher(s), NGOs working in the village, and exists to increase commercial forest-based activities informed citizens. It is suggested that they also as one step along the pathway out of poverty. Bold organize a focus group meeting. A protocol will be yet prudent actions are needed by policy makers at developed and training will be provided. The infor- the national and state levels to shift JFM from a com- mation will be collected once per year. Copies of the mand-and-control model with a strong conservation completed form will be provided to the village head focus, to a more commercial-and livelihood-based and to the chair of the VFMPC or other similar approach that empowers communities. Reforms organization for their information. need to focus on four critical enabling factors: Analysis 1. Achieving More Secure Forest Resource 35 Tenure and Management Rights The data will be used in several different analyses, including an assessment of village-level welfare and National legal and policy reform. The MOEF consti- inter-household equity. Furthermore, there will be a tuted a National Forest Commission (NFC) in 2003, separate but complementary quantitative survey at chaired by the former chief justice of the supreme the household and village levels. This will be used to court, to review the working of the forests and “calibrate� the monitoring tool. The data from the wildlife sector, including the national legal and pol- broad and frequent collection of village-level welfare icy framework. Based on an anticipated report later indicators will be used to analyze key relationships in 2005 and recommendations for national policy between village context (e.g. road and market access; and legal reform, it is important that India consider forest quality and quantity; tribal affiliation), type developing a national consensus on the legal and and timing of interventions (e.g. forest management policy framework governing forestry. To build this committee formation or support; agricultural or consensus, public input beyond what the commis- transport infrastructure development; fruit tree sion has already gathered may be required, possibly planting), and village welfare. led by a national steering committee comprised of government representatives and broader civil socie- ty members. Conclusions State legal and policy reform. Individual states The case study discussion has highlighted general need to examine practical options for legal and pol- impact pathways by which CFM is expected to con- icy reform. In some cases, this might mean amend- tribute to improvement in livelihoods in forest ments to existing law; in others a longer-term task of fringe villages in Jharkhand. More detailed assess- drafting a new consolidating forest act. Both options ment will be required as the CFM progam planning must be supported by a more effective regulatory advances in order to identify specific impact path- framework. Specific reform options to consider are: ways, anticipate particular kinds of impacts, and fur- ther refine the indicators. ■ Strengthening current forest policies. Using a par- ticipatory process, state forest policies should be revised to recognize historical tenure-based for- RECOMMENDATIONS FOR FOREST est resource rights and lay out a new community POVERTY LINKAGES14 forest management framework with stronger for- est resource tenure for communities. The 2004 Despite the notable achievements of JFM in the past Assam Forest Policy is a good model to examine as two decades, and many highly skilled and dedicated a starting point; it is quite progressive, innovative, staff, the current JFM model has not adapted fast and based on a reasonable level of public input. enough to keep pace with the rapidly changing busi- ■ Instituting stronger resource rights for communi- ness and policy environment, both domestically and ties. There are three broad areas where new approaches are required for tenure arrangements 14. Recommendations based on Unlocking Opportunities for with forest-based peoples as part of policy and Forest-Dependent People in India (World Bank 2006b). legal reforms. First, where historic forest resource SUMMARY OF C A SE STUDY—INDIA rights already exist, these must be clearly further reforms are needed. One option is for acknowledged in policy, codified in law, and spa- state governments to convene an independent tially recorded. A number of countries, such as panel of stakeholders, including the forest Brazil, have successfully addressed this situation. department, private forest farmers, JFM commit- Second, where no historic forest resource rights tee members, local sawmill owners, major NTFP exist, global experience can help guide reforms. buyers, local development banks, and interested Although the most efficient option might be to Community Service Organizations (CSOs). This assign land title to communities (or households), process would benefit by MOEF issuing a list of this is a long-term and politically sensitive issue. only those species that require a more restrictive As an interim measure, one option is to specify a regulatory framework based mainly on interna- fixed-term lease, during which the community tional biodiversity conservation rules, such as the would have contractual rights and responsibili- Convention on International Trade of 36 ties over the forest. China has had successful Endangered Species (CITES). Other species experiences with this approach. Another option should then be de-listed by states, in line with is a 20- to 25-year lease that is renewable and improved monitoring systems. extended in five-year increments, based on the community meeting clear performance stan- 2. Strengthening Forest Management, dards for forest stewardship. This model has Monitoring, and Control Systems worked in Latin America and Canada. Third, tenure rights for nomadic tribal peoples need to To facilitate a transfer to communities of more rights be considered. State governments may wish to and responsibilities over forest management, a num- establish a high-level forest rights review body, ber of reforms are needed in underlying management, chaired by the chief minister’s office, with appro- monitoring, and control systems. Reforms should be priate representation from line ministries, com- guided by a comprehensive forest sector strategy munities, and tribal groups. that sets out a framework for forest sector develop- ■ Revising community forestry implementing mecha- ment with a focus on conservation and improve- nisms. Community forestry needs stronger legal ment of rural livelihoods. What needs to be done? footing, either linked to an existing state law as in Planning approaches for community forestry need Uttar Pradesh and Assam, or merged with new to be strengthened. As community forestry expands, consolidating forest legislation. Tenure agree- it will gradually account for a significant share of the ments with communities, outside of where land forest in many forest divisions. Current top-down title is granted, need to be binding legal agree- working plans will become less relevant and could ments, preferably as “management contracts� be transformed into more concise guiding, between the community and state. A more flexi- strategic documents. Better information is required ble forest user group committee model is on the forest resource base and changes, economics required that is better suited for existing commu- and market intelligence, and community social cap- nity institutions, and which also respects PESA ital and institutions. Consideration should also be provisions in Scheduled Areas. The government given to incorporating a reasonable level of public of India and the states should consider a nation- input into working plans, possibly through al review of community institutions and the Forest Development Agency (FDA) structures. PESA interface to better understand linkages and Community-level microplanning must be guided by legal and regulatory constraints, then identify a a comprehensive operational manual, which could be roadmap for reforms, and develop a program for based on experience in community-driven develop- capacity building and education in relevant line ment programs in other sectors in India, such as agencies. Recent global experiences from watershed development and District Poverty Initiative Canada, Nepal, Latin America, and parts of Programs (DPIP). Microplanning should also consid- Africa provide useful models. er clustering communities, where appropriate, to ■ Reforming the harvesting and transit permitting build on inherent tribal institutions and take advan- regime for selected forest products. Although some tage of economies of scale for planning and program states have made progress in relaxing these rules, implementation at a watershed or landscape level. P OV E RT Y A N D F O R E S T S L I N K AG E S Increased investments are needed for resource reliable supply over a specified time. Purchasers may assessment and mapping systems. The underlying also provide credit support, inputs, storage facilities, resource assessment and monitoring system must be and technical advice to producers as part of the con- significantly strengthened at division and communi- tract agreement, which is factored into the negotiat- ty levels to support further shifts in rights and ed price. Non-notified15 NTFPs offer great potential responsibilities to communities, and allow for for these new market options; there are already a improved monitoring programs. There are consid- growing number of examples from states such as erable opportunities to utilize communities to gath- Assam, Madhya Pradesh, and Andhra Pradesh. For er baseline and change data. Global experience in timber, bamboo, and fuelwood, the experience is this area can provide useful lessons to build upon. less positive, yet there is no compelling reason why, Enhanced monitoring systems must also account for after a period of transition, these marketing changes in livelihoods from forest-based activities. approaches can’t be extended to communities and 37 Ongoing Bank-funded work in Jharkhand is devel- small farmers as legal suppliers of these products. oping simple tools that could easily be replicated in Opening up markets will require states to amend other states. forest legislation and possibly Agricultural Produce Research and development should be reviewed and Market Acts. Concerns over potential loss of rev- refocused. Although some states, such as Andhra enue to forest departments (and states) by commu- Pradesh and Madhya Pradesh, are gradually reori- nities and farmers selling their timber outside of the enting research and development to nontraditional department monopoly structures can be addressed timber and NTFP species, the focus of national R&D through a review of the current forest fiscal system is still largely toward plantations and traditional and applying alternatives, such as better collection commercial timber species. To improve the linkages of downstream sales or income taxes from commer- between scientific research and development, dis- cial forest products. Forest sustainability can be semination, and subsequent uptake by communities assisted through a more robust monitoring program across India, MOEF and state forest departments may in addition to stronger tenure rights for communi- wish to consider developing a new national strategic ties. Good examples exist in Latin America, particu- plan for research and development, oriented around larly Mexico, with market liberalization and fiscal community forestry transitions and priorities. system reforms around community forestry. Strengthening the market power of communities. Producer organizations (associations, federations, 3. Gaining Access to More cooperatives) at the community level need to be Efficient Market Systems nurtured, based on targeted capacity building. In Forestry appears to be lagging far behind agriculture addition, state-level marketing federations of forest marketing systems, which have been subject to a communities should be encouraged to strengthen series of major reforms in recent years. One of the their market position, facilitate establishment of biggest challenges in forestry market systems is to storage areas, offer training for value addition and change the prevailing mindset that forest products, more sustainable harvesting methods, and allow particularly many NTFPs, are “different� from agri- consolidated consignments of timber, bamboo, fuel- cultural commodities and therefore marketing has wood, and NTFPs to be sold directly by communi- to be managed by the forest department. This atti- ties to large processing or marketing firms through tude is slowly changing in some states, but has not auctions or contract agreements. Producer organi- yet reached across all forest products. Some of the zations may need state assistance to develop, as seen key priorities for reform of market systems include: in the case of NTFPs in Madhya Pradesh, but within Developing new approaches for market access by a reasonable time period these institutions should communities. Communities and farmers wanting to have a fully independent federation at the helm, with sell commercial forest products outside of local mar- elected officials and a board of directors representing kets should have the option of using contract sales forest departments holding in a minority position. or outgrower schemes rather than state institutions. These new approaches reduce risk and uncertainty 15. This refers to NTFPs that are not on the government’s list of to sellers, while purchasers are assured of a more NTFPs which have associated with it a specific marketing chain. SUMMARY OF C A SE STUDY—INDIA Improving extension and technical services. Most Forest departments need to review and rationalize state forest departments are quite weak in these their role. State forest departments need to strength- functions, particularly for nontraditional timber en capacity in five core areas: (i) forest management species and NTFPs. New models must be explored, technical advisory services; (ii) research and devel- bringing in partnerships with the private sector opment and technology transfer; (iii) forest moni- around outgrowing schemes, and considering out- toring, mapping, and information management; sourcing some of this work to the private sector and (iv) forest marketing technical services; and (v) eco- CSOs. Madhya Pradesh and Andhra Pradesh have nomics, policy, and planning. This revised focus made reasonable progress to help villages improve would support a model where communities, in con- sustainable NTFP production and harvesting, incor- junction with panchayats, gradually assume respon- porate modest value addition, and build upon local sibility for microplanning, plan implementation, knowledge systems. These models can be built on. harvesting, marketing, and protection, with techni- 38 Enhancing market information sharing and net- cal guidance from the forest department or out- works. States need to strengthen mechanisms for sourced private consultants. State forest depart- gathering and sharing market intelligence within ments should consider a strategic planning process government line departments, and with communi- to guide internal organizational transformation and ties and forest farmers. One policy option to explore rationalization. is extending the highly successful E-Choupal con- But, communities and other local institutions must cept in agriculture to bring Internet-based forest be permitted, willing, and capable of assuming these product market information to communities. new rights and responsibilities. The proposed transi- Alternatively, a new forestry network could be estab- tion must be measured and prudent to allow for lished with suitable private sector support. The Web communities, local authorities, and other support- site of the Madhya Pradesh Minor Forest Product ing institutions such as local producer organizations Federation offers a good example of what kind of to gain sufficient experience, new skills, and confi- information a marketing Web site could offer. dence. Capacity is not usually inherent, but must be National incentive programs may be needed to created to develop group consensus, enduring and induce state marketing reforms. The government of capable institutions, transparent rules and proce- India should consider instituting a forest diversifica- dures, equity among all groups, and to overcome the tion program similar to the recently announced individual tendency to free ride. Institution building scheme called “Development/Strengthening of should consider whether the current JFM model of Agricultural Marketing Infrastructure, Grading and co-opting all adult villagers into the user committee Standardization.� This could induce large invest- is more sustainable than a committee comprised ments from the private and cooperative sectors for only of villagers genuinely interested in forest man- setting up forest product markets, marketing infra- agement and with greater dependency on the forest structure, and support services such as grading, for their livelihoods. Building social capital requires standardization, and quality certification. a long-term commitment between the state and communities, often with CSO partners. This will take time and substantial financial resources, but 4. Developing More Effective and committing to improved social capacity building Flexible Institutional Models will then allow state forest departments to rational- The current staffing constraints in forest depart- ize and direct limited resources to internal core busi- ments, coupled with limited, albeit slightly increas- ness functions, with less fear of compromising forest ing operating budgets, makes a strong business case conservation. Valuable lessons in building commu- for repositioning to provide more effective service nity institutions and capacities can be gleaned delivery in narrower core functional areas around throughout India from watershed programs and the goals of improving rural livelihoods and forest DPIP, projects, among others. conservation. A new partnership model is needed Establishing community forestry associations. To that recognizes inherent comparative advantages facilitate community empowerment and level the and constraints among forest departments, commu- playing field in terms of power relationships with nities, private forestry consultants, and CSOs. government, community forestry associations are P OV E RT Y A N D F O R E S T S L I N K AG E S needed at the state level. These institutions should REFERENCES grow organically, but where interest is shown, a grant from the center or external donors could pro- vide seed funding for a small office, equipment, Australian National University. 2003. “Market for membership drives, registration, developing a data- Forest Products in India.� ANU Forestry Mar- base, and producing materials. The associations ket Report No. 26, Canberra, December. could then support their head office through mod- Bahuguna, V.K. 2004. “Root to Canopy: An est annual subscriptions. Overview.� In Root to Canopy: Regenerating Sharing information across institutions. An almost Forests through Community-State Partnerships, overwhelming amount of published and electronic ed. V.K. Buhuguna, K. Mitra, D. Capitrano, material on community forestry exists in India, but and S. Sargal. Delhi: Winrock International and it is scattered. Stakeholders cannot easily build their Commonwealth Forestry Association. 39 internal knowledge bases or share experiences both Bahuguna, V.K., K. Mitra, D. Capitrano, and S. Sar- within the country, and more importantly, from gal, eds. 2004. Root to Canopy: Regenerating other countries where community forestry has also Forests through Community-State Partnerships. evolved. The government of India, in partnership Delhi: Winrock International and Common- with appropriate CSOs, private sector, and interna- wealth Forestry Association. tional organizations, needs to build a strong and Belcher, B. N.d. “Monitoring Livelihood Impacts of sustainable multistakeholder community forestry Community Forest Management: Definitions, Cri- network. Existing national networks such as the teria and Indicators.� CIFOR: Bogor, Indonesia. Resource Unit for Participatory Forestry (RUP- CIA (Central Intelligence Agency). 2007. The World FOR) could be strengthened as one option. In Factbook—India. Washington, DC. addition to written and electronic material, knowl- Chopra, K., B. Bhattacharya, and P. Kumar. 2002. edge sharing through a well-funded, multiyear, and “Contribution of Forestry Sector to Gross coordinated program of national and international Domestic Product (GDP) in India.� Institute of exchange visits is needed at different levels, includ- Economic Growth. Delhi University. ing senior policy makers, government officials, and FAO (Food and Agriculture Organization). 2005. community members. Opening up to other com- State of the World’s Forests. Rome: Food and munity forestry experiences can be a powerful cata- Agriculture Organization. lyst for change. Government of India. 2002. Tenth Five-Year Plan Options .for rural development in forest fringe com- (2002–2007). New Delhi munities. Delivering integrated rural development Indiastat.com. Various years. Available at services to more remote forest fringe communities is www.Indiastat.com/. critical to address poverty, but is going to require ITTO (International Tropical Timber Organization). new models. Agencies such as tribal affairs, agricul- 2003. “Review of the Indian Timber Market.� ture, and rural development need to play a more Preliminary Pre-Project Report. Yokohama. central role in rural livelihood programs linked with Kumar, S. 2002. “Does ‘Participation’ in Common community forestry. Further, Panchayat Raj Pool Resource Management Help the Poor? A Institutions need to become more integrated into Social Cost-Benefit Analysis of Joint Forest rural development in forest communities within Management in Jharkhand, India.� World their jurisdiction. To help identify and evaluate Development 30(5): 763–82. options, a state-level review of rural service delivery MOEF (Ministry of Environment and Forests). programs in forest fringe communities is suggested, 2000a. “National Forest Action Plan.� Delhi. led by the chief minister’s office. State governments ———. 2000b. “National Policy Guidelines.� Delhi. should also consider establishing an advisory body ———. 2001b. Forest Statistics of India. Delhi. on rural development and forestry at either the chief ———. 2001b. Forest Survey of India. Dheradun. minister or forest minister level, led by an inde- Pandey, Devandra. 2001. “Fuelwood Studies in pendent senior chairperson, with senior representa- India: Myth and Reality.� Workshop on SDDA- tives from key government rural development agen- Supported CIFOR Project “Fuelwood: Crisis or cies, tribal leaders, and selected CSOs. Balance?� Marstrand, Sweden, June, 6–8. SUMMARY OF C A SE STUDY—INDIA Shah, Amita, and D.C. Sah. 2004. “Poverty among Van Exem, A. 1991. Basic Socio-Economic Attitudes Tribals in South West Madhya Pradesh: Has of Chotanagpur Tribal People. Ranchi: Catholic Anything Changed over Time?� Journal of Co-Operative Society. Jharkhand, India. Human Development 5(2): 249–263 (15). World Bank. 2006a. India Country Briefs. Washing- Saigal, S., S. Arora, and S. Rizvi. 2002. The New Foresters: ton, DC. The Role of Private Enterprise in the Indian Forestry ———. 2006b. Unlocking Opportunities for Forest- Sector. London: Ecotech Services and International Dependent People in India (Vol 1). Washington, Institute for Environment and Development. DC. UNDP (United Nations Development Programme)/ World Bank. 2003. India. Access of the Poor to Clean Household Fuels. Washington, DC. 40 P OV E RT Y A N D F O R E S T S L I N K AG E S CHAPTER THREE Summary of Case Study—Nepal 41 EXECUTIVE SUMMARY Despite the differences of opinion and chal- lenges, the Tenth Plan outlines several ways that the forestry sector can contribute to poverty alleviation, Nepal’s Tenth Plan (2002–2007) (Nepal/NPC proposing several objectives to be achieved through 2003b) serves as Nepal’s Poverty Reduction Strategy community and leasehold forestry programs, and Paper (PRSP)1 and outlines the country’s plan for through tourism. Anticipated impacts include pro- reducing poverty from 37 percent to 30 percent. viding income-generating opportunities for 278,680 Although Nepal has promoted a progressive forest households in community forestry and leasehold policy that attempts to address the needs of rural forestry development programs. Furthermore, it is people, more needs to be done to address poverty anticipated that 12,000 jobs would be created in vil- alleviation and equity. Nepal’s 20-year-old commu- lage areas through community forestry, collabora- nity forestry program, through which local people tive forestry, and soil and watershed management are given the right to manage their local forests, has programs. Local autonomous rule will be developed served as a model for other forestry programs. through the formation of 20,000 participatory user The Tenth Plan was developed through a two- groups (on community forestry, leasehold, water- year participatory process with meetings in the dif- shed conservation, and biodiversity conservation) ferent regions and with different groups of people. that will directly participate in formulating user Within the Ministry of Forestry, some controversy plans, making decisions, implementing, monitoring, exists at the higher levels on whether poverty should and evaluation. The poor, women, and disadvan- be part of the forestry sector’s plan. Some believe that taged castes will also be given a greater role in mak- forestry preservation should be the ministry’s pri- ing decisions and formulating plans. mary objective; however, this has not been agreed on The five-year plan will build on Nepal’s existing by members of the ministry departments (especially forestry programs, such as leasehold forestry, com- community forestry and leasehold forestry groups of munity forestry, and promotion of ecotourism, as the Department of Forest [DOF]). People involved means to help alleviate poverty. These programs, in preparation of the PSRP noted that they lacked some of which date to the 1970s, show how Nepal has skills to fully develop log frames and impact indica- attempted to address forestry needs of rural popula- tors that would link forestry to poverty reduction. tions. Except for leasehold forestry, which targets only poor and disadvantaged groups such as women and 1. The original case study was prepared by Winrock low castes, the forestry programs need to improve International, including Erin Hughes and Shyam Upadhyaya, how they include and address the needs of the poor- September 2005. est of the poor and not further marginalize them. Three case studies of villages falling within a con- north to south, these zones include mountains servation area (World Wildlife Fund’s [WWF’s] (4,877 to 8,848 meters in elevation) comprising Terai Arc Landscape [TAL]) show that people do about 35.2 percent of Nepal’s land area and border- indeed depend on forest products for their liveli- ing Tibet; the “mid-hills� (610 to 4,788 meters in hoods, that the use of products and dependency on elevation) comprising 41.7 percent of land area; and forests varies based on income, and that community the Terai (up to an altitude of 610 meters in eleva- forestry, while providing great benefits to the com- tion), a subtropical plain comprising 23.1 percent of munity, could do more to address issues of equity land area and sharing the longest border with India. and poverty alleviation. In addition, the study shows Siwalik (also known as Chute) is a range of smaller how Nepal’s community and leasehold forestry pro- hills that runs east to west between the Terai plains grams are already contributing to the Millennium and mid-hills (figure 3.1). Parts of Siwalik lie in Development Goals (MDGs). Community forest Terai districts and others lie in mid-hill districts. For 42 user groups (CFUGs), for example, are building administrative purposes, Nepal is divided into five schools and health clinics with resources earned development regions: eastern, central, western, mid- from the forests. western, and far western. Two major cities are locat- ed in the mid-hills (Kathmandu and Pokhara), and remaining urban areas are in the Terai. BACKGROUND AND OVERVIEW About 24.7 million people live in Nepal, which includes 102 ethnic groups and has 92 languages Poverty in Nepal (Nepal/CBS 2002). Before the 1950s, the majority of the population lived in the mid-hills, but eradication Nepal, a 147,181-square-kilometer Himalayan king- of malaria and improved infrastructure sparked dom, shares borders with India to the south, east, ongoing migration from the mid-hills to the Terai, and west, and with China (Tibet) to the north. which is now Nepal’s most densely populated Known for the tallest mountain in the world, Mount region. Based on population and land area, the den- Everest, Nepal has diverse topography, ecology, and sity of people in the Terai is 10 times that of the cultures. The country is commonly divided into mountain zone, and about twice that of the mid-hill three major ecological zones that run east to west zone. The ratio of people per unit of cultivated land, across the country and also serve as social, econom- however, is greatest in the hills, followed by the ic, and sometimes political units of analysis. From mountain and then the Terai regions. FIGURE 3.1 Map of Nepal Showing Five Physiographic Regions Source: WWF. P OV E RT Y A N D F O R E S T S L I N K AG E S Nepal’s economy continues to be mostly based of poverty declined from 42 percent in 1996 to 38 on agriculture. Although the share of agriculture in percent in 1999–2000, although absolute numbers total gross domestic product (GDP) has declined in of poor have increased. Poverty also varies among recent years, about 80 percent of the population still caste and ethnic groups, with the incidence of depends on agriculture for its livelihood poverty being highest among Limbus (71 percent), (Nepal/NPC 2003b). The rest of the population an indigenous ethnic group, followed by Dalits (67 makes a living predominantly in the service and percent), the lowest caste (untouchables) in manufacturing sectors. An emerging income sector Hinduism (NESAC 1998). of Nepal is export of labor to other countries, par- ticularly Malaysia and in the Middle East. The Forest Resources and Management money sent back has significantly affected Nepal’s economy and changed the social landscape, leaving Forests, including shrubland, cover about 39.6 per- 43 more women behind to manage households. cent of Nepal’s area from the timberline at higher Although forests are not considered a major eco- altitudes to subtropical regions of the plains. Forest nomic sector in Nepal, the role of forests at the cover has been declining at a rate of about 1.7 per- household level, and for agriculture, continues to be cent a year (Nepal/DFRS 1999). The variation in significant and underreported. geoclimatic conditions in different parts of Nepal According to the United Nations’ Human provides suitable habitats for different kinds of tree Development Index (HDI), Nepal ranked 140 of 177 species, and adds to the country’s rich biodiversity. countries in 2003. Poverty is ubiquitous in the coun- The forests can be categorized into five different try. The national poverty line is defined as the min- types: tropical, subtropical, temperate, subalpine imum income required to meet the minimum con- and alpine, based on the three major ecological sumption needs of 2,140 kilocalories of food, and zones. Some variation exists in tree species found other nonfood items, such as clothing, health, edu- between the eastern and western parts of Nepal as cation. fuel, and so on (Lanjouw, Prennushi, and western Nepal, in general, has a drier climate. Zaidi 1998). The 1996 Nepal Living Standard Survey The economic value of the various forest types calculated poverty line income as Nepalese rupees varies greatly, but all forests have value and provide (NrP) 4,404 per person per year.2 The 1996 survey goods, benefits, and services to all Nepalis. The Terai found that Nepal’s incidence of poverty was 42 per- has the most commercially valuable timber within cent 37.7 percent of the population of Nepal fell the tropical sal (Shorea robusta) forests. Sal and below the international poverty line of US$1 a day, khair (Acacia catechu) are the two most commercial- and 82.5 percent fell below US$2 a day. Beyond inter- ly valuable species. In the mid-hills, forests benefit national comparisons, to an average Nepali a “secure local communities by providing fodder, fuelwood, livelihood source and sufficient food for the family� is food, fiber for houses and baskets, and medicinal a critical difference between the poor and the rich. remedies. In areas with roads, forest products are Poverty is higher in rural areas (44 percent) than sometimes exported to nearby cities or to India. In in urban areas (23 percent). The poorest communi- the mountains, forest areas are valued for their valu- ties are found in the mountain region of Nepal, able non-timber forest products (NTFPs) and are where 56 percent fall below the poverty line. In the used for grazing livestock. An estimated 700 to 1,700 mid-hills, 41 percent3 of the people fall below the species of medicinal and aromatic plants are found poverty line. In the Terai, 42 percent fall below the in Nepal, of which about 100 are reported as traded. poverty line. Remote and rural areas of the mid- Examples include Acorns calamus (bojo), Picrorhiza western and far-western hills and mountain regions scrophulariflora (kutki), Rheum australe (padamchal), are the poorest. The mid-term evaluation of the Swerita chirayita (chiraita), Valeriana jatamansi (sug- Ninth Plan (1997–2002) estimated that the incidence anhwal), Cordyceps sinensis (yarsa gumba), and Dactylorhiza hatagirea (panch nwale). These NTFPs generate substantial royalties for the government. 2. One LLS. dollar = Nr 56.25 in July 1996. Nepal continues to rely heavily on forest 3. This includes Nepal’s two largest urban areas, which are rel- atively well off. If urban areas are excluded, the percentage of resources for energy needs. Fuelwood supplies about people below the poverty line would be much higher. 78 percent of total energy consumption in Nepal, SUMMARY OF C A SE STUDY—NEPA L and forests are the main source of fuelwood. groups of poor households for 40 years. This pro- Forests provide more than 50 percent of fodder to gram is presently active in 26 districts of Nepal. A livestock (Nepal/CBS 2003). Especially in rural total of 2,100 leasehold groups have been formed. mid-hill and mountain regions, households depend Overall responsibility for managing Nepal’s almost entirely on forests for their timber needs. The forests lies with the Ministry of Forests and Soil level of consumption of chemical fertilizer in Nepal Conservation (MOFSC). This ministry has five divi- is low and limited to more accessible parts of the sions (Planning and Human Resources, Foreign Aid country; farmers in remote hills and mountains still Coordination, Environment, Monitoring and depend on organic manure for plant nutrients. Evaluation, and Administration), five departments Forests are the main source for raw materials, such (Forests, Soil and Watershed Conservation, as livestock fodder and bedding materials used for National Parks and Wildlife Conservation, Plant making compost, which is then used to fertilize Resources, and Forest Survey and Research), and 44 fields. five regional offices. The Department of National The 1993 Forest Act recognizes two types of Parks and Wildlife Conservation (DNPWC) over- forests based on ownership: private and national. sees management of protected areas, and the DOE Private forests include woodlots, private plantations, oversees management of other types of forests. The and orchards, for example. National forests include DOF has district-level offices in 74 of 75 districts of all state-owned land area under forest/tree cover, Nepal (figure 3A.1, see appendix). including scrublands, grasslands, unregistered lands surrounding or adjoining forests, as well as paths, Forest Contributions to the National Economy ponds, lakes, and rivers within forest areas. For the purposes of management, national forests are divid- Forests play an important role in Nepal’s national ed into five categories: community forest, leasehold economy. Although no separate statistics exist on forest, “religious forest,� protected forest, and gov- the contribution of the forest sector to national ernment-managed forest (forest area not yet allocat- GDP, the agriculture sector, including forestry, con- ed for the other four types of management). stitutes an estimated 40 percent of GDP, and Community, leasehold, and religious forests fall forestry contributes about 10 percent of agricultur- under the participatory management regime. User al GDP. Official statistics show that between groups are formed and given responsibilities and 1988/89 and 2002/03, the forest sector annually authority for protecting and managing such forests. contributed NrP 355 million as government rev- About 61 percent of the total national forest area is enue, which is about 1.27 percent of total annual reported to be potential community forest area. government revenue. About 17 percent of the country’s area is located in It is generally agreed, however, that official statis- the protected area system, which consists of conser- tics grossly underestimate revenues from the vation areas, hunting reserves, wildlife reserves, and forestry sector. Forests contribute value in terms of national parks. The protected area system has park fees, timber sales, community forestry benefits, adopted the principle of people’s participation in and direct benefits to households. In a recent study, conservation and management. With introduction Kanel and Niraula (2004) estimated that communi- of the concept of buffer zone area management, ty forestry groups in Nepal generate about NrP 1.9 community involvement in the protected area sys- billion a year. In 2002/03, protected areas in Nepal tem is getting wider recognition (Chhetri, Sigdel, generated about NrP 60.9 million in revenue.4 It is and Malla 2001). generally agreed that forests of Nepal, including By November 2004, 13,568 CFUGs managed a community forests, have been underutilized and total of 1,115,317 hectares of forests (about 19 per- could produce more value if better managed. Great cent of Nepal’s total forest area). Community potential exists for increasing income from forests forestry, which originated in the recognition that through improving management practices, without rural people, especially in the mid-hills, depend on compromising their sustainability. forest resources for their livelihood, are active in 74 of 75 districts of Nepal. Since 1992, Nepal has imple- mented a leasehold forestry program, in which the government leases patches of degraded land to 4. See www.dnpwc.gov.np. P OV E RT Y A N D F O R E S T S L I N K AG E S National Forestry Plan and Policies shared between the two groups. The main changes to the original policy are to introduce a 40 percent Major policy documents guiding forestry sector pro- tax on the income earned by CFUGs in Terai, Chute, grams include the Master Plan of the Forestry Sector, and inner Terai from the sale of surplus timber. Revised Forestry Sector Policy (Nepal/MOFSC 2000), After much protest from user groups, the tax rate and the Poverty Reduction Strategy Paper (PRSP) was reduced to 15 percent and limited to the sale of (Nepal/NPC 2003a) or the Tenth Plan (Nepal/NPC sal (Shorea robusta) and khair (Acacia catechu) for 2003b). CFUGs in Terai only. The policy does not mention poverty alleviation or the MDGs. Master Plan for the Forestry Sector (1989–2010) Poverty Reduction Strategy Paper: The formulation of the master plan was initiated in Nepal’s Tenth Plan 45 1986 and completed in 1988. The main objective of the master plan is to meet the basic forest product Nepal’s PRSP, which is also Nepal’s Tenth Plan, runs needs of the people in a sustainable manner, and to from 2002 to 2007.5 The plan dedicates a full chap- contribute to economic growth through the promo- ter to forestry’s contribution, and includes a policy tion of forest-based industries. The plan identifies matrix with indicators. The key target is to reduce six primary programs and six supporting programs poverty from 38 to 30 percent by 2007. The plan needed to fulfill its objectives. As mentioned, the tracks human and infrastructure indicators, includ- primary programs are community and private ing literacy rates, infant mortality, maternal mortali- forestry, national and leasehold forestry, wood- ty, life expectancy, access to drinking water, electric- based industries, medicinal and aromatic plants and ity, and roads. To meet its goal, the plan is built on other minor forest products, soil conservation and four pillars with cross-cutting approaches (box 3.1). watershed management, and conservation of ecosys- tems and genetic resources. Supporting programs Role of Forestry in the PRSP are policy and legal reform, institutional reform, human resources, research and extension, resource The Tenth Plan presents forestry and soil conserva- information and planning assistance, and monitor- tion under the heading of high, sustainable, and ing and evaluation (figure 3A.1, see appendix). The broadly based economic growth, suggesting that the plan defines physical targets for each of the above forestry sector can play a role in all sectors. One of programs and estimates investment requirements. the two objectives of the forestry sector is to support The master plan formalizes concepts of commu- poverty reduction by creating opportunities for nity forestry that have been initiated at the local level income generation and employment for poor, since the late 1970s. It recognizes the importance of women, and disadvantaged groups through partici- people’s participation in forest management. The patory forest development activities. The plan pro- plan, however, does not recognize poverty allevia- poses three main strategies for achieving this objec- tion as an explicit goal. It reflects contemporary tive: (i) expansion of leasehold forestry to create thinking of the 1980s that economic growth will employment for deprived households that are below eventually trickle down to the poor. As the plan cov- the poverty line; (ii) increased access of women, ers 20 years, unanticipated changes have required deprived groups, and Dalits (untouchables) in com- amendments to the policy. munity, leasehold, and collaborative forests; and (iii) promotion of private-sector investment and exports for sustainable management and proper uti- Revised Forestry Sector Policy lization of valuable NTFPs. The plan also introduces This policy revision gives continuity to the programs the concept of leasehold forestry within community and policies of the master plan and introduces a concept of collaborative forest management for 5. The World Bank Web site at http://poverty.worldbank.org/ large blocks of forests in Terai and Siwalik (Chore). files/NepalPRSP.pdf has a summary of the PRSP that does not Collaborative forest management is a partnership accurately summarize Nepal’s tenth five-year plan (the full version of the PRSP). The main difference is that the summa- between the government and local communities ry rarely mentions forestry except under agriculture, and lacks through which benefits from high-value forests are indicators in the index for tracking poverty and forestry. SUMMARY OF C A SE STUDY—NEPA L BOX 3.1 Four Pillars and Cross-Cutting Approaches of Nepal’s PRSP The poverty reduction strategy of the PRSP is marginal social groups; hence, the PRSP propos- based on the following four pillars: (i) broadly es targeted programs, including social inclusion based economic growth, (ii) social sector devel- for these vulnerable groups. Moreover, the PRSP opment, including human development, has identified good governance, as a key to (iii) targeted programs, including social inclu- poverty alleviation as well as the following cross- sion, and (iv) good governance. The PRSP cutting sectoral approaches: (i) redefining the emphasizes the need for growth to be broadly role of the state and limiting public interven- 46 based to generate employment for poor people. tions; (ii) enlisting the private sector to play a The agriculture sector, which also includes leading role in employment and income genera- forestry and irrigation, has been identified as the tion and, together with NGOs, INGOs, and priority sector for broadly based economic CBOs, in complementing government efforts in growth, as this sector currently employs about 80 service delivery function areas, as well as imple- percent of the population. The PRSP further rec- menting key activities; (iii) promoting commu- ognizes the need for social sector development, nity participation in and management of activi- including human development. The PRSP also ties at the local levels; and (iv) accelerating the recognizes that broadly based economic growth decentralization process. and human development would not automati- Source: Nepal/NPC 2003a. cally benefit ultrapoor and socially excluded forests to benefit subgroups of the poor and by the ongoing Maoist insurgency in Nepal. Forestry deprived by establishing forest-based microenter- is not mentioned under tourism, despite the need prises. Forestry is further mentioned as having a key for forested habitat to maintain populations of key role in promoting health in livestock, making com- wildlife, such as rhinos and tigers. Forestry is not post fertilizer, conserving the environment, and mentioned in reference to energy, despite the signif- conserving groundwater resources for watershed icant role that fuelwood plays in rural energy con- management. sumption and the need for sound watersheds for Forestry, however, is noticeably absent from hydropower; nor is forestry mentioned in the infra- other parts of the plan. Forest timber production is structure/road section, despite the need to plant hill- not mentioned, even though some speculate that, if sides to prevent landslides after a road is cut. sustainably managed, Terai timber production It is important to note that, throughout the doc- could produce enough revenue to run the entire ument, the government plans to work with interna- country. The plan also does not mention timber tional nongovernmental organizations (INGOs), harvesting with respect to CFUGs. Moreover, illegal nongovernmental organizations (NGOs), and com- harvesting and trade of timber is common. Forestry munity-based organizations (CBOs), including is not mentioned under trade, although substantial community forestry user groups. amounts of NTFPs are exported every year through legal and illegal channels. Official statistics show PRSP Forestry and Poverty: exports of herbal products worth NrP 43.1 million in Strategy and Indicators 1999–2000 (Nepal/CBS 2003). (The amount of NTFPs and timber quantities that are traded every The plan shows sectoral policies and policy matrices year is not known). for all the line agencies contributing to poverty alle- Forestry is not mentioned in reference to gover- viation. These matrices are log frames and identify nance, despite the fact that CFUGs are one of the few key output, outcome, impact, and process indica- remaining local institutions in areas heavily affected tors. The sectoral objective for forest and soil con- P OV E RT Y A N D F O R E S T S L I N K AG E S servation is to provide appropriate contributions increasing the participation of women and disad- from the forest sector in poverty alleviation by con- vantaged people in forest-related activities and deci- servation promotion and proper use of the forest sion-making processes, and increasing opportuni- and environment. In other words, forestry will focus ties for marginalized groups. Furthermore, on poverty by conserving and improving manage- awareness will be raised about community forestry, ment and use of forest products and benefits to and the supply of fuelwood will become more easily increase people’s income to alleviate poverty. Many available. The work policies will arrange manage- of the strategies mentioned focus on the environ- ment of 13,000 hectares of leasehold forest by 3,000 ment. The social strategies include: leasehold groups, of which 1,500 will be formed by people living below the poverty line. They will ■ developing livelihood opportunities for disad- increase employment of local people and increase vantaged people living below the poverty line by people’s participation in integrated soil conserva- 47 expanding leasehold forestry tion and watershed programs. Another policy will ■ expanding community, leasehold, and collabora- increase employment and income through effective tive forests, and raising the participation and participation of local people in implementing six access of poor, women, and disadvantaged com- buffer zone management plans. All programs of the munities to these forests forest sector will be implemented with local partici- ■ sustainable management and utilization of valu- pation at the grassroots level in all 75 districts. able NTFPs, promoting investment of the private sector, and promoting exports The PSRP Preparation Process ■ developing community, leasehold, and partner- ship forests; raising participation and outreach to The PRSP was prepared through a participatory the deprived, women, and the poor in such process. The National Planning Commission forests. (NPC),6 which had prepared earlier Nepalese devel- opment plans, identified poverty alleviation as the The indicators for these strategies include: overarching goal of the Tenth Plan. For two years, NPC held consultations with different stakeholders, ■ providing income-generation opportunities in and five consultative meetings during preparation of forestry for 278,680 households through com- the interim PRSP, which formed the basis for prepa- munity forestry and leasehold forestry develop- ration of the approach paper leading to the PRSP or ment programs Tenth Plan. Three of these meetings took place in the ■ creating 44,027,000 workdays, and creating eastern, central, and western development regions. 