FIELD METHODS MANUAL

Volume II

Community Forest Economy and Use Patterns:
Participatory Rural Appraisal (PRA) Methods
in South Gujarat, India

Prepared for the

Joint Forest Management Support Program

in collaboration with

Gujarat Forest Department
Society for Promotion of Wastelands Development
Ford Foundation

Editors:

Mark Poffenberger
Betsy McGean
Arvind Khare
Jeff Campbell

Published by:

Society for Promotion of Wastelands Development
Shriram Bharatiya Kala Kendra Building
1, Copernicus Marg
New Delhi 110001

©1992

For additional copies, please write to the Joint Forest Management National Support Group at the above address.

Participating Organizations

Gujarat Forest Department
VIKSAT
Society for the Promotion of Wastelands Development
AKRSP
Rajasthan Forest Department
Jammu and Kashmir Forest Department
Haryana Forest Department
IBRAD
Center for Minor Forest Products
Forest Research Institute
Indian Institute of Science, CES
Tata Energy Research Institute
Indian Institute of Management
University of Agricultural Sciences
Seva Mandir
University of California
Ford Foundation

Acknowledgements

The workshop participants wish first to extend their thanks to the tribal communities of Gamtalao and Phulwadi, Ghodbar and Limbi who served as our teachers and shared their concern and knowledge of the forest with us. Their love for the forest and environment was expressed to us in numerous ways, including the symbolic names they selected for some of their hamlets and villages: Big Fig, Little Fig, Citrus Tree, and Flower River.

The participants would also like to express their gratitude to the officers of the Gujarat Forest Department for their gracious support and to VIKSAT for arranging this learning experience. Particular thanks are due to Mr. Vaishnav, PCCF, and Mr. R.S. Pathan, CF, Surat, as well as the District Forest Officers, Rangers, Beat Officers, and Guards who kindly worked together with us and shared their expertise with the teams. The editors would also like to thank Dr. M.G. Chandrakanth and Dr. Abhash Panda for their contributions to the development of the text, and to Mr. Ajit Narayanan who prepared much of the artwork.

In addition, the editorial team would like to express their gratitude to Bojana Ristich and Cynthia Josayma at the University of California, and K.R. Raghunathan and Mona Challu of the Ford Foundation for their contributions to the editing and production of the volume. Finally, the editors wish to thank the program's sponsors, including the Ford Foundation, New Delhi, the East-West Center, Honolulu, Hawaii, the University of California and The Pacific Institute in Berkeley, California.

TABLE OF CONTENTS

INTRODUCTION

PART I: EXPERIENCES WITH PRA METHODS

PART II: THREE CASE STUDIES

SUMMARY

User's Guide to the Manual Series

This report is the second in a two-volume Field Methods Manual which is being developed to support the implementation of Joint Forest Management (JFM) programs. Volume I of the Manual elaborates on a comprehensive range of diagnostic tools and techniques which can be employed to better understand the complexities of the community-forest relationship and thereby help derive improved participatory management strategies between user communities and Forest Departments.

Volume II summarizes the learning from a field training workshop held in Gujarat between April 5-11, 1992. The primary objective of the workshop was to explore the usefulness of participatory rural appraisal (PRA) methods for assessing human-forest interaction patterns and the local forest economy, with particular emphasis on estimating dependencies, volumes and values of non-timber forest products. The contents of the workshop report are organized into an introduction, two main parts, and a summary discussion.

The introduction begins with a brief description of the research settings in Gujarat. This is followed by the rationale for employing PRA and a process approach to initiating the field research, including team formulation, site selection and team introduction to the community. Part I describes nine different classes of information collection with useful outputs which can be generated through application of PRA methodologies such as key informant and group interviewing, stratified sample surveying, sketch mapping, participant observation, and secondary background research. Based on the experiences of the workshop participants, lessons on the advantages and disadvantages of different field approaches and methods are summarized periodically in boxes throughout the report.

Part II begins with a description of the natural resource situation in Gujarat and a forest divisional history in the research area in order to provide background for the current forest management program. The report then describes three village case studies, representing different forest conditions, years of protection, rehabilitation and management strategies. While each case study team collected parallel information on community background, land use history, forest product collection patterns and volume flows, the researchers also documented more detailed information on village-specific user group dependencies, important extraction and processing activities, local institutions and key management issues. The report concludes with a summary of the methodological lessons learned through the PRA trials, and a discussion of the forest contexts, product flows, and participatory management implications which emerged through the exercise.

The Field Methods Manual series attempts to bring together current experience with diagnostic methods for improving forest management through community participation. The approaches, tools and techniques described are still in the process of development. Future volumes and editions in this series will strive to integrate new learning. The editors eagerly request readers to test the methods in the field and to send their suggestions for improvement to: The JFM National Support Group, Society for Promotion of Wastelands Development, 1 Copernicus Marg, New Delhi 110001, India.

FIGURES

APPENDICES

GLOSSARY

INTRODUCTION

The dual objectives of this five-day workshop were: 1) to give the participants an opportunity to test and further develop participatory rural appraisal (PRA) research methods to assess forest product flows from regenerating ecosystems under community protection and 2) to generate additional comparative information on community forest management systems in Gujarat. The research methods were designed to rapidly assess community forest use practices and the economic nature of existing production systems and how they might be enhanced. To facilitate the information collection and methodology testing, the workshop participants focused on field exercises with periodic larger group discussions.

The participants worked in three teams throughout the field trials, each group studying one previously selected research area. Two of the research sites were located in areas with small tracts of disturbed but protected and regenerating forests, while the third team examined community-forest interactions and flows from a large, well-established natural forest. Researchers worked closely with community members to adapt the research tools to meet local conditions and incorporate new ideas. In order to document and analyze local forest use patterns, community and workshop participants created and utilized a range of maps, diagrams, and tables.

It was decided that the field trials should be conducted in southeastern Gujarat (see Map, Figure 1). For the past five years, the Gujarat Forest Department (GFD) has been developing collaborative management systems with tribal communities in the area. The program received state government approval in March 1991 when a resolution was issued endorsing village forest management and product-sharing agreements. Consequently, the region provided a setting where community protection, natural regeneration, and enrichment planting were already wen underway. Two representative forest management contexts were selected for study. The first reflects areas with small tracts of degraded forests, usually located on hilltops. In such settings, communities are establishing access controls on grazing and fuelwood cutting in an attempt to facilitate natural regeneration of teak (Tectona grandis), complemented by gap-filling with a range of valuable local species. This type of situation is particularly apparent in Surat and Bharuch Districts, which are characterized by undulating plains bordering the Satpura hills on their western rim. Methodological field trials were conducted in the communities of Ghodbar, Gamtalao, and Phulwadi to reflect this scenario and approach to forest regeneration. An attempt was made to select sites with differing years of community protection in the hope that a sequence could be developed to reflect the change in economic flows over time.

Figure 1: Map of Research Sites

The second forest management context involves community protection of larger tracts of existing natural forest. Stich conditions occur in Vyara Range and the Dangs. Due to the continuing commercial timber orientation of these larger forests in the state forest Working Plans, the GFD has yet to clarify how sharing arrangements with community groups might operate. Logging has provided important state revenues in the past, as well as comprising a major component of the local economy. While exploitation practices of the past have not proven sustainable, a productive and sustainable management system based on multiple wood and non- wood products has yet to be developed. For the field trials, several communities neighboring the 8000-hectare Limbi Forest Round were selected for study. All three research teams were able to both test the utility and limitations of the participatory appraisal methods and rapidly learn a substantial amount about forest use practices in the study areas.

Why PRA?

Participatory Rural Appraisal (PRA) methods are useful for gaining a preliminary understanding of the research area in a relatively short period -- usually between three days and three weeks. PRA is based on interdisciplinary, exploratory studies relying on a high use of community interaction and indigenous knowledge. PRA methods attempt to build on the increased understanding emerging from each field visit by sequentially pursuing issues raised in previous interviews through probing and cross-checking to verify and elaborate. For that reason, the approach utilizes semi-structured interviewing techniques with extensive data analysis and debriefings immediately after each data collection activity. PRA can help generate information on the socioeconomic and ecological conditions prevailing in the research site prior to the collection of more quantitative biophysical and economic data. In contrast to conventional surveys, some comparative methodological studies have indicated that PRA methods can produce approximately the same types of data with equal levels of accuracy but considerably faster, while providing a better understanding of the human-ecological context in which the study occurs. It is this contextualization, or framing of activities within the larger social and environmental system, which is a particularly valuable component of PRA. The approach tends to present a picture of community resource use as a system because it allows the community to speak for itself to a greater degree than most research methods. Furthermore, it allows the researcher to learn iteratively while in the field and sharpen the focus of the study progressively. Finally, if properly conducted, PRA can create a forum for communities to pursue discussions among themselves concerning their own goals and objectives for the protection and management of forests and other natural resources. It, therefore, can provide an excellent basis for initiating participatory planning, leading to the formulation of joint forest management (JFM) agreements with the Forest Department.

The Research Team

In the case of the Gujarat workshop, prior to initiating the field trials the participants divided into three teams of eight persons each, one for each of the study areas. To facilitate interviewing, the area teams sub-divided further into two, four-member teams. A Gujarati speaker and one woman were assigned to each team and an attempt was made to ensure an interdisciplinary mix of members, including a forester, social scientist and ecologist. The advantage of selecting a woman for the team is that it may enable the researchers to more easily approach an all women's group for interviewing, as well as encourage village women to participate in mixed gender discussions. Since JFM is designed for the broad-based participation of key user groups and collectors, the majority of which are poor women, the strategy of ensuring a woman team member may enhance their participation from the design and planning stage of the program. At the same time, local language ability within the team is an essential requirement for eliciting indigenous information, especially for understanding local references and units of measurement, as well as capturing people's feelings in their own words.

Site Selection Methods

Selecting research sites is a very important step in designing a PRA. Site selection criteria may vary depending on the objectives of the research. For general diagnostic studies of community forest use practices and their implications, researchers may choose to investigate communities and forests which represent dominant management contexts in the region. Such sites can better illustrate common management problems and opportunities.

The Gujarat PRA Team worked with local District Forest Officers and Range Officers to identify ranges and beats where forests have been disturbed but still have good regenerative potential. Research areas were selected where communities had significant forest product dependencies, and had expressed community interest and ongoing activities in forest protection and management. Prior to the workshop team's arrival, Gujarat Forest Department staff had already selected a number of candidate sites which met the criteria discussed above. The team reviewed the site options and finalized the selection of three villages. Two were chosen from areas with small patches of disturbed forests that are both naturally regenerating under community protection and have also been heavily replanted. A third site was selected in a large natural forest which is still undergoing some extraction and is experiencing heavy use pressures from neighboring communities. This choice of study sites allowed the research team to represent and comparatively analyze the two major types of forest management contexts present in south Gujarat.