12,000 jobs, of which 34,027,000 workdays Participants in these regional meetings included rep- would be created in village areas through com- resentatives from district development committees munity forestry, collaborative forestry, and soil (DDCs), municipalities, socially disadvantaged class- and watershed management programs es, major political parties, NGOs, CBOs, academia, ■ contributing to local autonomous rule by devel- the private sector, women and ethnic minorities, oping 20,000 participatory user groups (in com- and remote areas. Two additional national consulta- munity forestry, leasehold, watershed conserva- tions were held with women’s groups. tion, and biodiversity conservation), that will Five other regional public consultations, one in have direct access in formulating user plans, each of Nepal’s five development regions, permitted making decisions, implementing, and monitor- discussion of the contents of the approach paper ing and evaluation draft. Participants in these consultations included ■ giving the poor, women, and disadvantaged chairpersons and deputy chairpersons of DDCs, castes a greater role in decision making and plan government officials, and representatives of acade- formulation. mia, the private sector, ethnic minorities, disadvan- In order to achieve these goals, the work policies 6. Nepal began preparing periodic development programs in are targeting the involvement of 1,900,000 house- 1956. Nine development plans were completed, and the PRSP holds in community forest consumer committees, became the tenth. SUMMARY OF C A SE STUDY—NEPA L taged and remote communities, NGOs, and CBOs. monitoring results.7 The social science research Two other public consultations at the central level— capability of the MOFSC is regarded as weak com- one with the Association of the District pared with other ministries, such as the Ministry of Development Committees of Nepal, which included Agriculture and Cooperatives. chairpersons and vice chairpersons from all 75 dis- tricts of Nepal, and one with members of Financing Parliament—were also held to discuss the content of the approach paper. The finalized PRSP approach Trends in financing also indicate the priorities paper was then submitted to the National accorded by the government to the forest sector. The Development Council for approval. The members of government of Nepal combines agriculture, irriga- the council include ministers, representatives from tion, and forestry, and their collective budget makes all political parties, chairpersons of different com- up 24 percent of the total government budget. This 48 mittees of the House of Representatives, secretaries same combined subsector, which the plan’s authors of line ministries, vice chancellors, representatives note is crucial for alleviating poverty, was under- of the private sector and academia, ethnic minori- funded in the ninth five-year plan. The percent of ties, labor unions, women, and national-level NGOs expenditures in the forestry sector of the total gov- and CBOs. ernment expenditure declined from 3.18 percent in After approval by the National Development 1988/89 to 1.96 in 2002/03. Council, the approach paper was developed into a The ministry said that no link existed between full proposal. Technical committees headed by the the PRSP and the governmental budgeting process secretaries of the line ministries coordinated prepa- and therefore, there was no incentive to demon- ration of sector strategies and programs. Individual strate the relationship between forestry and poverty line ministries prepared their plans, which they sub- alleviation. Ministry officials understood that annu- mitted to NPC and were categorized by NPC as al budgets were developed by looking at the previous first-, second-, and third-priority programs. NPC year’s budget and making adjustments as needed. analyzed the programs in terms of their potential They assumed that if they demonstrated a strong contribution to poverty alleviation and resource linkage between forestry and poverty by developing availability (Nepal/NPC 2003a). activities to address poverty, it would not increase As noted earlier, the PRSP does not fully recog- funds for these activities. nize forestry’s potential role for contributing to poverty alleviation. A number of reasons for this are Donor Programs in the Forestry possible. First, a conflict seems to exist among staff Sector of Nepal of the MOFSC on whether the main goal of the forestry program should be conservation or eco- All major donor organizations and agencies working nomic development. Some do not view the twin in forestry in Nepal emphasize the importance of goals of conservation and economic development as poverty alleviation. Even the names of programs being compatible. When a member of the Ministry explicitly mention “poverty alleviation,� “liveli- of Natural Resources was asked why forestry was not hood,� or “governance.� These organizations and more prominent in the PRSP, the reply was that the agencies view forests as an entry point for livelihood goal of the ministry was preservation of forests; improvement. In some cases, this emphasis could however, greater agreement on compatibility of the stem from criticism that community forestry further two objectives exists within the forestry department. marginalizes the poorest members of the communi- Second, even when forestry officials agree that ty (Winrock International 2002). In other cases, forestry could contribute to poverty alleviation and donors simply have recognized the importance of should be a goal, they cannot articulate the linkages forestry in poverty alleviation and community between forestry and poverty alleviation. The min- forestry’s role in local governance, and took action. istry as a whole lacks the capacity to articulate the relationship among forest resources, economic 7. This was not unique to the MOFSC. Other line agencies had development, and poverty alleviation, and lacks similar challenges. This was one area in which the ministry skills on developing action plans and log frames, and requested assistance. P OV E RT Y A N D F O R E S T S L I N K AG E S A CASE STUDY bottlenecks. At present, TAL has been working in four protected areas (Parsa, Royal Chitwan National Park, Royal Bardia National Park, and Royal Sites: TAL Area Shuklaphanta Wildlife Reserve), and five areas The Terai has been a destination for migrants from between the parks (Dovan, Lamahi, Mahadevpuri, the mid-hills who seek greater access to roads, jobs, Khata, and Basanta). and better schools. The Maoist insurgency of Nepal The sites selected for the case study are adjacent has also resulted in greater settlement in the Terai. to the TAL program. This case study provides not The Terai is home to valuable timber and some only insight into how people use the forest, but also of the last remaining habitat for tigers, rhinoceroses, an opportunity to see how livelihoods are affected and wild elephants. The wildlife provides opportu- when biodiversity goals are being addressed, thereby nities for communities in terms of ecotourism, as furthering understanding on how to meet the dual 49 well as problems as people encroach on habitat. goals of conservation and development. The case As a result of increasing international and study focused on three communities: Dovan, national interest in conservation, especially of so- Lamahi, and Mahadevpuri (figure 3.2). They lie in called “charismatic megafauna,� the Terai region the bottlenecks identified by TAL that are consid- has become the focus of an ambitious program: the ered critical for restoring forest connectivity. Two of TAL Program. The DOF, the Department of the three communities lie in Terai and one is in the National Parks and Wildlife Conservation mid-hills. Most of the households fell below the (DNPWC), and the WWF-Nepal implement TAL, poverty line, but economic differences existed which started in July 2001. Its goal is to develop bio- among households. Wage labor and remittances logical corridors to facilitate the movement of large supplemented livelihoods. For the most part, the animals from one park to another. Areas where the households depended on farming to produce food corridor needs to be re-established are referred to as for the household. Forests are a key component of FIGURE 3.2 Terai Landscape Corridors and Bottlenecks Source: WWF Nepal. SUMMARY OF C A SE STUDY—NEPA L the community farming system in Nepal. Livestock were asked to elicit information on assets, income depends on fodder leaves (some leaves provide key sources, forest utilization, and other forest-related nutrients during the dry season) and bedding, gen- issues (including the impact of the TAL program).8 erally collected from the forest. Manure and com- post are added to the fields for fertilizer. In addition, Dovan most households depend on wood for fuel. Dovan is a hill community located adjacent to the Terai. One of the 65 village development commit- Methodology tees (VDCs) of Palpa district, Dovan has about 1,230 The objective of the case study was to learn how dif- households, with an estimated population of 6,700 ferent groups of people use the forest, and how the (3,400 female and 3,300 male) (based on Nepal/CBS forest contributes to their livelihoods. The approach 2002). 50 consisted of using a variety of participatory rural appraisal techniques. First, three researchers met Results with the forest department and village leaders (including the CFUG leader) to inform them of the As in any village, people in Dovan fall along a spec- case study’s purpose and, through interviews, get trum of well-being. The wealthiest would still be their assessment of the village. They were asked considered impoverished by Western standards. about themselves and the community (how it uses People in the area relate poverty to the lack of land the forests, how wealth is defined, and how it is or inadequate land, and to the lack of stable sources ranked). These leaders served as informants, guiding of income. From the survey data, the researchers the team on other people to interview. The security defined four levels of well-being. Group I consists of situation limited the team, as they were restricted to five landless, resource-poor households. Of all the only certain areas. Local people strongly advised the groups, only Group 1 depended on forest products research team not to go to areas far from the road- as a source of direct cash income. Group II consists side. In the case of Terai communities (Lamahi and of 16 households with a little land, but their agricul- Mahadevpuri), local leaders helped to gather house- tural production is not adequate to feed their family holds in their respective CFUG offices near the high- for an entire year. These families, along with those in way. In those locations, households were consulted Group III, depend more on selling livestock than both as a group, and then selected households from other groups. Group III consists of 11 better-off different socioeconomic strata were interviewed on households whose landholdings are adequate for an individual basis. In the case of Dovan, a hill area, maintaining their family for most parts of the year. a small group meeting with the area’s ranger from Their income was supplemented by selling livestock, the DOF and CFUG officials was held. These offi- and they used the forest indirectly for a large per- cials directed the research team to households from centage of their income for fodder and bedding. different socioeconomic groups for interviews. Group IV consists of five households with landhold- Attempts were also made to consult at least a few ings that produce not only an adequate amount for female-headed households. Members of households maintaining the family for the whole year, but also interviewed were those who the researchers met enough to sell in the market. They also benefit from when they visited those households or whom the remittances from the labor of a family member in a households sent as their representative. No attempt different place. was made to contact a particular member of a family. Agriculture is the primary source of livelihood. Interviews consisted of casual, informal, open- The landless households depend on seasonal agri- ended questions. The questions focused on who uses the forest, how they use the forest, and how it con- 8. Editor’s Note: The stated total number of households sur- tributes to their livelihoods. Information was also veyed in each community in a case study was not consistent gathered on how local community members, espe- with the total number of households reported, as indicated by cially the poor, perceive WWF’s wildlife conservation the four levels of well-being. Therefore, only the data on the program in terms of benefits and costs. Key questions number of households by category of well-being was included. P OV E RT Y A N D F O R E S T S L I N K AG E S cultural employment. Two of five landless house- At present, 28 CFUGs manage most of the forest holds practice sharecropping. One landless house- in the area. An estimated 15 percent of the forest hold cultivates crops on government land. area is still under government control, but none of Households from Groups II to IV derive all or part the respondents in the survey sample said they use of their food needs from agricultural production. government forests. In addition, there is one “reli- The size of their landholdings varies from none to gious forest,� as defined by the government. 4.3 hectares per household. Only one household Fuelwood, fodder, grass, timber, NTFPs, and from Group III rents others’ land for sharecropping, pasture are the main forest products used by house- whereas two households from Group III rent land. holds. Only 6 percent of households said they take None of the households from Group IV rents land. animals for grazing in the forest. Khar (thatch grass) A few well-off households also owned land in near- and babiyo (sabai grass or Elaliopsis binnata) are by Terai districts. Crops grown included paddy, common NTFPs used by the community. In all 51 maize, wheat, mustard, gram, masuro, cauliflower, CFUGs, members are allowed to collect only dead and tomatoes. Groups of households also differed in and fallen trees for fuelwood. All households are the types of agricultural crops grown. Farmers from required to contribute equal amounts of labor to sil- Groups II and III are more likely to grow vegetables vicultural operations. Members are allowed to use as a cash crop. Farmers from Group IV, on the other forest products only for personal consumption. hand, grow cereals generally for subsistence and Such rules have hurt those households that used to barter, but these are not high-value crops. derive part of their livelihood by selling fuelwood and other forest products. The rules have also benefited wealthier households more than poorer households, Forest Resources and Their Management as wealthier households tend to use more forest prod- Of all the VDCs9 of Palpa district, Dovan is consid- ucts, either because they have larger size families or ered the richest in forest resources. This VDC used because their livestock holdings are larger. to export forest products to other parts of Palpa and Table 3.1 presents the survey’s findings on the also outside the district. During construction of the average quantity of forest products used by different Pokhara-Butwal road (Siddartha Highway), many categories of households. The table clearly shows laborers moved into the area to work as construc- inequity issues in the use of forest products; rich tion workers. After completion of road construc- households are benefiting more from forest. This is tion, many of these workers settled at the edge of the based on information from the 14 CFUGs. Fuelwood forest near the roadside. Fuelwood collection and and fodder use by households in Group IV was selling became a main source of livelihood for these almost three times that of households in Group I. households. Timber traders from Butwal and other Households also need timber for constructing new areas felled trees indiscriminately. Soon the forest houses and animal sheds, repair and maintenance of became quite degraded. Because it was a national old houses, and agricultural implements. forest, the local people had neither incentives nor Many CFUGs have begun to generate communi- rights to check this deforestation. With formation of ty-level funds through the sale of forest products, CFUGs, the community started banning the sale of membership fees, and fines. Timber is the principal fuelwood. Groups of households joined together to forest product sold outside the community. form CFUGs and began protecting patches of forest Fuelwood, fodder, and grass seem be just adequate nearby. to meet community needs and are rarely sold out- side the community. Last year, the CFUGs in Dovan 9. VDCs, made up of nine wards, are the lowest-level local made an estimated income of NrP 20 million. The governance bodies in Nepal, The district development coun- TAL program provided about NrP 700,000 to the cils (DDCs) are a higher administrative unit and play a sub- CFUG coordination committee in Dovan to launch stantive role in implementing government policies, decentral- ization efforts, and development activities. Within each DDC conservation and development programs. are a number of VDCs and municipalities. Between the DDC CFUGs in Dovan’s VDC have spent their income and VDC levels are clusters of VDCs called ilakas. There are on forest conservation and community develop- nearly 4,000 VDCs in Nepal. ment activities. For example, in 2003/04, SUMMARY OF C A SE STUDY—NEPA L TABLE 3.1 Use of Forest Products by Respondent Households in Dovan Quantity of Forest Products per Household Forest Products Group I Group II Group III Group IV Fuelwood (bhari/month) 4.40 9.60 9.18 11.00 Fodder (bhari/day) 0.75 0.93 2.09 1.60 Grass (bhari/day) 1.50 1.33 1.91 2.10 Timber (cubic foot/year) 6.25 17.73 17.14 20.25 52 Source: Field Survey, October 2004. Lamahi Khulkhule’s CFUG, the largest such group in Dovan, spent its income for constructing irrigation Lamahi comprises four VDCs (Lalmatiya, Choulahi, canals and school buildings, and hiring two forest Sisahaniya, and Sonpur) in the Dang district. The guards for eight months, one office secretary, and area had 9,788 households, with an estimated popu- one accountant. Of NrP 700,000 provided by the lation of 58,795 (29,171 females and 29,624 males) TAL program, NrP 400,000 was used to build a 2.5 in 2001. Tharus, an indigenous group of people of kilowatt microhydro plant. Electricity from this Nepal’s Terai, were the original inhabitants of the plant is distributed among the households from area. The community is currently a mix of Tharus Barpokhari and Dhapkhola CFUGs. A portion was and hill migrants. also used for electricity distribution to the members The households surveyed were classified into of Dhapkhola CFUG. Other activities supported by four groups of well-being, as they were in Dovan. TAL include improved cooking stoves, goat farming, There were 13 households in Group I, nine house- buffalo farming, and breed improvement of goats holds in Group II, two in Group III, and seven in and buffaloes. Group IV. Size of landholdings (in hectares) in The forest also generates employment for local Lamahi ranged from none for Group I to 0.26 and people; a few CFUGs hire salaried staff such as an 0.3 for Groups II and III, respectively. Group IV had office secretary, forest guards, and so on. The forest the largest landholdings, at 2.19 hectares. Wages also provides raw materials to forest-based industries constitute an important source of cash income for that in turn create jobs for local people (box 3.2). all categories of households. As in the case of Dovan, BOX 3.2 Forest-Based Enterprises in Dovan A Jadaibuti Conservation and Utilization oil. The price of titepati varies from NrP 2,300 to Cooperative was formed in 1999. In 2002, this NrP 3,000 per kilogram. This industry is hiring cooperative established an industry for making one full-time and two part-time office staff on a herbal oil in Dovan. This industry tried produc- regular basis, and about eight to nine laborers ing oil from tejpat (Cinnamomum tamala), but it during the season (May 15 to July 15). At pres- was discontinued due to lack of markets. It then ent, plant capacity seems underutilized, but started producing oil from titepati (Artimesia there are possibilities for making oil from other indica or mugwort). Farmers collect titepati from NTFPs, such as lemon grass, neem, and sarpa- community forests and private land and sell it to gandha. the industry at NrP 2 per kilogram. About 600 Source: Field Survey , October 2004. kilograms are needed to produce 1 kilogram of P OV E RT Y A N D F O R E S T S L I N K AG E S TABLE 3.2 Use of Forest Products by Respondent Households in Lamahi Quantity of Forest Products per Household Forest Products Group I Group II Group III Group IV Fuelwood (bhari/month) 5.69 6.82 8.00 3.33 Fodder (bhari/day) 0.11 0.60 1.50 0.57 Grass (bhari/day) 0.57 0.70 0.25 1.00 Timber (cubic foot/year) 4.11 2.25 8.00 17.00 53 Source: Field Survey, October 2004. livestock as a source of cash income plays a relative- CFUG varies from 3 to 1,486 hectares, and the num- ly important role for households in Groups II and ber of households per CFUG varies from 27 to 640. III. Only households from Group IV earned cash The number of women in the executive committee income from remittances. Groups I and III earned of CFUGs varies from none to 11. some cash from the sale of forest products. Table 3.2 presents survey findings on the use of forest products by respondent households. Households get forest products free or at a conces- Forest Resources and Their Management sion price. Some CFUGs require user households to As in Dovan, this area was once rich in forest buy a coupon for collecting fodder or cut grass. The resources. Much of the destruction of the forest took price of the coupon varies from NrP 5–10 per sea- place during the construction of the East-West son; however, rules vary among CFUGs. For exam- Highway. Events such as the National Referendum ple, the users of Rapti CFUG do not need to pay for (Janamat Sangraha)10 in 1980 and People’s fuelwood collected from the community forest for Democracy Movement in 1990 led to further their own consumption. Users can collect fuelwood destruction of forest. only on Saturdays. Users who wish to collect fuel- Before initiation of conservation programs, the wood for sale must pay NrP 15 for four Saturdays. situation became so bad that people were forced to These users can collect only one bhari on one get up at 3:00 a.m. to get to the other side of Rapti to Saturday. The market price of fuelwood is about NrP get one bhari (about 25 kilograms) of thatch grass. 50–60 per bhari. Rapti CFUG does not charge users People were initially skeptical about conservation of for fodder and cut grasses. Poles for house construc- forest by the community, as they thought it was a tion are NrP 1 per pole and dead and fallen sal trees trick by a few influential members of the communi- are NrP 50 per cubic foot.11 Rules tend to vary ty to register forestland in their names. When a few according to the financial situation of the CFUGs. community people got together one year and put a CFUGs have also begun to generate community ban on the collection of thatch grass, there was a sig- funds. The main sources of income include mem- nificant increase the following year in thatch grass bership fees, sale of forest products, and contribu- for the community. This helped people to under- tions from donor agencies. Rapti CFUG, which was stand the value of conservation. identified as the highest-earning CFUG among 28 This area falls under the Narti Range Post of the CFUGs, collects about NrP 500,000 in annual Dang District Forest Office. About 9,000 hectares income in years when timber is sold. Three CFUGs have been handed to 28 CFUGs for management. earn some money by supplying babiyo (sabai grass), Some forest in the Chure (Silawik) range is still a raw material used for paper production, to a paper managed as government forest. Forest area per factory (Bhrikuti Paper Mill) in Nawalparasi. Last 10. Held in Nepal to elicit people’s opinion on whether they 11. Fallen sal trees command a minimum price of NrP 250 per wanted multiparty or partyless democracy. cubic foot. SUMMARY OF C A SE STUDY—NEPA L year, the TAL program provided about NrP 1.1 mil- Mahadevpuri lion to CFUG coordination committees. Other donors, such as DFID’s Livelihood Forestry The Community Programme (LFP) and CARE/Nepal, are also work- ing in the area. Donors have provided support in the Mahadevpuri VDC has 1,269 households, with a form of cash, as well as training and technical assis- total population of 7,768 (3,733 females and 4,035 tance. males). This is one of 46 VDCs in the Banke district CFUGs have used community funds to support in the midwestern development region, and a com- forest conservation, infrastructure development, munity of hill migrants from midwestern and far- and income-generation activities, such as forest- western hills and indigenous Tharus. The house- based microenterprises (box 3.3), pig and goat farm- holds surveyed belonged to 10 different CFUGs. As ing, and retail shops. One CFUG’s goat/pig farming in the case of Dovan and Lamahi, the households 54 program provides loans to groups of five poor were placed in four groups of well-being. Group I households. In such schemes, the loan is usually had six households, Group II had 15 households, interest free and must be paid back in one year. The Group III had six households, and Group IV had money is then given to another group. Such revolv- four. Statistics on caste/ethnicity of respondents ing funds normally come from donor projects such indicate that Tharus (indigenous group) and Dalits as TAL and LFP, but there are a few instances in (untouchables) are more likely to fall toward the which CFUGs have invested their own funds in bottom of the economic ladder. these activities, which generally benefit women and Sources of cash income for different groups of disadvantaged groups. As box 3.3 shows, such enter- households are similar to that of Dovan and Lamahi. prises have benefited women and vulnerable groups. Wages constitute an important source of cash BOX 3.3 Forest-Based Enterprises in Lamahi Rope production. Kalapani CFUG started a small so far. She said one person can make about 14 enterprise to produce ropes from babiyo grass in kilograms of ropes in one day. March 2003. This CFUG purchased four rope- making machines for NrP 32,000. The TAL pro- Dunn-tapari production. With NrP 25,000 of gram provided NrP 25,000, and CFUG invested support from TAL, three groups of women of NrP 12,000 from their own funds. Six women Karmadi CFUG have started a microenterprise and two men from the CFUG were trained in the for making dunas (paper bowls) and taparis rope-making technology. Two women are now (paper plates) from sal leaves. A machine was employed on a part-time basis by this enterprise. purchased from the Micro Enterprise One kilogram of rope can earn NrP 17.50 to NrP Development Programme for NrP 18,000. The 20 if sold outside the CFUG, and NrP 12 if sold women were trained for three days before start- to CFUG members. The income is distributed as ing production. Sal leaves are collected from the follows: NrP 5 for people involved in rope pro- community forest. One tapari can sell for NrP 1 duction, NrP 3 for people collecting babiyo, and and one duna can fetch Nit 0.35. Seventy-five NrP 2 for forest guards. The remaining money percent of sales revenue goes to the women’s goes to the CFUG fund. One of the two women groups, and 25 percent is deposited in the employed in this enterprise is a widow and an CFUG fund. The groups can decide themselves ex-Kamaiya. She has three children and very few how to use such income. CFUG uses its share of productive assets. She said it is a part-time job as income to pay for its electricity bill and other no adequate market exists for ropes. She has expenses. been able to make about NrP 2,100 from this job Source: Field Survey, October 2004. P OV E RT Y A N D F O R E S T S L I N K AG E S TABLE 3.3 Use of Forest Products by Respondent Households in Mahadevpuri Quantity of Forest Products per Household Forest Products Group I Group II Group III Group IV Fuelwood (bhari/month) 12.17 9.31 8.5 4.75 Fodder (bhari/day) 0 0.56 0.33 0.56 Grass (bhari/day) 0.3 1.2 0.83 0.25 Timber (cubic foot/year) 0.67 1.79 7 16.25 55 Source: Field Survey, October 2004. income for all groups. Forest products provided equally free of charge, using a lottery system among cash income for only those households in Group IV. households that participate in thinning/pruning Landholdings (hectares) in Mahadevpuri were operations. smaller on average than in the other two commu- As in the case of Dovan and Lamahi, CFUGs in nities. They ranged from zero for Group I, 0.21 Mahadevpuri have generated funds through a vari- for Group II, 0.82 for Group III, and 0.68 for ety of means, such as membership fees, permits for Group IV. vehicles, and sale of fuelwood, timber, and thatch grass. These funds, together with support from TAL, are used to support forest conservation and com- Forest Resources and Their Management munity development activities. Jobs supported by Forest conditions in this area are reasonably good. CFUG funds, such as forest guards, have benefited Fourteen CFUGs have been formed, ranging in size poor households. from 36 to 292 hectares, with 36 to 294 household members. Two or more CFUGs have joined togeth- CONTRIBUTION OF FORESTS er to form biodiversity conservation groups, of TO POVERTY ALLEVIATION which six now exist. These groups were formed mainly to prevent timber “mafia� and outsiders from destroying their forests, as individual CFUGs Forest resources are clearly key components of rural were unable to face such encroachers by themselves. people’s livelihoods in Nepal, and offer great poten- Six biodiversity conservation groups have, in turn, tial for contributing to poverty alleviation. While the formed a Biodiversity Conservation Coordination government has made steps toward this goal, pover- Committee. This coordination committee has 11 ty alleviation requires a country to have sources of executive members, of whom two are female. The income and a mechanism for equitable distribution. constitution of the coordination committee Despite the great inequities in Nepal, programs such requires that 33 percent of the members be female. as community forestry and leasehold forestry have Table 3.3 presents survey findings on forest prod- recognized the importance of addressing the needs ucts use by respondent households. Users must buy of rural poor, and the MOFSC has in fact developed a coupon for NrP 5–10 per season to collect fuel- pro-poor programs. However, criticisms of commu- wood. The length of the season varies from 15 days nity forestry in the past 20 years are valid, and more to one month. Some CFUGs open the forest twice a work on this issue still needs to be done. The poor- year for fuelwood collection. Similarly, users need to est of the poor still lack access to the full potential pay NrP 5–10 for collecting fodder/grass during a benefits of community forestry. Nepal’s govern- season of about two months. Fuelwood collected ment, however, recognizes these problems and is during pruning/thinning of forest is distributed beginning to address them. SUMMARY OF C A SE STUDY—NEPA L Community Forestry addition, community development activities that stem from CFUGs, such as roads, schools, and water Nepal is often looked at as the pioneer in communi- taps, rarely serve the poor. Chhetri, Sigdel, and ty forestry. The Community Forest Program that Malla (2001) have reached similar conclusions; began in the late 1970s expressed an explicit concern however, community forestry as a whole does illus- for meeting the subsistence needs of local farmers trate the importance of forestry to rural livelihoods for firewood, fodder, leaf litter, and some small tim- and community development. ber for agricultural implements. Since then, the Kanel and Niraula (2004) conducted a study Community Forest Program and other participatory examining community forestry’s impact on liveli- forestry programs have incorporated local develop- hood improvement by looking at 1,700 user groups ment objectives (Chhetri, Sigdel, and Malla 2001). in 12 districts. The study found that community Much of the emphasis in assessing community forestry contributed to household livelihoods, com- 56 forestry in Nepal has been placed on totaling the munity development, and good governance, while number of hectares handed over and the number of improving the environment. The authors estimate user groups formed, but not evaluating the contri- that within community forests, products worth bution of forests to people’s livelihoods. After 25 about NrP 750 million (approximately US$10 mil- years of implementation, issues of equity exist with- lion) are extracted and sold. CFUGs earn about NrP in community forestry user groups. The poor do not 914 million per year (US$12 million) from these receive an equitable distribution of goods and serv- products and other sources (fees, fines, grants) and ices, and in some cases contribute or sacrifice more expend about NrP 450 million per year (US$6 mil- than other members. As a result of several studies lion). Community forestry user groups spent 46 mil- conducted on benefit sharing from community lion NrP (US$630,000) per year on employing local forests, government policy makers and donor agen- residents as forest watchers (often hiring the disad- cies are well aware of this second-generation prob- vantaged). Forestry, through CFUGs, contributed lem of equity.12 NrP 134 million per year (US$1.8 million) to com- A few studies have also attempted to assess the munity development through construction of roads, contribution of community forests to poverty allevi- schools, school fees, water taps, health posts, and ation and concluded that community forestry has other infrastructure activities, and NrP 12 million not made much impact on poverty alleviation. For (US$175,000) to pro-poor programs. This is in example, Malla (2000) writes: “Overall, the commu- addition to the fuelwood people use for energy, the nity forestry intervention has had limited positive fodder people use for animal feed, leaf litter people impact on the livelihood of rural households. The use for compost, and food and medicines people evidence suggests that some households, especially collect from the forest. the poorer ones, have been affected adversely.� For example, some community forestry groups have Leasehold Forestry greatly restricted collection of forest products, and those that have most depended on the products (the In Nepal, the Leasehold Forestry Program was poor) were the most adversely affected. They had to developed to alleviate the poverty of poor and mar- find alternative sources of fodder and fuelwood, ginalized groups, such as low castes and women. As often much farther away. Wealthier households of 2003, 1,729 leasehold forestry groups of nearly have traditionally had the means to substitute (using 12,000 households have been established in 14 dis- their home garden forests) or purchase forest prod- tricts in Nepal (IFAD 2003). The Leasehold Forestry ucts. Many community forestry groups charge a flat Program, funded by the International Fund for fee (no sliding scale) when they sell products. In Agricultural Development, provides an alternative to community forestry programs by providing 12. MOFSC has recently formed a Gender and Equity degraded land to resource-poor villagers. The pro- Working Group. The members of this group include repre- gram, which started in 1993, was intended to pro- sentatives from different departments and divisions of vide resource-poor farmers with land to grow fod- MOFSC, representatives from forestry projects, and NGOs der and a small loan for purchasing livestock. such as The Federation of Community Forest Users and Himalayan Grass Roots’ Women’s Natural Resources’ Households could earn income by raising and sell- Management Network. ing goats and their products. Leasehold forestry P OV E RT Y A N D F O R E S T S L I N K AG E S brought MOFSC together with the Ministry of nomic benefits from this tourism are great, and the Agriculture, and agriculture development banks. disparity between the wealthy and poor has been User groups and multipurpose cooperatives were amplified. The Bag Mara CFUG in Chitwan, for formed. The program has been adopted by MOFSC example, has not done a good job of addressing and is now a department within the ministry. indigenous and landless people’s needs. The Leasehold Forestry Program shows how forestry, in combination with other activities, has Government-Managed Forests contributed to poverty alleviation. The program has enabled farmers to raise and sell goats, buffalo, and Most of the government-managed forests are “man- milk. In some areas, farmers increased their income aged� for protection, but in fact are not managed by NrP 25,000 a year. Others earned money from due to lack of staff and resources. If managed for planting and selling bamboo, cardamom, seeds, hor- timber production, much of the Terai could pro- 57 ticultural plants, and honey. In addition, 120 groups duce enough income to pay for the Nepal govern- of several leasehold forestry groups each, and 18 ment’s entire budget (Amit Lal Joshi, personal com- multipurpose cooperatives were formed, enabling munication). Government-managed forests do savings and microcredit activities among the partic- contribute to people’s livelihoods, although people ipants. use the forests illegally. When community forestry Evaluators of the Leasehold Forestry Program was first initiated, and many forests were closed to note that, although hard to track, the Leasehold collection of goods, people turned to national forests Forestry Program had a great impact on livelihood for fuelwood and fodder. In the Terai, people have indicators, noting that increased livestock and even settled in government-managed forests. Even income had a positive impact on nutrition. They though it is not acknowledged and the actual contri- also note that mothers saved labor and that more bution is not known, government-managed forests children were able to attend school. are contributing to poverty alleviation. The PRSP Progress Report (June 2006) indicated that a recent evaluation of the Hills Leasehold Forestry and the MDGs Forestry and Forage Development Project, begun in 1994, suggests that the program has been able to Forestry can and does contribute to the MDGs in reduce poverty and empower low-income, landless Nepal. This case study and other donor work in groups. Leasehold forestry has helped to improve forestry shows how forestry is contributing to the the living standards of 30 percent of poor farmers, MDGs. Table 3.4 summarizes the findings. Forestry and enhanced the foundations for improved eco- is an integral part of the farming system and live- nomic status. Exclusion of the poor and marginal- stock development. It is a source of income for ized groups remains a problem but is improving.13 many rural households that contribute to basic needs. Protected Areas CONCLUSION Protected areas include national parks and reserves. In some cases, national parks have allocated com- munity forestry buffer zones that operate like com- In rural Nepal, forests play an important role in peo- munity forests, allowing community members to ple’s livelihoods. Forests are a necessity for farmers use resources and user groups to use income (pri- raising crops and livestock, and provide a source of marily from entrance fees) toward community food, medicine, and fiber for rural populations. development activities, such as building schools. In Nepal’s PRSP does not overemphasize forestry, but Chitwan, a CFUG has managed a buffer zone forest mentions its importance and has identified poverty- for tourism. The CFUG earns funds, primarily related indicators to track. The government of Nepal through elephant rides to see rhinoceroses, and and MOFSC, through their various programs, such canoe trips. The income from the forest and eco- as leasehold forestry, community forestry, and buffer zone forestry, recognize the importance of 13. Information from PRSP Progress Report (World Bank forest resources for local communities. Despite crit- 2006), added by editor. icisms of and inequities in these programs, com- SUMMARY OF C A SE STUDY—NEPA L TABLE 3.4 Summary of Findings Current or Potential Role of Goal Role of Forests CFUGs or Other Programs Eradicate extreme poverty and Provides food and income Allocation of land in forests for crops hunger leasehold provides land and livestock Achieve universal primary Provides income CFUGs build schools and provide education scholarships Promote gender equality and Provides income Women’s literacy 58 empower women Reduce child mortality Provides food, medicine, and CFUGs build health posts and provide income training Improve maternal health care Provides food, medicine, and CFUGs build health posts and provide income training Combat HIV/AIDS, malaria, and Provides medicinals CFUGs build health posts and provide other diseases training Ensure environmental Protects air, water, biodiversity, Sustainable forest management sustainability and so on Develop a global partnership for Provides internationally traded development goods and NTFPs Source: This is the authors’ analysis based on primary as well as secondary information. pared with other countries, Nepal is progressive in poor more than the rich. Proactive policies and pro- acknowledging the importance of forestry and grams are needed to ensure that forest benefits reach poverty alleviation. the poor. This study observes that forests are begin- The donor community also acknowledges this ning to make some contribution to augmenting importance. All forestry programs of major donors physical, financial, human, natural, and social capi- include “livelihoods,� “income generation,� “gover- tal of some poor people. Forest-related programs nance,� and “pro-poor� language in the title of their have also to some extent helped empower women, forestry programs. Donors have recognized that although these programs have failed miserably to forests provide one of the only renewable communal empower the poor and other marginal groups. The resources people can access. Forests are the only relatively few success stories of the really poor bene- resource to which the landless have any access; in the fiting from forestry programs in buffer zones or mid-hills, there are few other opportunities, and leasehold forestry, however, suggest that participa- community forestry has created sound local institu- tory forestry programs must find effective ways to tions through which other development (for exam- move from the community to the individual house- ple, health, education, clean water) can happen. If hold or targeted groups within communities in well managed and acknowledged, forests can play an order to play a meaningful role in poverty allevia- even more important role. If managed for specific tion, while conserving the forests (Chhetri, Sigdel, products, forests can yield significant revenue and and Malla 2001). Although this study has not found can greatly contribute to poverty alleviation. any examples in which forest programs have trans- Degradation of forests hurts poor households formed the lives of poor people, many examples more than rich ones. But, numerous examples also exist in which forests have helped poor households exist in which conservation of forests has hurt the to cope with risks and vulnerability. Whether a com- P OV E RT Y A N D F O R E S T S L I N K AG E S munity forest or a national forest managed for tim- Nepal, Department of Forest Research and Survey ber, the issue of ensuring equitable distribution of (DFRS). 1999. Forest Resource of Nepal benefits from these resources remains. (1987–1998). Publication No. 74. Prepared with the Forest Resource Information System Proj- ect, Embassy of Finland, Kathmandu, Nepal. REFERENCES Nepal, Ministry of Finance (MOF). 2004. Economic Survey: Fiscal Year 2003–2004 (July). Chaudhary, R.P. 1998. Biodiversity in Nepal: Status Nepal, Ministry of Forests and Soil Conservation and Conservation. Bangkok: Tecpress Books. (MOFSC). 2000. “Revised Forestry Sector Poli- Chhetri, Ram B., Harihar Sigdel, and Yam B. Malla. cy, 2000.� Kathmandu. 2001. Nepal: “Country Profile.� Prepared for ———. 2004. “Forestry Sector: Achievements and the forum “The Role of Forestry in Poverty Opportunities.� Presented at the National Devel- 59 Alleviation.� Forestry Department of the Food opment Forum, Kathmandu, Nepal, May 5–6. and Agriculture Organization. Cortevecchia, Nepal, National Planning Commission (NPC). 1998. Italy, September. The Ninth Plan (1997–2000). Kathmandu. International Fund for Agricultural Development ———. 2003a. The Tenth Plan (Poverty Reduction (IFAD). 2003. “Hills Leasehold Forestry and Strategy Paper), 2002–2007: Summary. Kath- Forage Development Project Interim Report.� mandu (July). Report No. 1431-NP. Available at: ———. 2003b. Tenth Plan (2002–2007). Unofficial http://www.ifad.org/evaluation/public_html/ translation. Kathmandu (March). eksysUdoc/prj/region/pi/nepaUnepal.pdf. Nepal South Asia Centre (NESAC). 1998. Nepal Rome, Italy. Human Development Report 7998. Kathmandu. Kanel, Keshav Raj, and Durga Raj Niraula. 2004. Regmi, Mahesh C. 1978. Thatched Huts and Stucco “Can Rural Livelihood Be Improved in Nepal Palaces: Peasants and Landlords in 19th Century through Community Forestry?� Banko Nepal. Delhi, India: Adroit Publishers. Janakari, A Journal of Forestry Information for UN Development Programme. 3002. Nepal Human Nepal 14(1) (May): 19–26. Development Report 2001: Poverty Reduction Lanjouw, Peter, Giovanna Prennushi, and Salman and Governance. Kathmandu. Zaidi. 1998. “Poverty in Nepal Today.� Tathyank ———. 