In order to better understand how forest product volume levels and flows change over time, the team also sought to identify research sites under different periods of protection and stages of regrowth. It was hoped these areas would have well-defined boundaries with forest tracts ranging from 25 to 200 hectares, and a clearly delineated community user group. Given the limited time available, the research teams had difficulty identifying a series of ecologically similar forest tracts under varying periods of protection. Also, the presence of numerous user communities and many small forest patches of varying degrees of disturbance or stages of regeneration made it difficult to assess specific levels of productivity or utilization per hectare based on community recall alone. In order to more effectively estimate production and utilization rates, population data on individual species' productivity and harvest flows need to be determined through the companion vegetative research methods (see Diagnostic Tools: Field Methods Manual, Vol. I, Part III).

Introducing the Team to the Community

The success of community forestry-oriented PRA studies is dependent on the active participation of villagers and forestry field staff. Team members need to explain the purpose of the activity, describe how it might assist the community, and develop a friendly relationship with them. To explore the advantages of different approaches to gain community and FD participation in the field methods trials, the research team experimented with several approaches. In Ghodbar, the villagers had been informed of the visit in advance by the FD and had prepared an agenda that included a formal gathering of community members and visitors. This planned activity, while time-consuming, provided an opportunity for the team to be welcomed and broadly introduced to the village, after which they were able to describe the study's purpose and ask the community if they would be willing to teach the team over the next few days. Following this, the forest management history exercise began, quite typically with a core group of men. Seeing that the women were standing at a distance, a second exercise by a sub-team was begun simultaneously with the women. On the second day, over two hundred people gathered at the community center for tea, followed by a short formal meeting and introductions of the group and community, including village headman and panchayat members, Mahila Mandal, and the Executive Committee and members of the van kalyan samithi (Forest Protection Committee).

In Gamtalao and Phulwadi, the community welcomed the team in a more traditional manner by holding a tea drinking ceremony. The Chaudary tribal landowners and the Kotwalia untouchables gathered with the researchers and the team requested them to draw a sketch map of their community and forest lands. This preliminary mapping exercise provided an excellent lead-in opportunity to the study. In contrast, in Limbi village no prior notice concerning the visiting research team had been given to the community. The local district forest officer introduced the team first to the former Gram panchayat headman (pradhan), noting that the group had come from all over India to learn from the community about the forest. The pradhan proceeded to provide a useful overview of the community, assisting the team in obtaining background information on the social composition, population, economy, and institutional infrastructure of the village. A sub-team then broke away after 20 minutes to interview some village elders regarding the community's forest history. A family invited this sub-team to sit on its porch and several older neighbors were called to join in the discussion.

Both the formal and informal approaches to introducing the research teams were successful. Whereas the informal approach may have caused less disruption and taken less of the community and researcher's time, it may also have resulted in a more limited introduction of the team and explanation of its purpose. The more formal approach encouraged many members of the community to gather and learn about the study. By initiating research immediately after the ceremonies, the teams were able to enlist the involvement of many villagers.

PART I: EXPERIENCES WITH PRA METHODS

Part I reconstructs what was learned regarding the methodologies through field trials, debriefings, available notes, and post-workshop discussions with participants. The methodology used in this study was designed to allow the researcher to adapt the methods to respond to conditions and issues relevant in the study area. To help document and analyze local forest use practices and systems, and to further engage the community through visual illustrations, emphasis was placed on the collaborative creation of maps, charts, and other pictorial diagrams. The research team understood that to assess the importance and economic value of forest products to communities, the researcher must assume the position of student, with the villagers as his/her teachers. In this context, it becomes crucial for the research team to approach the community with an open mind, an ability to listen, and a willingness to adjust the research design as data are collected to allow the community to best express its knowledge.

Community Background Information

Before initiating PRA fieldwork activities, it is useful to review such secondary information as reports, case studies, FD Working Plans, books, and other documents about the study area. Reviewing existing information on the social and physical environment can speed up and inform fieldwork. Information on human and livestock populations, soils, climate, rainfall, geography and forest species composition is usually available in government reports, including in Working Plans (see Box 1). University-based researchers may have already documented the social and historical conditions in the area. The workshop planners also developed a Community Profile Background Information Sheet for the teams to use in order to yield comparative sets of basic demographic, socioeconomic, and institutional information (see Appendix 1).

Community and Forest History

By understanding historical changes in forest condition, population, resettlement patterns, and the local economy, it is assumed that forest management problems and the forces driving them will be better identified and resolved. A number of different PRA methods were utilized. In-depth interviews with community members and local forestry field staff allowed the team to begin reconstructing changes in forest use and management over the past 50 to 100 years, using historical transacts, trend lines, and time lines to depict patterns of change (see Box 2). These diagrams are presented in the case studies in Part II Appendix 2 provides a set of Interview Guidelines to help assess community and forest history.

Community Forest Perceptions and Attitudes

While forest use practices are in part determined by the role of forest resources in the local economy, they are also influenced by villager's beliefs, knowledge, and attitudes regarding the forest. It is therefore essential to explore the position of the forest in the community's worldview. While it is possible to place a value on forest products, labor absorbed by the forest, and its related economic functions, it is difficult to impute a price on the forest's religious or socio-psychological significance. Furthermore, the ecological functions the forest plays in moderating hydrological, soil, and microclimatic conditions and their effects on agriculture and residential life are difficult to value monetarily. Yet in some cases, these functions may be perceived to be so valuable that they outweigh the economic importance of exploitation activities. As a consequence, the community may ban or tightly regulate such actions. This may be particularly prevalent in areas where forest disturbance has diminished the value of further exploitation, and where deforestation has had direct negative impacts on the environment and villagers' livelihood strategies, especially their agricultural activities (see Box 3).

Sketch Maps, Product Flow Charts, and Transects

As part of the PRA exercise, the team wished to investigate the spatial aspects of forest resource use. Through interactive exercises with the community and participant observation, the researchers tested a number of methods to develop sketch and flow maps of resource use patterns and land use tmnsects. Sketch maps provided a rapid understanding of the distribution of villages, forest lands, farm fields, markets, roads and other features of the landscape (see Box 4). Maps were also used to record management information regarding the condition of forest vegetation, protected and unprotected areas, and the source sites of specific forest products. By conducting interviews and observing the landscape from the top of a hill, it was also possible to develop a land use transect by delineating the forest and community area by use practices and ecological zones on poster paper.

Activity Schedules and Seasonal Calendars

To supplement the historical data collected on long term changes in forest cover and management practices, the team assessed how communities used the forest during the year and their daily and weekly work routines. Seasonal forest collection activities were identified through group interviews. Twelve stones were placed on the ground or on a poster paper to indicate months of the year and villagers indicated which products were collected during each month and how the volumes flows changed through the year. Daily calendars were also developed to indicate time and labor allocation. Developing a daily activity schedule with women fuelwood collectors revealed how much time was spent in collecting wood and walking to the market to sell it (see Box 5).

Inventories, Ranking, and Scoring Forest Products

Participatory inventory methods allow researchers to learn about villagers' knowledge of the forest species diversity and important products generated. Inventories are an effective way to illuminate the wealth of indigenous botanical knowledge and provide a rapid overview of the composition of forest ecosystems. Species lists should also be cross-checked and further elaborated by walking through the forests with knowledgeable local informants. Walk-throughs can focus on specific use categories, identifying all species used for medicines, fodder, or edible foods. Conducting a walk-through also allows the researcher to observe the location of different species.

Prior to the field work, a reference list of species should be compiled with local and botanical names. Source books such as The Useful Plants of India (Publications and Information Directorate, New Delhi, 1986), with its extensive index of local Indian plant names, provides a helpful reference in identifying the botanical equivalents. Where communities offer their own use classification typologies, it is interesting to examine how and why they divide uses into different categories. It is also valuable to assess the number of species named in each use class to establish the level of diversity and the special use characteristics of the classified products (see Box 6).

Ranking or scoring the perceived importance of different forest products provides insights regarding their relative value. Rankings indicate the order of importance among items. in contrast, scoring provide an indication of the perceived values of each item in relation to the others. Products are often ranked or scored by use categories such as fodder, fuelwood, and medicinals. For the species or products in each category, the discussion group members are asked to give a value relative to the others. Seeds or stones can be used as counters. As an example, for construction purposes teak may be rated highly with seven seeds, while eucalyptus may have an intermediate score of three seeds.

Product Volume Flows, Labor, and Capital Costs

PRA studies have proven to be effective in gaining a general understanding of forest product volumes and flows. Group and key informant interviews can generate information on collection practices (who, what when, where, how, and why), and the members of the community involved. Recall estimates of the average amount of each forest product collected and the assessment of the number of collectors involved can give some indication of the total volumes of non-timber forest product (NTFP) yield.

Due to recall error, it is important to cross-check production estimates with knowledgeable people in the community including the local forester, village headmen, NTFP agents, and school teachers. If time permits, researchers can also conduct small stratified sample surveys with families from different social and economic backgrounds. A number of PRA studies have also shown that it is helpful for research team members to participate in the collection process. This allows researchers to directly observe collections, photograph processes, and measure the time requirements, volumes and weights. While data collected through these methods is a rough estimate, it can sketch a picture of the relative levels and patterns of different product flows which, when combined with ecological data on stocking levels and productivity of different species, can lead to an assessment of sustainable harvesting and potential income levels (see Box 7).

Forest Product Prices, Processing, and Marketing

The PRA trials indicated that collecting information on wholesale prices for commercial forest products was not difficult. However, prices varied considerably across markets and among buying agents, and need to be carefully cross-checked to establish average product prices over seasons. Predictably, prices were generally lower close to the collection area. Government agencies dealing in forest products tended to offer lower prices, but not always. Prices for forest products tended to be low, and provided a correspondingly low return for labor in contrast to the minimum state wage. For this reason, many villagers either consume the product directly or process it in an attempt to capture the value addition. This was particularly apparent in the case of mahua flowers, which are used in "country wine' distilling.

Understanding the processing and marketing systems for timber and NTFPs is essential for the planning and design of programs to improve quality and linkages. Case studies from many parts of India indicate that these systems are often inefficient and produce low profits for producers due to raw material supply problems, middlemen and market access. Often these difficulties stem from rigid regulations which constrain efficient market operations. PRA methods can help document how these processing and marketing structures operate and identify where constraints might be removed.

Analyzing Forest Product Benefits and Costs

Economic analysis of the profitability of forest-based activities can utilize case study and market research information, as well as secondary data regarding the current benefits and potential economic returns from forests under community managed production systems. The economic analysis can indicate the macroeconomic implications of shifting management from strict protection or timber production to sustained yield harvesting of a wide range of forest products. The valuation of forest products can be calculated by assessing estimated volume flows of selected commodities over time under different assumptions, including both natural capacity as well as enhanced capacity through silvicultural management techniques.

To more accurately calculate the benefits and costs of different forest production activities, it is helpful to use data emerging from interviews and observations regarding labor allocation, collection, processing, and marketing practices. By analyzing the relative employment, income generation, and environmental benefits of different management options, programs and policy recommendations can be formulated for the consideration of government planners. To improve access of forest policy makers and managers to the research findings, they need to be involved and supportive of the study from the design phase (see Box 9).