2004. Human Development Report 2004: Gatibidhi 61(2): 2054–55. Four Monthly Statis- Cultural Liberty in Today’s Diverse World. New tical Bulletin. Central Bureau of Statistics). York: Oxford University Press. Malla, Y.B. 2000. “Impact of Community Forestry Winrock International. 2002. Emerging Issues in Policy on Rural Livelihoods and Food Security Community Forestry in Nepal. Kathmandu, in Nepal.� Unasylva 51(202): 37–45. Nepal. Nepal, Central Bureau of Statistics (CBS). 2002. World Bank. 2001. World Development Report Population of Nepal: Village Development Com- 2000/2001: Attacking Poverty. Washington, DC. mittees/Municipalities. Population Census 2001. 2004. In collaboration with the United Nations Pop- ———. 2005. World Development Report 2005: A ulation Fund (UNFPA) and National Planning Better Investment Climate .for Everyone. Wash- Commission Secretariat, Kathmandu, June. ington, DC. ———. 2003. Statistical Year Book of Nepal. Kath- ———. 2006. PRSP Progress Report: An Assessment mandu. of the Implementation of the Tenth Plan/PRSP. Washington, DC. SUMMARY OF C A SE STUDY—NEPA L APPENDIX FIGURE 3A.1 Organizational Chart of the Ministry of Forestry and Soil Conservation Ministry of Forests and Soil Conservation Minister State Minister 60 Secretary Planning and Foreign Aid Monitoring and Environment Administrative Human Resource Coordination Evaluation Division Division Division Division Division Department Department of Soil Department of National Department of Department of of Forests Conservation and Parks and Wildlife Plant Resources Forest Survey Watershed Conservation and Research Management National parks (8) District offices Fields units District soil of plant (5) conservation Wildlife reserves (3) resources (14) Regional forests offices (55) offices (5) Hunting reserve (1) Forests Products Development Board District forest Conservation areas (3) offices (74) Nepal Rosin and Buffer zones (5) Turpentine Company Ilaka forest offices (92) Limited Herbs Production Processing Company Range posts (696) Limited Source: Chhetri, Sigdel, and Malla 2001. P OV E RT Y A N D F O R E S T S L I N K AG E S CHAPTER FOUR Summary of Case Study— 61 Indonesian Papua EXECUTIVE SUMMARY that forest ecosystems can only benefit from clarifi- cation of these issues. This case study highlights the importance of institu- Papua province is currently at the forefront of tional arrangements in determining the outcomes of reforms to the legal and institutional framework forest management.1 It describes efforts by govern- governing customary rights and forest management ment, civil society, and the private sector in in Indonesia. This reflects the opportunities for Indonesian Papua to develop clearer and fairer rules innovation presented by decentralization and, in governing the allocation and management of forest particular, the granting of special autonomy to the lands. These efforts challenge long-held assump- province in 2001. These proposals have been framed tions that customary tenure constitutes an obstacle as a draft provincial regulation on Sustainable Forest to economic development, and that the objectives of Management Based on Customary Law large-scale investment and conservation are neces- Communities, within the ambit of Law 21 (2001) on sarily incompatible with local community-con- Special Autonomy (OTSUS) for Papua. Once passed trolled resources. into law, this will set an important precedent for The failure to give legal recognition to customary reforms to forest management across Indonesia. It rights in Indonesian Papua has fuelled escalating also speaks to provisions of the Poverty Reduction conflict to the point of undermining long-term Strategy Paper (PRSP) on collective land manage- investment. It also leaves rural communities vulner- ment and the involvement of the poor in spatial able in the face of externally imposed land-use deci- planning processes. sions. Despite massive resource wealth, rural Papua Political will to implement these proposals suffers the highest rates of material deprivation in depends on continued pressure from local commu- Indonesia. There is now broad consensus that both nities, requiring a substantial effort to raise aware- poverty reduction and investor security in ness of the regulation’s provisions and the opportu- Indonesian Papua critically depend on efforts to nities it presents to secure peoples’ rights. map, protect, and work with customary tenure, and Long-term, programmatic investment is needed in community institutional support, the mapping of customary lands, technical support to implementing 1. Original case material was prepared by Martin Kayoi, agencies, and effective oversight. The success of Adrian Wells, and Gill Shepherd, September 2006. these reforms also depends on the resolution of ten- sions with the central government over the powers Indonesia’s Forests3 of the province to license community logging. However, the results will benefit both poor peo- Indonesia has approximately 120.4 million hectares ple and forest ecosystems in Papua, not through of forest, the largest area of tropical forest in the tenure change alone, but also through the intensive world. With a high degree of biodiversity, these data gathering, mapping, institutional development forests are also crucial to fulfilling the needs of cur- and integration, and technical redesign that the rent and future generations. For the last three process has generated. decades, forest resources have been the main source of income for the development of the national econ- omy, which has had a positive effect on foreign FORESTS AND LOCAL LAND exchange earnings, national development, and RIGHTS IN INDONESIA regional economic growth. In 2002, for instance, the 62 export value of pulp was US$706.8 million, and Indonesia’s Poverty Reduction US$363 million for all sawn wood. This dynamic Strategy and Land Rights growth, however, has not been without its problems. A key problem has been excessive forest timber Indonesia’s PRSP was finally completed at the end of exploitation as industrial demand began to exceed 2004, in time to influence the preparation of the available supply. Forest destruction is evident by the nation’s Medium Term Plan (RJM) 2004–2009. Of rapidity of deforestation over the last 10 years, special relevance to this case study, the PRSP notes amounting to 1.6 million hectares per annum, or 2.8 that the Basic Agrarian Law No. 5 (1960) has in million hectares per annum over the last five years. many cases been ignored by related sectoral laws and This deforestation is the result of many causes, policies governing forestry, environment, water, and including overcutting and illegal logging, forest mining, severely limiting management opportuni- burning and clearing, occupation, land require- ties for small-scale farmers and fishermen. This is ments for other sectoral development, and poor for- compounded by land policies that have favored land est management. The Ministry of Forests (BPKH) consolidation to facilitate investment, without attempted to address many of these issues in its resolving underlying conflicts over ownership and 2001–04 work plan, but met with little success, use rights. according to its own evaluation. The PRSP calls for consistent application of the Additionally, these challenges have been com- Basic Agrarian Law across natural resource sectors. pounded by the new role of the BPKH since It also calls for acceleration of land titling, and for Indonesia’s rapid decentralization in 1999. While selective land reform and redistribution targeting decentralization has increased the authority of dis- the poor. It highlights the need to institutionalize trict governments, the consequent role of national forms of collective land management for which no bodies and programs remains contested, leading to system of titling currently exists under the Basic added confusion over control and tenure. The Agrarian Law No. 5, and to involve the poor in spa- BPKH has continued to operate on the legal basis tial planning processes.2 afforded by Law No. 41 (1999) on forests, which assumes that forestry matters are basically managed from the central BPKH. But this decree is in conflict with Law No. 22 (1999), the government’s decen- 2. The Basic Agrarian Law No. 5 governs the entire land base of Indonesia, and provides for private ownership (hak milik), tralization decree (recently updated and replaced by as well as six forms of usufruct on land under state control. Law No. 32, 2004). The BPKH has also developed its Regulation 24 (1997) establishes the procedural framework work program for 2005–09 based on the assumption governing these various categories of rights, including cus- that Law No. 41 (1999) on forests is dominant. tomary lands (tanah adat), where these rights existed prior to the enactment of the Basic Agrarian Law No. 5 and state land Some of the deforestation and associated problems (tanah negara). There has been little political will to give noted by the ministry are the direct result of this recognition to customary claims, with the exception of Ministerial Decision 5, 1999, of the Agrarian Department, which established procedures for the grant of private commu- nal land title. This information is drawn from Contreras- 3. This section is based upon the Ministry of Forests Web site Hermosilla and Fay (2005). (www.dephut.or.id) and on Wollenberg et al. (2004). P OV E RT Y A N D F O R E S T S L I N K AG E S contest for forest control—and its associated prof- Poor service delivery in rural areas, weak revenue its—between the center and the districts. management, inequality, and violence give Papua A third problem associated with the dynamic many of the characteristics of a fragile state (DFID growth in the forestry sector is that local people 2005). Much of the current conflict centers on rarely get a share of benefits from their valuable local national policies governing land and natural timber or mineral resources. Land in most forest resources, which effectively override underlying cus- areas is formally under state control, and millions of tomary tenure in an effort to facilitate investment. rural people living on forest lands in the Outer The failure of government to demarcate custom- Islands are, legally, landless squatters. They have no ary rights and land use as the basis for designating security of access to land, a farmer’s most essential forestry and mining concessions has exacerbated resource. Although most people find ways to use vulnerability and social exclusion. It is also a source forest resources to meet their livelihood needs, con- of growing social tension that is, in fact, now under- 63 flicts show that access to forest lands is a problem mining long-term investment by extractive indus- with periodically violent outcomes. In addition, tries. In areas such as Bintuni Bay, forestry land-use there has been little policy effort to invest revenues maps have demarcated virtually no land for com- in human, financial, physical, or natural assets for munity management, but have instead assigned all the long term. Instead, local people have suffered the land either to commercial concessions or to protect- environmental and social consequences of imposed ed areas (figure 4A.2, see appendix). In the absence developments without redress, and policy makers of negotiated land settlements, many concession- have tended to give priority to short-term economic aires are now struggling to provide post hoc compen- gains at the expense of natural forests. sation to customary owners. Whereas customary land tenure had been perceived as an obstacle to growth, the fact that neither investors nor communities are Emerging Opportunities for benefiting from the status quo is leading to growing Change in the Forest Sector consensus within Papua that legal recognition of In the BPKH work plan for 2005–09, there is some customary land systems is now a prerequisite. recognition of the correlation between forests and The granting of special autonomy to Papua poor people, as it lists the economic empowerment province in 2001 presented an opportunity to of forest-dwelling communities as one of its five pri- include rural communities in the management and orities for the period. This is the first time the topic exploitation of the province’s vast natural resource has been listed among the BPKH policy priorities, wealth. Despite delays in implementation, the forest and thus there is evidence of a new awareness that sector is now at the forefront of efforts to secure the ministry has some responsibility for the well- recognition of customary rights, and to develop a being of forest peoples. Nevertheless, given the rela- more just allocation of land and resources under tive power of the natural resource ministries that special autonomy in Papua. No other sector has seen control most of Indonesia’s land area, reform is such a convergence of stakeholders, spanning cus- unlikely without innovation and political pressure tomary communities, unions, industry, and local such as is currently being exerted by stakeholders in government, arguing in favor of legal recognition Indonesia’s easternmost province, Papua. This case for customary land and resource rights. study in the province of Papua, at the extreme end of This case study examines the role of the Papuan the Indonesian archipelago, documents the process Provincial Forestry Office in shaping proposed by which pressure has built from small beginnings to reforms through participatory analyses of customary a real opportunity for change in the forest sector livelihood and land-use systems. These analyses (figure 4A.1, see appendix). clearly showed how the forest sector was exacerbat- ing vulnerability among local communities by tak- ing away secure access to land and resources. The INTRODUCTION TO PAPUA ability of the Provincial Forestry Office to demon- strate a link between endemic poverty, existing law, Papua is typical of many resource-rich regions, and policy governing forest land allocation, and the where high revenues have not translated into opportunities that would come from a more holistic improved welfare for most of the rural population. approach, has been essential in securing central gov- SUMMARY OF C A SE STUDY—INDONESIAN PA PUA ernment buy-in for reform. This case study also stantially dependent on forest resources for subsis- demonstrates the importance of building strong tence and income generation. coalitions at the local level, of linking powerful con- With funding from the Department for stituency-based organizations with key reformists International Development (DFID) Multistake- within government, of both political as well as techni- holder Forestry Programme, the Papuan Provincial cal engagement, and of advocacy grounded in sound Forestry Office in 2004 and 2005 conducted research legal and policy analysis, in order to secure change. in five locations in Papua to assess forest livelihoods and land use. Using redesigned and adapted partici- patory rural appraisal (PRA) tools, the fieldwork FORESTS IN PAPUA— suggested that an average of 40 percent of cash and THE ISSUES AT STAKE 30 percent of subsistence needs are met by forests. Levels of dependency are greater for settlements 64 High Growth, High Poverty nearer to forest areas and further from towns. They also vary with a person’s age and gender. In particu- Papua’s economy is potentially one of Indonesia’s lar, forest dependency is high for young, unmarried fastest growing, enjoying a 10 percent growth rate men not yet entitled to their own agricultural land. for the past 10 years, fuelled by the forestry and min- Cash is of growing importance, and timber consti- ing sectors. While this province provides much of tutes one of the only reliable sources of cash in the timber for wood processing industries in remote areas. Women are generally somewhat less Indonesia, and substantial new investments in oil, dependent on forests (around 30 percent), except in plantation agriculture, and hydro-power are the case of mangrove forests. Generally, women use planned, poverty remains a serious problem. Levels forests for subsistence through the collection of fire- of rural poverty, at around 45 percent, are the high- wood, fruit, and wild vegetables. est in Indonesia, according to national poverty stan- The current system of forest land allocation dards (BPS 2003). One-third of Papuan children do ignores very strong customary tenure systems that not go to school, and 9 out of 10 villages do not have characterize almost all areas of Papua. Though often a health center, doctor, or midwife (DTE 2005). seen as merely collective, these are in fact complex, While over the 1980s, Papua remitted nearly 50 flexible systems of rights and obligations at individ- percent of its total regional product to other parts of ual, family, clan, and tribal levels (Fingleton 2005). Indonesia, the standard of living fell by 15 percent The 1960 Basic Agrarian Law stated that indigenous over the same period (Booth 2000). This decrease law shall be recognized, but only where this does not reflects the policies governing natural resource sec- contradict with national and state interests. tors that have displaced and marginalized local com- Subsequent forest law has consequently construed munities. Proof can be found in national poverty customary rights as an obstacle to the development data which, in 2003, showed that rural poverty rates and sustainable management of forest resources. In in Papua were in fact higher inside the national for- fact, Law 41 (1999) on Forests classifies customary est estate than outside (CESS-ODI 2005). forest (hutan adat) merely as state forest. This is in itself contentious, as the jurisdiction of the BPKH extends only to the regulation and management of Livelihoods and Legal Uncertainty forests, and not to ownership or control over the over Land and Resource Rights issuing of land tenure rights (Contreras-Hermosilla Eighty percent of Papua is designated as national and Fay 2005). forest estate, spanning approximately 39 million The failure to demarcate and give legal recogni- hectares. Fifty-two percent of this constitutes pro- tion to indigenous lands, including the individual duction forest for commercial licensing, while 44 and collective entitlements that flow from tradition- percent is designated for conservation and protec- al law and customs, underpins increasing conflict tion. As national forest estate, this vast land area is between extractive industries and local communi- effectively state land, and none of it has been for- ties. Without formal tenurial recognition, rural mally designated for community management. This communities in Papua possess no clear rights to free is despite the fact that the vast majority of Papua’s and prior informed consent over the allocation of population lives in and around forests, and is sub- customary lands to concessions, or a solid legal basis P OV E RT Y A N D F O R E S T S L I N K AG E S BOX 4.1 Vulnerability to Land-Use Change PRA work by the Provincial Forestry Office Papua, were given title to the land they were allo- demonstrates that, in livelihood terms, access to cated). They also suffered damage to sago plots, land and natural resources cannot be replaced. and agricultural and hunting areas as a result of Without legal certainty over their customary land commercial logging operations and associated and forest management rights, Papuan commu- infrastructure development. nities are therefore at real risk of being made In Bintuni Bay, where company-community poorer by governmental land allocations over conflict has been at its most violent, initial which they have little or no control. assessments by the Forestry Office also pointed 65 In many areas, legal processes for gazette- to a critical lack of institutional mechanisms to ment of forest lands, including boundary delin- guarantee the transparent, fair, and equitable eation in consultation with local communities, distribution of funds and development support have not been undertaken. Nor are there clear under company-community agreements. standards or procedures in place that take ade- Government has shown limited interest in an quate account of community land-use systems. adjudication role: communities have brought In the central highlands, substantial areas of complaints to subdistrict officers without suc- agricultural land, as well as forests on which cess, and have been violently suppressed where communities depend on for small-scale timber they have taken direct action. harvesting, now fall within the boundaries of the Source: Field research carried out by the Provincial Forestry Lorentz National Park. In Jayapura, the commu- Office, with Adrian Wells and Gill Shepherd, 2004 and nity spoke of forced eviction from areas desig- 2005, with the support of the DFID Multistakeholder Forestry Programme (MFP) in Indonesia and World Bank nated for transmigrant settlers (who, uniquely in PROFOR. on which to hold companies accountable for unpaid munities need to be more involved in spatial plan- timber royalties.4 Nor can they seek restitution for ning processes in order to secure a more just damage to their lands as a result of logging and road approach to forest management rights in Papua. building. Previous deliberate attempts to dismantle cus- Contested Decentralization tomary structures and impose others has further weakened the capacity of community institutions to The legal uncertainty faced by rural Papuans has negotiate effectively with the government and been exacerbated by an ongoing struggle between investors. This is especially the case in the lowlands, the provincial and central governments over powers where interaction with the outside world—on very to regulate customary rights in forest management unequal terms—is of long duration. despite the grant of special autonomy to Papua in While many rural Papuans welcome external 2001. Law 21 (2001) on Special Autonomy was a investment, a lack of secure land and resource rights response to political unrest fuelled by land and leaves them highly vulnerable (box 4.1). resource conflict in Papua. The law devolves sub- As the PRSP notes, more attention needs to be stantial powers to the provincial government to cre- given to forms of collective land management for ate, implement, and enforce its own laws. It man- which no system of titling currently exists under the dates the province to increase the welfare of Papuan Basic Agrarian Law No. 5. Furthermore, local com- people through the recognition of customary rights and greater legal certainty for investment, (Article 38, paragraphs 1 and 2). It states that customary 4. The Gubernatorial Decree SK 148, 2004. Concessionaires in communities should have maximum opportunities Papua are required to pay timber royalties to local communi- ties as a form of compensation. These are paid at a set rate per to benefit from community-based economic devel- cubic meter extracted. opment (Article 42, paragraph 4). SUMMARY OF C A SE STUDY—INDONESIAN PA PUA Implementation of special autonomy has, how- province from effectively regulating customary ever, been plagued by national-level “foot-dragging� rights in forests. Critically, the BPKH in Jakarta has since its inception in 2001. In particular, delays in not yet issued Implementing Regulations (PP) gov- establishing the necessary legislative structures, erning decentralization of the sector and customary including the Papuan People’s Council (MRP), have rights under Articles 66 and 67 of Law 41 (1999). prevented the province from passing special region- The ministry has also restricted local government al regulations governing customary rights and natu- powers to license logging operations, other than for ral resource management. It was only in December local community subsistence needs. Customary com- 2004 that the necessary implementing regulation for munity timber harvesting licenses (IPKMAs), issued the establishment of the MRP was issued, and that by the provincial government of Papua in 2002 in work on other enabling special regulations was able response to growing social unrest, were declared ille- to begin. In the meantime, the province remains gal by the minister of forests in March 2005. The dec- 66 subject to the central government’s interpretation of laration effectively criminalized rural communities in Law 41 (1999) on Forests. This has restricted the Papua and left them in a legal vacuum (box 4.2). BOX 4.2 Legal Conflict over Community Logging Rights In 2002, the governor of Papua responded to the (i) the licenses respected provisions of Forest need to ensure that adat (customary rights) Law 41 (1999) and related implementing communities saw a fairer share of forest rev- regulations on customary rights enues, by granting rights for community logging (ii) the provincial authorities were in fact per- (SK 522.2/3386/SET, 2002). The gubernatorial mitted to issue such licenses within the new decree provided for small-scale community tim- legal arrangement on administrative decen- ber concessions, or Ijin Pemungntan Kayu tralization and special autonomy for Papua Masyarakat Adat (IPKMA) of up to 1,000 (iii) the licenses were issued with the specific hectares for a year. Under the governor’s decree, intent of tackling chronic rural poverty, IPKMAs can only be issued to a cooperative and of giving a form of legal recognition to (Kopermas) established by customary legal the claims of customary rights holders. authorities (Lembaga Masyarakat Hukum Adat), as recognized by district heads or their partners The subsequent crackdown targeted officials (private companies or cooperatives). responsible for issuing IPKMA licensing, as well In practice, the areas issued to these as communities in possession of them. Kopermas were much too large for communities The withdrawal of IPKMA permits, without to log independently, and they had to rely on providing a viable legal alternative, was not an alliances with more heavily capitalized logging adequate solution. Instead, Papua province companies. Thus IPKMA licenses were “cap- urgently needed support to improve community tured� by powerful timber syndicates, and local logging as one of the only options currently communities saw only trifling benefits from the available to tackle endemic poverty and conflict. arrangements. Rather than focusing on the legality of IPKMAs, In 2005, “The Last Frontier,� a report by the law enforcement agencies should arguably have UK-based Environmental Investigation Agency, placed more emphasis on the capture and abuse exposed the massive illegal exports of merbau of the IPKMA licensing system by local elites and stems from Papua to China. Responding to the timber syndicates, and worked with the province EIA report, the Ministry of Forests in Jakarta to establish adequate safeguards against this. Key declared IPKMAs in contravention of national individuals involved in these syndicates remain forest law, leaving communities with no clear at large. legal rights to the forests that they manage as Source: DF1D Multistakeholder Forestry Programme customary owners. This was despite arguments (2006). that: P OV E RT Y A N D F O R E S T S L I N K AG E S BOX 4.3 The Search for Social Justice and the Rule of Law: Converging Agendas The Papuan Customary Council (DAP), as a rep- conflict. The association wants clarification of resentative of Papuan communities with strong the powers of the province in forest manage- democratic legitimacy, argues for "the right to a ment, recognition of customary tenure, and a livelihood." At the heart of this is customary land better investment climate for sustainable forest tenure. The DAP is also calling for respect of fun- management and local value-added processing. damental human rights principles of participa- Separately, the governor of Papua has called tion, democratic accountability, equality, nondis- for certification of customary tenure to provide crimination, and the right to a voice in land-use legal certainty for investors; more clarity over 67 decision making, e.g. for the renegotiation of des- whom to compensate for natural resource ignated forest boundaries and functions. exploitation and land-use change; and a better The Papuan branch of the APHI is equally and legally more secure bargaining position for concerned about obtaining legal certainty for its communities (speech of July 5, 2005, to the members. The association argues that the cur- Ecoforestry Forum). rent refusal of the Ministry of Forests to recog- Sources: Personal communication, Maria Latumahina, nize customary ownership within the national DFID Multistakeholder Forestry Programme in Indonesia forest estate is hampering its ability to resolve (MFP). July 2005. AN EMERGING CONSENSUS licenses, and in the face of strong pressure from cus- FOR POLICY REFORM tomary representatives to grant local communities rights in forest management. Drawing on the results of the earlier research by the Provincial Forestry The Coalition for Change Office with community-level PRAs, they tabled a set Ironically, failure to settle indigenous peoples’ land of proposals on sector restructuring and communi- claims has now begun to undermine the very invest- ty-based management. ment that national forest laws have so far sought to Civil society and private-sector organizations secure by overriding customary tenure. According have drawn on these proposals to strengthen their to the Papuan branch of the Association of own advocacy. Through their constituencies, they Indonesian Forest Industries (APHI), the high cost have gained the political support of the Provincial of tackling escalating conflict is discouraging long- Parliament and Commission IV of the National term investment in sustainable forest management Parliament responsible for natural resources, as well and related value-adding local processing. Rural as the attention of the president’s office. By high- communities, industry, and the provincial authori- lighting the withdrawal of IPKMA licensing rights as ties are, therefore, beginning to work toward a com- an example of the failure to implement special mon cause (box 4.3). Rural Papuans want to own autonomy, they have made an explicit link between and manage their forests themselves, and industry the resolution of community forest management wants less conflict. The withdrawal of community rights and the future political stability of Papua. logging rights by the BPKH in March 2005 only While initially the BPKH offered no alternative served to galvanize this coalition of interests. The to its suspension of IPKMAs, political pressure from provincial government in Papua is prepared to meet Papuan stakeholders encouraged the ministry to demands both to increase welfare, and to create a engage more closely in identifying options for more secure investment environment in Papua. reform. On August 19, 2005, the minister mandated The Provincial Forestry Office has taken a lead- a joint task force of provincial and ministerial repre- ing role in spearheading dialogue with the central sentatives to identify a workable alternative to government in response to attempts to override its IPKMA. Tasked with reporting back to the minister authority in the issuance of community logging at the end of March 2006. this has constituted an SUMMARY OF C A SE STUDY—INDONESIAN PA PUA important opportunity for Papuan stakeholders to able forest management and poverty reduction, consolidate and promote their own agenda for for- which are: est-sector reform in the province. (i) a more just allocation of forest resources between communities and large-scale com- THE MULTISTAKEHOLDER mercial concessionaires, including the alloca- POLICY AGENDA IN PAPUA tion of areas for direct community manage- ment, based on participatory mapping of Papuan stakeholders are essentially calling for regis- customary lands tration of collective title over clan territories by the (ii) clarifying the rules for forest management, National Land Agency. Since most of Papua’s rural including more appropriate provision for population depends on the rights and obligations small-scale community logging, and clearly 68 that flow from customary tenure, there is a strong defined rights and responsibilities with respect rationale for working with, as opposed to supplant- to compensation and community development ing, customary land governance (box 4.4). in areas assigned to external investors As steps toward this, Papuan stakeholders have (iii) institutional support, including recognition of identified three sets of priorities to achieve sustain- customary and village-level decision-making BOX 4.4 Customary Land Tenure—A Viable Basis for Growth and Poverty Reduction? The case for upholding customary land tenure, would otherwise have enjoyed. He shows how as opposed to private individual rights, lies in the agricultural productivity in Papua New Guinea ability of these systems to provide community has increased under customary tenure, but members with secure access to farmland and declined where private titles have been issued. natural resources, as well as an institutional Fingleton argues that customary land sys- framework to resolve disputes. tems are sufficiently flexible to guarantee a flow PRA work by the Provincial Forestry Office of benefits to local communities, and that safe- showed that, far from constituting open-access guards could be introduced through a two-tier areas, customary territories in fact consist of registration system, with ownership accorded nested rights and responsibilities at individual, under group titles, and leases granted to individ- family, clan, and tribal levels. These are defined ual users. This is likely the most viable option for in oral history and regularly reconfirmed in future land registration in Indonesian Papua, exchanges of goods between communities and whereby authority for determining and adminis- individuals. Not only are such systems extreme- trating individual rights under a collective clan ly resilient, but they are also highly flexible, title would rest with customary institutions. allowing individuals to enjoy a wide range of pri- Community consultations by the Provincial mary and secondary rights that reflect and sup- Forestry Office in Indonesian Papua do, howev- port diverse, risk-averse livelihood strategies. er, highlight some significant challenges facing Helen Hughes (2004), referring to Papua customary tenure. Among others, customary New Guinea argues that secure investment and institutions have in some places been weakened business development require the supplanting of by previous attempts by government to disman- customary tenure by private individual titling. tle traditional leadership. Processes to give legal She believes that this will simplify arrangements recognition to customary tenure in Indonesian for purchase and enable individuals to save and Papua will need to take careful account of such raise capital. This view has been opposed by issues. Fingleton (2005), arguing that it could mean Sources: Field research carried out by the Provincial individual community members losing impor- Forestry Office, with Adrian Wells and Gill Shepherd, 2004 tant land and resource entitlements that they and 2005; Hughes (2004), Fingleton (2005). P OV E RT Y A N D F O R E S T S L I N K AG E S BOX 4.5 Participatory Mapping—Staking Out Customary Management Space A consortium of Papuan civil society and local the existing land-use and resource potential government partners, with the support of the within their mapped territories for community- DFID MuItiStakeholder Forestry Programme, based forest management and external invest- have been working to map customary territories ment. They also wish to map the internal bound- and land-use systems. The process has received aries between clans within each customary technical support from the local planning unit of territory, to provide a basis for benefit sharing. the BPKH. A new methodology for large-scale The communities also hope to assess potential mapping, combining satellite imagery with land requirements 20 to 30 years into the future 69 ground-level sketch maps, has greatly increased (to take account of population growth) and, if the speed of the process, as well as the level of necessary, to make new agreements over the community participation. internal allocation of land and resources to In Jayapura, two participatory maps are now anticipate future needs and avoid conflict. complete: Kemtuk (100,000 hectares) and In Jayawijaya, local stakeholders plan to eval- Nambluong (57,000 hectares), and four more uate existing land-use and resource potentials are in the pipeline. In Jayawijaya, mapping of the within mapped areas of the Lorentz National Lorentz National Park Buffer Zone has begun in Park Buffer Zone. This will provide input to the Baliem Valley, and will shortly be expanded boundary negotiations and zonation of the to areas around Wamena, under the leadership national park. It will also enable local communi- of the District Forestry Office. The communities ties to make the case for small-scale community in these areas see participatory mapping as a logging, as a component of the national park's political tool for protecting their social, econom- management plan. ic, and cultural rights, and their customary terri- Source: Field research carried out by the Provincial Forestry tories. They also see it as a process leading to Office, with Adrian Wells and Gill Shepherd, 2004 and more participatory planning, and to fairer and 2005, funded by the DFID Multistakeholder Forestry more equitable compensation. Programme (MFP) in Indonesia and World Bank In Kemtuk and Nambluong, with mapping PROFOR. complete, the communities are eager to assess structures; support to community economic noncontentious ways in which they might be used. institutions; stronger vertical integration The process of recalculating forest potential draws between community-based producers and on participatory mapping and on the resource small- and medium-scale processing industries; inventories of customary territories (box 4.5), and and strengthening of the regulatory and service will work with customary land owners to distinguish provision functions of local government. those areas best suited to large-scale investment from those best managed by communities directly (e.g. for small-scale logging). It is a way of reconcil- TOWARD A NEW WAY OF ALLOCATING ing customary tenure with the forest land-use FOREST RESOURCES boundaries and management categories designated by government. For those areas assigned to large- Recalculating Forest Potential scale investment, the process will also help clarify to whom investors must pay compensation in The Provincial Forestry Office is in the process of respect to underlying customary rights. Short of “recalculating forest potential.� This means opti- titling customary lands, an action which lies out- mizing the economic, environmental and social side the remit of the Provincial Forestry Office, potential of individual forest management units such a process gives practical recognition to indige- (KPH) by judging the most positive, productive, and nous tenure. SUMMARY OF C A SE STUDY—INDONESIAN PA PUA The need to recalculate forest potential is espe- KPH as a Framework for Land Reallocation cially urgent given the lack of reliable data on com- mercial forest potential in the province. Planning The ministry has identified the allocation of KPH as decisions are currently based on satellite imagery a priority for the current administration. The estab- and very limited ground estimation of standing tim- lishment of KPH is specified in Article 17 of Law 41 ber volumes, but is very weak on other forest values (1999) on Forests, as well as in PP 34 (2002) on for- (such as non-timber forest products (NTFPs) and est management (undergoing revision) and 44 environmental values). No account is taken of cus- (2004) on forest planning. The intention is to tomary ownership or forest use for agriculture, hunt- devolve management authority to the lowest possi- ing, forest foods, or sources of cash. This has led to ble level, and to intensify service provision to con- complaints from industry that many concession areas cessionaires and local communities within each (as currently designated) are uneconomic to log. management unit. The allocation of KPH must take 70 Companies often struggle to meet projected cutting into account ecological, social, and economic fac- targets given lower-than-expected standing volumes tors, as well as administrative boundaries and local and escalating conflict with local communities. communities. As a first step, the Provincial Forestry Office has The Provincial Forestry Office sees this as an undertaken a preliminary technical analysis of 69 important opportunity, as it provides the frame- timber concessions, some as large as 600,000 work within which to systematically delineate areas hectares. This proposes the excision of areas with for large-scale investment, conservation, and direct limited potential for industrial timber extraction community management as distinct territorial units. (e.g. due to steep terrain).5 The Forest Office hopes Of particular relevance is the guidance to Article 17 to excise areas with greater potential for direct com- of Law 41 (1999) on Forests. This envisages the munity management, subject to mapping and over- development of separate community forestry man- lays of customary land use and ownership. This agement units (KPH-HKMs) within the national would leave more compact, economically viable forest estate. These would constitute subunits with- units for future investment, while also securing in larger, watershed-based KPH. management areas for local people. Crucially, Law 41 (1999) conceives of KPH as The intention is to apply the same approach to organizations with responsibility for long-term other forest management categories, including con- management. In the context of KPH-HKMs, this has servation areas. To this end, the Forest Office’s the potential to grant communities management recent PRA assessments have begun to identify basic authority commensurate with customary owner- criteria for reallocation of forest boundaries. These ship. This is of major significance to communities in include assessment of customary land use, which in Papua who, so far, have been perceived as mere some areas consists of clearly defined agricultural licensees on state land. The Provincial Forestry and forest-use zones, as well as the specific liveli- Office is therefore proposing the allocation of KPH- hood needs of vulnerable groups, including women HKMs as distinct territorial entities, and as a possi- and young, unmarried men (e.g. secure access to ble replacements for one-year IPKMAs. This offers a NTFPs and small-scale logging opportunities). solution to two significant failures of the IPKMA Another criterion is the requirement to leave suffi- licensing system. First, the lack of spatial criteria to cient land in reserve for future agricultural expan- guide the allocation of IPKMAs resulted in overlaps sion (in light of population growth and the growing between community logging on the one hand, and importance of cash crops such as cocoa). These cri- large-scale investors and protected area authorities teria will provide the basis for technical and imple- on the other. Instead, KPH-HKMs are based on the menting guidelines to support negotiated land-use prior demarcation of areas best suited to communi- planning. ty management. Second, whereas one-year IPKMAs offered no incentive for sustainable forest manage- ment, KPH-HKMs offer sufficient security for long- term investment. To date, the BPKH has designated 77 KPH in 5. Pemerintah Provinsi Papua Dinas Kehutanan, (2003) Penyusunan Model Pembangunan Hutan Produksi Alam Papua, which are based on key watersheds, and Provinsi Papua, Pt. Alas Consultants. cover some 21 million hectares. However, no P OV E RT Y A N D F O R E S T S L I N K AG E S attempt has been made within each unit to differen- of community logging will depend on institu- tiate areas for direct community management from tional capacity building. those for large-scale investment. Nor has the institu- ■ Simplify administrative and technical licensing tional mechanism for managing the units as yet been criteria for community logging licenses by elimi- defined. The Papua Provincial Forestry Office nating the substantial upfront costs imposed on intends to establish watershed management bodies large concession companies (such as the require- for each of these KPH, to act as regulatory structures ment for a bank deposit, the need for applicants and service providers under local government to cover the costs of initial surveys by govern- authority. The Forestry Office proposes that these ment officials, and a highly complex manage- incorporate representatives of customary land ment plan). groups to oversee land allocation, licensing, and ■ Limit licensed areas and timber volumes to what company-community partnerships. Additionally, it local communities are capable of managing sus- 71 proposes to subdivide each forest management unit tainably. into large- and small-scale territorial units for exter- ■ Organize subsidies or access to credit to cover nal investment and direct community management startup costs to prevent the capture of communi- respectively, including for KPH-HKMs. This would ty logging systems by external syndicates. build on the province’s own preliminary assessment of 69 concession areas, as well as on the participato- Building on these suggestions, the Papua ry mapping of customary territories and land use Provincial Forestry Office is developing possible sce- that has already taken place. Papua thus offers a narios for community logging under KPH-HKMs. practical vision of how a more equitable form of for- Drawing on experience with portable sawmills in est management unit land allocation (KPH) might Papua New Guinea (PNG) and the Solomon Islands, operate in practice, whereas no clear concept yet (box 4.6), the Forestry Office envisages KPH-HKMs exists at the ministerial level. of up to 1,500 hectares, managed under cutting cycles of 30 hectares per year over 35 years. This is significantly less than the huge 1,000 hectare-per- CLARIFYING THE RULES FOR FOREST year areas previously licensed as IPKMAs. However, MANAGEMENT RULES FOR KPH-HKMs further planning is needed to reconcile the extensive nature of “ecoforestry� in PNG and the Solomons, A review of the IPKMA system by the Papua with the more intensive management objectives of Forestry Office in 2004 concluded that there should the Indonesian selective cutting system (TPTI) as be a stronger legal basis for community logging, and currently applied to production forest. an improved model for community logging, includ- “Ecoforestry� maintains standing timber volume by ing changes to the size of areas licensed, in order to cutting below the mean annual increment in any allow for selective logging and rotation, as well as one year. TPTI, in contrast, removes all standing strengthened management criteria. During the volume of at least 50 centimeters in diameter within course of PRA work with communities in Jayapura any one cutting block, which is then, in principle, and Bintuni Bay, more specific improvements were left for 35 years or replanted with different species. identified that KPH-HKMs will need to address if they are to provide a workable alternative. These Rules for Large-Scale Investors improvements include the need to specify manage- ment criteria for selective cutting by communities Stakeholder discussions facilitated by the Provincial that factor in the existing customary regulations on Forestry Office made it clear that the territorial sep- forest management that bind community members aration of community and commercial management internally, and that fit with government regulations. areas within large watershed-based management Preliminary assessment suggests that this would not units (KPH) should not diminish customary rights. be difficult. Customary land owners will therefore retain the Other improvements include the need to: right to participate in all decisions of the watershed management authority. Underlying customary ■ Support customary institutions as a source of tenure would therefore still be binding on areas management authority. The successful licensing assigned to large-scale investment. This will include SUMMARY OF C A SE STUDY—INDONESIAN PA PUA BOX 4.6 A Scenario for a KPH-HKM Assuming an average standing timber volume of assumes that a financially viable community 20 cubic meters per hectare of 50 centimeters Lucas mill operation requires a minimum of 750 and up, and the processing capacity of a portable cubic meters of round wood, with an output of 3 Lucas mill at 1.2 cubic meters sawn timber per to 5 cubic meters per day of operation. day, or 600 cubic meters of round logs per year, Nevertheless, this is still very manageable in con- the Papua Forestry Office estimates that a KPH- trast to the IPKMA system. HKM would support a harvesting rate of 200 72 Sources: Presentation of the Papua Forestry Office head to trees, or 30 hectares, per year on a 35-year cut- the Minister of Forests, August 19. 