The production of graphics, tables, charts, calendars, and other visuals proved worthwhile, not only for preparing presentations of research findings, but also in organizing field data and beginning analysis. The PRA trials demonstrated that research teams greatly benefit from opportunities to organize their notes throughout the field work process in order to synthesize learning and plan further. Drawing up rough tables, maps, charts, and other graphics provides a quick, visual mechanism to integrate and analyse information generated through the PRA. If the methodology of conducting the workshop itself had any serious flaw, it was the need to schedule more time for group analysis and discussion following each field exercise. More analysis time would provide opportunities to correct assumptions, fill in gaps, share perceptions, corroborate data and re-evaluate methods. Specifically, the sharing of preliminary data analysis with the participant communities at the close of the workshop, especially in terms of implications for community management, was inadequate due to time limitations. In addition, a consistent observation by team members by the end of the exercise was the regret that they had not spent any village overnights to supplement their more formal learning about the community, its practices and beliefs. Finally, it is inevitable that short PRAs will leave gaps in information, not allow sufficient time for analysis, and most importantly, not provide adequate opportunities to discuss learning and management issues with community members. For these reasons, follow-up visits should be planned from the outset as an essential component of the PRA.

PART II: THREE CASE STUDIES

Understanding the Management Context: Natural Resources in Gujarat

Before beginning a PRA exercise, the research team may want to explore the social and ecological context in which the study is to be conducted. This might include background information of the socio-political history of the area and past forest use and management practices. To learn about the research setting, several members of the PRA team were assigned the task of reviewing the literature and interviewing knowledgeable individuals working in the Forest Department, local NGOS, and research institutions. The following sections describe the natural resource situation in Gujarat and present a history of forest management in Mandvi and Vyara Forest Divisions in southern Surat District where the PRA exercise was conducted.

The forests of Gujarat have been significantly reduced over the past three hundred years. With a population of 38 million, the per capita forest area is only 0.05 ha., or less than half the Indian average of 0.11 ha. and far below the world average of 1. 04 ha. Less than 10 percent of Gujarat's land is designated forest area, and much of that is seriously degraded. Commercial and rural pressures on Gujarat's forest lands have gradually eroded timber stand density and quality. Visual interpretation of Landsat Satellite imagery from 1985-87 indicates that 40 percent of all state forest land had less than 10 percent crown density and an additional 31 percent had a crown density of only 10-40 percent. There are only three zones with extensive higher quality forest cover of over 40 percent crown density (covering a total of 5259 sq. km.): the southeastern border, southern Saurashtra, and the north and central eastern border.

Most of the forested areas now classified as Forest Department land were inherited from some 200 ex-princely states. Historically, local rulers leased out the forests to contractors for timber felling. During the British regime attempts were made to bring forests under some form of scientific management. But the timber demands for shipbuilding, particularly during World War II, resulted in the harvest of larger trees. Until recently, 10,000 hectares were harvested each year. However, it was observed that the harvested coupes or compartments did not regenerate satisfactorily due to continued pressure of hacking, grazing and illicit felling. The failure of logged areas to regenerate led to the suspension of most of the state's FD Working Plans, except in south Gujarat. Introduction of fast-growing trees such as eucalyptus also caused the sites to deteriorate. In general, illicit cutting, pilferage, uncontrolled grazing, and excessive exploitation of forest lease areas resulted in severe disturbance. By 1990, almost 50 percent of the forest lands were in various stages of degradation, primarily in the state's arid, semi-arid, and drought-prone areas. Primarily due to the progressive problems of degradation, a state ban was placed on further felling on public forest lands in 1986.

In a related development, recent reports from Gujarat indicate that water resources are under similar pressures. An estimated 20 million people are confronted by water scarcity, exacerbated by droughts over twenty of the last twenty-eight years. While deforestation may have negatively influenced rainfall, runoff, and recharge patterns, accelerated tubewell drilling for irrigation has drawn down water tables in many parts of the state. In Mehsana district, certain water tables are falling at a rate of 4-5 meters per year, with tube wells being sunk over 1000 feet deep. Irrigation and hydroelectric dam projects provide alternative sources of critically needed water, but they also have inundated some of the state's best remaining forests while displacing thousands of tribal communities. When inundation occurs., communities may completely lose their agricultural and forest resources, and become displaced for years. In order to survive, these families are frequently forced to headload fuelwood and illegally fell timber in the state's shrinking southeastern forest patches.

Mandvi and Vyara Forest Division: 1838-1992

The, Mandvi and Vyara Forest Division in Surat District first came under the British in 1838. In 1851 a formal order initiated the conservation and protection of the area's forest. Despite this legal action, the area was subject to rapid and uncontrolled exploitation by Ijardar timber contractors. In 1863, forest management responsibilities were formally transferred to the newly established state forest department. However, there was still minimal supervision over the contractors. The contractor system was abolished by the state in 1877, and in an attempt to bring some control over forest exploitation, the service of a professional forester from Bombay, Shri Ukidway was enlisted. As a result of Ukidway's recommendations, all green felling was stopped in forest areas and a process was initiated to formally register the area as reserve forest. When Ukidway was transferred, however, green felling was resumed and continued from 1885 to 1891. Once again, contractors had full liberty to fell large-sized green timber from all ranges, resulting in further overexploitation of the remaining natural forest.

In 1891, the state Forest Act was introduced; settlement and demarcation of lands was renewed, and the official felling and sale of green timber was stopped once more. However, incentives and concessions under rules for new cultivators resulted in further forest clearing. In 1904, the first Working Plans were prepared for Mandvi and Vyara Forest prescribing selective felling using coppice with reserve system. Ten years later p it was found that this management regime was resulting in an increase in inferior species and depletion of large-sized teak. In 1945, a Working Plan introduced the goal of increasing medium-to-high forest stock (i.e., commercially valuable timber species), enhancing the forest's potential economic and ecological value, and arresting soil erosion. The subsequent selective felling and plantation system faced heavy biotic pressures in both artificial plantations and natural forest. At the same time, between 1975 and 1985 clearfelling was periodically undertaken in certain areas with disturbed and vulnerable forest for replacement planting with fast-growing species such as bamboo and Acacia catechu, as well as the major forest species, teak. The clearfelling system, combined with increasing human and livestock pressure, exacerbated soil erosion and depressed natural regeneration, further degrading the forest. As a response to the ecological imbalance, the Gujarat Forest Department (GFD) imposed a felling ban in 1986, still in operation today. However, over the past few years the GFD has employed Forest Labor Cooperative Societies to fell dead and dry timber. In addition, many landless families remain highly dependent on fuelwood headloading, which places additional pressures on the already disturbed forest ecosystems. In Figure 2 a time line of Mandvi and Vyara Forest Division History summarizes information collected from secondary sources such as the Working Plan and research papers, supplemented by PRA interviews of FD officials and communities.

Figure 2. TIME LINE OF MANDVI AND VYARA FOREST HISTORY

SMALL REGENERATING FOREST PATCHES:
GAMTALAO AND PHULWADI VILLAGES

Gamtalao Gram Panchayat and associated forest areas were selected as one of the research areas due to community efforts to initiate participatory management systems over the past five years. Aside from describing the broader forest management history, setting, and use patterns, this case study highlights local basket-making and fodder production systems.

Community Background

Gamtalao is located in eastern Surat district, adjacent to a paved road ten kilometers from the town of Mandvi. The Panchayat is comprised of the original settlement of Gamtalao and the subsequently established village of Phulwadi. In turn, Phulwadi is comprised of Ashram and Kotwalia falias (see Figure 3). There are 124 families in Gamtalao village, with a population of about 800. All families in the village are Chaudhury tribals. Gamtalao has 32 landless households while the remaining 92 families cultivate their own agricultural lands. Land tenure patterns indicate a skewed distribution of resource-poor peasant farmers with 26 percent landless, 46 percent with holdings of 1-5 acres, and 28 percent with 5-9 acres. Of the 270 acres of farmland, ninety percent, is rainfed. Only 8 families (6 percent of the population) benefit from irrigation, covering approximately 30 acres. The villagers of Gamtalao formed a Forest Protection Committee (FPC) in 1988 and are currently protecting 6 distinct patches of regenerating forest.

The Phulwadi community consists of 58 families. Ashram falia is comprised of 45 Chaudhury households, all of whom own 1-5 acres of farmland and are related to Gamtalao's families. The landless Kotwalia falia was established in 1970 by 13 households of this scheduled caste of bamboo basket-makers. The Chaudhury families own 70 buffalo, 120 cows, 100 bullocks, and 125 goats and, like their neighbors in Gamtalao, have high fodder requirements. The buffalo are generally stall-fed; each day they produce approximately 500-600 liters of milk which is purchased by the cooperative.

Land Use History

The first Chaudhury tribal households were established in Gamtalao around 1922. At that time, there were dense forests covering the hills and plains which had not yet been cleared for agriculture. The forest was comprised of teak and associate species such as amla (Emblica officinalis), khair (Acacia catechu), (Terminalia tomentosa) (Bassia latifolia), bel patri (Aegle marmelos), tamarind (Tamarindus indicus), neem (Azadirachta indica), and ground flora.

In the 1950s, land allotment programs formally allocated lands for cultivation to the local population and demarcated panchayat/village common lands. Commercial exploitation of the forests by labor cooperatives was initiated during this period, and clear-felling was widely practiced. Land use patterns in Gamtalao Panchayat has undergone significant change over the last 25 years. In the past, the main crops were rain-fed bajra (millet) and jowar, supplemented with a small amount of farm forestry. Currently, eucalyptus, teak, and khair are being raised on farmlands in combination with newer agricultural crops of wheat, sugarcane, ground nuts, and paddy. Ownership of the village's 300 acres of agricultural land has also changed over time. In the 1950s, there were about 25 families cultivating this land. Currently, 92 families are cultivating land in the village, and the size of individual holdings has declined to an average of less than 2 acres.

In the late 1960s and early 1970s there was large-scale clear-felling of teak, leaving in its wake degraded scrub land. Conditions were further worsened by fuelwood cutting, overgrazing, and periodic burning. A growing scarcity of fuelwood and timber resulted in overcutting of private trees on farmlands as well. Encouraged by the GFD, in 1988 Gamtalao formed an FPC. While considerably disturbed, the scrub forests on the hill above Gamtalao possessed approximately 2000 teak, dhak (Butea monosperma), and other coppicing stools per hectare. With protection from fire, cutting, and grazing, the teak coppice shoots grew vigorously. Today, after 4 years of protection the stand has attained an average height of 15 feet and girth of 15 cms. In 1989, the GFD worked with the FPC to fill gaps in the regenerating forest with bamboo, khair, mahua, and other species suggested by the villagers. To date, 56 ha. have been enrichment planted, while the community-protected forest area has increased to 140 hectares.

In addition, neighboring Phulwadi village formed a FPC in 1990. Its members have been protecting a forest patch of 35 hectares. On a single day, four members are responsible for protecting the area. As a result of this protection, the natu regeneration of teak (Tectona grandis), ber (Ziziphus jujube), bauhinia (Bauhinia racemosa), haldu (Adina cordifolia), sadad (Terminalia tomentosa), dhak (Butea monosperma), neem (Azadirachta indica), kharaya (Sterculia urens), and timru (Diospyros melanoxylon) is evident. In addition, areas with poor root stock have been artificially planted with teak seedlings, khair (Acacia catechu) and eucalyptus.