2005. Personal ting cycle. This would require an area of 1,050 communication Grant Rosoman and Patrick Anderson, hectares, or 1,500 hectares (assuming a 70 per- Greenpeace. July 2005. cent effectiveness rate). In fact, Greenpeace continued security of access for hunting and gather- authorities. In this respect, the experience of the ing (which cannot easily be replaced in livelihood NGO Yayasan Bina Adat Walesi (YBAW) in the terms), and compensation for resources extracted. Baliem Valley, central highlands, has convinced the While current arrangements for the negotiation, Provincial Forestry Office of the role of traditional delivery, and oversight of compensation and com- leadership in mediating development processes, and munity development require a substantial overhaul, of the potential for treating community-based land there is an emerging body of good practice to draw and forest management as an integral component of on that can help to shape future policy. For instance, the management plan for the Lorentz National Park. the PT. Bintuni Utama Murni WI concession in Reforms to forest management proposed by the Bintuni Bay is working with community leaders to Provincial Forestry Office do, however, envisage develop a rotating scheme for distribution of bene- community institutional support at a scale greater fits among villages. Equally, the proposed realloca- than has hitherto been possible. The establishment tion of forest lands will not diminish the rights of of the Papuan Civil Society Support Foundation concession holders with valid licenses, and they will (PCSSF) in 2006, as an umbrella fund for delivery of retain the right to refuse proposed changes to con- small grants to community groups, is a major step cession boundaries. In fact, the Papuan branch of forward. The intention is that the PCSSF will work the APHI is strongly supportive of the reallocation as an intermediary in coordinating and channeling process. government and donor investment in community development and civic engagement, including through the development of community learning INSTITUTION BUILDING centers. Strengthening the Role and Inclusiveness of Building Vertical Integration Community Institutions between Community Producers and the Private Sector Customary authorities and their legitimate repre- sentative organizations at district and provincial lev- There is broad agreement in Papua that the forestry els have a vital role to play in establishing internal sector needs restructuring, and this goal aligns well rules for conflict resolution and resource manage- with national-level policy on revitalizing the pro- ment, and in providing effective oversight of com- ductive sectors (forestry, fisheries, and agriculture). munity economic activities. Support for the devel- Reallocating the forest estate between large-scale opment of community economic institutions can be and community-based forest managers has implica- a useful means of revitalizing the role of customary tions for the scale and form of timber production. P OV E RT Y A N D F O R E S T S L I N K AG E S With the support of the APHI, the Provincial Community-level consultations by the Papua Forestry Office hopes to link forest land reallocation Forestry Office also highlighted the need for a clear with a comprehensive review of processing capacity and consistent allocation of roles for support and within the province. This will aim to enhance sus- monitoring of community-based forest manage- tainability and local value-adding capacity. ment between the provincial and district levels. There are some complex issues to be addressed Finally, the macro-micro distribution of functions that arise from the fact that, whereas current indus- between province, districts, and the communities trial capacity is largely geared to exports, urban themselves remains poorly defined, and is signifi- growth within Papua is almost entirely dependent cantly underresourced regarding service provision on informal timber supplies from local communi- and monitoring. District governments need to ties. Large-scale industrial capacity will require sub- develop more effective service delivery systems with stantial rationalization in order to be able to deliver communities, focusing on regulatory and policy 73 a sustainable supply of raw material from redesig- frameworks for integrating community land-use sys- nated concession areas. There will also need to be tems and designated forest boundaries and functions. greater emphasis on linking KPH-HKMs with enhanced small- and medium-scale processing, tar- More Effective Service Delivery geting local markets. But linking KPH-HKMs with Systems at the District Level local business also demands adequate safeguards to prevent “capture� of community production by In practice, responsibility for participatory mapping external interests, as in the past. and support to community logging systems will fall The PRA research work done by the Papua to the district level. This will require substantial Provincial Forestry Office raised the need for bind- resources, including funding and personnel. This ing legal agreements between community producers could be achieved through reassignment of excess and private-sector partners, which would set out the capacity within the Provincial Forestry Office to dis- rights and responsibilities of each party. However, trict forestry offices. This is currently being consid- the Forestry Office would need to be consulted ered by the provincial forestry head. It will also before any such agreements could be legally con- require the district to play a more proactive role in cluded. Additionally, there is a need for the active community institutional strengthening, bringing it involvement of customary institutions in facilitating to a point where it is able to plan, manage, and and overseeing agreements. engage with the government and the private sector. This entails working across sectors at the district level, linking forestry extension with delivery of Repositioning Government other basic services, including infrastructure devel- opment, health, and education. Distribution of Roles and Responsibilities among Government Levels Focusing on Policy Setting, Regulation, and Monitoring at the Provincial Level Restructuring the Papuan forestry sector involves a repositioning of government. The redesignation of The province has been proactive in creating a policy KPH implies a transfer of key management func- framework for restructuring the Papuan forestry tions to communities and to the private sector sector. The priorities for the Papua Forestry Office which, within the national forest estate, are current- are now: ly regarded only as licensees. Devolving manage- ment functions to communities and the private sec- ■ to secure an enabling legal framework for these tor requires government to play a more strategic role policy objectives, through support to the in policy setting and regulation, as well as in facilita- Provincial Parliament in formulating provincial tion, service provision, and monitoring. This makes regulations under special autonomy to regulate it all the more important that the distribution of reg- customary rights and resource management. ulatory and administrative authority for forests Another priority is to work with the BPKH to between central and regional governments in general, clarify the devolution of management authority and under special autonomy in particular, is clarified. within the framework of KPH. SUMMARY OF C A SE STUDY—INDONESIAN PA PUA ■ to establish suitable criteria for forest allocation, regulation, or “Perdasus,� requiring the approval of licensing, management, company-community Papua’s highest legislative body, the MRP. partnerships, and workable mechanisms for The proposed special regulation on sustainable monitoring practices in the field. This could forest management translates relevant provisions of include piloting the allocation and management Law 41 (1999) on Forests into the special autonomy of new KPH. context. It mandates the redesignation of the forest ■ to develop guidelines and adequate resources for estate, based on participatory mapping of customary implementation by the districts; including territories, including the constitution of KPH- (where possible) new budget lines under the HKMs. These will vest rights and responsibilities in Special Autonomy Fund, as well as fiscal reform customary authorities as long-term forest managers. of the forest sector to enable investment of This will include the preparation of management Rehabilitation Funds and other forest-based plans, as well as oversight of small-scale logging 74 income streams for key activities, including par- operations. Safeguards are proposed to prevent ticipatory mapping of customary lands. external capture of KPH-HKMs, as happened with the previous system of one-year IPKMAs. This, in turn, will require the active involvement The draft regulation on sustainable forest man- of other provincial-level institutions, including the agement also contains a number of important guar- Provincial Parliament. In addition to legislative antees of the rights of customary communities: functions, this body is responsible for public over- sight of provincial executive agencies, and for ensur- ■ First, it requires disclosure (including prior ing that forest-sector revenues are adequately rein- notice) of public decisions affecting land and vested in service delivery to communities living in resource allocation. and near forest areas. ■ Second, since there is currently no effective forest sector umpire in Papua, the special regulation mandates an ombudsman for investigation of The BPKH as a Standard Setter public complaints, an independent auditor of Devolution of regulatory and administrative author- forest-sector operations, as well as third-party ity for forest management to the provincial govern- arbitration. ment of Papua has important implications for the ■ Third, in empowering customary owners as for- future role of the BPKH in Jakarta. A new focus on est managers, the draft regulation mandates the its function as a standard setter for sustainable forest creation of a forest management association management would include providing technical and composed of customary authorities, through financial support to regional governments in the which to channel technical support and capacity application of criteria and indicators for forest man- building. agement, as well as in forest mapping, monitoring, ■ Finally, in a bid to enhance economic opportuni- and verification. ties for customary communities in value-added processing, the proposed special regulation envisages a cap on log exports, as well as on large- ENABLING LEGISLATION scale processing capacity. The Provincial Forestry Office and other Papuan The proposed special regulation can, however, stakeholders are now hoping to secure a legal man- only regulate aspects of forest management that date to pursue the proposed reforms. Law 21 (2001) relate to provisions of Law 21 (2001) on Special on Special Autonomy mandates the development of Autonomy, on the protection and economic PP for the protection of indigenous rights and the empowerment of customary law communities. In all economic empowerment of customary communi- other aspects of forest-sector planning and manage- ties. Work has also begun on the development of a ment, the regulation gives way to Law 41 (1999) on draft regulation on sustainable forest management Forests, Law 32 (2004) on decentralization, and based on customary law communities. In line with related implementing measures. The draft special Law 21 (2001), this will constitute a special regional regulation on sustainable forest management went P OV E RT Y A N D F O R E S T S L I N K AG E S out for public consultation in May 2006. At the time continued pressure from local communities them- of writing (August 2006), the draft had received the selves. This requires legal rights education at the backing of the governor of Papua and is also being grassroots level, to raise awareness of the provisions examined by the minister of forests regarding its of the special regulation and the opportunities it compatibility with Law 41 (1999) on Forests. presents to secure local peoples’ rights. Ongoing efforts by Papuan civil society groups to enhance transparency in public expenditure management are CONCLUSIONS AND THE FUTURE essential in securing these commitments. Finally, the success of the proposed special regu- Papuan stakeholders have developed a radical lation on sustainable forest management requires reform agenda within the forestry sector in response the continued support and engagement of the cen- to years of conflict. The Provincial Forestry Office tral government. This needs intensive facilitation in 75 has been a key agent of change in defining the poli- two important respects. cy agenda for sector reform and in developing First, following the withdrawal of IPKMAs by the enabling legalization. Community-level consulta- BPKH, the powers of the province to license com- tions, funded by the DFID Multistakeholder munity logging remain contested. This is currently Forestry Programme, and with additional technical the subject of intensive negotiations as the ministry assistance from the IUCN Commission on works to revise the principal implementing regula- Ecosystem Management (CEM), proved to be an tion under Law 44 (1999) on Forests. Resolution of important catalyst in shaping proposed reforms. this issue requires continued advocacy on the part of This support of central government (in particular Papuan civil society representatives, as well as efforts the designation of a joint ministerial-provincial task to build trust and reassurance in the capacity of the force) in large part reflects the ability of Papuan civil provincial administration. It may also require judi- society, as well as reformists within the provincial cial interpretation of existing laws and regulations administration, to table technically credible alterna- on forests, decentralization, and special autonomy, tives to existing laws and policies governing forests. and how these may be read together. It also reflects their ability to mobilize the political Second, while the proposed special regional reg- support of powerful, constituency-based organiza- ulation mandates the mapping of customary territo- tions with the potential to affect outcomes on the ries, it cannot confer a title for land. Land adminis- ground (e.g. the DAP, the Woodworkers Union tration remains under the authority of the National (SP), and the APHI). The commitment in the PRSP Land Agency (BPN), and the land register does not for consistent application of the Basic Agrarian Law currently accommodate customary claims. The across all sectors can reinforce these reforms. BPKH’s Land Tenure Working Group is currently Crucially, this coalition of actors is beginning to supporting efforts to secure legal recognition of cus- overturn existing assumptions that indigenous land tomary maps in Genyem (Jayapura), but while this governance must necessarily be swept aside to facil- may be an important step toward registration of cus- itate growth. Instead, they have successfully argued tomary title, it does not provide the same level of that the demarcation and registration of customary security. Reforming the registration system means tenure and land use is essential to poverty reduction, working beyond the BPKH to engage the National sustainable forest management, and a more secure Land Agency, the National Land Commission, and investment environment. The support of the major National Parliament. logging companies demonstrates that corporate The agenda is ambitious, and the importance of social responsibility (of growing importance in continued dialogue between the central government Papua) must necessarily extend beyond site-based and stakeholders on the ground highlights the need management to corporate support for broader for long-term commitment. But failure comes at the structural reforms. cost of a growing sense of social and economic The challenge now is to maintain this momen- exclusion among rural communities, worsening tum, and to complete and implement the proposed political violence, and the certain knowledge that special regional regulation on sustainable forest Papua’s forests will be managed badly and will dis- management based on customary law communities. appear with the rapidity of other forests in The political will to do so ultimately depends on Indonesia. SUMMARY OF C A SE STUDY—INDONESIAN PA PUA REFERENCES DFID Multistakeholder Forestry Programme. 2006. Whose Rule of Law? Forest Law Enforcement and Community Logging Rights in Indonesian Papua. BPS (Biro Pusat Statistik). 2003. Kemiskinan London. Propinsi dan Kabupaten. DTE (Down To Earth). 2005. Down to Earth 68 Booth, A. 2000. The Current Regional Crisis in (February). Indonesia: Were Economic Policies to Blame? Fingleton, J. ed. 2005. “Privatising Land in the Pacif- London: University of London School of Ori- ic. A Defence of Customary Tenures.� Discus- ental and African Studies. sion Paper Number 80, The Australia Institute. CESS-ODI (Centre for Economic and Social Stud- Hughes, H. 2004. “Can Papua New Guinea come ies-Overseas Development Institute) 2005. back from the brink?� Issue Analysis Number “Links Between Forests and Poverty in Indone- 49, The Centre for Independent Studies. NSW, 76 sia. What Evidence? How Can Targeting of Australia. Poverty in and near Forests be Improved’?� For Pemerintah Provinsi Papua Dinas Kehutanan. 2003 DFIID Multistakeholder Forestry Programme, Penyusunan Model Pembangunan Hutan Pro- Briefing Paper II. duksi Alam Provinsi Papua, Pt. Alas Consultants. Contreras-Hermosilla, A., and C. Fay. 2005, Wollenberg, E., B. Belcher, D Sheil, S Dewi, M. Moe- Strengthening Forest Management in Indonesia liono. 2004. “Why are Forest Areas Relevant to through Land Tenure Reform, Forest Trends. Reducing Poverty in Indonesia?� CIFOR CIFOR: Bogor, Indonesia Forests and Governance Programme, Gover- DFID (UK Department for International Develop- nance Brief No. 4. Bogor, Indonesia. ment). 2005. Why We Need to Work More Effec- tively with Fragile States. London. P OV E RT Y A N D F O R E S T S L I N K AG E S APPENDIX FIGURE 4A.1 Indonesia 77 Source: Copyright MapQuest.com. Note: The central government, including the Ministry of Forests and others, is located in the capi- tal Jakarta, on Java. The main focus of this case study is Western Papua, at the extreme eastern end of the Indonesian archipelago. FIGURE 4A.2 West Papua Source: Map taken from www.papuaweb.org. Note: The map shows Wamena in the highland Baliem Valley (Jayawijaya District), the coastal region of Jayapura at the extreme eastern end of the province, and Babo, Bintuni, near the neck of the Bird’s Head western area, in Manokwari District. SUMMARY OF C A SE STUDY—INDONESIAN PA PUA CHAPTER FIVE Summary of Case Study—Guinea 79 EXECUTIVE SUMMARY inclusion of forest-poverty linkages into PRSPs and poverty into NFPs. Natural resources in general are major sources of Although the sample is small in this study, the wealth and power in West Africa.1 Additionally, results indicate that forests and forest products do large percentages of people in such countries as provide a source of both income and nutrition, at Guinea continue to use trees and their products as different levels, for rural people and groups in the important sources of fuel, medicine, food, and fod- study zone, although the division of the flow of rev- der. Forests can be important sources of products for enue or its use by the surveyed population is not domestic consumption and generation of income by clear. The study zone provides sufficient evidence the rural population. However, there are few data on that forests and forest products help sustain local how forests and their products contribute to livelihoods, but not enough (at least in this particu- improving the livelihoods of poor households. lar example) to “lift� people out of poverty. No spe- This case study examines the importance of cific “success stories� are identified (principally due forestry and forest products in Guinea at two levels: to time and human resource constraints); however, first, in the country’s Poverty Reduction Strategy examples exist in which forest products play a larg- Paper (PRSP) as well as its National Forest Program er than normal role in alleviating poverty, even (NFP) and, second, in a number of rural villages in though they clearly do not serve as a driving force in a preselected zone to determine the importance of this respect. forests to the livelihoods of local populations. The This study demonstrates that people’s willingness overall objectives of this and the several other case and ability to involve themselves in forest manage- studies executed under the Program on Forests ment and production activities clearly is related to (PROFOR) are to demonstrate the importance of their need for forest products (whether for revenue forests in improving the livelihoods of the rural or subsistence), as well as their access to, and the poor and ultimately, through development of a availability of, those resources. Other factors that PROFOR poverty toolkit, to facilitate appropriate determine the level of participation in forest man- agement and collection of forest products include infrastructure, markets and market access, policies, 1. The original case study was prepared by Winrock International, including Chris Kopp and Boubacar Thiam, and the ability to create sound and transparent September 2005. enterprises. INTRODUCTION BACKGROUND Interest is growing in the role that forests can play in Guinea, located in West Africa, is bounded on the alleviating poverty and reducing the vulnerability of north by Guinea-Bissau, Senegal, and Mali; on the the poor to household, economic, and environmen- east and southeast by Côte d’Ivoire; on the south by tal shocks. In particular, the importance of two pol- Liberia and Sierra Leone; and on the west by the icy instruments, PRSPs and NFPs, are considered to Atlantic Ocean (figure 5.1). Covering an area of be effective means of promoting policies, programs, 245,857 square kilometers, the country’s geography and projects that help poor families benefit more is generally flat along the coast and mountainous in from forests. PRSPs have become the main mecha- the interior, with four geographic regions: a narrow nism for governments in least-developed countries coastal belt (Lower Guinea); the pastoral Fouta 80 and some middle-income countries for defining Djallon highlands (Middle Guinea); the northern budget and policy priorities and discussing those savannah (Upper Guinea); and a southeastern rain priorities with the international community. NFPs forest region (Forest Guinea). The Niger, Gambia, play similar roles regarding forests. and Senegal rivers are among the 22 West African To the extent that PRSPs fail to incorporate for- rivers originating in Guinea, primarily in the Fouta est-related issues, these issues are unlikely to get the Djallon highlands. Forest area (including savannas attention that they deserve in national efforts to and woodlands) totals approximately 13,186,000 reduce poverty and vulnerability. Several reviews of hectares, or roughly 53 percent of the total land area. PRSPs and interim PRSPs to date have found that, A chain of eroded mountains running southeast and although an increasing numbers of these papers south from Senegal and Mali crosses the country refer to forests and forestry, these references tend to toward Sierra Leone, Liberia, and Côte d’Ivoire. The be rather superficial. Little analysis is undertaken on northern part of this chain reaches an altitude of 1,500 the role that forests currently play or could play in meters in the Fouta Djallon Mountains in Guinea. rural livelihoods, nor on the measures required to Guinea’s principal rivers are the Bafing (the capture that potential. Efforts to monitor PRSP upper course of the Senegal) and the Gambia, both implementation have not reflected the full potential of which rise in the mountains of the Fouta Djallon contribution of forests. No similar reviews have and flow northeast. Many smaller rivers rise in the been done on the extent that NFPs have taken up Fouta Djallon and descend to the coastal plain, issues related to poverty reduction; however, anec- dotal evidence suggests that these aspects have also FIGURE 5.1 been weak in most NFP processes. Map of Guinea The overall objective of this case study for Guinea is to demonstrate the importance of forests to improving the livelihoods of the rural poor, and ultimately to facilitate appropriate inclusion of for- est-poverty linkages into PRSPs and poverty into NFPs. Specifically, the principal contributions that forests and forest products make to the livelihoods (both subsistence needs and generation of income) of the local population in the survey zone (Sinćery- Oursa Classified Forest) are identified. In addition, the effects these benefits may have on conservation efforts and reducing rural poverty are considered, along with the constraints on local populations to increasing their dependence on and income from forests. This case study also will highlight the role that forests play in the PRSP for Guinea, and suggest areas for further improvement in integrating forests into the poverty agenda. Source: CIA Factbook. P OV E RT Y A N D F O R E S T S L I N K AG E S where they divide into many branches. The Niger undetermined quantities of uranium. Guinea has and its important tributary, the Milo River, origi- considerable potential for investment and growth in nate in Upper Guinea. the agricultural and fishing sectors, but Guinea’s According to the 2002 census, Guinea’s popula- poorly developed infrastructure and rampant cor- tion, including refugees (mainly from Liberia and ruption continue to present obstacles to large-scale Sierra Leone, and foreign residents (mostly Lebanese, investment projects. Joint venture bauxite mining French, and other Europeans), is 8,444,559. The and alumina operations in northwest Guinea pro- population of Conakry is 2 million. The annual pop- vide about 80 percent of Guinea’s foreign exchange. ulation growth rate is 3.5 percent. Guinea has four The Guinean government adopted policies in the main ethnic groups, of which the Peuhl (Foula or 1990s to return commercial activity to the private Foulani), Malinké (or Mandingo), and several small sector, promote investment, reduce the role of the groups (for example, Gerze, Toma) live in the forest state in the economy, and improve the administra- 81 region. Seven national languages are used extensive- tive and judicial framework. However, corruption ly. Major written languages are French, Peuhl, and and favoritism, lack of long-term political stability, Arabic. See box 5.1 for more information on popu- and lack of a transparent budgeting process contin- lation characteristics in Guinea. ue to dampen foreign investor interest in major projects in Guinea. In 2002, the IMF suspended Guinea’s Poverty Government, Political, and Reduction and Growth Facility because the govern- Economic Conditions ment failed to meet key performance criteria. In Guinea is a constitutional republic in which effective reviews of this facility, the World Bank noted that power is concentrated in a strong presidency. The Guinea met 100 percent of its goals on spending in president governs Guinea, assisted by his appointed targeted social priority sectors. However, this, council of civilian ministers. District-level leaders together with spending on defense, contributed to a are elected, but the president appoints officials to all significant fiscal deficit. The loss of IMF funds and other levels of a highly centralized administration. the pursuit of unsound macroeconomic policies Richly endowed with minerals, Guinea possesses have placed the nation’s poor at greater risk. In an estimated one-third of the world’s proven 2003, the government spent more than 50 percent of reserves of bauxite, large reserves of high-grade iron its budget on military expenditures, while neglecting ore, significant diamond and gold deposits, and the country’s infrastructure. Major roadways con- BOX 5.1 Population Characteristics of Guinea Religions: Muslim 85%, Christian 8%, and traditional beliefs 7% Languages: French (officially) and seven national languages Education: Eight years compulsory Enrollment: Primary school, 64.32% (male 78.71%, female 69.03%); secondary, 15%; and postsecondary, 3% Literacy: (Total population above age 15 who can read and write): 44.2% (male 58.74%, female 26.38%) Health: (Life expectancy for total population in 2002): 54 years Infant mortality In 2002, 98/1,000 rate: Workforce: In 2002, 4.5 million, of which agriculture 76%, industry and commerce 18%, and services 6% Source: Government of Guinea 2002. SUMMARY OF C A SE STUDY—GUINEA necting the country’s trade centers are in poor repair northeast, Sudanian savanna characterized by or nonexistent, slowing delivery of goods to local Isoberlinia doka is naturally predominant. In other markets. Electricity and water shortages are frequent areas of cleared forest, regenerated mosaic “park- and sustained. land� is dominated by Lophira lanceolata and Inflation (the official rate) rose from 8.9 percent Daniellia olivera. in 2002 to more than 15.4 percent in 2003. Climbing Guinea has 156 classified forests (forest reserves), inflation, combined with the government’s enforce- covering approximately 1,186,611 hectares. It also ment of price controls for certain commodities, have has two national parks (Haut Niger with 54,000 served to dampen interest in the private sector. Even hectares, and Niokolo-Badiar with 38,200 hectares) stalwart foreign investors in the mining sector are and two biosphere reserves (Reserves de la hesitant about future investment. Biosphere Nimba and Massif du Ziama Biosphere Guinea ranks 157 of 175 countries in the world Reserve). Most of Guinea’s dense humid forests (sit- 82 with respect to human development indicators, as uated at low and middle altitudes—that is, up to listed in the United Nations Development 1,500 meters in elevation—form parts of trans- Programme’s 2003 Human Development Report. boundary forests linked to Liberia and Côte d’Ivoire. The agricultural and natural resource sectors, which The highest point in Guinea is Mount Nimba (1,752 currently employ 70 percent of the population and meters), which is the site of the Nimba Biosphere account for 40 percent of GDP, represent great Reserve, and where the three countries intersect. potential for poverty reduction. Agriculture is the The forest-savanna zone represents the transition country’s principal economic activity for both food between savanna and forest proper. The closed for- and cash crops. The production system is character- est is fragmented and disappearing as a result of ized by subsistence agriculture and animal hus- bush fires and clearing. The deforestation rate is esti- bandry with very rudimentary agricultural practices. mated at 30,000 hectares a year; the majority (26,000 A large percentage of the population experiences hectares) occurs in the humid dense forest zone. food insecurity due to the limited means of produc- Forest degradation is principally related to popula- tion and poor crop yields, necessitating food tion pressure (compounded by the influx of imports. Additionally, of a cultivable land area of 7 refugees), clearing for agriculture, uncontrolled million hectares, barely 16.7 percent is exploited. grazing, burning, and hunting. Illegal exploitation of The sea and an abundance of rivers also afford timber and firewood is also a problem. Guinea a huge potential for a booming fishing The National Directorate of Waters and Forests industry. The fishing sector contributes consider- (Direction Nationale des Eaux et Forêts or DNEF) is ably to job creation and supply of quality food (ani- legally responsible for managing all forests, national mal protein) for the population. The government’s or otherwise, in Guinea. Although the French colo- 2010 development strategy emphasizes reducing nial regime classified most of these forests in the poverty through increased sustainable exploitation 1940s and 1950s, due to limited government of these various subsectors. resources they have received little active manage- ment. Many have become degraded due to years of wildlife poaching, uncontrolled animal grazing, and Forest Resources illegal encroachment. To stabilize and improve the Guinea is moderately forested, but much of the orig- condition of these forests, new management inal forest has been cleared, and the current forest approaches are needed to ensure that they meet the cover is comprised of a high proportion of second- national objectives of protecting watersheds and ary forest. The largest tracts of closed forest are biological diversity, and providing needed forest moist evergreen forests in the southeast, character- resources. One of these approaches initiated in ized by species such as Gunrea cedrata and Lovoa Guinea in 1992 is called “collaborative forest man- trichiliodes. Remnant tracts of montane evergreen agement� or “comanagement.� The aim of coman- forests are found on the Fouta Djallon plateau, and agement is for the national government and local semideciduous forests occur in riparian strips, espe- population to share the management responsibilities cially along the banks of the Niger River. Mangroves as well as benefits of the forest. These agreements and swamp forests occur near the coast, while savan- resulted from five years of preparatory work, which na woodlands dominate Guinea’s forest area. In the included numerous studies of the forest, organiza- P OV E RT Y A N D F O R E S T S L I N K AG E S FIGURE 5.2 Forest Products and Trade in Guinea Forest Products Trade of Forest Products '000 m3 '000 m3/MT 14,000 6 12,000 10,000 4 8,000 6,000 4,000 2 83 2,000 0 0 93 94 95 96 97 98 99 00 01 Imports Exports US$83,767,000 US$31,485,000 Production Year 1998 Round wood Sawn wood (m3) Industrial round wood Wood-based panels (m3) Fuel wood and charcoal Wood pulp (m3) Paper and paperboard (m3) Source: FAO 2003. tion and training of local populations, preparation Guinea, and modest quantities of wood and paper of a forest management plan, and a contract for products are imported. Important non-wood forest implementing the plan. The U.S. Agency for products in Guinea include wild fruits, kola nuts, International Development provided technical assis- bush meat, and medicinal plants (especially chew tance, training, and other support needed to develop sticks). this pilot approach. Although originally protected to conserve forest resources for future exploitation, Forest Policy and Legislative Framework classified forests are now important reservoirs of biodiversity and environmental capital. Recent The establishment of the Second Republic (Guinea) Winrock International initiatives in Guinea have in April 1984 led to a new awareness and recognition promoted a collaborative management approach to of the need for responsible natural resource man- managing classified forests. Seven classified forests agement (NRM) (management of forest, wildlife, totaling more than 100,000 hectares are now under water, and soil resources).2 By 1990, following the comanagement schemes in Guinea. lead of other countries in the West African subre- gion, Guinea had developed a forestry policy reflect- ing the nation’s attitude toward the future of its Forest Products and Trade forestlands. Similar to efforts in other countries in Guinea has significant hydropower, fish, and timber the subregion, the DNEF attempted to transform resources, but timber and other wood products con- itself from a “service of repression� to a service that stitute only about 1 percent of all exports. As such, works in collaboration with local populations. “Old the Guinean forestry sector does not serve as a major school� military-trained forest guards are now rare, contributor to the country’s export earnings. and many new forest agents have been trained in Timber and fuelwood, however, do play an extreme- participatory methods. ly important role in Guinea’s domestic market. The country produces sawn wood mainly for domestic use, as well as poles and posts for agricultural pur- 2. Much of the information in this section is drawn from poses. Moderate volumes of logs are exported by Fairhead and Leach (2003). SUMMARY OF C A SE STUDY—GUINEA The new Forestry Code made provisions for ■ Protecting and restoring soil fertility devolution of forest control to Guinea’s elected rural ■ Conserving soil and water councils, in which a state forestry service representa- ■ Controlling erosion and brush fires tive supports each elected committee. In 1996, the ■ Protecting, managing, and restoring forests, ministry took a step further in permitting legal parks, and reserves, and regulating their use establishment of village woodlots and private ■ Protecting wildlife and regulating hunting forests. The national director of DNEF must sign a ■ Promoting establishment and maintenance of “dossier� of requests for establishing and managing greenbelt areas these woodlots from the village group concerned. ■ Conducting forestry experimentation programs These groups are typically called groupements ■ Managing watersheds forestiers (or forestry groups). The dossier requires ■ Combating the effects of drought and desertifica- that those with specific customary tenure rights over tion 84 parts of the forest are identified, have their forests ■ Ensuring that the policing of forest areas to prevent mapped, and give their approval to transfer manage- brush fires and protect forest resources and wildlife ment rights to the concerned forestry group. The forest in question must be mapped and have a basic Guinea’s forestry policy objectives are grounded in forest inventory and management plan, which six underlying principles, namely: shows a zonation to be agreed on in conjunction with the chef de cantonnement forestière (district ■ Ensuring the sustainability of its renewable natu- forester). This typically would include priority zones ral resource heritage for tree crops (such as coffee and oil palm), tree ■ Protecting and managing areas set aside as per- enrichment, water source protection, and timber manent forestlands exploitation. The zonation process also requires that ■ Employing “best practices� that yield record prod- the group create a management committee, which ucts and benefits for an indefinite period drives the process of formulating a village develop- ■ Bolstering and regulating all aspects of the harvest- ment plan that forest revenues can support. Before ing, processing, and marketing of forest products the plan is submitted to the national director for ■ Getting government, business, organizations, approval, prefectoral representatives of many min- associations, and all local communities closely istries must approve and sign it. Trees are the prop- involved in forestry policy erty of the group, and decisions to harvest them are ■ Ensuring the effective use of corresponding poli- made by the group management committee, cy instruments. although a formal request to the local forestry serv- ice is required. This will only be refused if it contra- In keeping with these policy guidelines, the gov- venes the previously approved forest management ernment perceives forest management as an integral plan. Once a group has a permit, it can negotiate part of the incontrovertible need to utilize forest with a timber contractor to carry out the felling, and resources in furtherance of the national develop- can use contractors who are not “approved� by the ment process through sound resource management prefecture. Numerous donor-supported projects for the benefit of the public at large. In turn, this will support creation of forestry groups, and to date the provide essential goods, strengthen food security, only groups created have been those that projects supply business with capital goods, create jobs, pro- support. In particular, several projects within the tect the environment, ensure lasting biodiversity, huge Regional Niger River Basin Management and improve farming and living conditions. Program, coordinated by the Organization of African Unity and funded by assorted donors, have promot- Guinea’s Forestry Action Plan ed the approach within their areas of operation. In carrying out its mandate with respect to promo- The main objectives of Guinea’s 1985 forestry action tion of sustainable NRM, and in line with the guiding plan include the following: principles of the nation’s forestry policy, DNEF, oper- ating under the aegis of the Ministry of Agriculture, is ■ Safeguard and ensure the success of previous specifically charged with the following aims: forestry-related activities. P OV E RT Y A N D F O R E S T S L I N K AG E S ■ Strengthen the capabilities of the DNEF through Guinea National Forest Fund restructuring, training, and manpower develop- ment efforts, and by improving the administra- The resources of the Guinea National Forest Fund tion’s technical skills and knowledge in this area. (“Fonds Forestier�) are intended for development of ■ Clearly demonstrate the potential and interest of the forest domain and to assist with implementation a well-coordinated, aggressive action program in of the national forest policy. The first version of the the forestry sector in furtherance of the national forestry fund law, created in 1989 and decreed in development process. 1993, states that the fund is to be a special account, endowed with accounting and budgetary autonomy. The action plan places top priority on forest The fund consists of receipts from products that management, protecting and improving ecosystems come from the exploitation of state forests, taxes and in general and wildlife in particular, fire manage- fees from application of the forest laws, fines and 85 ment, soil and water conservation, managed timber penalties, sale of confiscated items, net profits of pub- production, and non-wood product development. lic wood-processing enterprises, fees paid to the for- Other important activities identified include est service for services rendered, and loans or dona- strengthening ties of cooperation between DNEF tions from the state or international organizations. and other agencies and organizations and local skill- The decree of 1993 is still in effect, pending building efforts (drawing on community leaders and issuance of a new decree under the 1999 law. The local traditions to involve local communities in proposed changes include establishing a manage- NRM schemes.) ment committee for the fund, consisting of repre- Guinea’s forestry policy framework as outlined in sentatives from many ministries. This committee is the action plan includes the following: supposed to approve internal rules and the fund’s annual budget, and authorize entrance into con- ■ Effective inclusion of forest resources in land-use tracts. Changes also include rules on how often the planning activities (protection of remnant closed committee meets, powers of the officers, and voting. forests, designation of large tracts of each of the Issuing of rules governing the fund is the joint country’s four natural regions as forestland, fal- responsibility of the minister of forests and the min- low enrichment, and effective range management ister of economy and finance. A special committee, in rural areas) with representatives of donors and the management ■ Implementation of measures designed to com- committee, supervises the expenditure of funds bat plant predators and land degradation (fire from international sources. management, watershed protection, improved farming methods, and regulation of logging GUINEA’S PRSP activities) ■ Conservation of ecosystem resources and diversity (protection of plant and wildlife resources through This PRSP (Government of Guinea 2002) was regulatory measures, establishment and equipping approved in January 2002. The main strengths of this of natural reserves and national parks, and so on) PRSP are (i) its basis in Guinea’s participatory and ■ Ensuring the sustainability of the resource consultative processes, which have led to a genuinely ■ Protecting and managing areas set aside as per- country-owned strategy, (ii) its relatively thorough manent forestlands poverty diagnosis, despite the limited availability of ■ Employing “best practices� recent data, and (iii) its comprehensiveness in that it ■ Improving and regulating all aspects of the har- focuses on accelerating growth, increasing access to vesting, processing, and marketing of forest basic services, improving governance, and strength- products ening institutional and human capacity as central ■ Getting government, business, organizations, priorities for poverty reduction. The three main associations, and local communities closely focuses of the strategy are boosting economic involved in forestry policy growth, developing basic services and equitable ■ Ensuring the effective use of corresponding poli- access to such services, and improving governance cy instruments and institutional and human capacity building. SUMMARY OF C A SE STUDY—GUINEA In line with commitments undertaken in the ed how these population groups perceive poverty in interim PRSP in 2000, authorities executed a com- their daily lives. prehensive plan for preparation of the full PRSP. To The concept of poverty encompasses vast life this end, the government established (i) an inter- issues; some are quantitative in nature (income lev- ministerial committee chaired by the minister of els, for example), whereas others are essentially economy and finance to oversee preparation of the qualitative (access to basic services). Consultations PRSP, (ii) a permanent PRSP secretariat, and (iii) revealed that these people perceive poverty in terms nine thematic groups. The nine thematic groups are of lack of jobs and low income levels, limited access (i) macroeconomic framework and growth-oriented to basic social services (for example, education, sectors, (ii) private sector and employment, (iii) health), poor quality of public services, exclusion of basic infrastructure, (iv) rural development and the handicapped, inadequate basic infrastructure, environment, (v) gender, population, and develop- scant participation in decision making, and others. 86 ment, (vi) social sectors, (vii) governance, decentral- These perceptions of poverty have affected the ization, and capacity building, (viii) communication approaches adopted for consideration and prepara- and culture, and (ix) monitoring and evaluation tion of the PRSP. (IDA and IMF 2002). Farmers in the subsistence food crop subsector The implementation of the PRSP is to occur in appear to be the least well off. This group alone three phases: Phase I (2001–03), Phase II (2004–07), accounts for 68 percent of the poor. Farmers overall and Phase III (2008–10). Phase I focused on meas- represent 61 percent of the population, but more ures for public enterprise reform; improving tax and than 80 percent of the poor. These results under- budget policies, monetary policies, and reform of score the need to focus on development of the agri- the financial system; subregional integration; cultural sector, and rural areas in general, in any improving basic services such as water, electricity, undertaking intended to reduce poverty. According and transportation; and support for growth sectors: to the PRSP, the poor earn most of their income agriculture, mining, tourism, and craft industries. In from agricultural work (almost 67 percent) and jobs an April 2004 report (Guinea 2004), medium-term in the informal sector. They devote nearly 62 per- overall goals were to increase incomes, reduce infla- cent of their household budget to food, and a mar- tion, and improve health and education services. ginal share to medical care and education of their The ongoing civil conflict along Guinea’s border children. with Liberia and Sierra Leone (2000–04) significant- The overall objective of the strategy, as defined by ly affected the national budget, which resulted in an the target population groups, is a significant and increased national budget deficit. Other factors such sustainable reduction in poverty in Guinea. The spe- as increases in price of petroleum products and cific objectives underpinning this reduction of lower prices for bauxite and cotton also contributed poverty stem from the leading concerns expressed to significant shortfalls in short-term PRSP objec- during the grassroots consultation process. These tives. In terms of infrastructure improvements, include increasing incomes, improving health, increases were realized in the energy sector, people’s increasing education, and generally improving the access to potable water, and improvements in trans- living conditions and prospects of the population, portation. particularly the poorest people. PRSP Development Process Inclusion of Forestry and Forestry Issues in the PRSP Regional grassroots consultations (group meetings and workshops) were held in March 2000 to obtain The inclusion of forestry and forestry issues in the a better grasp of the concept of poverty. The partic- PRSP falls under the theme of rural development ipants in these consultations were chosen from the and the environment. One of the key challenges for poorest and most vulnerable population groups, the PRSP’s NRM and environmental strategy will be including women from rural areas and slums, to make the best use of existing potential to improve dependent women, street children, unemployed living conditions, while ensuring the sustainability graduates, the handicapped, people living on fixed of the productive base. While successful economic incomes, and pensioners. Discussion topics includ- development in Guinea must rely heavily on the P OV E RT Y A N D F O R E S T S L I N K AG E S BOX 5.2 PRSP NRM and Environment Strategy Overall Goal: Protect Guinea’s Natural Potential Objectives ■ Protect water sources and reserves, catchment areas, soils, forests, and vegetation ■ Promote sustainable participatory approaches to natural resource management Activities/Strategies ■ Adopt laws and regulations, especially on environmental assessment, to establish benchmarks for environ- mental protection 87 ■ Establish monitoring systems to guide mining activities, protect coastal areas, and ensure sustainable use of forest resources ■ Adopt and enforce a community-based management and protection plan for the Fount Djallon region ■ Develop natural resources ■ Bolster cleanup operations ■ Update and implement national environmental action plans ■ Increase access to information regarding laws and regulations ■ Increase access to information regarding the national environmental action plan ■ Promote participation of local people in natural resource management ■ Define benchmarks and develop tracking systems Source: Poverty Reduction Strategy Paper: Republic of Guinea, 2002. rural and mining sectors, more intensive activities in resources (see box 5.2). In light of the threats to these sectors raise real questions about their impact Guinea’s forestry resources, specific actions are on development potential, as well as on the environ- planned to improve forest management, including ment. For example, farming methods and tech- promoting public participation in the creation, niques, such as shifting cultivation, slash and burn, development, and management of community and and hillside farming, already constitute a constant private forests; promoting the emergence of private- threat to the productive base. sector players in the development of wood- and The government’s forestry policy must contend wood byproduct-processing plants; enhancing the with many institutional and legal obstacles, includ- reporting, inspection, and monitoring systems for ing inadequate territorial, financial, and tax decen- the sector; and improving incentives through more tralization. A lack of implementing decrees for the lawful and efficient mobilization and use of rev- Forestry Code means that the status of community enues from forestry activities. With this in mind, the and private forest holdings is still unclear under its government’s forestry policy is also intended to provisions; there also is an unclear division of roles implement a financing mechanism that is adapted to in managing and using forestry resources among the forestry production cycle; an efficient control general government entities exercising delegated and monitoring system for harvesting, processing, authority, decentralized structures, and traditional and marketing forestry resources and wild animals; institutions. Given these constraints, continued sup- and equitable distribution of forestry development port and encouragement for these issues from the actions and programs. donor community is essential if progress is to be Environmental protection. The priority for envi- made in reforming forest sector policies. ronmental protection will be a nationwide program Ensuring the sustainability of the productive base. for inventorying and monitoring Guinea’s natural Conservation of the productive base will be a con- environment, covering biodiversity and ecosystems, stant concern in Guinea’s development policy and as well as Guinea’s social and economic environ- will be present in all activities affecting natural ment. Although no timetable is set, the government SUMMARY OF C A SE STUDY—GUINEA will also launch a program to prevent and manage credit and savings institutions using monies collect- natural and manmade disasters. Environmental ed from forest user groups. impact studies will be conducted for all major national projects, especially in the mining sector. Social Organization Other important measures that public authorities will introduce include capacity building at the Like many villages throughout Guinea, village insti- national environment directorate and setting up an tutions in this area combine elements of modern environmental information and management sys- and more traditional institutions.4 Participating vil- tem to establish benchmarks for monitoring the lages thus all have sector chiefs and district presi- impact of new projects. dents who play an active role in administrative and A review of the Joint Staff Advisory Note from social affairs. However, existence of these new August 2006 indicated a lack of explanation as to administrative structures and officials has not 88 what has been achieved in forestry in the PRSP’s sec- diminished the importance of the “village chief� in ond Annual Progress Report from January 2006.3 Malinké villages. This is an inherited title held by the oldest male in the village or by the eldest male in the village’s founding clan. The imam plays an especial- INTRODUCTION TO THE CASE STUDY ly important role in Peuhl villages. The douti in Malinké villages and the jom leydi in Peuhl villages Research Area also continue to play an active role in local social affairs. They are, for example, consulted on all mat- The Sinćery-Oursa Classified Forest, located in cen- ters involving access to land. Village elders or wise tral Guinea, and selected surrounding village com- men also still play an important social role. munities was the area of focus for the case study (fig- Ties among certain villages are closer than ure 5.3). The total surface area of the forest is 12,842 among others due to their geographic proximity and hectares. similar ethnic origin; however, most of the afore- Fifteen villages participated in the study, com- mentioned villages and sectors are independent of posed of either the Malinké or Peuhl ethnic groups, surrounding villages and sectors. Peuhl villages, for or a mixture of the two. The villages are for the most example, are completely independent of Malinké part located on the periphery of the forest and, villages, and have the same standing, despite the fact depending on their location, their livelihoods more that they are the minority group in this region and or less partially rely on the forest’s resources. Some tend to have settled in the area after their Malinké of the communities are actually located within the neighbors. The theft of livestock is becoming an forest. increasingly serious problem due to the area’s prox- The Expanded Natural Resource Management imity to a large urban population center. As a result, Activity (ENRMA) began working in 2002 with herders are less and less inclined to send their animals DNEF and local populations inhabiting the periph- off to graze in the Sinćery-Oursa Classified Forest. ery of the Sinćery-Oursa Classified Forest to develop A gender analysis of poverty (conducted during a comanagement plan for the forest. The project and the PRSP process) demonstrated sizable disparities, DNEF completed the management plan in 2003, to the disadvantage of women. Case study findings which was later approved by U.S. Agency for also indicate this trend in the study area. Women in International Development and the government of agriculture have a workload ranging from 15 to 17 Guinea. The overall management goal of the plan is hours a day, and their work is made more onerous to promote sustainable economic development and by a lack of tools, low degree of processing of food alleviate poverty through responsible NRM, and to products, and distances to water points and sources promote the regeneration of and protect the biodi- of firewood. In addition, although they account for versity within the classified forest. Three principal nearly 80 percent of the country’s food crop pro- project activities currently occur within the forest: duction, women have only limited access to credit collection and transformation of the shea butter nut, and land tenure. limited agriculture activities, and creation of small 4. This information is drawn from Winrock International/ 3. Information added by editor. DNEF (2003). P OV E RT Y A N D F O R E S T S L I N K AG E S FIGURE 5.3 ´ecry-Oursa and Other Classified Forests in Guinea Location of Sinc 89 Source: Expanded Natural Resource Management Activity (ENRMA), 1999–2005, USAID/Guinea, Winrock International. Methods cussions, open community meetings, direct obser- vations, and participatory rural appraisal (PRA) The survey team was directed by a senior Guinean techniques such as mapping, diagramming, and consultant with considerable experience in survey ranking. Groups targeted for data collection includ- research, as well as work on a variety of NRM and ed national-level government officials involved in forestry issues in West Africa. The data collection the PRSP process (DNEF, Ministry of Agriculture, involved approximately four weeks of fieldwork, Ministry of Finance and Economic Planning). with surveys carried out in October 2004. Surveyors Additionally, regional and local-level forestry offi- spent two to three days in total per village. The ini- cials and community leaders in selected communi- tial survey was conducted in one to two days, with ties were interviewed. Data was also collected from follow-up visits to corroborate initial findings. key community groups and associations, such as for- Surveyors included selected personnel from local est user groups, women’s groups, and youth groups. nongovernmental organizations collaborating with Households and individuals were also surveyed. ENRMA, as well as professionals who participated in The main areas of data collection included the the PRSP surveys. All were fluent in the local lan- roles of forests and trees in meeting the subsistence guage and familiar with forest, poverty, and rural and income needs of local people. In addition to issues. A week was spent field testing the semistruc- determining the relative proportion of forest prod- tured questionnaire to refine its contents. ucts marketed and used for household use, the eco- In addition to the semistructured questionnaire, nomic value of forest products as a percentage of data collection methods included in-depth, semi- overall family income was estimated. Data was col- structured interviews, informal conversational lected concerning the system of land tenure and interviews, open-ended interviews, focus group dis- right of access of local people to planning, manage- SUMMARY OF C A SE STUDY—GUINEA ment, and use of forest resources. Assessments were dissemination of the codes to the rural population. made of levels of poverty and local people’s perspec- Most of the respondents depend on local represen- tives on changes in livelihoods and impacts of activi- tatives of the forest service for this information or, ties on conservation of the forest. In general, a vision where ENRMA was working, were informed via of those interviewed on the future status of the forest project personnel. Most respondents were aware to and the benefits of forest products was sought. a degree of some of the basic regulations, such as avoiding cutting down certain species of trees when clearing land for farming (for example, néré and Land Tenure Aspects shea nut), not cutting trees adjacent to streams or The majority of people interviewed for this case rivers, and avoiding burning agricultural fields study said that they owned the land they are farm- (thereby lowering the opportunity of wild fires) in ing. Ownership is gained principally through clear- the dry season. 90 ing the land and farming it, but also through inher- itance, borrowing, gifts, and purchase. These same Current Forest Use and Income Generation interviewees also claimed that they own the trees that are found on their land and, therefore, can har- vest them for their own personal use. For timber Local Forest Use uses, however, even if the trees are on their farm, they need to pay a “harvest� tax (permis de coupe) to The local population is engaged in a wide variety of the local representative of the national forestry agriculture- and forest-based activities, either in or administration in order to cut the trees. around the classified forest. The main activities con- Local households have secure land tenure rights ducted inside the classified forest include farming, and farm their lands year after year, and are recog- collecting honey, hunting, raising livestock, and har- nized and respected as the holders of these rights. vesting bamboo, firewood, lumber, timber, lianas, Both women and men grow crops on fields outside fruits, shea nuts, carob beans, wild yams, straw, raf- the forest area. By marriage, women have access to fia fronds, and medicinal plants. Of these activities, part of the lands held by their husband’s family. respondents in 55 percent of the villages taking part Both men and women produce crops for household in the research mentioned collecting honey, cutting consumption and, to a lesser extent, for market. In bamboo, and hunting, whereas residents of 50 per- the majority of cases, men are in charge of market- cent of the villages collected shea nuts, 32 percent ing the crops; however, a good number of women harvested straw, and 27 percent harvested lianas. also alluded to the importance of this activity as a Respondents in 41 percent of the participating vil- source of income. The village douti, or land overseer, lages farmed a variety of different crops, and those in is consulted by villagers wishing to plant crops on a 32 percent of the villages raised livestock. Other new parcel of land, for the settlement of land dis- activities were less common. According to the study putes, and by newcomers requesting permission to data, the extraction of non-wood forest resources farm a parcel of village land. The douti has no con- and farming clearly lead the list of activities con- trol over lands already being farmed by local vil- ducted inside the forest. Harvesting of bamboo is lagers, nor does he have the authority to redistribute unquestionably the most common activity based on village lands. the use of wood resources. Respondents in more The study found no “forest dependents,� that is, than 70 percent of the villages alluded to the impor- people who depend solely on the forest and its prod- tance of this activity. Harvesting of bamboo is just as ucts as sources of sustenance and income, in the vil- important for men from villages that are more dis- lages included in this case study. This is in compari- tant from the classified forest, as for those forming son to “partially dependent� people who derive a the so-called “inner circle� around the classified for- greater portion of their income from agriculture, est, all of whom have with time stepped up their use but might depend on the forest for certain products. of this forest resource. Agriculture is clearly the major source of livelihoods Virtually all activities conducted inside the classi- and principal source of income. fied forest are also engaged in outside the forest area. Constraints to land and forestry codes are direct- Respondents mentioned at least one farming activi- ly related to insufficient information and inadequate ty (i.e., involving an annual crop) in 91 percent of P OV E RT Y A N D F O R E S T S L I N K AG E S the participating villages. The working of planta- Trees and Forest Products. Villagers derive up to tions and growing of vegetables are examples of 25 to 30 percent of their income from collecting and other activities conducted in areas mainly outside selling forest products. Tables 5.1 and 5.2 summa- the forest area. Harvesting of straw and collection of rize the survey findings. Additional information col- honey are activities respondents mentioned in 45 lected indicates potential income from other prod- percent of the villages, and respondents mentioned ucts found in the zone. Charcoal fabrication from collection of carob beans and a variety of other non- local production methods can produce 10 bags of wood products, along with grazing, as important charcoal a month, which, at 3,000 GF per bag, gen- activities engaged in outside the forest area in 41 erates 30,000 GF a month. Selling ten 25-kilogram percent of the villages. bundles of firewood a month, at 1,000 GF per bun- From a historical perspective, most local villagers dle, generates 10,000 GF a month. Mortar makers felt that the use of many forest resources has (fabricants des mortiers) can produce 10 mortars a 91 increased dramatically with time, although this is month, which at 8,000 to 10,000 GF each, generates not true in all cases, particularly hunting, collecting 80,000 to 100,000 GF a month. The income generat- honey, harvesting of wild yams and carob beans, and ed from forest product collection and sale is used in raising livestock (the latter’s importance has dimin- the same manner as income from agriculture. ished in the past 50 years). On the other hand, the In some villages, some employment opportuni- forest has become an increasingly important source ties exist in forestry such as forestry groups, shea of bamboo, firewood, timber, lumber, shea nuts, butter, handcrafts, carpentry, and blacksmithing. Saba senegalensis, dry grasses, and lianas. Farming of Some villagers believe that fruit tree planting is an all types of crops has increased. Activities that all opportunity that should be encouraged. No formal respondents most frequently mention as potential forestry enterprises exist in the zone of the study. future income-producing activities are planting However, creation of informal community-based cashew, pineapple, avocado, cacao, banana, coffee, groups (for women, youth, and men) exist in many kola, coconut, mango, orange, lemon, and palm tree villages, most notably where donor-funded projects plantations, and growing calabash, ginger, cowpeas, or local nongovernmental organizations encourage potatoes, maize, and millet. them. Forest products are generally sold in weekly markets, although no formal markets exist exclu- sively for forest products. Principal Income-Generating Activities Outsiders have come to play an increasingly Survey results indicated that the principal income- important role in the use of virtually all forest generating activities in the study zone are agriculture resources (except hunting). This is especially true and the sale of trees and other forest products. Other regarding their share of firewood and timber non-forest sources of income include herding, local resource use, harvesting of shea nuts, and collection commerce, arts and crafts (including handcrafts, of Saba senegalensis. Residents of one village main- blacksmithing, mortar making), and transportation. tain that outsiders have dramatically increased log- Agriculture. Farming provides 40 to 75 percent of ging activities in the forest in the past 18 years. In family income. Families and individuals with higher almost every village surveyed, nonresidents do col- percentages of farming income have more land lect forest products such as néré, shea nuts, bamboo, available for cultivation and plant crops with higher straw, timber, firewood, rope, and Saba senegalensis. market value (that is, they may have more dispos- These nonresidents are often from neighboring vil- able income to purchase high-quality seed or have lages in the prefecture of Dabola and harvest these the means to store seed effectively). Harvested crops products for local consumption or sale. are used for family consumption and seed for the Men and women tend to use natural resources following year, and 15 to 30 percent are sold to cover differently, thus, it is not surprising to see men and basic necessities such as school fees, medicine, or women from the same village using different natural farming expenses. The main agricultural crops in the resources. For example, in Sinćery-Oursa, the main study zone, as a percentage of total farming income, activities mentioned by males are collection of are peanuts (40 percent) and rice (30 percent), fol- honey, harvesting of bamboo and lianas, hunting, lowed by corn, manioc, and other crops, at 10 per- livestock raising, and farming. Women, on the other cent each. hand, give top priority to collecting firewood and SUMMARY OF C A SE STUDY—GUINEA TABLE 5.1 Zone-Specific Forest Product Information: Collectors, Users, Uses, and Importance Principal Principal Degree of Trees and forest products collectors users Uses importance Timber Men Men Roofing, furniture, and sale Very important Firewood Men and Men and Firewood, charcoal, and sale Very important women women Wood for domestic use Men Men Fencing and construction Important Shea nut Women Women Family consumption, sale to purchase Very important 92 clothes, shoes, utensils, and drugs Parkia bigloboso (néré) seeds Youth/men Women Family consumption, sale to purchase Very Important commonly a source of protein clothes, shoes, and utensils (West Africa) Straw (paille) Men Men Rooting Important Bamboo Men Men Roofing and fencing Very important Rope (corde) Men and Men and Roofing and fencing Important women women Honey Men Men and Family consumption and sale Very important women Saba senegalensis madd, a type Youth Youth, Family consumption and sale to Very Important of fruit commonly found in women, men purchase personal items West Africa) Raffia Men Men Construction of wooden beds and Important desks Pharmacy/medicines (includes Men, women Men, women Medicines Important leaves, bark, roots, and so on) Source: Authors’ compilation. TABLE 5.2 Income from Selected Forest Products Quantity produced Annual income (GF) Percentage Minimum Maximum Minimum Maximum Shea butter 40–65 10 liters 50 liters 85,000 125 Néré 10–25 10 kg 20 kg 8,000 30,000 Saba senegalensie 10–25 7 bags 15 bagsa 90,000 140 Source: Authors’ compilation. a. 50 kg each. P OV E RT Y A N D F O R E S T S L I N K AG E S BOX 5.3 Guinea: Obstacles to Private Sector Development “This situation (Lack of private sector develop- improving basic infrastructures, (iv) enhancing ment initiative) means that the main obstacles to the effectiveness of support bodies such as cham- growth and a substantial reduction in poverty bers of commerce, industry, and agriculture; still have to be overcome. Part of the problem employers’ associations; the Private Investment stems from the difficulties encountered in: (i) Promotion Board; and the financial system, and restoring a public service ethic conducive to pri- (v) ensuring access to information and closer vate sector development, (ii) strengthening the consultation between the central government administrative and legal environment, which is a and the private sector.� 93 prerequisite for a flourishing private sector, (iii) Source: Government of Guinea 2002. gathering wild plant foods, particularly shea nuts. them out of poverty, gaining better health to be able The use of these resources in income-producing to work, gaining access to adequate means of pro- activities is more numerous (28 percent) for men duction such as improved seed and tools, and gain- than those engaged in by women (15 percent), and ing access to farmland for rice production. clearly reflect the differences in their use of forest resources. Male respondents most frequently cut CONCLUSIONS bamboo, collect honey, and farm various types of crops, in that order. Both men and women harvest fruit from the principal fruit trees found in the ■ As might be expected, the economy is based on zone—mango and orange trees. About one-third of agriculture, which is the principal driving force the fruit is consumed by families and two-thirds is for revenue flows back to the communities. sold. In one season, the average fruit tree owner can Depending on access to inputs and agricultural make up to 20,000 GF from the sale of these products. land, this can amount to as much as 75 percent of Selected forest products are subject to taxation by revenue flows. Around 25 percent of total DNEF; however, the tax “capture� rate is fairly low income derives from the collection and sale of given the inability of the undermanned DNEF to forest products—a significant percentage of total cover the large expanse of rural area adequately. household income. Forest products that are subject to taxes include ■ Except for donor-funded forestry and NRM charcoal, mortar, firewood for sale, and timber for projects, local people generally do not have the sale. Forest products not subject to taxes include the opportunity to participate in land-use or forest following: néré, straw, shea butter, Saba senegalensis, management planning exercises. Although a and bamboo. variety of factors contribute to this constraint, DNEF (as well as other government services) is generally extremely underfunded and under- Perceptions of Wealth and Poverty staffed, and cannot regularly visit and enlist the The survey’s findings indicated that respondents population in participatory forestry activities define levels of wealth and poverty according to dif- such as land-use planning. Aside from assign- ferent characteristics (table A5.1, see appendix). In ments to donor-supported projects with funding one of the villages surveyed, the poor define poverty for supporting selected rural populations, DNEF as the incapacity to meet needs as the wealthy people field staff have little opportunity to collaborate do. Respondents also mentioned that the poor are with rural landholders on a regular basis. poor because God wants it. In the villages, the poor ■ People’s willingness and ability to involve them- were considered to comprise 50 to 65 percent of the selves in forest management and production population. The poor feel they could change their activities is clearly directly related to their need status by sending their children to school to help for forest products, as well as the access and avail- SUMMARY OF C A SE STUDY—GUINEA ability of these resources. Other factors that play sion of the flow of revenue or the use of this rev- determinant roles in the level of participation in enue (from the sale of the forest products) in the forest management and forest products include: surveyed population was also not clear. Did it (i) infrastructure, markets and market access, merely augment their income? Were they able to policies, and the ability to create sound and use it to pay for items such as clothes, school fees, transparent enterprises, (ii) factors that inhibit house building—or things that are beyond the increased forest product harvest and marketing, basic necessities of life? The study did demon- (iii) lack of governmental services and low pri- strate that, where forest products were available, vate sector involvement, (iv) no formal markets, individuals and informal groups did generate lack of market information, and no intermediate revenue or consumed the products themselves. agents, (v) poor infrastructure and transporta- tion services, and (vi) the fact that people need to 94 RECOMMENDATIONS FOR PRSP PROCESS make money or obtain other clear benefits from natural forests or plantations to maintain them. ■ Current practices, the legal framework, and safe- While the importance of protecting the natural guards for the extraction and sale of non-timber resource base is outlined in the PRSP of Guinea, it is forest products (NTFPs) and timber must be not clear from recent reports what has actually been understood to determine if changes are needed to achieved in the forestry area (Guinea 2006).5 ensure legally and socially defensible buying and Furthermore, despite the importance of forests to selling relationships. Experience shows that it rural people, their potential as a means for econom- does not matter if good management practices ic development in rural areas is not emphasized in the are instituted and the right products are being PRSP. To get forests and forest products on the pover- removed in a sustainable manner; if a viable ty agenda of West African countries such as Guinea, commercial system is not in place or lacks credi- more specific planning is needed. For example: bility and safeguards, people will lose the incen- tive to participate. ■ Improvements are needed in the capacity of the ■ In general, local populations in the study zone national forest service to collaborate with rural are poorly informed of their rights of access to villagers to manage their natural resources in a land and resources (at least through formal gov- sustainable and economically beneficial fashion. ernmental structures). As part of the PRSP process, investment in capac- ■ The study revealed no developed formal markets, ity building and material support for the nation- difficult market access, and no formal organiza- al forest service and local people is essential. tions in the study area. Much of the trade was ■ Policy reform at the national level should facili- very informal. tate and encourage not only NRM, but promote ■ Although the results of this study do not defini- private sector development and facilitate and tively conclude that forests and their products strengthen markets for those resources, and serve as a driving force to alleviating poverty in increase access to profitable markets by improv- the study area, they do reveal that forest products ing infrastructure and market networks and pro- provide an important source of income and viding market incentives to local producers. nutrition to the majority of people interviewed. ■ An enabling environment should be created for One question not resolved here: if they did not development of user groups that are transparent collect forest products, would they be worse off? and have the necessary organizational and tech- The assumption that sale of selected forest prod- cal skills to participate effectively in NRM and ucts does provide significant societal benefits can marketing of their products. probably be made in some instances. The divi- 5. Information added by editor. P OV E RT Y A N D F O R E S T S L I N K AG E S REFERENCES ———. 2004. “Premier Rapport de Mise en Oeuvre de la Stratégie de Reduction de la Pauvreté en Guinée.� Permanent Secretary for the Poverty Fairhead, James, and Melissa Leach. 2003. Science, Reduction Strategy, Conakry. April. Society, and Power. Environmental Knowledge ———. 2006. “Second Report on the Poverty and Policy in West Africa and the Caribbean. Reduction Strategy.� Conakry, January. Brighton, England: Institute of Development International Development Association (IDA) and Studies. International Monetary Fund (IMF). 2002. Food and Agriculture Organization (FAO). 2003. “Poverty Reduction Strategy Paper.� Joint Staff “Forestry.� World Agricultural Information Cen- Assessment, Conakry, July. tre. Available at: http://www.fao.org/waicent/. International Development Association (IDA) and Government of Guinea. 2002. “Poverty Reduction International Monetary Fund (IMF). 2006. 95 Strategy Paper.� Conakry, January. “Second Progress Report Poverty Reduction Guinea, Ministry of Agriculture and Animal Strategy Paper.� Joint Staff Advisory Note, Resources. 1993. “Les Activités dans le Secteur Conakry, August. Forestier.� Direction Nationale des Forêts et de Winrock International/DNEF. 2003. “Sinc´ery-Oursa la Chasse (now DNEF), Conakry. Co-Management Plan.� Washington, DC. Guinea, Ministry of Finance and Economic Plan- World Bank. 2006. “PRSP Second Annual Progress ning. 2001. “Poverty Reduction Strategy in the Report Joint Staff Advisory Note, Guinea.� Guinea National Budget.� Conakry. Washington, DC: World Bank. SUMMARY OF C A SE STUDY—GUINEA APPENDIX TABLE A5.1 Wealth Ranking and Definition of Poverty Percentage of the category within Categories Characteristics the population Rich ■ Has good land for farming (1–6 ha) and makes a good harvest (e.g., 5–10 30–40 bags per year of rice, 4–6 bags of corn, and/or 25–30 bags of peanuts) 96 ■ Has food during 12 months of the year to feed family ■ Has 10–50 domestic animals (cows, sheep, and/or goats) ■ Has big family (1–4 wives and many children) as labor ■ Has means of transportation (motorcycle or bike) ■ Is healthy ■ Has a concrete house ■ Is able to pay school fees for children ■ Can afford to buy medicine for family ■ Has many internal and external interpersonal relationships Middle rich ■ Has at least 2 ha of land 20–35 ■ Has one wife ■ Has food for most of the time in a year ■ Has a few domestic animals ■ Does not have a means of transportation ■ Cannot cover all the school fees for children ■ Cannot afford to buy drugs for family ■ Does not have any savings Poor ■ Has someone who is sick in family 50–65 ■ Does not have enough food on daily basis ■ Barely meets needs ■ Does not own land ■ Is illiterate ■ Does not have any interpersonal relationships ■ Does not have a wife ■ Lacks courage and initiatives Chronic poor ■ Has someone in family who is mentally ill or blind 10–40 ■ Has no possessions ■ Depends on other people to live ■ Lacks motivation ■ Is handicapped ■ Is leprous Source: Authors’ compilation. P OV E RT Y A N D F O R E S T S L I N K AG E S CHAPTER SIX Summary of Case Study—Lao PDR 97 EXECUTIVE SUMMARY rural livelihoods that are highly dependent on the use of tree and forest resources, especially NTFPs. Properly planned and executed interventions in the The study investigated to what extent, how, and why management and marketing of non-timber forest the following interventions undertaken by the products (NTFPs) by forest-dependent communi- National Agriculture and Forestry Research ties in the Lao People’s Democratic Republic can Institute/The World Conservation Union simultaneously reduce poverty and assist in the con- (NAFRI/IUCN) NTFP project at Ban Nampheng servation of forest biodiversity.1 Evidence of signifi- were replicated elsewhere. These include: cant and sustained improvements in rural liveli- hoods arising from such NTFP-related interventions ■ rice banks to address food insecurity that drives has been seen in several pilot villages in Oudomxai overexploitation of NTFP resources province in northern Lao PDR. In these cases, the ■ forest land allocation and planning for sustain- NTFP interventions that stimulated these changes able NTFP use and management were facilitated by an integrated conservation and ■ NTFP marketing groups and a village develop- development project that concentrated its field work ment fund created by a local tax on sales in 12 pilot villages. Even more interesting and sig- ■ NTFP processing and grading nificant is the extent to which successes at pilot sites ■ domestication of NTFP species with high market were replicated locally by others (scaling sideways), demand and the degree to which the project influenced the way rural development is pursued nationally, Most of these NTFP-related interventions under- through improved policies and programs in the for- taken at the pilot villages are now found to some est sector (scaling upwards). extent across the whole country, being spread by a Local replication and improved forest sector large number of development assistance projects. policies and programs are very important for a The most effective means of spreading the ideas to country like Lao PDR, where 80 percent of the pop- other development projects has been the movement ulation lives in more than 10,000 villages and has of staff who worked at pilot villages, who either move to other new projects or into influential posi- tions in the government of Lao. The study also found that local replication was happening outside 1. Original case study prepared by Andrew W. Ingles, Sounthone Kethpanh, Andy S. Inglis, and Khamphay of government and nongovernment development Manivong, IUCN, June 2006. projects for a variety of reasons. A major finding of the scaling upwards study is tions would represent a scaling sideways of the pro- that it is a project’s perceived success at the local ject’s impacts; and, a positive influence on develop- level, and to some extent the visibility of the side- ment policy within the forest sector would represent a ways spread of some interventions, which leads to scaling upwards of the project’s work. serious national recognition. The involvement of While the project’s lessons and its impacts at division and departmental directors in NAFRI/IUCN pilot sites have been assessed and documented pre- project activities facilitated the flow and exchange of viously, the extent to which the project’s work has project outcomes during and after the life of the been scaled sideways and upwards has not been project. This created a lasting impact on national investigated until now. This report presents the policy as they were the key people involved in draft- findings of a rapid assessment of the nature and ing subsequent sector policy and strategy papers. extent of such scaling sideways and upwards. The Some key recommendations for follow-up action assessment was undertaken between December 2005 98 by various actors in Lao PDR are provided in the and April 2006, approximately 10 years after the interest of enhancing the impact of past NTFP project began work in pilot sites, and four years after development experience. A number of suggestions the project ceased operations. The aim of the assess- are also provided that, while relevant to Lao PDR, ment was to identify factors that determine how les- are also of relevance to the scaling upwards and side- sons learned from development interventions ways of similar forest-based livelihood interventions involving forest-based livelihoods are adopted into outside of the country. The role of forests in Lao national policy frameworks or locally replicated at PDR’s Poverty Reduction Strategy Paper (PRSP) is sites in Lao PDR outside the project area. also considered, providing a backdrop for the rec- Additionally, information on the role of forests in ommendations. the PRSP of Lao PDR is also included.2 The following sections provide some background information about the role of NTFPs in rural liveli- INTRODUCTION hoods, the NTFP project, and its impact at one of the pilot sites (that is, “ground zero� for measuring The forests of Lao PDR are one of few poten- sideways scaling). This is followed by an outline of tial sources of sustainable economic growth the study and presentation of its findings. Some rec- for the country. A relatively large amount of ommendations relevant to enhancing the impacts of remaining forest resources and the high level projects through scaling sideways and upwards of forest dependence by local communities, mechanisms are offered in the final section. coupled with the extent of rural poverty in Lao PDR, present unique opportunities and BACKGROUND challenges to combine forestry with poverty alleviation approaches to help meet national development goals. (Morris et al. 2004) The Relevance of NTFPs to Rural Livelihoods and Forest Conservation From 1995 to 2001, IUCN and the NAFRI of Lao in Lao PDR PDR, with funding from the government of the Netherlands, implemented a project to promote the Despite the economic growth achieved over the last sustainable use of NTFPs. The project had the dual 15 years, Lao PDR remains one of the poorest coun- aims of improving rural livelihoods and conserving tries in the world, having the fifth-lowest Human forest biodiversity. Pilot sites were selected and used Development Index in Asia (Emerton 2005). It is by the project to learn about and demonstrate for- also one of the least densely populated countries in est-based livelihood interventions that would help the region, but the predominantly rural population achieve these aims. It was envisaged that successes at is growing rapidly and having an increasing impact the pilot sites could be replicated locally by others, on its natural resource base. It has been estimated and that the project’s lessons would have a positive that although some 46 percent of the original forests influence on the way development is pursued nationally, through improved policies and programs in the forest sector. Any local replication of interven- 2. Information on the PRSP was inserted by editor. P OV E RT Y A N D F O R E S T S L I N K AG E S of Lao PDR remained in the year 2000 (ICEM 2003), (NBCAs) within a national system of protected only about 2 percent of the original forest cover was areas. These protected areas are shown on the map relatively undisturbed and large enough to contain presented in figure 6.1, and represent the corner- its original biodiversity (Lamb and Gilmour 2002). stone of forest conservation strategies in Lao PDR. Forest loss and degradation continues mainly There is a clear overlap of food security concerns through land conversions caused by infrastructure and forest conservation interests in nearly half of all development and agricultural encroachment, the villages. unsustainable forms of shifting cultivation, overex- In such villages, NTFP sales commonly generate ploitation of forest products, overgrazing, and mis- about 50 percent of cash income to households use of fire (World Bank et al. 2001). This presents a (Foppes and Kethpanh 2000a, 2000b, 2004; Ingles et problem for both rural development and forest con- al. 1999; Morris et al. 2004). These sales are very servation. important because they allow the purchase of goods 99 About 5 million people, or 80 percent of the pop- and services in situations where there are few alter- ulation in Lao PDR, live rural livelihoods, within native income sources. In addition to food and cash, which NTFPs3 play a significant role in food securi- NTFPs also directly provide fuel wood, medicine, ty, income generation, and provision of numerous building materials, tools, handicrafts, fibers, resins, other nonfood and noncash inputs to households. and dyes used in the subsistence-oriented liveli- After rice, wild forest foods dominate the daily diet. hoods commonly found in Lao PDR. The total eco- More than 450 edible species have been identified, nomic value of NTFPs consumed or sold by house- and collectively they provide the bulk of animal pro- holds is considerable. tein, leafy green vegetables, and micronutrient In one study undertaken in the poorest district of intake of rural households (Clendon 2001; Foppes the poorest province of Lao PDR, total NTFP use and Kethpanh 2000a, 2000b, 2004; WFP 2004). In was estimated to be worth an average of US$313 per remote upland areas, households commonly experi- household per year in a province where the average ence rice shortages for up to three months. NTFPs per-capita GDP is a mere US$204 per annum. provide food security either through direct con- NTFPs were found to contribute one-third of the sumption or their barter or sale to obtain rice. The household economy; almost all energy, medicinal, “safety net� function of NTFPs is even more impor- and building needs; 80 percent of (non-rice) food tant in bad times when crops fail or are destroyed. consumption by weight; and 30 to 50 percent of all The World Food Programme (WFP) of the protein types (Emerton 2005). United Nations first undertook a nationwide survey Nationwide, it has been found that the depend- of forest-based food security in 2004 (WFP 2004). It ency on forests for domestic consumption and found that all villages in the country had some income-generation purposes is highest for the poor- dependency on forests for food, and about 41 per- est households, and of greatest importance to cent were dependent on food obtained from forests women because they dominate (non-hunting) col- within and around Lao PDR’s national system of lection and management of NTFPs (Foppes and protected areas. More significantly, 24 percent of all Kethpanh 2000a, 2000b; Ingles et al. 1999; villages were found to be dependent on forest foods, Broekhoven, 2002; Morris et al. 2004). At the but only have access to mostly degraded forests, and national level, forest products, including timber and as a result suffer from food insecurity (WFP 2004). NTFPs, have played an important role in export and The WFP says these villages require a priority inter- foreign exchange earnings. Broekhoven (2002) vention in food aid as a result of declining forest reported that between 1994 and 1998, NTFPs con- resources. tributed between 13 percent and 49 percent—or an The government of Lao PDR has set aside 12 per- average of 28 percent or $90.2 million—of total cent of the country’s land area (30,000 square kilo- exports. Variation is mainly due to the volume of meters) as National Biodiversity Conservation Areas NTFPs exported in different years, which rose as high as 50 percent of total forest exports in 1995 and 3. The term NTFPs is used in its broadest sense to include all 1996. non-timber products collected from forested landscapes, In addition to the official records, there is a sig- including closed and open forests, individual trees, tree plan- tations, shrub lands, regrowth from shifting cultivation, wet- nificant informal or illegal (and hence unregistered) lands, and other freshwater habitats. export of NTFPs within the region that has yet to be SUMMARY OF C A SE STUDY—LAO PDR FIGURE 6.1 Forest Food Security and Forested Protected Areas in Lao PDR World Food Food & Forests Analysis Programme 100°E 105°E Potential Food Aid Intervention to Promote Forest Conservation China Vietnam PHONGSALY Myanmar LUANG NAMTHA 100 BOKEO LUANG PRABANG HUAPHANH OUDOMXAY 20°N 20°N XAYABURY XIENGKHUANG XAYSOMBOUN VIENTIANE BORIKHAMXAY VIENTIANE M. KHAMMUANE SAVANNAKHET Thailand SARAVANE SEKONG CHAMPASACK 15°N 15°N ATTAPEU Cambodia 0 510 20 Kilometers 100°E 105°E Map Produced by WFP Legend VAM-Unit Lao PDR 2004 Food & Forest Analysis Spatial Files from Global Discovery Digital Mapping by Europa Technology LTD 2001, Not priority intervention area & ESRI World Data 2002. In country files produced by National Geographic Area for potential intervention Department. Agricultural Census Data 1997/98 from National Biodiversity Conservation Areas Ministry of Agriculture & Forestry Projected Coordinate System UTM, WGS 84, Zone 48N ited The boundaries and names shown and the designations used on this map do not imply official endorsement or accceptance by the Un Nations Source: WFP 2004. quantified comprehensively. However, the value of (Broekhoven 2002). It is believed that shipments of the wildlife trade alone is substantial. An estimate of wildlife products may have increased in value in the value of wildlife traded along one road going recent years, and that a large part of the internal into Vietnam in 2000 came to a total annual value of trade in wildlife meat is not for subsistence, as is US$11.8 million at Chinese wholesale prices often assumed (Nooren and Claridge 2001). P OV E RT Y A N D F O R E S T S L I N K AG E S LAO PDR’S PRSP: NATIONAL GROWTH also outlines the issues associated with reaching the AND POVERTY ERADICATION STRATEGY4 long-term goal of establishing a nationwide land administration system and providing secure tenure to all eligible land holdings. The government’s strat- Lao PDR’s National Growth and Poverty egy for enhancing human development is compre- Eradication Strategy (NGPES) is the first full pover- hensive, and the NGPES contains a strong agenda ty reduction strategy prepared by the government. for improving education. The strategy builds on a number of government The five areas of priority for the government are to: documents, including the Interim PRSP (I-PRSP), (i) sustain growth and ensure macro-fiscal sustainabil- approved by the government in March 2001, and ity; (ii) strengthen public financial management and followed by the National Poverty Eradication governance; (iii) improve social outcomes and reduce Program (NPEP), which was developed through a vulnerability; (iv) strengthen natural resource and 101 participatory process with full ownership of the gov- environmental management; and (v) build capacity ernment. The NPEP was reviewed and upgraded to for implementing and monitoring the NGPES. become the NGPES, and was approved by the National Assembly in February 2004. It was transmit- THE ROLE OF FORESTS IN THE PRSP ted to the World Bank and IMF in September 2004. The process of preparing the NGPES was led by the government. The NGPES committee formed to The government is committed to reversing defor- oversee the process drew membership from key estation and to achieving 60 percent forest coverage ministries and agencies and representatives from by 2020. To achieve that, the management of forests several mass organizations. The government imple- needs to be strengthened to deal with such issues as mented a Participation Action Plan supported by a lack of an integrated land and forest management the UNDP and other donors during the NGPES system, insufficient law enforcement, weak institu- process. In addition, there have been intensive con- tional capacity, and the lack of funds and resources. sultations with donor partners, civil society, and the The government strives to implement the following private sector. In addition to consultation with offi- measures to alleviate poverty and to ensure more cial mass organizations, such as the Lao Women’s sustainable management of Lao forests: Union, discussions were held with the private sector, academics, and provincial representatives. As the ■ enhancing village-based natural resource man- next Five-Year Plan is being prepared, it is recog- agement for poverty alleviation nized that further efforts are needed to increase par- ■ revising the system for harvest determination, ticipation of all stakeholders in the NGPES process. from a focus on capacity of the wood industry to The three pillars of the strategy aim at: (i) foster- a focus on sustainable supply ing economic growth with equity; (ii) developing ■ restructuring the wood industry in Lao PDR to and modernizing Lao PDR’s social and economic bring processing capacity into closer accord with infrastructure; and (iii) enhancing human resource a sustainable raw material supply development. Prudent monetary and fiscal policies, ■ controlling unsustainable harvest and export of combined with broad-based structural reforms to NTFPs by unregulated traders, and promoting promote private sector-led development, are viewed sustainable participatory management and pro- as key to achieving the government’s economic cessing of NTFPs goals. The government also emphasizes the impor- ■ promoting tree planning; formulating mecha- tance of rural infrastructure to achieving the goals of nisms for certifying sustainable managed tree the NGPES. A large part of the country is rural, and plantations the rural poor constitute the majority of the coun- ■ preventing encroachment, illegal activities, and try’s poor. The NGPES puts high priority on the biodiversity degradation by effective law enforce- need to tackle issues of equity, for example, between ment, capacity building, and the participation of upland and lowland rural communities. The NGPES villagers in conservation activities ■ formulating a national land-use policy and intro- 4. Information summarized by the editor from Lao PDR ducing land-use planning at both the macro and (2004) and World Bank (2004). field levels. SUMMARY OF C A SE STUDY—LAO PDR THE PILOT SITE OF BAN NAMPHENG ■ NTFPs were being overexploited, and poor prices AND THE NTFP PROJECT were being received from traders because local collectors: • had taken loans from traders5 during rice- Ban Nampheng is a small village of some 50 house- deficit periods, which were repaid later with holds located in Oudortixai province in the moun- agreed quantities of NTFPs tainous north of the country. In 1996, it was select- • lacked secure access rights to the forests and ed as one of 12 pilot sites for the NAFRI/IUCN had to compete with outsiders during peak col- NTFP project because it represented a typical situa- lection periods tion where poor, upland farmers have forest-based • lacked adequate market information livelihoods, which are dominated by the cultivation • were adding little value to products through of upland rice in shifting swidden fields, and by the grading and processing 102 exploitation of NTFPs from standing forests and • were in open competition with other sellers; and regenerating swidden fields. • sold valuable NTFPs by the bundle, rather than The aim of the project’s work at Ban Nampheng by weight. was to demonstrate sustainable systems of NTFP use ■ Opportunities to invest in NTFP-based activities that would contribute simultaneously to forest con- or other livelihood pursuits were limited by the servation and human well-being (Ingles and Karki absence of village infrastructure, credit services, 2001). This aim was split into five objectives to pro- and alternative income sources. vide greater clarity to the design of interventions at ■ Development opportunities for women were fur- the pilot site, as follows: ther restricted due to their heavy workloads. 