Forest Products and Collection Patterns

While fodder has been very important to the communities in the past, the growth of commercial dairying has further increased the need for grasses and leaf fodders. The forest, especially as it has regenerated during its early years of protection, has substantially increased the amount of fodder available. Still, only 25 percent of Gamtalao's total demand for fodder is currently met from the forest. In a scoring exercise by the community, fodder was chosen as the single most important forest product (fuelwood was considered second). Several dozen other forest products are harvested for small industrial activities such as leaf plate-making and basket- weaving, as well as supplemental foods, medicines, building materials, and oils.

For the researchers to understand the relative importance of different species, community representatives were asked to score them according to use, categories selected by the community. The results are presented in Figure 4. Teak scored as the best source of timber for furniture, construction, and agricultural tools due to its hardness and durability. Sadad received the highest score as a source for fuelwood, while mahua scored highest as a source of oil and flowers for liquor distillation. Mango scored well as a food source. Kakra received the highest score for medicinal use (seeds) and was also the only source of material for leaf cup-making, an important cottage industry in Gamtalao. Bamboo was given the highest score as a source of supplemental fodder. While bamboo was not considered best from a nutritional standpoint, the greater availability of its young leaves during the fodder-scarce summer enhanced its value.

Figure 4

Scores of important Forest Species by Use

Seasonal collection patterns for important forest products, and their uses for commercial sale, subsistence or most frequently a combination of both were determined and recorded on a linear seasonal calendar. NTFP were collected during April to August. The flowers, fruits, and seeds from many of the more valuable forest tree species are primarily available during the driest months of April through June. During the monsoon, from July through September, forest tubers were reportedly harvested from the jarakalli, dodka, vayo, and thumblo plants. This seasonal availability provides the community with an important source of nutrition prior to the post-monsoon harvest season. Fodder grasses are also harvested from July to September and bamboo is harvested for basket-making and commercial We from September through March. Finally, tree gums and resins are collected during the winter months of November and December from the kharaya, khair, and neem trees.

Volumes, Flows, and Prices of Forest Products

As another part of the PRA field trials, the team attempted to assess the level of forest product flows from community-protected forests. The regenerating teak stools produced some fuelwood during the initial stool cleaning and subsequent multiple shoot-cutting at the beginning of the program. However, little additional fuelwood will likely be available from the teak until the first thinning operation is carried out when the coppice stems reach 15 years of age. The GFD plans to harvest the stand after 60 years, hence the teak will yield minimal timber before that time if current plans are followed.

Households in Gamtalao Panchayat primarily obtain fodder, fuelwood, fruits, seeds, and leaves from the forest. At present, fodder grasses are deemed the most important product. The two most important non-timber products from tree species are mahua and kakra. Mahua flowers, collected from approximately 25 mahua trees in the village, are the key ingredients in the distillation of liquor. During the 2 weeks in April when trees are flowering, they generate approximately 375 kilograms (30-year old trees, average 1 kg. per tree per day x 25 trees) of wet flowers, which are collected by most village households. In May, the mahua trees produce an additional 500 kilograms of valuable edible oil seed. During the season, most families are able to collect 15-30 kgs of mahua flowers and a similar amount of seed. Kakra leaves are collected in April for leaf cup and plate-making. It is estimated that collectors on average harvest 30,000 leaves during the one-month season.

The Gamtalao/Phulwadi combined PRA team also collected information on NTFP prices from a number of sources, including the Forest Development Corporation (FDC) agent or Nigam at Mandvi, local merchants in the Mandvi and Deogarh markets, and Gamtalao's collectors. The found that FDC prices had risen 20-100 percent over the past one to five years. For example, the cost of I 000 bundles (about 25,000 leaves) of tendu leaves had risen from Rs. 110 in 1987 to Rs. 200 in 1992. Prices for most grades of kharaya gum had increased approximately 20 percent over the past year. The FDC has also raised its purchasing price for mahua dry flowers from Rs. 1.40 per kilo in 1991 to Rs. 2.00 in 1992, while the free market retail price in Mandvi was Rs.4.50. The retail price for karanj oil seeds was also twice the FDC wholesale buying rate. The FDC reported its biggest NTFP volume was tendu leaves, followed by mahua flowers, karanj seeds, ratanjot seeds, and kharaya gum.

Kotwalia Basket-Making

The Kotwalias of South Gujarat are generally landless people who depend primarily on bamboo basket-making for their livelihood. Their products include split bamboo mats (palas), threshing trays (topla), and baskets (supra). Some Kotwalia communities still reside within forest areas, while others have shifted to agricultural villages but maintain their traditional cottage industry. In the past, Kotwalia communities received low prices from contractors and middlemen for their products. The GFD has attempted to break this exploitative relationship by harvesting and supplying bamboo quotas to basket-making communities and guaranteeing a market by buying back their products. The objective of the GFD's program is to reduce illegal felling, abolish middlemen, provide employment opportunities to the community, and establish a guaranteed market and better price for the finished product. The process of bamboo harvesting and marketing is presented in Figure 5.