1. Sustainable harvesting: To develop sustainable In response, a number of project interventions systems of NTFP harvesting that contribute were undertaken in Ban Nampheng to address these directly to the conservation of forest biodiversity. problems and contribute to the five objectives for 2. Community forestry: To promote community- pilot sites as described above. The main interven- based organizations that can manage and moni- tions are presented and explained in table 6.1. tor the use of their forest resources through sus- In regard to forest conservation, both local users tainable use of NTFPs. and government officials have consistently reported 3. Domestication: To reduce pressure on forests and that the condition and productivity of forests allo- improve the well-being of village communities cated to Ban Nampheng have improved since 1996. through domestication of NTFPs outside forests. Illegal cutting of timber is reported to have 4. Well-being: To reduce pressure on forests and to decreased because of increased food security and the improve the ability and motivation of village enhanced returns from NTFP collection. While the communities to manage forests by improving the value of NTFPs from the forests has risen, increasing well-being of people and communities. the general pressure for harvesting, villagers believe 5. Marketing: To motivate forest users to manage that they have greater control over such pressure forest resources sustainably by increasing income through the allocation of exclusive use rights to derived from forest products through improved them, and the establishment of harvesting rules marketing and processing of NTFPs. among the user group (Morris et al. 2004). In addi- tion, grazing pressure on surrounding forests has As will be seen in the following sections, activities been reduced because of new investments in animal undertaken under objectives 1, 2, 4, and 5 were the husbandry that have changed livestock numbers. most influential in creating positive changes in peo- There are fewer cows and goats, and instead are ple’s livelihoods. more chickens, pigs, and buffalo. The project promoted a participatory approach to the planning and implementation of interven- tions at Ban Nampheng, using Rapid Rural Appraisal and Participatory Rural Appraisal tools. In 5. Although the loans provided by traders was seen as a nega- tive “service,� locking assets and cash-poor people into low- early 1996, the following situation in regard to price agreements at vulnerable times of year, some villagers still NTFP use was thus diagnosed: commented on this service in a predominantly positive light. P OV E RT Y A N D F O R E S T S L I N K AG E S TABLE 6.1 Main NTFP Project Interventions in Ban Nampheng Intervention & Purpose Key Result Village rice bank: A store of rice and an Replaced the need to overexploit NTFP resources organization was established to allow the village to and sell too cheaply to traders because of loans cope with their rice-deficit period better and taken to buy rice reduce the pressure to collect NTFPs to pay off loans to traders Forest land allocation and collaborative Provided secure forest access and use rights to a 103 management: Land-use planning and an defined user group, allowing for (better) harvesting agreement was made with the government for rules, off-take regulation, and investments in forest village management of specific forest areas and for management spatial confinement of shifting cultivation Marketing groups: An organization was Organized collusion in price setting, enhanced established that developed agreed rules for knowledge of market prices, grading and processing harvesting and selling bitter bamboo shoots (see below), and selling by weight using scales (Indosas sinensis) and cardamom pods (Amomum resulted in significant increases in income to spp.). The organization also created and managed a households and better returns for labor inputs.a A NTFP development fund generated through a successful village development fund was created. The locally applied tax of 10% on NTFP sales organization continued to facilitate further development of marketing strategies and facilities. Grading and processing: Capacity was built for Significant increase in income from cardamom sales adding value to cardamom pods (Amomum spp.) occurred because of improvements in the quantity used in the production of Chinese medicine and quality of the product through drying and grading Drinking water supplies: A local drinking water Reduced time was spent by women and children in supply scheme was established fetching water, allowing more time for participation in NTFP collection and in marketing and savings groups Women's savings group: An additional Provided credit for local initiatives and strengthened organization was created to encourage the collaboration within the village effective use of additional cash circulating in the village Domestication of important NTFP species: A marginal increase in the resource base and some Planting trials were undertaken for three NTFP raised awareness about the concept of species, paper mulberry (Broussonetia papyrifera), domestication generally occurred cardamom (Amomum spp.), and eaglewood (Aquilaria spp.) a. As an example, the local price for cardamom was raised from 500 kip per kilogram to 35,000 kip per kilogram in 1998, and although prices later dropped, prices of around 12,000 kip per kilogram were sustained over time (Morris et al. 2004) (US$1 = about 10,000 kip). SUMMARY OF C A SE STUDY—LAO PDR However, information about the impact of The next most important source of cash income is NTFP-related interventions on forests remains animal husbandry (20 percent), followed by cash largely anecdotal. Changes in forest composition cropping of sesame seeds and com (15 percent). On and structure need to be quantified through formal average, each household is earning about US$200 surveys. per year by selling bitter bamboo shoots. Recently, the village head has reported that Ban Nampheng has become locally famous for its development suc- The Positive Impacts on Livelihoods cess, and he now holds applications from 30 house- at Ban Nampheng holds located elsewhere, requesting permission to An assessment of the impacts of the NTFP project’s move and settle in Ban Nampheng. This is signifi- interventions on livelihoods and poverty at Ban cant given that there are only about 50 households Nampheng was undertaken in 2002 and published residing in this village. Both the process for consid- 104 by Morris et al. (2004). The main findings from this ering these applications and the extent to which new study are summarized here, alongside updated wealth arrivals will be permitted is unknown at this stage. and development indicators collected in early 2006. In summary, it can be argued that the main rea- Participatory poverty assessments were under- sons why poverty rates were reduced in Ban taken in 1996, 2002, and 2006. Such assessments use Nampheng were that food security was achieved, locally recognized indicators of wealth and poverty6 mainly through the NTFP project’s rice bank, forest and require village informants to rank each house- land allocation, and marketing group interventions, hold accordingly. Fourteen households graduated which increased the income from NTFP sales with one wealth class between 1996 and 2002. Over the which to buy rice. Available labor increased through next four years, another seven households graduat- improvements in health care and nutrition, and the ed one wealth class, while previous gains were held returns on labor from NTFP collection and sale were by all but one household that slipped back a class. increased significantly. In addition to its major role Overall, the proportion of households in the poorest in helping to reduce poverty levels in the village, the wealth class fell from 33 percent in 1996 to 13 per- NTFP project’s interventions also provided a basis cent in 2006. for further economic development through the Table 6.2 presents changes in key development establishment of an NTFP marketing group and indicators for Ban Nampheng over the same period NTFP development fund. These paid for improve- of time. Notable changes include the attainment of ments in formal and informal education, and pro- food security, the eradication of child mortality, the vided credit in support of private equipment pur- doubling of school enrollment rates (gender bal- chases and investments in agriculture, trading, anced), and the increases in livestock. The village has transport, and animal husbandry. Also, the substan- also benefited from new infrastructure, equipment, tial and robust increases in NTFP-based incomes and services, which have been supported by the have allowed for private investments and livelihood NTFP project, the NTFP development fund estab- diversification. lished by the marketing group, and indirectly It is clear that the NTFP project’s interventions through private loans made from that fund. have had a significant, positive, and long-lasting In 2006, it was found that the sale of NTFPs still impact on Ban Nampheng village. The combination dominates household income sources, providing of the NTFP-based interventions, and the subse- approximately 60 percent of cash income to house- quent and related activities undertaken by the vil- holds, mainly from the sale of bitter bamboo shoots. lagers themselves, have provided resources, capacity, and options for further development. In this way, NTFP development has provide households with an 6. Locally recognized indicators for each wealth class are as “escape ladder� out of poverty. follows: Well-off: permanent house, equipment and acces- sories (for example, truck, TV/VCD), enough money or rice for one year, some livestock, and enough labor. Middle: semi- permanent house (that is, thatched grass roof, stripped bam- Information Flows from Projects within the boo walls), insufficient money or rice for half year, few live- Ministry of Agriculture and Forestry (MAF) stock, and enough labor. Poor: temporary house (i.e. bamboo or small trees for beams and pillars), insufficient rice for full Policy making in the forest sector is usually a long year, no livestock, and insufficient labor (Morris et al. 2004). process, involving officials at many levels. Senior P OV E RT Y A N D F O R E S T S L I N K AG E S TABLE 6.2 Changes in Village Development Indicators, 1996–2006 Development indicators 1996 2002 2006 Food security 25–30 households lacked Now rice is “not much Secure rice for 3–4 months, worry� and no longer during which time they need to hire out labor had to leave the village to or cut timber hire out labor or cut timber illegally Child mortality (under 5) 10 0 0 Illnesses Malaria, diarrhea, and lung Same illnesses, but now Same illnesses, but now 105 infection (for elderly) able to access medical able to access medical services and purchase services and purchase medicines medicines Formal education 30 children 67 children 67 children Agriculture & forestry ■ 0 hectares of paddy ■ 5 hectares of paddy ■ 10 hectares of paddy rice rice rice ■ 45 hectares of upland ■ 30 hectares of upland ■ 30 hectares of upland cultivation cultivation cultivation ■ Forests not allocated ■ 515 hectares of ■ 520 hectares of allocated forest allocated forest ■ 5 hectares of fruit orchards ■ 4 fish ponds Animal husbandry ■ 60 cattle ■ 28 cattle ■ 17 cattle ■ 10 buffalo ■ 12 buffalo ■ 19 buffalo ■ 13 goats ■ 55 goats ■ 12 goats ■ 30 pigs ■ 40 pigs ■ 120 pigs ■ 100 poultry ■ 200 poultry ■ +1,000 poultry staff, mainly at the director of division and depart- cials who were directly involved in the development ment levels, are responsible for facilitating the of the Forestry Sector Strategy (Vision 2020) and the process and drafting a policy document. For the National Biodiversity Action Plan (NBSAP), the fol- NTFP subsector, the Forestry Research Centre lowing information flows were identified: (FRC) and project directors of all NTFP projects have played an important role in drafting NTFP- ■ regular reporting in weekly meetings at the MAF related policies at the national level. Often, they have ■ visits of high-level staff to implementing agencies been assisted by external advisers or consultants. like the Forestry Department, NAFRI, FRC, and FRC staff has had the advantage of receiving reports other field stations from projects regarding their progress and achieve- ■ participation of staff in national-level meetings, ments, and other information received through reg- e.g. donor coordination meetings and meetings ular meetings at the department level. specifically organized for strategy preparation It is not clear how project outcomes reach to processes higher levels beyond line departments because it was ■ project reviews and project preparation missions not possible to engage with decision makers at those ■ interactions with representatives of donors and levels. However, through discussion with senior offi- international organizations SUMMARY OF C A SE STUDY—LAO PDR ■ exhibitions at the ministry in celebration of STUDY QUESTIONS AND METHODS important days ■ feedback and requests from the field during field visits in project areas. Recognition of the impor- The study focused on finding out how the positive tance of project outcomes at provincial and dis- achievements of the NTFP project at Ban trict levels was important. Nampheng have been expanded locally, and how the project’s outputs have been used and scaled-up at Figure 6.2 presents a generalized overview of how the national level. A number of key questions were information generated by projects such as the formulated to guide data collection, as follows: NAFRI/IUCN NTFP project flows to key decision makers within the MAF. This ministry is responsible 1. What is the nature and extent of the replication for establishing overall policy objectives and strate- of NTFP interventions undertaken by the project 106 gies within the forest sector, and approving specif- at the local level? ic programs and projects supported by overseas 2. What were the factors that influenced local repli- development assistance. Key informants from cation? within the ministry were interviewed to determine 3. What did the NTFP project do to try to scale-up the extent to which the NTFP project contributed successful NTFP development policy and prac- convincing information to decision makers and tice? To what extent are the project’s products influenced other programs and projects in the and services perceived to have contributed to country. NTFP policy and practice? FIGURE 6.2 Learning from Projects: Information Sources and Flows Ministry and higher levels Department directors Division-level and senior specialists • regular weekly meetings at ministry; • participation in national-level • regular weekly meetings at and strategy-preparation department level; process; • own interest/effort; • exhibition; • request by project for its • visits to implemention advice organizations; • own interest/effort; • supervision to project; • interactions with donors and • invited by project to • visits to project sites; international organizations; participate; • interactions with donors and • project review and project • request by project for international organizations; preparation mission; and advice; • project review and project • feedback and requests from • supervisor to project; preparation missions; and provinces and districts (local • requested by project; • feedback and requests from government) • short-term consultancy to provinces and districts (local project; and govenment) • by missions through other projects. Project outcomes P OV E RT Y A N D F O R E S T S L I N K AG E S ■ What could be done to enhance both the replica- FINDINGS ABOUT SCALING tion of local-level interventions and the scaling- SIDEWAYS (THE HORIZONTAL up of successful NTFP development policy and INFLUENCE OF THE PROJECT) practice? Replication of Pilot Village Interventions Information regarding local replication was col- Elsewhere in Lao PDR: Extent and lected by a field team using common Rural Rapid Mechanisms Appraisal (RRA) tools. Following visits to Ban Nampheng, the local district town, and the provin- This study investigated how, to what extent, and cial center of Oudomxai, the team selected 23 vil- why the interventions, undertaken by the lages in which to investigate local replication of the NAFRI/IUCN NTFP project at Ban Nampheng were NTFP interventions undertaken in Ban Nampheng. replicated elsewhere. While the detailed field study 107 Twelve of the selected villages are located in mainly focused on Oudomxai, and to a lesser extent Oudomxai province, and the remainder are located Luang Prabang and Luangnamtha provinces, it was in the two neighboring provinces of Luang Namtha established at the national workshop undertaken for (three villages) and Luang Prabang (eight villages). this study that most of these interventions are found The selection of these villages was subjective, based to some extent across the whole country. This is a on the awareness of government officials about any significant finding about the overall geographical NTFP-based developments having occurred in these spread of the NTFP-related developments across the villages in recent years. country. In all cases, replication has been supported The field team worked with government officials, by development projects undertaken in partnership project staff, NTFP traders, and people from each of with the government of Lao PDR. However, as is the three wealth classes (well-off, medium, and explained later, this finding has a lot to do with the poorest) in the 23 villages to determine how the geographical consequence of upwards spread, rather spread of ideas and local replication were being facil- than from extensive local replication directly from itated by promoters or adopted by users. pilot sites alone. Information was generated using participatory Results from the survey of 23 villages in the north research methods such as timelines and Venn dia- of Lao PDR, which are relatively close to the pilot grams. After the initial data on the sideways spread villages of the NTFP project in Oudomxai province, was collected and analyzed, a workshop was organ- show that a large number of spread mechanisms ized in Oudomxai on March 2, 2006, to share and were reported and observed. These are clustered and check the data with a number of key informants, and presented graphically in figure 6.3. to elicit recommendations relevant to question number 5 above. What Spreading Mechanisms A second team of researchers reviewed the litera- Worked Best, and Why? ture, interviewed key informants, and circulated a questionnaire to gather information about scaling From the local villager perspective, it was felt that upwards and the nationwide spread of the project’s project-sponsored visits/study tours of villagers to work. After the initial data on upwards spread was the pilot village were the most effective means of collected and analyzed, a workshop was organized in spreading the ideas among users. This was also the Vientiane on February 23, 2006, to share and check view of villagers of Ban Nampheng. In particular, it the scaling upwards data with a number of key emerged that the most significant motivation for informants, and to elicit recommendations concern- local replication appears to come from seeing first ing question number 5 above. hand the opportunities created by the social Finally, a third workshop was conducted at the arrangements and the socioeconomic progress pro- national level in Vientiane on March 9, 2006, to vided by the interventions (organizational develop- further add to the overall data set. Its analysis and ment, personal enrichment and empowerment, recommendations are presented in the sections improved health indicators, etc.), rather than from below. the NTFP developments alone or directly. For exam- ple, in Ban Nampheng, village development funds SUMMARY OF C A SE STUDY—LAO PDR FIGURE 6.3 Mechanisms Contributing to the Sideways Spread of the NAFRl/IUCN NTFP Project Interventions Self Organized Local staff aware Self Organized organized by GoL of pilot village & organized by projects encourage Meetings & replication in new Visits to pilot networking among projects villages village officials Ex-staff (of pilot 108 Households Spread project) train others relocate to another Mechanisms (at pilot village or village elsewhere) News and gossip Ex-staff get new jobs elsewhere Radio & Friends, Travel & Appointed to key Employed by newspapers relatives & markets position in GoL new projects traders derived from the NTFP marketing group paid for an most important single element that attracted inter- electricity system, a village meeting hall, and the est was probably the successful establishment and salaries of teachers. These, when seen or heard about sustained existence of the marketing group. Interest by others, generate the key motivation to replicate also was supported by other factors, such as the for- NTFP-based interventions. est land allocation focus on NTFP identification and The good and growing reputation of Ban planning, and the effect of stronger regulations on Nampheng as a community, at the district and NTFP harvesting. Another important factor gener- provincial levels, is a major factor, and is one that ating interest is the capacity of Ban Nampheng to locals are aware and proud of. Prior to the NTFP use its village development fund in an effective and project work in the village, it had a “bad� reputation, efficient way. perceived by some government of Lao officials as being a difficult and problematic place to work with Factors that Influence Local Replication the community. The fact that Ban Nampheng received a government of Lao PDR award for This section reports on what the study found out improvements in social well-being for five continu- about attitudes, opinions, and observations at the ous years sparked a lot of local interest and gossip. local level, the “receiving end� of the spread. It sheds The relay of this news (via media, travels, markets, light on the adopters’ or “users’� perspectives about friends, and relatives) from the pilot village in turn NTFP development in general, and about some spe- created even more interest and awareness, leading to cific interventions facilitated by the NAFRI/IUCN private fact-finding visits and discussions between vil- project in pilot sites. lage leaders within the district, and to pressure being Data from the 23 villages indicates that all wealth put on officials and projects to copy Ban Nampheng. groups were more or less equally interested in From an analysis of all the observations made NTFPs because of income-generation opportunities and comments received during the “sideways� and the limited labor required to exploit them. The research, the field teams are of the view that the poorest groups appear relatively more interested in P OV E RT Y A N D F O R E S T S L I N K AG E S the ease of trading in NTFPs and the establishment Domestication of NTFP Species of rules associated with their collection. It is inter- with High Market Demand esting to note that respondents in the well-off group expressed the perception that NTFP development The Provincial Agriculture and Forestry Office(r) contributed to forest conservation far more often (PAFO) Oudomxai reported that many districts than did the other two groups. A high level of con- have initiated NTFP domestication activities seen in cern by all wealth groups regarding unsustainable Ban Nampheng. NTFP domestication was found in NTFP harvests, and the importance of maintaining 16 of the 23 villages included in this study. the health of local forests, were also shown. Domestication was found to have been promoted Hopefully, this may indicate that as well as recogniz- mostly by projects rather than by villages, and the ing the harvesting-related benefits, people from all choice of NTFP species was dependent on local eco- wealth groups are aware of the importance of the logical conditions and market demands. 109 husbandry aspects and associated management reg- ulations. Given the fact that both of these percep- NTFP Marketing Improvements tions were commonly put forward, there is hope that NTFP use from natural forests can be sustain- In the 23 villages involved in the study, four vil- able. The poorest groups show relatively more con- lages reported the establishment of an NTFP mar- cern for the availability of wild NTFP resources, keting group. The effectiveness and sustainability labor (a key local indicator of poverty), and external of these groups are uncertain. Unfortunately, it technical support. This finding reinforces that idea was apparent that marketing groups have not been that NTFP projects can successfully engage the encouraged or supported by all projects. While this poorest groups in activities that are of high interest intervention was one of the most successful in and relevance to their needs and capacities. The data terms of helping to reduce poverty in the pilot vil- also suggests that there are equity issues requiring lage of the NAFRI/IUCN NTFP project, it is the further investigation, as indicated in the concerns of intervention that has been replicated the least by the poorest group regarding the allocation of car- other projects. damom plots to households, and theft from NTFP plantations. Rice Banks Of the 23 villages studied, only seven villages have, Forest Land Allocations for Sustainable or have had, a rice bank. In all villages that have had NTFP Use and Management a rice bank, they were spread and supported by proj- The idea to dedicate forests for NTFP collection ects with local government of Lao support. In through a forest land allocation (FLA) process came Oudamxai province, German Agro in Action mostly from district government of Lao staff, and Accord (GAA) (one of the projects that hired former project staff. In other forest-dependent villages, NAFRI/IUCN NTFP project staff), has played an especially in the Namo district, where the Lao- important role with regard to replicating rice banks. Swedish Forestry Programme (LSFP) is working The role of a rice bank is to indirectly reduce the actively, it was reported by the District Agriculture need to overexploit NTFPs to deal with rice deficits. and Forestry and Environment Offices (DAFEO) It was one intervention in a package that addressed that the practice would be replicated in most of the the interconnected issues of forest use and access LSFP pilot villages. rights, food security, and organized NTFP market- While the forest land allocation processes were ing. The fact that there was no apparent relationship generally seen as positive factors in bringing about between the establishment of rice banks and the sustainable NTFP use, concerns about the degree to other NTFP interventions is evidence that an under- which the allocated forests could be protected from standing of the links between the different interven- external use were commonly expressed, especially in tions in the package has not spread. Rather, individ- regard to the lack of physical demarcation of forest ual interventions spread independently and lose boundaries, and the (sometimes) significant dis- their linkages as part of an overall NTFP interven- tance from settlements to allocated forest areas. tion strategy. SUMMARY OF C A SE STUDY—LAO PDR FINDINGS ABOUT SCALING Negative Influence of the Project? UPWARDS (THE VERTICAL INFLUENCE OF THE PROJECT) Only one respondent provided an observation on the negative impact of the project, relating to the perception that the project has increased the profile Dissemination of Project Lessons of NTFPs, and thus the harvesting pressures on within the Forest Sector NTFP resources generally. Such pressure would As a pioneering project in the field of NTFP devel- threaten NTFP resources because the pace of adopt- opment in Lao PDR, the NAFRI/IUCN NTFP proj- ing proper management systems is too slow to catch ect went to great effort to learn, document, and up with the increased interest and market demand present its lessons to a wider audience. A total of 23 for certain products to sell to large and resource- different types of documents were published by the scarce neighboring countries. 110 project for wider dissemination, such as technical reports, training manuals, workshops, posters, Convincing Project Outcomes videos, and leaflets on NTFP species. Additionally, a number of services, such as hosting visitors, organ- Respondents were also asked to identify what proj- izing networking events, and supervising student ect outcomes were the most influential in regard to projects, were provided during its period of opera- stimulating future action. Results show that com- tion to enhance the dissemination of project knowl- munity-based approaches to NTFP management edge and experience at the national level. were the most influential. The next most influential work of the project was the knowledge base it creat- ed, followed by the bamboo shoot marketing group. Perceptions about the This is an interesting result when compared to the Influence of the Project major finding from the sideways scaling study, which found that the technical aspects of the project’s work were more likely to have been replicated locally. This Positive Influences may represent a disconnect between what central- All questionnaire respondents expressed a view that level officials see as the main achievements of the the NTFP project has significantly influenced NTFP projects, and what provincial- and district-level offi- development in Lao PDR. A number of positive con- cials are able to achieve in the field, unless they have tributions were mentioned by the respondents to the been able to hire an ex-project staff member. questionnaire and by participants at the consultation workshops organized for this study, and include: DISCUSSION, RECOMMENDATIONS, AND SUGGESTIONS 1. Awareness about the importance of NTFPs was raised tremendously. 2. A scientifically credible knowledge base about Some key recommendations for follow-up action by NTFPs was created. various actors in Lao PDR are provided below in the 3. National capacity for NTFP management and interest of enhancing the impact of past NTFP development was built up. development experience. A number of suggestions 4. Models for sustainable management of forest are also provided that, while relevant to Lao PDR, resources were developed. are also of relevance to the scaling upwards and side- 5. NTFP developments were undertaken to ways of similar forest-based livelihood interventions improve livelihoods, and this influenced rural outside of Lao PDR. These recommendations and development programs. suggestions are consistent with those made in the 6. Convincing arguments were made that helped to PRSP concerning the role of forestry in poverty alle- reorient government policies toward the sustain- viation. able use of NTFP resources, and donor interest It should be noted that a number of these sugges- and interactions with the government for tions were provided by survey respondents and par- expanding NTFP development to other areas was ticipants in the three workshops organized in sup- enhanced. port of this study. P OV E RT Y A N D F O R E S T S L I N K AG E S Regarding Scaling Sideways key social elements (e.g., marketing groups) was found to have been better performed by ad hoc, In general, the sideways spread of local NTFP-relat- user-driven mechanisms, rather than by projects. ed development in Lao PDR, inspired by the The notable exception is the GAA project, which NAFRI/IUCN NTFP project, has been impressive. appears to be the only project which is making the Not only are the project’s interventions being copied effort to give due attention and support to NTFP to some extent by other projects, but it is quite clear marketing groups and the creation and management that every local professional (project, government, of village development funds. It is unfortunate that and NGO staff) is aware of where the ideas have all the current projects are not adequately aware of come from and been demonstrated, and are happy the importance of social organization to underpin to acknowledge the source. NTFP development. With regard to poverty reduc- However, it is a cause for concern that relevant tion, the establishment and sustainable functioning 111 government of Lao officials are not facilitating the of a rice bank, an NTFP marketing group, and replication of the NAFRI/IUCN project interven- strong regulatory mechanisms for forest manage- tions in their day-to-day work (i.e., without external ment, are more important than the technical aspects project support). This is unfortunate because it sig- of NTFP production. The value of the sideways nificantly limits local replication facilitated by the spread is being undermined by the a la carte development promoters. Presumably, this situation approach, where social development activities are is of interest and concern to current projects regard- dropped or reduced by some projects that are sup- ing what will happen after they finish. While there is posedly “copying Ban Nampheng.� a high level of awareness and support for replication among Lao government officials, proactive and even Recommendation R2: A communication effort is reactive and requested support is still limited on the required by NAFRI to explain why NTFP develop- ground, arising perhaps from inadequate direction ment interventions at pilot villages should be seen as and internal budgetary provisions, rather than from a package, and that variations to the package should a lack of technical capacity. be based on a deeper understanding of the relation- Relevant recommendations and suggestions ships between, and the role of, each intervention include: within the package, and on rigorous local diagnosis and planning. Recommendation R1: The Department of Forestry (DOF) should initiate an internal review of the con- Suggestion S2.1: There should be large and clear straints for sideways scaling of NTFP interventions “health warnings� on all project publications about by the PAFO and the District Agriculture and unbundling the technical and social interventions Forestry Office (DAFO) in the absence of project required for successful and sustainable NTFP-based budgets and other support. See also the related rec- local development—i.e. the message to those plan- ommendations in the section dealing with upwards ning to “copy� pilot village interventions should be scaling. that it is not an a la carte-type exercise, as the pover- ty reduction outcomes will be severely constrained. Suggestion S1.1: Thought should be given to pro- A major positive factor in sideways spread is that viding a dedicated and secure “internal� funding project lessons are being replicated by former source to pay for sideways spread of activities for a NAFRI/IUCN NTFP project staff who are now period of time after a project is completed to employed by other projects. They have been able to enhance the chances of direct official support to effectively diffuse the original project’s achieve- these efforts when there is no other externally fund- ments, reorient rural development approaches, and ed project assistance available. enrich the community-based natural resource man- It is also a cause for concern that the more tech- agement approaches within the organizations they nical aspects of NTFP production are being replicat- have joined. ed to a greater extent (currently at least two times more often) than the social organization aspects of Suggestion S2.2: Given the positive performances of NTFP management, as discovered in the 23 villages previous project staff in facilitating sideways spread included in this study. In fact, the replication of the through their employment in different projects, per- SUMMARY OF C A SE STUDY—LAO PDR haps some proactive redeployment process should Suggestion S3.3: When selecting pilot villages, there be built into the human resource management plans are advantages in having at least one village near a of project partners in the future. main road because it facilitates awareness among the traveling public and thus sideways spread. However, Recommendation R3: Research is required to deter- due diligence must be applied with regard to intro- mine if the poorest households are seeing fair results ducing a main road bias, so that there is an appro- from NTFP development opportunities resulting priate balance in the numbers of accessible and from forest land allocations. This is required to more remote pilot villages. ensure that the allocation process is benefiting local people from all wealth groups. The field research for Suggestion S3.4: If a project is demonstrably suc- this study produced data that suggests that perhaps cessful in a pilot village, and the villagers concerned it is not. are happy with the idea, the project can rename itself 112 after that place, rather than continuing with institu- Suggestion S3.1: There are some potential longer- tional names or acronyms that are obscure and less term advantages in electing to work in places memorable to local people. deemed or perceived by outsiders such as govern- ment of Lao officials to be difficult or problematic Suggestion S3.5: As soon as there are demonstrable places to work with the local community. Success in successful results (not necessarily directly to do with these places can go a long way toward removing per- wise use of NTFPs), village exchange visits should be ceptions that may constrain future spread activities. promoted and supported by a project. Training should be provided to villagers who have been Suggestion S3.2: Although it is often tempting in involved in the project’s activities to be guides. the short term to use project funds to directly assist Training should also be provided to Lao govern- or pay for infrastructure improvements in poor vil- ment officials to organize and facilitate such village lages, if sustainable use of natural resources is the exchange visits. ultimate project goal, then the source of financial resources for these things should be directly linked Recommendation R4: The DOF should provide to the wise use of these natural resources as an more opportunities for villagers in other districts to “engine for local wealth creation� (e.g., via a village visit pilot villagers, as well as produce simple guide- development fund created through improved mar- lines for NTFP development in Lao language, using keting and a local NTFP sales tax). The exception to a comic book format as a resource to accompany this suggestion would be funding those improve- such visits. ments that reduce the workload of women, or help NTFP traders can be a low-cost and efficient achieve food security, thus creating an enabling means of spreading the project sideways. If it can be environment for improved and more equitable shown to traders that their interests will be served by NTFP management. promoting some or even all aspects of a project, then In terms of enhancing the sideways replication of this will be done enthusiastically and economically. NTFP-related development, the factors for enhanc- ing replication suggested by local people in the three Recommendation R5: A pilot program to engage different wealth classes are instructive. It would and motivate NTFP traders to learn more about appear that providing more opportunities for NTFP NTFP-related development interventions and dis- domestication would encourage spread and act as an seminate information that supports extension entry point for additional and necessary interven- efforts should be developed. tions such as marketing groups and village funds. It is interesting to note that local NTFP users appear to Suggestion S5.1: Given the finding that households be more aware about the importance of NTFP mar- that relocated from the pilot village were very effec- keting groups and associated village development tive ad hoc agents of sideways spread, perhaps there funds than are most of the current projects. would be some value in producing “starter packs� This study showed that a significant amount of with detailed technical advice and guidelines in a local replication is done by local people themselves. local language to strategically encourage more A number of suggestions follow from this finding: spread of this nature. P OV E RT Y A N D F O R E S T S L I N K AG E S Suggestion S5.2: Given the potential for the effective Suggestion S5.5: Agriculture and forestry extension sharing and spreading of experience through formal staff require a basic set of facilitation, communica- and informal meetings of local leaders, some sup- tion, and participatory process management skills in port (particularly training) could be given to ensure order to participate in sideways scaling of forest- that these meetings are organized and run well. based livelihoods interventions. They also need to be A number of useful suggestions were made at the encouraged and given responsibility and, if possible, final workshop conducted at the national level in provided with incentives. Additional ideas are: Vientiane on March 9, 2006. These related to build- ing capacity of local village leaders; better planning ■ Using a counterpart strategy to “clone� effective and implementation for project entry and exit facilitators strategies; and enhancing the skills of “promoters� ■ Creating a suitable training package for basic who are not working closely with a project but are facilitation and (oral and visual) communication 113 stationed in areas adjacent to pilot villages. The sug- skills for NTFP development at the village level gestions are summarized below. ■ Developing tailor-made check lists and tools about how to analyze local organizations Suggestion S5.3: The capacity of local village leaders ■ Establishing an efficient staff performance moni- in the vicinity of a forest-based livelihoods project toring system and feedback mechanism should be enhanced to promote sideways scaling by: Regarding Scaling Upwards ■ Assessing the capacity of local village leaders to inform planning for a training program A major finding of this study is that it was the NTFP ■ Providing a village leadership development pro- project’s success at the local level, and to some gram through exchange visits, mentoring, and extent the sideways spread from pilot villages, which awareness raising regarding relevant social led to serious recognition and influence at the organization, rights, and welfare topics national level. ■ Engaging local village leaders early in project implementation to increase awareness and inter- Recommendation R1: A new document in Lao lan- est in the pilot village and the potential for local guage, summarizing the poverty reduction and biodi- replication versity conservation benefits of NTFP developments, ■ Including local village leaders in groups under- should be produced for National Assembly members. taking NTFP market analyses ■ Creating a village network for sharing NTFP Suggestion S1.1: Pilot villages and associated mech- market knowledge and lessons regarding social anisms for sideways spread are essential components organizations and regulatory frameworks to sup- of projects that seek to promote widespread adop- port NTFP development tion of forest-based livelihoods interventions at a national level. Suggestion S5.4: The relevant administrative units Another major finding was that the personal surrounding pilot villages should also be part of interests of senior officials were a main determining project activities that aim to create an enabling envi- factor for awareness about the project’s products ronment for sideways scaling. Such activities could and their use in scaling upwards. While personal include: interests will obviously vary among officials, it is worth bearing in mind when deciding on the style ■ Analyzing the capacity of administrative units in and content of materials aimed at engaging with and regard to promoting local replication of success- influencing higher-level officials. ful interventions ■ Involving staff of these units in relevant training, Recommendation R2: The NAFRI Information exchange, networking, and awareness-raising Centre should consider reissuing a select number of programs NTFP project documents in Lao language to sup- ■ Developing a project exit strategy that ensures port wider dissemination of existing experience, these units can continue with local replication especially those relating to the lessons and benefits after the project is completed. of NTFP-based livelihood interventions. SUMMARY OF C A SE STUDY—LAO PDR Several people suggested that the project should and to broaden membership of these networks to have produced more audiovisual materials that include other stakeholders (such as the private sec- describe the pilot village work and its impact. tor and traditional medical institutions). However, it is interesting that the questionnaire sur- vey showed that in the long term, traditional and Suggestion S2.5: In the longer term, enriching the scientific papers had much more influence (and use) formal training of professional and technical staff at the higher levels than expensive video and audio with lessons from successful projects will help with productions. Perhaps the audiovisual materials were scaling upwards and sideways. Curriculum develop- less convincing or were of less personal interest to ment for the agriculture and forest sectors is an senior officials. ongoing requirement and should include incorpora- tion of the sustainable livelihoods framework, NTFP Suggestion S2.1: An understanding of the personal research and planning tools, and other topics to 114 and career interests of senior officials should be enhance understanding of social and cultural issues gained prior to finalizing communications strategies surrounding NTFP development. Pilot villages can for projects that aim to influence sectoral policies also provide real-life “learning grounds� for stu- and programs. dents and faculty. Awards and other incentive About 40 percent of survey respondents com- mechanisms can stimulate competition and excel- mented that the dissemination efforts made by the lence among professionals. NTFP project were limited in effectiveness because many useful documents remain available in English Recommendation R3: Finally, there are a number of only. As a result, many good lessons, information, NTFP development challenges remaining in Lao and knowledge were not as widely disseminated as PDR that limit scaling upwards because they affect they should have been. Furthermore, there is an the enabling environment needed to fully capitalize inadequate awareness about project outcomes at the on opportunities to enhance forest-based liveli- highest levels of government. hoods. The challenges that need to be tackled in Lao PDR are as follows: Suggestion S2.2: Papers that are seen to have scien- tific rigor and value are an important component of ■ Reforming the regulatory framework for sustain- project communication strategies for upwards scaling. able trade of NTFPs so that sustainability issues The question of how to scale up successes (both are considered when setting quotas, and the per- sideways and upwards) is a legitimate and important mit system does not exclude the participation of question for applied research, and should be local marketing groups. Significant improvement addressed by national research institutions. is needed with regard to developing a regulatory framework that is supportive of poverty reduc- Suggestion S2.3: Formal research in the forest and tion aims. agricultural sectors should be supportive of the need ■ More work is required to address many impor- to scale up successful forest-based livelihood inter- tant areas, such as: processing, transboundary ventions. Such research topics should be included in marketing studies, resource assessment, and sil- national research agendas, afforded high priority by vicultural treatments for a much larger number national institutions, and provided with adequate of species. Only a limited number of NTFP support. Such topics would include how to strength- species have so far been dealt with in pilot vil- en linkages between national research, education, lages. and extension agendas. ■ Additional specific scientific research and com- prehensive studies are required to support com- Suggestion S2.4: Government decision makers in mercial development of the most important the forest and agricultural sectors are members of a NTFP species and the conservation of those most number of informal and formal networks that share under threat of local extinction. opinions, news, and information. A greater under- ■ The further protection of intellectual property standing of the nature of such networks would be rights is also required against bio-piracy, espe- useful to inform project communication strategies cially for NTFPs having medicinal value. P OV E RT Y A N D F O R E S T S L I N K AG E S REFERENCES Ingles, A., and Karki, S. 2001 “Project Completion Report.� NAFRI/IUCN NTFP project, Vien- tiane, Lao PDR. Broekhoven, G. 2002. “Sustainable Management of Ingles, A., Saypaseuth, T., Foppes J., Baker, J., Khet- NTFPs In Lao PDR: A Discussion Paper for the phanh, S., Bounsou S., and Sengkeo K. 1999. “A Forestry Strategy to the Year 2020 for Lao Rapid Survey of the Use and Government Reg- PDR.� Consultant report to the Swedish Inter- ulation of Non-Timber Forest Products national Development Agency and FAO, Vien- (NTFPs) from the Nakai-Nam Theun National tiane, Lao PDR Biodiversity Conservation Area (NNT NBCA), Clendon, K. 2001. “The Role of Forest Food Central Lao PDR.� IUCN, Vientiane, Lao PDR. Resources in Village Livelihood Systems: A Lamb, D., and Gilmour, D. 2002. “Forest Conserva- Study of Three Villages in Salavan Province, tion in The Lower Mekong Basin.� Paper pre- 115 Lao PDR, IUCN.� Vientiane, Lao PDR. pared for the 2nd regional workshop for the Dauvergne, P. 2001. Loggers and Degradation in the Review of Protected Areas and Development in Asia-Pacific: Corporations and Environmental the Lower Mekong River Region, ICEM, Management. Cambridge University Press. Indooroopilly, Queensland, Australia. Emerton, L. 2005. “Making The Economic Links Lao People’s Democratic Republic. 2004. National Between Biodiversity And Poverty Reduction: Growth and Poverty Eradication Strategy The Case of Lao PDR.� NCN—The World (NGPES). Conservation Union, Ecosystems and Liveli- Morris, J., Hicks, E., Ingles, A., and Ketphanh, S. hoods Group. Colombo, Sri Lanka. 2004. Linking Poverty Reduction with Forest Foppes, J., and Kethpanh, S. 2000a. “Forest Extrac- Conservation: Case Studies from Lao PDR. tion or Cultivation? Local Solutions from Lao Bangkok, Thailand: IUCN PDR.� Paper presented at workshop on the Nooren, H., and Claridge, G. 2001. “Wildlife Trade evolution and sustainability of “intermediate in Laos: The End of the Game.� The Nether- systems� of forest management, FOREASIA, lands Committee for IUCN. Lofoten, Norway. World Bank. 2004. “Joint Staff Advisory Note of ———. 2000b., “No More Timber, More Non- PRSP of Lao People’s Democratic Republic.� Timber.� Discussion paper. DoF-IUCN. World Bank: Washington, DC. ———. 2004. “NTFP Use and Household Food World Bank, SIDA, Government of Finland. 2001. Security in Lao PDR.� Paper presented to the “Lao PDR Production Forestry Policy—Status Symposium on Biodiversity for Food Security, and Issues for Dialogue—Vol 1: Main report, FAO and National Agriculture and Forestry Vol 2: Annexes.� World Bank, Government of Research Institute (NAFRI), Vientiane Lao Lao PDR, SIDA, FINNIDA, Vientiane, Lao PDR, October 14. PDR. ICEM (International Centre for Environmental WFP (World Food Programme). 2004. Lao PDR: Management). 2003. Regional Report On Pro- Analysis of Forest Dwelling Populations and Vul- tected Areas And Development: Review Of Pro- nerability to Food Insecurity at the Village Level. tected Areas And Development In The Lower UN World Food Programme: Vulnerability Mekong River Region. Indooroopilly, Queens- Analysis and Mapping Unit, Vientiane, Lao land, Australia: ICEM. PDR. SUMMARY OF C A SE STUDY—LAO PDR CHAPTER SEVEN Summary of Case Study—Tanzania 117 EXECUTIVE SUMMARY Since the introduction of community-based forest management (CBFM) via the Forest Act in 2002 The contribution of forests to local livelihoods and (Tanzania 2002), communities now have the rights to the Tanzanian national economy as a whole is sig- manage, protect, and use these areas for sustainable nificant, but is largely unrecorded and consequently forest management and economic development. unrecognized.1 The difficulty of examining forestry Evidence suggests that the dual goals of sustainable in the context of economic growth arises because no forest management and local economic develop- markets exist for ecosystem services. Many transac- ment are being met; however where management tions related to forest products and services fall costs to communities often exceed benefits, the within the informal sector or are undertaken illegal- long-term viability of these arrangements is increas- ly and are, hence, not recorded. Official gross ingly being questioned (Blomley and Hartley 2006). domestic product (GDP) figures, on which the Tanzania’s first Poverty Reduction Strategy analysis of economic growth is made, do not reflect Paper (PRSP) (Tanzania 2000b) made little mention the “true� economic importance of the forest sector of the importance of the environment and natural to the national economy (World Bank 2005). This resource base as the primary building blocks in any “undervaluation� matters because the contribution efforts to reduce poverty. The most recent poverty to GDP and its growth determines decisions made reduction strategy (PRS), locally known as by the government of Tanzania, and also to some MKUKUTA, more clearly recognized the contribu- degree its development partners, regarding the allo- tion of natural resources to poverty reduction efforts cation of financial resources. and has mainstreamed environmental issues. The At the local level, particularly in semiarid regions 1998 Forest Policy also breaks new ground by such as the Shinyanga region in northwestern explicitly recognizing the contribution made by Tanzania, which is the subject of the ease study por- forests to poverty reduction and human welfare. tion of this report, forests and forest resources play However, while the importance of forests is recog- an important role in supplementing and diversifying nized as an asset for rural livelihoods and subsis- farm incomes. Limited or uncertain tenure rights in tence, a clear opportunity exists to further improve much of Tanzania’s woodlands and forests in the past the contribution of forests to rural livelihoods. Also, have resulted in extractive use for short-term gain. despite the progress at the policy level in main- streaming forestry into broader poverty reduction 1. The original case study was prepared by Winrock strategies, much needs to be done at lower levels to International, November 2006. cement this trend. This report reviews progress made to date in Tanzania’s economy depends heavily on agricul- mainstreaming forestry with poverty reduction ture. As the lead economic sector, agriculture processes at the national and local levels in accounts for 45 percent of GDP and, in the past Tanzania. The report in particular provides a three years, for about 60 percent of export earnings. detailed assessment of how forests can contribute to It also provides livelihoods for 82 percent of the local livelihoods in the Shinyanga region in north- population (Tanzania 2005a). The sale of agricultur- western Tanzania, where the HASHI2 project has for al products has been the main source of cash income the past two decades been promoting forest restora- for 62 percent of Tanzanian households, and agri- tion through the use of traditional pastoralist prac- culture provides approximately 50 percent of total tices. It assesses how the transfer of use and manage- household income. In the majority of Tanzania’s ment rights to the very lowest levels of society can rural areas, around 60 to 80 percent of adults report reverse forest decline, provide incentives for sustain- agriculture as their main activity. Despite the impor- 118 able forest management, and contribute to local tance of agriculture, particularly in rural areas, some economic development. The report concludes with 40 percent of rural household income is derived recommendations on how these positive steps can from sources outside household on-farm produc- be reinforced at different levels of government. tion (Tanzania 2002a). On- and off-farm earnings depend on a strong agriculture sector as well as other rural sectors, including forestry, wildlife, fish- BACKGROUND AND OVERVIEW eries, and tourism (Tanzania 2005a). OF TANZANIA A quarter of Tanzanian adults have no formal education, and 29 percent can neither read nor Poverty Status and Distribution write. In rural areas, 30 percent of the population has no education. A significant rise has taken place Tanzania is one of the poorest countries in the in the proportion of households headed by a world. The gross national income (GNI) per capita3 woman, and women are about twice as likely as men is estimated at US$340, placing Tanzania as 188 of to have no education. Rural women are particularly 208 countries (World Bank 2006a). According to the disadvantaged; 41 percent are unable to read or Household Budget Survey 2000/01 (Tanzania 2002), write. Poverty levels are strongly related to the edu- almost half (48 percent) of Tanzania’s population of cation of the head of household (Tanzania 2002a). 36 million people is unable to meet basic food and Life expectancy is 44 years and falling (UNDP 2003), nonfood needs. However, recent figures show the largely due to HIV/AIDS, leaving an orphan popula- annual growth rate of the economy at 7 percent tion estimated at more than 1.1 million (with (World Bank 2006a). The high poverty levels are 50,000–60,000 new orphans each year). HIV/AIDS attributed to income inequality and a relatively low has had and will continue to have a detrimental rate of economic growth in rural areas (Tanzania effect on Tanzania’s health, economy, and environ- 2006). Women’s income levels are half those for men; ment. Famine resulting from floods or droughts is approximately 60 percent of women in Tanzania are not uncommon. Since the mid-1990s, adverse estimated to live in poverty (USAID 2004). The weather conditions have undermined food security. rural poor, who make up 87 percent of the poor, Social well-being, however, is good in Tanzania, a survive largely through subsistence agriculture, with country with a long history of participatory plan- heavy dependence on one crop (such as maize or ning and implementation of public programs. Aside cassava). The young, the old, and large households from some instability in the late 1960s and early are more likely to be poor (Tanzania 2002a). 1970s, Tanzania has enjoyed peace, stability, and unity since independence. 2. From the Swahili “Hifadhi Ardhi Shinyanga.� 3. The World Bank’s official estimates of the size of economies are based on gross national income converted to current U.S. Forest Cover and Status dollars using the Atlas method. Gross national income takes into account all production in the domestic economy (GDP) Tanzania has a large land area (94.5 million plus the net flows of factor income (such as rents, profits, and hectares), with a tropical climate and 10 ecological labor income) from abroad. The Atlas method smoothes exchange rate fluctuations by using a three-year, moving aver- zones with different physiographic zones and com- age, price-adjusted conversion factor. plex topography. About 38 percent of Tanzania’s P OV E RT Y A N D F O R E S T S L I N K AG E S total land area is covered by forests and woodlands matter is complicated, however, by the presence in that provide for wildlife habitat, unique natural many districts of forest reserves administered by the ecosystems and biological diversity, and water central government with regional, national, or even catchments. These forests are, however, faced with global interests due to their intrinsic biodiversity or deforestation at a rate of between 130,000 and water catchment values. This system of two min- 500,000 hectares per year, which results from heavy istries (the other being a ministry/unit under the pressure from agricultural expansion, livestock graz- prime minister’s office—a regional administration ing, wild fires, overexploitation, and unsustainable and local government ministry) intersecting at the utilization of wood resources and other human district and community levels is complex, and in activities, mainly in the general lands (Tanzania some cases leads to local conflicts regarding overlap- 2001). Two of the eight biodiversity hotspots in ping mandates and responsibilities. Figure A7.1 pro- Africa are in Tanzania. Forest biodiversity compris- vides an overview of forest management at national 119 es biological diversity at the ecosystem, species, and and district levels (see appendix). genetic levels. Woodlands consist of just more than Since 2000, the government of Tanzania has 96 percent of Tanzania’s total forests. The majority actively pursued a program to create executive agen- of these woodlands are categorized as miombo. cies, which are essentially semiautonomous govern- Forests in Tanzania can be divided into two ment agencies with the potential to generate and broad categories: reserved forests and nonreserved retain revenue. The forest sector has a huge potential forests. About 37 percent (12.5 million hectares) and for collecting forest revenues from licenses and per- 57 percent (19 million hectares) of forests are mits, but the majority of these revenues go uncol- reserved and nonreserved, respectively (Tanzania lected due to corruption. Particularly at revenue col- 2002). Reserved forests include central and local lection waypoints on public highways, the low government forest reserves, government-owned salaries and poor supervision of government staff industrial plantations, and village land forest result in diversion of significant revenues for private reserves (VLFRs) at the community level that have gain. It was proposed in 2002 that many of the func- been gazetted by the central government. tions currently held by the FBD be transformed into Unreserved forests are on “general� or “village� an executive agency called the Tanzania Forest lands where forests and woodlands are not formally Service, which would supervise and administer classified as reserves (Tanzania 2001). NFRs and collection of forest revenues nationally. Progress on establishing the Tanzania Forest Service has been limited, and at the time of preparation of Institutional Framework for the case study a date for a formal launch had not Forest Management been set and chief executive for the new agency had The Forestry and Beekeeping Division (FBD) of the not been recruited Ministry of Natural Resources and Tourism In 2001, the National Forest Programme (NFP) (MNRT) is the government agency responsible for was launched as an instrument for implementing forest management issues on mainland Tanzania. Its the National Forest Policy and related legislation, primary role is to support implementation of the using the principles of sustainable forest manage- Forest Policy (1998) and Forest Act (2002). It has a ment (Tanzania 2001). The NFP is a strategic plan mandate to manage and supervise national forest that is intended to integrate and harmonize the reserves (NFRs); collect revenue on forest opera- respective contributions of governmental, non- tions and harvesting; issue licenses and permits governmental, private sector, and local community and, thereby, regulate harvesting of forest prod- stakeholders in execution of national forest policy ucts nationally; promote forest development; pro- and law. The FBD has established an NFP vide training in forestry; and undertake forest Coordination Unit, which coordinates different research (through the Tanzania Forest Research stakeholders and projects around the NFP objec- Institute). tives. Recent negotiations regarding introduction of Since the adoption of the Local Government Act a sector-wide approach (SWAP) in the forest sector (1982), forest officers have been decentralized and has resulted in the signing of a SWAP letter of intent are now entirely answerable to locally elected coun- between bilateral and multilateral development cils through the district executive directors. The partners and the government of Tanzania. SUMMARY OF C A SE STUDY—TA NZANIA Current Issues Facing Forest Management Land Act (1999) state that all land in Tanzania is public land, which the president holds in trust for all Despite the significant contribution of forests to citizens. The president delegates the power to desig- local livelihoods and the national economy, forest nate, adjudicate, and modify land tenure status to destruction, poor management, and environmental the commissioner for lands. District councils and vil- degradation continue and, with it, negative impacts lage councils play an important role in managing on marginal communities that depend on forests land at the local level. The two legal instruments have and forest products (Mariki 2001). Tanzania is expe- the overall objective of formalizing and legalizing riencing serious environmental degradation—pres- what is traditional and customary land tenure. sure on natural resources has progressively escalat- Tanzania recognizes three different categories of land. ed, and ecological degradation is evident, especially Reserved land is land set aside by the central gov- in arid and semiarid areas (Tanzania 2001). ernment for such purposes as nature conservation 120 Underlying causes of deforestation are many and under wildlife or forestry laws, and includes forest complex, but include some of the following key reserves, wildlife reserves, and national parks. drivers. Village land includes all land inside the boundaries Land clearance for small-scale subsistence farm- of registered villages, in which the village councils ing is one of the major causes of forest cover loss, and village assemblies are given power to manage largely due to increasing populations and low-inten- land matters. The village councils are required to sity agricultural practices, such as shifting cultiva- divide village land into three additional categories: tion. Dependence by resource-poor households on communal land, which is shared by a large number cash income from the sale of forest products, such as of individuals within the village, such as grazing charcoal, honey, wild fruits, and firewood appears to areas, pastures, forests, or other areas with natural be another major driver of deforestation. resources; occupied land, which is used for housing, Commercial production of firewood and charcoal as cultivation, and businesses that are managed by an alternative source of income to meet urban ener- individuals in single families; and future land, which gy demands contributes significantly to deforesta- is set aside for future use by individuals of the com- tion. The demand for firewood for curing tobacco is munity at large. General lands are lands that are nei- also high. With few exceptions, most of the fuel ther reserved land nor village land and, therefore, wood used in the country is collected free from are managed by the commissioner of lands, on indigenous miombo woodlands or farmlands. The behalf of the central government. recent influx of refugees from Burundi, the The Forest Act (2002) recognizes six different Democratic Republic of Congo, and Rwanda into kinds of forest tenure categories. National forest the country has had severe environmental conse- reserves are gazetted forests owned and managed by quences, such as rapid depletion of forests and the central government through the FBD in the wildlife, destruction of water resources, and damage MNRT for conservation and productive purposes. to croplands. Local authority forest reserves (LAFRs) are gazetted Fires in plantations and montane catchment forests managed at the level of district councils areas have become a serious problem in Tanzanian under local governments as production and protec- forestry. In addition to causing losses to timber and tion forests. Village land forest reserves are a new biodiversity, the catchment values are seriously category of forests, which became legalized with pas- reduced, resulting in hydrological imbalance, which sage of the 2002 Forest Act. VLFRs, as the name sug- is reflected in reduced water in rivers and streams gests, occur on village land and, as such, are man- during the dry seasons and floods during the rainy aged by the village council on behalf of village seasons. residents. They are managed for both production and protection purposes, depending on their loca- tion, size, and composition. Community forest Legal, Policy, and Regulatory Frameworks reserves (CFRs) are found on village land and are for Forest Management similar in all respects to VLFRs, apart from the fact The legal basis for land tenure in Tanzania is derived that their management is delegated by the village from two basic laws, which have been passed in the council to a group of persons within the communi- past decade. The Land Act of 1999 and the Village ty (such as a women’s group or a group of charcoal P OV E RT Y A N D F O R E S T S L I N K AG E S producers). Private forests (PFs) are those forests million hectares of forest were under some form of owned by individuals or companies that have participatory forest management, representing acquired land title deeds from the government. They almost 11 percent of total forest area and involving may occur on general or village land. General lands, 1,800 villages and 57 districts (Tanzania 2006). formerly known as public forest lands, are nongazetted or nonreserved lands and are managed The Contribution of Forests to Livelihoods by the commissioner of lands on behalf of the pres- and the National Economy ident. These areas constitute the bulk of forests, a total of 20.5 million hectares, or 57 percent of all for- Forests are important assets in Tanzania, offering est land in Tanzania. They are “open access� areas, numerous goods and services in the national econ- characterized by insecure land tenure, shifting culti- omy, to society at large, and to local livelihoods. vation, and widespread unregulated harvesting for The official forest sector contribution to the econ- 121 fuel wood, poles, and timber. omy is between 2 and 3 percent of total GDP The Forest Policy and the Forest Act both pro- (Salmi and Monela 2000), but evidence shows that vide a strong foundation and legal basis for commu- the cash and noncash contributions made by nity involvement in forest management. Loosely forests and natural resources to household income described as participatory forest management, two and livelihoods are not accurately captured by offi- primary approaches have emerged since passage of cial statistics. Forests and woodlands are recog- the policy and legislation: joint forest management nized as an important resource base for Tanzania’s (JFM) and CBFM (Blomley and Ramadhani 2006). social and economic development, and for provi- Joint forest management is a collaborative manage- sion of many basic benefits and opportunities to ment approach, which divides forest management rural and urban communities (Mariki 2001). responsibility and returns between government Values of forest goods and services, however, are (either central or local) and forest-adjacent commu- often underestimated, wrongly attributed to other nities. It takes place on land reserved for forest man- sectors, or entirely omitted. These include nonmar- agement, such as NFRs (for catchment, mangrove, keted timber, non-timber forest products, forest or production purposes) and LAFRs. It is formalized products harvested illegally (possibly up to 80 per- through the signing of a joint management agree- cent of all forest harvesting), tourism and recre- ment between village representatives and govern- ational services, and ecosystem services such as pos- ment (either the district council or MNRT). itive influences of forests on agricultural Community-based forest management takes place production, water quantity and quality, energy in forests on “village land.� Under CBFM, villagers sources, carbon storage, and biodiversity protection. take full ownership and management responsibility Studies taking the nonindustrial or informal forest for an area of forest within their jurisdiction that has sector into account present higher values. For exam- been declared by village and district governments as ple, a World Bank study conducted by Sharma a village forest reserve. Following this legal transfer (1992) values the contribution of the forest industry, of rights and responsibilities from central to village nonindustrial forestry, and logging in 1989 to be 139 governments, villagers (a) gain the right to harvest percent of GDP. The estimated amount of uncount- timber and forest products, collect and retain forest ed fuel wood alone is more than 30 million cubic royalties, and undertake patrols (including arresting meters a year (Tanzania 2000). and fining offenders), (b) are exempted from local Forest products contribute significantly to government taxes (known as cess) on forest products national export earnings. Net exports in forest prod- and regulations regarding “reserved tree� species, ucts fluctuated greatly from the mid- to late 1990s and (c) are not obliged to remit any part of their and ranged from US$2.5-$14.1 million. The main royalties to either central or local governments. The products are timber, carvings, tree seeds, and bee underlying policy goal for CBFM is to bring large products. In the system of national accounts, areas of unprotected woodlands and forests progres- forestry is aggregated with revenue from commer- sively under village management and protection cial hunting and then summarized under “agricul- through establishment of VLRFs. ture GDP� with fisheries, livestock, and crops. The A recent national survey on the progress of par- GDP also undervalues the contribution of forestry ticipatory forest management established that 3.7 to the national economy. Tanzania is in the initial SUMMARY OF C A SE STUDY—TA NZANIA stages of developing a system of forest accounts, Forestry, Natural Resources, and with support from the Centre for Environmental Environment within Broader Poverty Economics and Policy in Africa, at the University of Reduction Processes Pretoria. The project, called the Natural Resource Accounting Program for Eastern and Southern One key macroeconomic policy is the PRS, which is Africa 2003–06, is developing a local partnership prepared for all heavily indebted poor countries to with the University of Dar es Salaam, Tanzania’s be eligible for World Bank funding and lending. The National Bureau of Statistics, and various key PRS is linked to debt relief programs under the Tanzanian ministries (including natural resources enhanced Heavily Indebted Poor Countries Initiative. and tourism) to gather data on the contribution of The PRS focuses on improving income and human the various natural resource sectors to the economy development by tackling the constraints perpetuating as a whole. poverty, which include poor governance, illiteracy, 122 The linkages between forest resources in rural poor health, poor infrastructure, and food insecurity. areas and poverty reduction have been heavily stud- Tanzania developed its first PRS in 2000 and ied in Tanzania, as elsewhere in Sub-Saharan Africa. updated it three times before releasing the new Monela and others (2000) estimate that honey, PRSP, National Strategy for Growth and Reduction of charcoal, fuel wood, and wild fruits contribute 58 Poverty or MKUKUTA4 (Tanzania 2005a) in April percent of the cash incomes of farmers in six villages 2005. The Kiswahili acronym MKUKUTA is a sig- surveyed in a semiarid region of the country. Honey nificant sign of emphasis and national ownership. alone accounted for one-third of all cash income in MKUKUTA is the second national organizing these villages. According to the surveyed farmers, framework for placing poverty reduction high on agriculture has become less profitable, thus inducing the country’s development agenda. The document is them to find other means for earning a living, for outcome focused and is deliberately intended to example, collecting and selling forest produce. mainstream cross-cutting issues, including the envi- Infrastructure improvements have made it easier for ronment, into the 2005 PRSP. This was a response to them to bring their forest products to market for recognition by the government of Tanzania, national sale. Forest resources clearly provide an important stakeholders, and development partners that the “safety net� for resource-poor households, particu- environment and other important cross-cutting larly at times when other income sources are issues were not well addressed in the first PRSP unavailable (for example, when rains fail and har- (Tanzania 2000b), and that attention was essential to vests are poor). achieving sustainable poverty reduction and growth. The degree to which forests contribute to liveli- An important feature of the development of the hoods is significantly determined by local tenure review leading to the 2005 PRSP has been national arrangements, the degree to which management ownership and the implementation of extensive responsibility has been devolved, and how secure consultation with a wide range of stakeholders on any user rights are. Where communities have full the content and focus of the strategy, with the inten- control of forest resources and where full manage- tion of making it a national strategy (Howlett 2005). ment responsibility has been devolved on a secure The government’s program on poverty and the basis (as in CBFM), evidence from a number of environment, and the focus on cross-cutting issues, studies suggests that impacts are realized both has led to significant integration of environmental regarding restoration or maintenance of forest con- and natural resource issues into the 2005 PRSP. As it ditions, as well as improved livelihoods. However, states, constraints to rural growth include low pro- where JFM is practiced, particularly in high biodi- ductivity of land, the erosion of the natural resource versity montane forests where local options for for- base, and environmental degradation. The present est use are limited, impacts on local livelihoods are use of natural resources is unsustainable, such as generally low (Blomley and Ramadhani 2006). A wanton tree felling for charcoal production, poor further constraint to households securing optimal farming practices that cause soil erosion, and unsus- benefits from woodlands and forests is the fragmen- tation of laws and policies regarding natural 4. The Kiswahili name for the new strategy is Mkakati wa resource management. Kukuza Uchumi na Kuondoa Umaskini Tanzania (MKUKUTA). P OV E RT Y A N D F O R E S T S L I N K AG E S tainable fishing methods. This leads to poverty by the environment and could be mainstreamed within eroding sources of livelihoods and destroying the the overall poverty monitoring strategy. Although environment. The 2005 PRSP clearly recognizes the this process is still ongoing, some of the finalized role that natural resources can play in reducing poverty-environment indicators that have an explic- poverty. It lists environmental issues as major fac- it link to forests and natural resources are presented tors in negatively impacting livelihoods, specifically below (Tanzania 2005b): weather extremes (for example, flooding and drought), and stresses from the gradual degradation ■ proportion of households whose main income is of forests, soils, fisheries, and pastures. The docu- derived from the harvesting, processing, and ment addresses the poverty-environment relation- marketing of natural resource products ship, and asserts that poverty increases as the envi- ■ percent of households in rural and urban areas ronment and natural resources are depleted in using alternative sources of energy to fuel wood 123 quantity and diversity. (including charcoal) as their main source for Tanzania’s Ministry of Planning, Growth, and cooking Empowerment’s Poverty Eradication Division, in ■ total area reserved by central and local govern- collaboration with the National Environment ment for the purpose of conservation or sustain- Management Council, are charged with coordinat- able natural resource management ing national environmental conservation efforts in ■ total area managed by mandated local institu- Tanzania. They are also responsible for coordination tions for the purposes of community-based nat- of efforts to implement the MKUKUTA, including ural resource management mainstreaming the environment and achieving the ■ total value of revenue received from concessions Millennium Development Goals. Tanzania’s 2005 and licenses for mining, forestry, fishing, and PRSP, National Strategy far Growth and Reduction of wildlife as percentage of their estimated value. Poverty (2005a), emphasizes that the challenge is to implement policy and enforce mechanisms for sus- Tanzania is clearly making significant progress in tainable natural resource exploitation. The plan goes mainstreaming the environment into poverty reduc- on to explain that there has not been adequate tion strategies; however, to create targeted poverty encouragement of community participation in iden- reduction policies, the contribution of forests and tifying, planning, and implementing steps to protect natural resources to livelihoods and poverty reduc- natural resources and the environment, or effective tion must be fully realized, which requires the infor- enforcement of existing regulations and bylaws. Tasks mation to be captured and measured. The first indi- for reducing poverty in rural areas include increased cator listed above does not have the ability to contributions from wildlife, forestry, and fisheries to capture forests and natural resource contribution to incomes of rural communities (Howlett 2005). livelihoods accurately. The indicator, worded as Operational targets for a sustainable environ- “proportion of households whose main income is ment and reduced vulnerability from environmental derived from the harvesting, processing, and mar- risk listed in the 2005 PRSP include vulnerability keting of natural resources products,� loses the non- and environmental conservation, specifically, reduc- cash contribution that forests and natural resources tion in vulnerability to environmental disasters; have to livelihoods, and also does not capture the conservation of soil, forest, and aquatic ecosystems multitude of households that do not derive their that people depend on for production and repro- main income from forests and natural resources. duction; and reduction in land degradation and loss Given that poor households must put together a of biodiversity. Fourteen percent of the 99 targets in particularly diverse portfolio of livelihood options, the 2005 PRSP are related to the environment and this is a significant loss of information on the impor- natural resources (Howlett 2005). Those that link tant role that forests and natural resources play in directly to forests and forest management are pre- livelihood strategies. A more effective indicator is sented in table A7.1 (see appendix). percentage of household livelihood contribution Following development of the 2005 PRSP, the derived from the harvesting, processing, and mar- vice president’s office embarked on a major initia- keting of natural resource products. However, it is tive to develop indicators that linked poverty and acknowledged that this creates an issue of defining SUMMARY OF C A SE STUDY—TA NZANIA “livelihood contribution,� which should really cap- nity forests, NFRs and general land forests, FBD ture both cash and noncash consumption. Given the plantations and forest industry, and beekeeping way the Household Budget Survey is structured, this (Tanzania 2006). may require two questions, one for cash and anoth- Once improved monitoring systems are devel- er for noncash (consumption/household use). If it is oped and institutionalized within the forest sector, it not currently feasible to capture livelihood contri- is anticipated that more accurate assessments can be bution, the indicator can be adjusted to “percentage made regarding the overall progress toward NFP of household income derived from the harvesting, indicators, as well as more accurate poverty-related processing, and marketing of natural resource prod- reporting to the vice president’s office and the ucts.� Given that the Household Budget Survey is MKUKUTA Monitoring Secretariat. This, together done at the household level, it is more useful also to with the recommended change in the national-level capture to what extent households rely on forests MKUKUTA poverty-environment indicator and 124 and natural resources for their income. Moreover, other measures presented in this report, will go some the original indicator’s information can still be way toward providing data on how forests and other derived from either of the recommended indicators natural resources are contributing to sustaining listed above. rural livelihoods and supporting poverty reduction. The convergence of development planning frameworks with environmental issues has also been CASE STUDY, SHINYANGA REGION apparent in the forest sector. The 1998 National Forest Policy breaks new ground by explicitly recog- nizing the contribution made by forests to poverty The case study portion of this report draws on the reduction and human welfare. The overall goal of more detailed study by Monela and others (2005), the National Forest Policy is to “enhance the contri- jointly undertaken by the FBD of the MNRT and the bution of the forest sector to the sustainable devel- Eastern African Regional Office of the World opment of Tanzania and the conservation and man- Conservation Union (IUCN), as well as other works agement of her natural resources for the benefit of undertaken in the region. present and future generations.� The case study provides a detailed assessment of This is mirrored in the goal of the NFP, which is how forests contribute to local livelihoods in stated as follows: “to reduce poverty and increase Tanzania’s Shinyanga region where, in the past two economic growth by managing forests sustainably decades, the HASHI project has been promoting without compromising environmental and cultural forest restoration through use of traditional pas- values� (Tanzania 2001). The NFP is built around toralist practices. The case study assesses how the sustainable development and sustainable forest transfer of use and management rights to the very management and emphasizes a number of develop- lowest levels of society can reverse forest decline, pro- ment-oriented strategies, such as participatory forest vide incentives for sustainable forest management, management, small-scale forest enterprises, and contribute to local economic development. increased employment in forest industries, agro- forestry and tree planting, and a more equitable Background on the Shinyanga Region sharing of forest management costs and benefits. The degree to which the implementation of for- The Shinyanga region is situated in northwestern est policy has delivered on increased development Tanzania (figure 7.1) and has an area of 5,076,400 benefits at the local level is hard to assess accurately. hectares, of which 3,114,000 hectares is arable, This is in large part caused by poor monitoring and 1,207,900 hectares grazable, and 754,400 hectares evaluation of impacts, which until now have been held in forest reserves (HASHI 2002). The “…based on unreliable information, because of Shinyanga region has about 2.2 million people, with poor collection, analysis, and dissemination of an average annual growth rate of 2.8 percent and a information on forest resources� (Tanzania 2004). population density of 42 people per square kilome- However, new MNRT data collection systems and ter. Combined with an expansive agropastoral land- management information systems are currently use system and subsistence and cash cropping, this under development. Priority areas for forest sector high population density has exacerbated the impacts monitoring include local government and commu- of the already-serious problem of clearing of land P OV E RT Y A N D F O R E S T S L I N K AG E S FIGURE 7.1 Map of Africa and Tanzania, Showing the Districts of the Shinyanga Region 125 Source: Adapted from HASHI records 2002. for cultivation and tsetse fly eradication. The area is Livelihood strategies in the region are strongly predominantly semiarid, with an average annual linked with the natural resource base endowment. rainfall of about 600–800 millimeters. Rainfall is The historical impact of livelihoods on the natural erratic and poorly distributed, with high variability resource base in the region, especially before HASHI among seasons. Its low hills and plains are charac- was launched in 1986, has generally been negative. terized by long dry summers, and natural vegetation More than 90 percent of the region’s population has historically consisted of extensive miombo and lives in rural areas and practices agropastoralism, acacia woodlands. including subsistence agriculture for food and cash Shinyanga is one of the poorest and driest crops and livestock keeping (Monela and others regions in Tanzania. The Household Budget Survey 2005). Cattle are highly valued as a liquid asset, and 2000/01 (Tanzania 2002a) describes Shinyanga as grazing pressure on woodlands is increasing. Many one of four regions consistently poorer than aver- households keep livestock herds too large for their age5 and disadvantaged in most respects. The land to sustain and burn woodland to create more Shinyanga region has the lowest literacy levels in the pasture (Ghazi and others 2005). Forests and natu- country; 69 percent of children work, with a corre- ral resources contribute significantly to livelihoods. spondingly low level of primary education net The average land area per household in the enrollment ratio (46 percent, which is the second region is 3 hectares, compared with an average of 6 lowest in the country). Forty-two percent of the hectares for the country, and soil infertility has been population subsists below the basic needs poverty increasing, resulting in low crop yields. Very few line, and 22 percent of the population in the region people apply cattle manure to the soil, although it is is below the food poverty line. abundant; instead they remove it from the land and use it for fuel. Cotton and tobacco are the main cash 5. The other three regions are Lindi, Singida, and Mara. crops, and sorghum and maize are the staple crops. SUMMARY OF C A SE STUDY—TA NZANIA In addition, paddy rice, sweet potatoes, cassava, to live in discrete villages where services could be beans, finger millets, and groundnuts are cultivated. better provided, and created a system in which the In addition to livestock keeping, primary economic communal lands were not properly managed, lead- activities include mining, casual labor, petty trading, ing to overuse and degradation. These initiatives beekeeping, timber, charcoal making, and formal largely failed to reverse the loss of indigenous wood- employment for government staff working in villages. land and prevent the resulting negative impacts on communities. In the case of earlier projects with a top-down, bureaucratic approach, villagers had little Forest Resources in Shinyanga Region involvement or stake in the success of these efforts. The natural vegetation of the Shinyanga region was Moreover, “villagization� also had negative impacts originally woodland and bushland. Land and forest on indigenous natural resource management sys- degradation on a massive scale historically took tems, such as ngitili (restored woodlands). Many 126 place in the arid and semiarid areas that were once ngitili were destroyed during the period, as villagiza- extensively forested with woodlands and bushes tion undermined traditional institutions and prac- (Tanzania 1996). The Shinyanga region, as well as tices (Monela and others 2005). surrounding regions, suffered most from the appar- ent consequences, such as low and decreasing soil HASHI Program fertility, scarcity of water, deforestation, and the related scarcity of forest products and severe land Responding to the problems described above, in degradation. Semiarid areas were also characterized 1986 Tanzania’s government dramatically shifted by huge livestock populations; high stocking levels tactics and launched the people-centered, commu- and concentration of livestock on tsetse-free areas nity-based Shinyanga Soil Conservation Programme with watering facilities resulted in the serious over- (or HASHI from the Swahili “Hifadhi Ardhi stocking and environmental degradation witnessed Shinyanga�).6 The impetus came from President today. The Shinyanga region was transformed into Nyerere himself, who after touring the region one of the most deforested regions in the country declared Shinyanga the “desert of Tanzania.