Figure 5: Flow Chart of Kotwalia Basket Production and Sale

The FD supplies the bamboo at a subsidized price to Kotwalia communities. The rate fixed by the GFD takes erratic jumps. In 1987, the cost per 100 bamboo poles was Rs. 20; this rose sharply to Rs. 66 the following year but has remained constant since that time. Kotwalia basket-makers noted that the problem was not the price, but rather the limited quota and the erratic quality of the supply. Normally, the GFD 'will hire laborers from the Forest Ubor Cooperative to cut the bamboo, which is then stored at the depot until distribution. In the process of transport or storage, it may split or become overly dry, making it less useful for the industry. In receiving the raw material, the villagers must agree to provide the GFD with a fixed output of processed goods. For example, if the Forest Department provides the village with 20 bamboo poles, the community must produce 20 threshing trays in return. In order to gain access to more raw materials in better condition and to free itself from production obligations to the GFD, many Kotwalia communities circumvent the system by illegally felling bamboo and selling poles and woven goods for higher prices in the open market. The wholesale prices paid by the GFD to the producers have risen 40-50 percent over the past five years. At the same time, the FDC has successfully maintained a profit margin of 30-50 percent (see Figure 6). Although the FDC program is legally responsible for returning excess profits to producer communities in the form of bonus payments, community members claim this has never occurred.

Figure 6: Market Prices of Bamboo Products 1987-1992

In analyzing the implications of the current arrangement, several issues come to light. First, the demand for value-added bamboo goods produced by the Kotwalia seems to be strong, with market prices rising. Kotwalia producers, however, are dissatisfied with the current GFD monopoly over the legal supply of materials and feel forced to illegally fell bamboo on state forest lands. They do so to increase their supply of raw materials, gain higher quality bamboo, and avoid a built-in obligation to produce for the FDC. Kotwalia members participating in the PRA also noted that the FDC wholesale purchase prices were substantially below open market rates.

Based on this information, the research team felt that the GFD's policy to control harvesting operations resulted not only in poorer management of bamboo stands and an inadequate supply or low quality raw materials, but also in community sentiment that protection was the department's responsibility and not theirs. By developing collaborative management systems, controls over both supply and marketing would necessarily shift. If Kotwalia communities were given responsibility for bamboo clump-cleaning and thinning operations, with the incentive that any increases in productivity would benefit them directly, the system would facilitate healthier growth and higher production, better protection, and a more sustainable and higher quality supply of raw material. Attention also needs to be given to the marketing system currently operated by the FDC. In order for Kotwalia producers to attain better prices, they could be allowed to sell their products on the open market instead of being subjected to FDC production targets. The FDC would then become more competitive in terms of prices and services provided.

Fodder Grass

Given the importance of fodder grass to the households in Gamtalao and Phulwadi, special group and key informant interviews were carried out to better understand community requirements and the grass productivity of the forest area. Phulwadi forest tract was selected for study. Each family is allowed 1500 pudas of grass (one puda = 1.5 kgs.), harvesting approximately 2250 kg. annually. The community's total annual grass harvest is estimated at roughly 130.5 metric tons, or 3.7 mt. per hectare. The grasses are used for cattle feed and are not sold in the market. However, if the substitution value of fodder in the dry season at Rs. 0.50 per Kg were used, the total market value of the fodder collected from the 35 ha. forest would be Rs. 65,620 or almost Rs. 1,864 per ha. While this replacement value assumes a ready market, it does appear significant in terms of economic return on a newly regenerating hectare of forest land. Furthermore, this fodder supply satisfies a significant proportion of the raw material subsistence requirements per household in the program's early years.

The fodder yield from the entire forest area of 141 ha. is presently about $0,000 kgs. per year -- an average yield of 567 kgs. per hectare. After two years of protection, tree species of coppice and seed origin, including teak, khair, and eucalyptus are growing well. However, as the crown cover closes, the yield of grasses may fall substantially. Aside from decreasing productivity due to shading effects of regenerating tree species, grass yields may also decline as a result of the aging of grass tufts, infestation of weeds, and such external effects as drought and erratic rainfall. If the community continues to protect the forest area effectively, the average yield of grass may approximate the following scenario based on data from regenerating forest lands in Pinjore range, Haryana (see Figure 7). Based on such projected declining fodder yields, the management strategy for the protected forest area may need to be adapted in various ways in order to ensure future sustainable fodder supplies. For example, a multi-pronged program targeted to increase fodder production could include: continual thinnings and wider spacings of planted and regenerating tree stock on forest lands; agroforestry interplanting of fodder trees, shrubs, and grass on private farmlands; utilization of living fences such as acacias for fodder; leaf and grass fodder development on village common lands; stabilizing soil and water conservation bunds, trenches, or small check dams with local fodder grasses and shrubs; and a controlled system of rotational grazing in the forest area to enable rapid grass regeneration.

Figure 7: Projected Trends of Grass Yield Under Community Protection

* Based on data from Pinjore, Haryana representing a decline in grass yields in areas upto 10 yrs. of protection

Summary

The PRA exercise in Gamtalao and Phulwadi raised a number of important management questions regarding the future supplies of fodder grasses to communities with a growing dependence on commercial dairying. As the tree canopy closes, grass productivity will predictably fall. In addition to maintaining a less densely stocked forest, planting a larger number of fodder leaf trees and grasses on forest, agricultural and common lands win help ensure future supplies. The PRA also indicated that GFD and FDC assistance programs to the Kotwalia communities were not fully achieving their objectives, primarily due to problems of low productivity, supply and marketing. It seems apparent that alternative collaborative management arrangements could increase bamboo productivity, enhance Kotwalia participation, and improve the product quality and income of the Kotwalia communities.

Given the growing fuelwood needs of village members, a sixty-year rotation of teak on these small forest patches may not meet local energy requirements. The growth of community needs for fodder, fuel, timber, and other forest products may require a policy shift away from attempts to raise commercial timber. Further analysis of community requirements and the advantages and disadvantages of different management strategies might be carried out to identify optimal ways for meeting village needs and environmental objectives.

SMALL REGENERATING FOREST PATCHES: GHODBAR VILLAGE

The Ghodbar area was chosen as a research site due to community forest protection activities and the presence of a number of small plots of regenerating forests patches. The Ghodbar case study highlights ex