� By (Leach and Mearns 1988). Impoverished vegetation 1987, HASHI was operational, and by 1989 it had cover became typical in most places. Continued use attracted additional long-term support from the of inappropriate land husbandry practices and the Norwegian Development Assistance Agency. Such a effect of burgeoning human and livestock popula- long-term investment and partnership comtnitment tions accelerated land and forest degradation between the governments of Tanzania and Norway (Msangi 1995). has been a critical component of the success of this Since the 1920s, as forests in Shinyanga were forest restoration, as it has enabled the taking of a cleared, overused and degraded land and soil caused long-term, empowering approach. a sharp decline in the natural goods on which the Sukuma people have depended for centuries. Revival of Ngitili Women began spending more time collecting for- merly plentiful fuel wood, grasses to feed livestock The HASHI project was intended to improve rural became scarcer, as did traditionally harvested wild livelihoods by reviving ngitili (Barrow and Mlenge fruit and medicinal plants. By the 1970s, Shinyanga 2004). Ngitili were traditionally used to provide for- was experiencing severe ecological degradation and age for livestock—especially oxen—at the end of the its population was feeling negative consequences in dry season when villagers plow their land. the form of decreasing incomes and lost livelihood Vegetation and trees are nurtured on fallow lands (Monela and others 2005). Tanzania’s government, during the wet season so that fodder supplies are the World Bank, and other agencies made some available for livestock during dry seasons. Two types early attempts to reverse the ecological degradation, of ngitili exist: enclosures owned by individuals or without success. Furthermore, during the 1970s, the families, and communal enclosures owned and socialist government of President Julius Nyerere managed in common. Both were originally devel- adopted laws to increase communal ownership of rural lands. These laws promoted the process of “vil- 6. This section is based to a greater extent on Ghazi and oth- lagization,� through which people were encouraged ers 2005. P OV E RT Y A N D F O R E S T S L I N K AG E S oped by the Sukuma people, responding to acute for sustainable management. Likewise, allowing tra- animal feed shortages caused by droughts, loss of ditional Sukuma institutions and village govern- grazing land to crops, and declining land productiv- ments to oversee restoration efforts helped to ensure ity (Barrow and Mlenge 2003). The HASHI project’s their region-wide success. approach to ngitili revival was to work with local Although elected village governments officially people, first to identify areas requiring urgent land manage communal ngitili and decide disputes restoration, and second, to restore these areas accord- regarding individually owned ngitili, in practice, tra- ing to customary practice. Field officers, employed by ditional institutions have played an equally impor- the FBD in the MNRT, worked closely with both dis- tant role in most villages (Kaale and others 2003; trict government staff and village government author- Monela and others 2005). For example, although ities—the lowest accountable bodies in Tanzania’s each village government sets its own rules on ngitili governance system based on the Local Government restoration and management, most use traditional 127 Act of 1999 and Village Land Act of 1999. community guards known as sungusungu and com- In many villages, HASHI field officers used resid- munity assemblies known as dagashida for enforce- ual natural seed and root stock to restore ngitili ment. The dagashida is led by a council of elders, enclosures. Some of the restored ngitili dated back to which decides what sanctions to impose on individ- the days before villagization, and others were newly uals who are caught breaking ngitili management created by farmers and villages. In addition to rules, for example, by grazing livestock on land set restoring ngitili, villagers were encouraged to plant aside for regeneration (Monela and others 2005; trees around homesteads (particularly fruit and Mlenge 1993). shade trees), field boundaries, and farm perimeters. HASHI field officers have worked to build the This restoration and tree planting helped improve capacity and effectiveness of both official and tradi- soil fertility and provide fuel wood, with the side tional governance institutions. Elected village gov- benefit of helping farmers to stake out and formalize ernments, for example, are increasingly using their their land rights within villages. Together with the powers to approve bylaws that legally enshrine the World Agroforestry Centre, the staff of HASHI car- conservation of local ngitili. Such bylaws, once rati- ried out much research to assess the potential for fied at the district level, are recognized as legitimate agroforestry and find out more about ngitili (Barrow by the national government (Barrow and Mlenge and others 1988). 2003). Armed with this powerful combination of tradi- tional and scientific knowledge, villages across Contribution of Forests to Shinyanga gradually revitalized the institution of Poverty Reduction ngitili and broadened its use from simple soil and fodder conservation to production of a wide range As a result of the HASHI project, by 2004—or 18 of woodland goods and services. Products such as years into the project—at least 350,000 hectares of timber, fodder, fuel wood, medicinal herbs, wild ngitili had been restored or created in 833 villages, fruits, honey, and edible insects enhanced liveli- encompassing a population of 2.8 million (Barrow hoods and provided a vital safety net during dry sea- and Mlenge 2004). Roughly half of the ngitili are sons and droughts (Barrow and Mlenge 2003). In owned by groups and half by individuals. this process, agroforestry has helped broaden the Communal enclosures average 164 hectares in size, opportunities for ngitili use in livelihoods and risk whereas individual plots average 2.3 hectares (Kaale management. and others 2003; Barrow and Mlenge 2004). Although the impressive speed of ngitili-based reforestation has been apparent for several years, its Traditional and Local Institutions impact on people’s livelihoods and income has only The successful results of the HASHI project are recently been quantified. A major study by a 10- attributed to its support of the dual existence of tra- person task force, launched by the Tanzanian govern- ditional and local institutions in the restoration ment and IUCN in 2004, combined detailed field process. Promoting ngitili as the vehicle for land research from 240 households in 12 villages with mar- restoration increased local people’s ownership of ket surveys and other data analysis to quantify the natural resources and their capacity and willingness HASHI project’s benefits (Monela and others 2005). SUMMARY OF C A SE STUDY—TA NZANIA Direct Economic Benefits to Rural Indirect Economic Benefits from Ngitili Livelihood from Ngitili The value of benefits from ngitili manifest a multi- Results of field research show that the HASHI proj- plier effect generated through improved livelihoods, ect has made a number of significant direct house- security for social services, and improved sustain- hold and village economic contributions in the able land-use management resulting in improved Shinyanga region through ngitili. Specifically, the environmental services, such as better soil and water estimated value of benefits from ngitili in Shinyanga quality. The indirect benefits accrued from ngitili to is US$14 per person per month. This value is signif- rural livelihoods in Shinyanga include improved icantly higher than rural Tanzania’s average per per- health, education, and gender equality. Overall, the son monthly spending of US$8.50 (Monela and oth- percentages of households whose economic well- ers 2005). The value of the contribution of benefits being at the family level has increased and 128 from individual ngitili is higher than from commu- improved from benefits from ngitili are as high as 64 nal ngitili, because households show a higher percent. In fact, the restored ngitili contribute to propensity for consumption of goods and services household and community well-being by providing from their own individual ngitili, compared with funds to pay fees for primary and higher levels of communal ngitili. The degrees of economic contri- education; reducing the length of time for women to bution of ngitili also differs across districts, as dis- collect fuel wood and water; diversifying diets and tricts with better tree stocks due to a better climate serving as a food source in times of hardship; having a higher value of economic benefit. The val- improving access to clean water; improving health ues for one district are also high due to the higher through the use of herbal remedies and wild foods level of ngitili awareness established through politi- and fruits; providing forage for livestock, resulting cal campaigns. in higher dairy production; and contributing to bio- In assessing the economic impacts of the HASHI diversity conservation. The new abundance of fruits, project on household economies in the Shinyanga vegetables, and edible insects has improved local region, the economic contribution of goods and health, while easy access to thatch grass has services from ngitili in households in HASHI areas improved housing. Income from timber and non- of concentration was compared with households timber products has been used for construction of outside HASHI areas of concentration. In 71 per- classrooms, health care centers, and village offices. cent, or five of seven districts, of the Shinyanga The higher water table and dry season springs have region, higher values were realized from HASHI improved water availability. On the negative side, areas of concentration than from areas outside wildlife has caused some damage to crops and live- HASHI concentration. stock. Given the significant contribution of products Ngitili restoration has considerably reduced labor from ngitili, the extent to which each forest product required for collecting various forest products in all contributes to the rural economy is of interest. districts of the Shinyanga region. Significant gains According to the field study in the Bukombe have been made in reduced time and effort required District, 16 natural products were commonly har- to collect fuel wood, thatch grass, poles, fodder, and vested from ngitili in the Shfnyanga region. Of the water. These are typically women’s jobs; hence, the 16 products, timber and non-timber forest prod- reduced time and workload are a great relief for ucts, such as fuel woods, water, and medicinal women. Collection time for various ngitili products plants, were of greatest economic value to house- in the Shinyanga region was reduced by two to six holds. Other valuable outputs included fodder, hours a day for collecting fuel wood, one to five thatch grass for roofing, and wild foods, such as hours for collecting poles, three to six hours for col- bush meat, fruit, vegetables, and honey (Monela and lecting fodder, and one to six hours for collecting others 2005). This indicates that households could thatch materials. “I now only spend 20 minutes col- benefit more by concentrating on production of lecting fuel wood. In the past, I spent two to four goods and services from ngitili that yield high direct hours,� reported one Sukuma woman, who harvests values to household and village economies to maxi- branches from the family ngitili (Barrow and mize benefits. Mlenge 2004). P OV E RT Y A N D F O R E S T S L I N K AG E S Contributions to Biodiversity and governments without public consultation (Monela the Environment and others 2005). Second, benefits from ngitili restoration are distributed unequally on the basis of Nature has also benefited from the HASHI project, gender and wealth status in a community. A third with a big increase in tree, shrub, grass, and herb challenge comes from recent demographic and varieties, as well as bird and mammal species land-use trends that present challenges to continued (Monela and others 2005). Not only are the restored expansion of ngitili. These include scarcity of land woodlands important economic assets, they are also and insecurity of tenure, rapidly growing human fostering richer habitats and the recovery of a variety and livestock populations, damage to livestock and of species. The task force found 152 species of trees, crops caused by growing wildlife populations, and shrubs, and climbers in restored ngitili, where unregulated sales of individually owned ngitili recently scrubby wasteland had stood. Small- and (Monela and others 2005). 129 medium-sized mammals such as hyenas, wild pigs, deer, hare, and rabbits are also returning, and the HASHI Findings task force recorded 145 bird species that had become locally rare or extinct (Monela and others 2005). Traditional knowledge and practices are an effective Besides providing habitat for animals, ngitili have foundation for local action. Traditional institutions provided breeding grounds for some seasonal bird can act as effective vehicles for reducing poverty species. Individual ngitili are well defined and of bet- through environmental regeneration. In Shinyanga, ter quality, in terms of volume of wood and tree these institutions meshed successfully with the more species diversity, compared with communal ngitili. modern institutions of the popularly elected village Communal ngitili provide a larger habitat and are councils. Both are necessary for the continued suc- typically less intensively managed; however, the cess of ngitili restoration. To be successful, both returning wildlife has also created problems. Some sorts of institutions need to recognize the compara- villages have suffered considerable crop damage. tive advantages of the other; too often the role and Growing hyena populations, as one example, are importance of traditional institutions have tended taking a toll on livestock. Nonetheless, the costs of to be downplayed. wildlife damage, which average US$63 per family Another finding is that local knowledge helps per year, are greatly outweighed by the economic decentralization succeed. Devolving responsibility gains from ngitili in most villages (Monela and oth- for land management to local communities and ers 2005: 58–61, 67). institutions is often more effective than imposing centralized, top-down solutions. Local or indige- nous knowledge of natural resources and traditional HASHI Challenges institutions and practices can be an invaluable The HASHI project has resulted in numerous suc- resource, lending crucial site-specific information cessful outcomes, drawing attention far beyond for management, and improving community buy-in Shinyanga’s borders, and the practice has already and compliance with management rules. Successful spread to neighboring regions and, indeed, has forest restoration requires two key elements: the become a participatory forest management example recognition and use of traditional knowledge, cou- for many parts of Tanzania.7 Yet, a field study has pled with devolution of rights and responsibilities to pointed out several challenges the HASHI project is forest management. Only when the HASHI project confronting. First, decisions on where to situate ngi- embraced a more participatory and empowering tili and what rules should govern them have not strategy did ngitili restoration begin to spread quick- always been democratic. Although many communi- ly. However, this also required active policy support ties established communal enclosures through the for such devolved management, which came about village assembly—in which every registered adult at a time that Shinyanga had revised forest and can vote—others are chosen arbitrarily by village tenure laws and policies. Regenerating local ecosystems can also deliver 7. Unless otherwise noted, this section is based on Ghazi and significant improvements in livelihood security to others 2005. rural families who depend on natural resources. SUMMARY OF C A SE STUDY—TA NZANIA Ngitili benefits—both subsistence products and cash sustainable management in a region that is highly income—have increased family assets and nutrition, vulnerable to environmental degradation. as well as generated income for public benefits, such Traditional and indigenous practices for reserving as classrooms and health clinics. In this way, ngitili dry season grazing areas (ngitili) have been revived restoration has contributed directly to achievement by placing them within a modern legal context. As a of the Millennium Development Goals, improving result, a significant area of land has been reforested household incomes, education, and health, while and placed under the ownership of individuals, restoring biodiversity and ecosystem integrity. groups, and communities, and significant economic Although this restoration process has been more and livelihood benefits have been realized. concerned with livelihood improvement and securi- The recommendations presented in this section ty, very significant biodiversity and environmental are separated into two parts: those for national-level benefits have been generated. policy makers on how poverty and forestry pro- 130 Inequitable power relations between men and grams, policies, and implementation frameworks women and rich and poor, however, can slant the can be further merged, and those for local-level pol- benefits of ngitili restoration away from those who icy implementers who are working at the communi- most need them. Without active intervention, the ty level on forest restoration and management. greater productivity that ngitili restoration brings will benefit those with more land and assets, such as National-Level Recommendations livestock, simply perpetuating existing inequities and wasting some of the potential of ngitili for ■ MKUKUTA’s “Cluster 1: Growth and Reduction poverty reduction. Landless people are also clearly of Income Poverty� (table 1) is concerned with not able to benefit much from ngitili. Although growth and the reduction of income poverty. women have gained a lot from forest restoration, it Under this cluster, “Goal 4� aims to reduce the is less clear to what extent they are actively involved income poverty of men and women in rural in ngitili management and decision making on use, areas, with the target of “increased contributions particularly with respect to family-level ngitili. from wildlife, forestry, and fisheries to rural Insecurity of tenure can also restrain the willing- incomes.� Monitoring of this goal will come ness of both communities and individuals to under- through a system using censuses, surveys, and take ngitili restoration and sustainably manage these routine data collection. The PMO will link with enclosures. Clearly acknowledging the secure tenure the Local Government Monitoring Database to in national law, the secure tenure of both private ensure provision of disaggregated data to facili- and communal ngitili will help ensure continued tate monitoring at all levels. Forestry was not ini- HASHI success. It is encouraging that this is gradu- tially included in this system, because in the first ally happening, both through the Forest Act (and its phase, only priority sectors (such as health and provisions for village forest reserves and recording education) were included. The Prime Minister’s of forests at the local level) and through the Land Office-Regional Administration and Local Act (which devolves land ownership and adminis- Government (PMO-RALG) is now reviewing the tration to the village level). system with a view to adding new sectors, and has expressed a willingness to include forestry indica- tors. The FBD has a clear opportunity to engage CONCLUSION AND RECOMMENDATIONS with PMO-RALG to include some of the NFP indicators within the Local Government Important steps have been made during the past Monitoring Database. If successful, local-level decade to integrate poverty reduction objectives forestry indicators will be collected through within forest policy and practice, as well as main- another ministry for all districts in mainland streaming the contribution of forestry and natural Tanzania. resources within broader poverty reduction policies. ■ Forest and natural resource contributions to At the local level, projects such as HASHI in poverty reduction are not currently captured Shinyanga have been highly successful in using the very well by the Household Budget Survey or new opportunities presented under the Forest Act to Agriculture Survey. The FBD recently proposed empower local stakeholders in forest restoration and modified indicators to rectify this; however, not P OV E RT Y A N D F O R E S T S L I N K AG E S all the proposals were accepted, particularly JFM, only 149 had signed agreements (Tanzania regarding the indicator that measures the contri- 2006b). An urgent need exists, therefore, to bution of natural resources to household develop clear, transparent and user-friendly legal incomes. It is important for forestry representa- guidelines that can be issued to both communi- tives to remain engaged in the processes for key ties and forest managers regarding the sharing of poverty monitoring (such as the Routine Data costs and benefits. This could include setting Working Group convened by the vice president’s “minimum quotas or shares� received by com- office) to ensure that the contribution of forests munities when forest royalties are shared, as well and natural resources to household livelihoods as a transparent mechanism for receiving and and poverty reduction are viewed as appropriate sharing forest royalties in areas covered by JFM data to be considered and captured. agreements. In protective forests, the challenge is ■ Tanzania is in the initial stages of developing a greater, as harvesting itself is restricted and local 131 system of “Forest Accounts,� with support from benefit streams are minimal. More creative the Centre for Environmental Economics and thinking is clearly required, such as comanaged Policy in Africa’s Natural Resource Accounting boundary plantations, retention of forest fines, Program for Eastern and Southern Africa and other sources of revenues by communities, (2003–06). The resources and political support supported by long-term initiatives, such as pay- for this program are limited at present, and ments for environmental services, related to researchers at Dar es Salaam University are at water, power, carbon, and biodiversity. Without present largely leading the process. The initiative these reforms, JFM will be unable to deliver on needs to be further supported and given a higher poverty reduction objectives and comanagement profile within the vice president’s office, as well arrangements will be jeopardized. as the Ministry of Finance, to ensure that results ■ In addition, due to the “sectoralization� of the are supported and disseminated. natural resource sector, different laws, proce- ■ MKUKUTA cluster priorities and targets are dures, and local institutional arrangements exist linked sectorally through the Medium-Term for community-level management of wildlife and Expenditure Framework and budgeting process- forest resources. In June 2006, four wildlife man- es, which are tied to financial resource allocation. agement areas were formally gazetted by the The FBD must now become more proactive in wildlife division for the first time in Tanzania, “arguing its case� for how forest policies and pro- allowing communities to be wildlife managers grams contribute to poverty reduction. and benefit directly from revenues from tourist Documentation and dissemination from field hunting of wildlife. These areas (often greater experiences of projects, such as HASHI, are an than 100,000 hectares) support large volumes of important step forward, but much needs to be valuable miombo timber and, as such, have the done if increased financial allocations are to be potential to provide local revenue streams from made by the Ministry of Finance. The Program forest harvesting; however, for communities to on Forests (PROFOR) toolkit for forestry and capture these benefits, they must embark on a poverty can also make important contributions separate process for establishment of VLFRs, in this regard. which are governed by different village-level ■ Despite the sound legal framework for devolving institutions. To date, no case exists in which forest management rights, responsibilities, and wildlife management areas are overlain by returns to local stakeholders, a major stumbling VLFRs, and the legal consequences for this are block for further scaling up remains—detailed unclear. However, perhaps the greatest risk is guidelines or regulations for the sharing of costs institutional conflicts caused by overlapping and benefits are not available. This means that and competing mandates of different commu- JFM agreements are often stalled or, where nity-level organizations. The need exists to approved, tend to be highly conservative regard- resolve these conflicts through development of ing devolving forest user rights to local commu- legislation or regulations that harmonize these nities. A recent survey conducted by the FBD two programs, allowing for more integrated found that, although more than 700 villages were management of natural resources at the local involved in either establishing or implementing level. SUMMARY OF C A SE STUDY—TA NZANIA Local-Level Recommendations tenure status of ngitili in Tanzanian law limits establishment of new ngitili. Clear tenure rights The Tanzanian government needs to take several in national laws are needed to provide secure additional steps to improve the economic benefits tenure for both private and communal ngitili. from ngitili and thus their livelihood impact (Monela and others 2005).8 These include: The success of long-term forest and woodland restoration will ultimately depend on the extent and ■ Supporting better ngitili management. The state willingness of the farmers and agropastoralists of the can provide technical help and targeted research Shinyanga region and beyond to manage trees and specifically intended to raise ngitili productivity. woodlands as part of their farming systems. For this For example, it could help improve fodder pro- to be successful as a long-term strategy, these forests ductivity by introducing more nutritive and pro- and woodlands must continue to be seen as socially, 132 ductive tree, shrub, and grass species. It could economically, and environmentally valuable to these also research the best methods and timing of cut- people. This case study has demonstrated the pres- ting and pruning ngitili trees to maximize pro- ent-day importance of the ngitili to the land users of duction. Shinyanga region. To reinforce this, more economic ■ Monitoring ngitili trends and facilitating lesson opportunities for tree and forest products will need sharing. The state is in a unique position to offer to be sought through improved local-level process- certain kinds of support that require a national, ing, value adding, and marketing. This will help rather than local, perspective. For example, using assure that ngitili remain a key component of land satellite imagery, the state could track nationwide management and livelihood strategies of the people changes in land use and biodiversity related to of Shinyanga. ngitili restoration to help HASHI officials under- stand the macro-scale impact of their activities REFERENCES and better target their aid. The state could also mount a national effort to document ngitili- related benefits and innovations, helping com- Alden Wily, L., and S. Mbaya. 2001. Land, People munities to share their successes and learn from and Forests in Eastern and Southern Africa at the others through public education campaigns and Beginning of the 21st Century. The Impact of knowledge networks. Land Relations on the Role of Communities in ■ Expanding markets for ngitili products. Forest Future. Nairobi, Kenya: NCN Eastern Increasing the income stream from ngitili would Africa Programme, Nairobi. help sustain Shinyanga’s land-use renaissance by Barrow, E. 2005. “Woodland Restoration for Liveli- making ngitili even more essential to local liveli- hood Improvement in Shinyanga, Tanzania.� hoods. One of the most effective ways to do this Unpublished paper. is to expand the markets for ngitili products. The Barrow, E., and W. Mlenge. 2003. “Trees as Key to state could help by supporting small-scale pro- Pastoralist Risk Management in Semiarid Land- cessing plants to diversify and add value to ngitili scapes in Shinyanga, Tanzania, and Turkana, products (by making timber into furniture, for Kenya.� Paper prepared for the Center for example); by removing burdensome regulations International Forestry Research International and other barriers to ngitili expansion and estab- Conference on Rural Livelihoods, Forests, and lishment of local enterprises based on ngitili Biodiversity, Bonn, Germany, May 2003. products; and by helping households access local ———. 2004. “Ngitili for Everything: Woodland and regional markets for their ngitili products by Restoration in Shinyanga, Tanzania.� providing relevant and timely market informa- Brochure. Ministry of Natural Resources and tion. Tourism and the Tanzania and Eastern Africa ■ Formalizing ngitili, using provisions of the Land Regional Office of IUCN—The World Conser- Act and Forest Act. Unclear and ambiguous vation Union. Dar es Salaam, Tanzania. Barrow, E. G. C., H. Gichohi, and M. Infield. 2000. 8. This section is based to a great extent on Ghazi and others Rhetoric or Reality? A Review of Community 2005. Conservation Policy and Practise in East Africa. P OV E RT Y A N D F O R E S T S L I N K AG E S London: International Institute for Environ- Kaale, B., W. Mlenge, and E. Barrow. 2003. “The ment and Development (IIED) and IUCN. Potential of Ngitili for Forest Landscape Barrow, E. G. C., P. Brandstrom, M. Kabelele, and I. Restoration in Shinyanga Region: A Tanzanian Kikula. 1988. Soil Conservation and Afforesta- Case Study.� Working Paper, Natural Forest tion in Shinyanga Region: Potentials and Con- Resources and Agroforestry Center, Dar es straints. Mission Report to NORAD. Dar es Salaam, Tanzania. Salaam, Tanzania, and Nairobi, Kenya. Leach, G., and R. Mearns 1988. Beyond the Woodfu- Blomley, T., and D. Hartley. 2006. “Which Way for el Crisis: People, Land and Trees in Africa. Lon- Joint Forest Management in Catchment Forests?� don: Earthscan. Presentation to Informal Discussion Group on Mariki, Stephen W. L. 2001. The Role of Forestry in Environment. Dar es Salaam, Tanzania. Poverty Alleviation: Tanzania. Country Profile Blomley, T., and H. Ramadhani. 2006. “Going to prepared for the Forum on the Role of Forestry 133 Scale with Participatory Forest Management: in Poverty Reduction, U.N. Food and Agricul- Early Lessons from Tanzania.� International ture Organization, Corteveccia, Italy, Septem- Forestry Review 8(1): 93–100. ber 2001. Dery, B. B., R. Otsyina, and C. Ng’atigwa. 1999. Mkanta and Chimtembu. 2002. Toward Natural Indigenous Knowledge of Medicinal Plants and Resource Accounting in Tanzania, A Study on the Setting Priorities for Their Domestication in Contribution of Natural Forests to National Shinyanga Region, Tanzania. Nairobi, Kenya: Income. Centre for Environmental Economics World Agroforestry Centre (ICRAF). and Policy in Africa (CEEPA) Discussion Paper Food and Agriculture Organization (FAO). 2003. Series. State of Forest and Tree Genetic Resources in Dry Mlenge, W. 2005. “Ngitili: An Indigenous Natural Zone Southern Africa Development Community Resources Management System in Shinyanga, Countries. Compiled by B. I. Nyoka. Forest Tanzania.� Arid Lands Information Network— Genetic Resources Working Papers, Forest Eastern Africa, Nairobi. Resources Development Service, Forest Mlenge, W. 1993. “Beyond the HASHI Programme. Resources Division. Rome. Towards an Inclusive Approach.� Paper pre- Ghazi, P., E. Barrow, G. Monela, and W. Mlenge. sented at the donors meeting, of the Forestry 2005. “Regenerating Woodlands: Tanzania’s Department, Dar es Salaam, Tanzania. HASHI Project.� Chapter 5 case study in World Monela, G. C., G. C. Kajembe, A. R. S. Kaoneka, and Resources 2005: The Wealth of the Poor, Manag- G. Kowero. 2000. “Household Livelihood ing Ecosystems to Fight Poverty. Washington, Strategies in the Miombo Woodlands of Tanza- DC: World Resources Institute, in collabora- nia: Emerging Trends.� Tanzania Journal of tion with United Nations Development Pro- Forestry and Nature Conservation 73: 17–33. gramme, United Nations Environment Pro- Monela, G. C., S. A. O. Chamshama, R. Mwaipopo, gramme, and the World Bank. and D. M. Gamassa. 2005. A Study on the Social, Hakikazi Catalyst. 2004. Land and Natural Resources Economic, and Environmental Impacts of Forest Law and Policy Syllabus: A Plain Language Landscape Restoration in Shinyanga Region, Guide to the United Republic of Tanzania’s Tanzania. Dar es Salaam, Tanzania: Forestry Land, Forest, and Wildlife Laws and Policies. and Beekeeping Division of the Ministry of Produced for the Wildlife Working Group. Natural Resources and Tourism of Tanzania, Ministry of Natural Resources and Tourism. and IUCN—The World Conservation Union, Dar es Salaam, Tanzania. Eastern Africa Regional Office. HASHI. 2002. “The Blooming Degraded Land: Msangi, H. B. A. 1995. “The Influence of Socioeco- HASHI experience 1986/87–2002.� First draft. nomic Factors on the Promotion and Adoption Forestry and Beekeeping Division, Ministry of of Agroforestry Technologies Based on the Tra- Natural Resources and Tourism. Dar es Salaam, ditional Ngitiri System: A Case Study of Tanzania. Shinyanga, Tanzania.� Master’s dissertation. Howlett, D. 2005. “Mainstreaming Environment School of Agricultural and Forest Sciences, into Tanzania’s National Strategy for Growth and University of Wales, Bangor, United Kingdom. Reduction of Poverty.� Unpublished monograph. SUMMARY OF C A SE STUDY—TA NZANIA Ndonde, M. V. 1999. “Managing from Below: 2006. Participatory Forest Management: Facts Opportunities from and Constraints to Legal and Figures. Dar es Salaam. and Institutional Innovations for Community Tanzania, Ministry of Natural Resources and Forestry in Tanzania.� In Proceedings of an Tourism, National Forest Programme. 2003. International Workshop on Community Forestry The Status of Central and Local Government For- in Africa. Participatory Forest Management: A est Reserves, Private Sector and Others in Tanza- Strategy .for Sustainable Forest Management in nia. Dar es Salaam. Africa, ed. A. A. Dauso, D. Rub, and K. Warner. Tanzania, National Bureau of Statistics. 2002a. Banjul, The Gambia, and Rome, Italy: Food and Household Budget Survey 2000/01. Dar es Agriculture Organization. Salaam. Otsyina, R., S. Minae, and D. Asenga. 1993. The Tanzania, Vice President’s Office. 2005a. National Potential of Ngitili as a Traditional Agroforestry Strategy for Growth and Reduction of Poverty. 134 System among the Sukumn ofTarzzartia. Nairo- Dar es Salaam. bi, Kenya: World Agroforestry Centre (ICRAF). Tanzania, Vice President’s Office. 2005b. The Devel- Salmi, J., and G. C. Monela. 2000. Study on Financ- opment of Indicators for Poverty-Environment ing in Forestry. Dar es Salaam, Tanzania: Linkages. Final Report. Dar es Salaam. National Forestry Programme. Tanzania. 1998. National Forest Policy. Ministry of Shanna, N. P., ed. 1992. Managing the World’s Natural Resources and Tourism, Dar es Salaam. Forests: Looking for Balance between Conserva- Tanzania. 2000b. Poverty Reduction Strategy Paper. tion and Development. Dubuque, Iowa: Dar es Salaam. Kendall/Hunt Publishing Company. Tanzania. 2005b. Poverty and Human Development Tanzania, Ministry of Lands and Human Settle- Report 2005. The Research and Analysis Work- ments. 1999. The Village Land Act, 1999 (No. 5 ing Group. Dar es Salaam. of 1999). Dar es Salaam. Tanzania. 2006. Consultancy Service for Develop- Tanzania, Ministry of Natural Resources and ment: Establishment and Institutionalisation of Tourism. 2000. FOSA Country Report: Tanza- National Forest Programme Monitoring Facility nia. Forestry Outlook Studies in Africa (FOSA). and Database. Review Phase and Design Outline. Dar es Salaam. http://www.fao.org/DOCREP/ COWI Ltd. Dar es Salaam. 003/AB575E/AB575EOO.HTM. UN Development Programme (UNDP). 2003. Tanzania, Ministry of Natural Resources and Human Development Report 2003: Millennium Tourism. 2002. The Forest Act, No. 7. Dar es Development Goals: A Compact among Nations Salaam. to End Human Poverty. New York and Oxford: Tanzania, Ministry of Natural Resources and Oxford University Press. Tourism. 2003. Framework for Participatory U.S. Agency for International Development Forest Management. Dar es Salaam. (USAID). 2004. Tanzania Country Strategic Tanzania, Ministry of Natural Resources and Plan FY 2005–2014: Improving the Quality of Tourism. 2004. People and Trees: A Plain Lan- Life in Tanzania. USAB), Washington, D.C. guage Guide to the United Republic of Tanzania’s Wily, L. A. 1999. “Evolution and Process in Com- National Forest Programme. Dar es Salaam. munity Forest Management in Tanzania.� Pre- Tanzania, Ministry of Natural Resources and sented at the International Workshop on Com- Tourism, Forestry and Beekeeping Division. munity Forestry in Africa. Banjul, The Gambia. 1996. Soil Conservation and Afforestation in FAO’s Forest Trees and People Program, GTZ, Shinynnga (HASHI). Project Document and the Republic of Gambia Forestry Depart- 1996/97 to 1999/2000. Dar es Salaam. ment, April 23-30, 1999. Tanzania, Ministry of Natural Resources and Wily, L. A., and P. A. Dewees. 2001. From Users to Tourism, Forestry and Beekeeping Division. Custodians: Changing Relations between People 2001. National Forest Programme in Tanzania and the State in Forest Management in Tanza- 2001–10. Dar es Salaam. nia. Policy Research Working Paper WPS 2569. Tanzania, Ministry of Natural Resources and World Bank, Washington, D.C. Tourism, Forestry and Beekeeping Division. P OV E RT Y A N D F O R E S T S L I N K AG E S World Bank. 2001. Tnnzania Forest Conservation World Bank. 2006a. “GINI Per Capita 2005, Atlas and Development Project. Project appraisal doc- method and PPP.� World Development Indica- ument. World Bank, Washington D.C. tors database. World Bank. 2005. Study on Growth and Environ- World Bank. 2006b. “Tanzania Country Brief.� ment Links for Preparation of Country Economic http://web.worldbank.org/WBSITE/ Memorandum (CEM) for Tanzania: Part 2: EXTERNAL/COUNTRIES/AFRICAEXT/ Uncaptured Growth Potential: Forestry, Wildlife TANZANIAEXTN/0„menuPK:287345~ and Marine Fisheries. Final report. World Bank, pagePK:141132~piPK:141107~theSitePK: Washington, D.C. 258799,00.htm1. 135 SUMMARY OF C A SE STUDY—TA NZANIA 136 FIGURE A7.1 Institutional Arrangements for Forest Management MINISTRY OF NATURAL PRIME MINISTER’S OFFICE, APPENDIX RESOURCES AND TOURISM REGIONAL ADMINISTRATION, AND LOCAL GOVERNMENT Director of Forestry and Beekeeping Division District Council Assistant Assistant Assistant Director Assistant Regional Administrative Director Director Forest Director District Executive Directory Secretary P OV E RT Y A N D F O R E S T S L I N K AG E S Forest Forest Research Beekeeping Development Utilization Training and Development Statistics District Lands, Natural Resources, and Schedule Officers, National Forest Program, Natural Environment Officer Various Project Coordinators and Institutes (FTI, FITI) Resources Adviser District Forest and Regional Catchment/Zonal Beekeeping Officers Mangroves Officers and Plantation Forest Managers Forestry and Beekeeping Divisional Forest and Beekeeping Officers District Catchment Forest and Administration Mangroves Officers Organogram depicts lines of reporting. (a) District-level forestry officials report to the Ward Forest and Beekeeping Officers Divisional Catchment Forest and national level (Ministry of Local Government) Mangroves Officers via district-level authorities. (b) They communicate only very indirectly (dotted lines) to the Director of Forestry and Village Council/ Ward Catchment Forest and Beekeeping and the Ministry of Natural Village Assembly Mangroves Officers Resources and Tourism. Source: Authors’ research. TABLE A7.1 Summary of Forestry-Related Goals and Strategies in the National Strategy for Growth and Reduction of Poverty Cluster 1: GROWTH AND REDUCTION OF INCOME POVERTY Goal 2: Promoting Strategy: Protect property rights, reduce environmental damage, and improve sustainable and broad- production and productivity in energy, industry, agriculture, fisheries, forestry, based growth tourism, communications, trans ort, and so on Strategy: Improve land management, including tree planting, establishment of village land forest reserves (community-based forest management) on village land, and maintaining integrity of protected area network Goal 4: Reducing Strategy: Ensure sustainable management of water catchment areas and maintenance 137 income poverty of both of forest cover in critical highland catchment areas men and women in rural areas Strategy: Develop programs for increasing local control and earnings in wildlife management areas and establish locally managed natural resource funds, tapping into local traditional knowledge Strategy: Scale up participatory forest management in all districts as a mechanism for increasing the income of rural communities from natural resource management Strategy: Harmonize natural resource sector policies and strategies and remove any conflicts in laws and regulations improve land conservation measures and community-based and environmentally sound natural resource management Goal 5: Reducing Strategy: Ensure sustainable natural resource use to ensure energy supplies are income poverty of both maintained (forests, water catchments, and charcoal industry) men and women in urban areas CLUSTER 2: IMPROVEMENT OF QUALITY OF LIFE AND SOCIAL WELL-BEING Goal 1: Increased Strategy: Sustainable management of catchment forest areas access to clean, affordable, and safe water, sanitation, decent shelter, and a safe and sustainable environment, thereby Strategy: Improve land management and adoption of water conservation, reduced vulnerability technologies, implementation of national plans under multilateral environment from environmental risk agreements to halt desertification and land degradation, and restore degraded lands CLUSTER 3: GOVERNANCE AND ACCOUNTABILITY Goal 1: Structures and Strategy: Enforce and harmonize policies and laws relevant to land and natural systems of governance resource utilization and management all village and urban lands are surveyed and as well as the rule of certificates are issued law are democratic, participatory, representative, accountable, and inclusive. Strategy: Develop effective mechanisms to ensure equitable access and use of environment and natural resources, especially for poor and vulnerable groups Source: Tanzania 2005a. SUMMARY OF C A SE STUDY—TA NZANIA The majority of the world’s poor are concentrated forest-livelihood linkages in rural areas and explore in rural areas and depend on natural resources— how sustainably managed forests can help to en- forests in particular—for their livelihoods. hance rural livelihoods. They also describe links to national-level indicators of welfare that are used to By adopting the Millennium Development Goals measure a country’s progress towards the MDGs. (MDGs), countries have given themselves a target of halving global poverty by 2015. Given the im- These case studies were used to develop the Pov- portance of forests for the rural poor, it is increas- erty-Forests Linkages Toolkit, designed to provide ingly argued that these can be a resource for pov- national government and other interested parties erty reduction. with easily comprehensible quantitative data on the value of forestry to poor rural households. The National economic planners and policy makers first part of the toolkit discusses and guides the have lacked information on the extent to which for- networking and research that is needed at national est resources contribute to rural economies, while level to understand the contribution of forest prod- national forest plans ignore poverty altogether. ucts to rural livelihoods, and in due course enrich The case studies and the synthesis presented in this national poverty reduction instruments. The sec- report were compiled to highlight the economic ond part gives guidance on carrying out fieldwork value of forests for poverty reduction and enhanc- at village-level to assess the contribution of forest ing livelihoods, to better incorporate forests into products to rural livelihoods. For more informa- national poverty reduction strategies. They present tion on the Poverty-Forests Linkages Toolkit, visit the findings of a rapid methodology to appraise http://www.profor.info/livelihoods_activities.html. This book has been printed on 100% recycled paper.