FIELD METHODS MANUAL

Volume I

Diagnostic Tools for Supporting
Joint Forest Management Systems

Prepared for the

Joint Forest Management Support Program

supported by

Society for Promotion of Wastelands Development
Indian Institute of Science
East-West Center
University of California, Berkeley
The Pacific Institute Ford Foundation

Editotial Team:

Mark Poffenberger
Betsy McGean
N. H. Ravindranath
Madhav Gadgil

Produced 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.

Acknowledgements

The editors would like to thank the rural communities, and the Indian Forest Service officers and field staff who contributed their ideas and experience to the development of this manual. We would also like to express our gratitude to members of the National Joint Forest Management Research Network who participated in the field methods trials. Particular thanks are due to the West Bengal and Gujarat Forest Departments, the Indian Institute for Bio-Social Research and Development, and the Nehru Foundation for hosting methodology workshops. The editorial team would also like to express their appreciation to the Ministry of Environment and Forests, Government of India, the National Wastelands Development Board, and the Ford Foundation for their long-term support and encouragement in this effort. The institutional support and cooperation of the East-West Center in Honolulu, Hawaii and the University of California and Pacific Institute in Berkeley have been invaluable to the editorial team. We would also like to convey our appreciation to Mr. Sharad Lele, Jeff Campbell, and Arvind Khare for their suggestions in developing the manual, and to Mr. Aravindu Numbi, Ms. Indrani, and Dr. M.G. Chandrakanth for their help in preparing the manuscript. Finally, thanks are due to Mr. K.R. Raghunathan and Ms. Mona Challu for their assistance in preparing the text for publication.

CONTENTS

PART I: INTRODUCTION

PART II: PREPARING FOR COMMUNITY FOREST RESEARCH

PART III: RAPID APPRAISAL RESEARCH METHODS

PART IV: USING LEARNING EFFECTIVELY

Appendices

User's Guide to the Manual Series

This report is the first in a two-volume Field Methods Manual set which is being developed to support the implementation of Joint Forest Management (JFM) programs.

Volume I of the Manual describes a 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 (FDs).

Volume II summarizes learning from a field training workshop held in Gujarat in April, 1992. Experiences from the Gujarat Participatory Rural Appraisal (PRA) illustrate the utility of methods described in Volume I and the types of forest management issues and implementation options that can be generated.

These Field Manual volumes were written as guides for foresters, NGO development practitioners, university-based researchers, and donor agency staff who are interested in strategies to empower communities and bring them meaningfully into formal forest management systems. The methods were designed to provide an initial understanding of forest use practices and conditions, while opening a dialogue with community members regarding management problems and opportunities.

Volume I is divided into four parts. Part I reviews the macro-forest management context in India, and highlights common management problems that can be addressed through diagnostic research. Part II outlines the steps in preparing for community forestry research and Part III describes the four major components of an integrated rapid appraisal strategy for helping develop community forest management programs. These include: 1) community profiling techniques using PRA, 2) methods and analysis procedures for understanding patterns of vegetative change, 3) approaches for illuminating socio-political and institutional characteristics affecting resource management, and 4) assessments of the economics of forest production systems. Part IV reviews strategies for Forest Departments and community groups to utilize the learning from rapid appraisals in order to develop more effective, collaborative management systems.

List of Figures and Appendices

GLOSSARY

PART I: INTRODUCTION

The Changing Forest Management Context in India

The purpose of this Methods Manual is to suggest selected research tools that Forest Departments (FDs), NGOs, and university researchers might use to assist communities in developing effective forest management systems. In order for planners to design policies and programs supporting community management of natural forests, they will require better information regarding the diverse ecological, institutional, and economic features of Indian forests. Rapid diagnostic studies within each region which examine local management problems and potential will help to meet this need.

There is a growing recognition that sustainable forest management necessitates a meaningful involvement of forest communities. In some countries, the extensive logging and forest clearing conducted over the past thirty years have created vast areas of degraded natural forest and high degrees of social disruption and conflict between rural communities and FDs. While communities generally have few or no formal rights to these public lands, they are often driven to exploit them -- further leading to progressive degradation. Many Asian nations have targeted these areas for extensive replanting with the establishment of fast-growing number and pulpwood species, however these programs have high replanting costs, are staff intensive, and can affect only a small proportion of the degraded forest area.

For years some foresters, ecologists, and social scientists have maintained that degraded natural forests in south and southeast Asia could regenerate rapidly if protected. In India it is estimated that 35 to 50 million hectares of disturbed natural forest could experience significant increases in biomass and biodiversity if strategically protected (see Figure 1). Communities living in or near natural forests could protect them if clearly authorized by the government, providing the economic returns would compensate them for their opportunity costs. Recent experiences with such programs from a number of Indian states demonstrate that FDs can successfully develop management agreements with communities which benefit both parties and result in rapid increases in biomass, genetic diversity, forest productivity, and more equitable resource distribution.

Progress in establishing participatory management systems and observation of their early replication effects in West Bengal, Haryana, Gujarat, Orissa, and other Indian states encouraged the national Ministry of Environment and Forests to pass a new National Forest Policy in 1988. The Policy notes, "Forests should not be looked upon as a source of revenue," but as a "national asset to be protected and enhanced for the well-being of the people and the nation." One prime component of the policy mandates that, "The people will be actively involved in programmes of protection, conservation and management of the forests." The document further states that non-timber forest products, "should be protected and improved and their production enhanced" to generate employment and income for forest communities. In June 1990, the Government of India passed a significant national resolution providing more specific guidelines regarding the formation, functioning, rights and responsibilities of community forest management groups. It specifies sharing arrangements in which village forest committees that, "successfully protect the forests, may be given a portion of the proceeds from the sale of trees when they mature," as well as non-timber forest products for subsistence use.

A series of recent state government policies or orders supporting joint forest management (JFM) have created new opportunities to respond to decades-old conflicts between communities and FDs. By moving from conflict to collaboration, a number of communities and state FDs have made rapid progress in establishing functional protection systems which have facilitated natural regeneration and dramatically increased forest productivity. At the present time, ten states have passed government orders (GOs) endorsing participatory management models (see Figure 2). Numerous states already possess hundreds or thousands of community management groups, some established through indigenous grass roots activism and no intervention, while other states are in the process of designing strategies to launch new programs. A great diversity of community forest management groups now exist throughout India; among others, these include: the legally sanctioned Swayam forest groups of the Kumaon; the Forest Protection Committees of West Bengal; the Hill Resource Management Societies of Haryana; the Village Forest Committees of Uttar Karnataka, Karnataka; and the informal, indigenous groups operating in Orissa, Karnataka (Sagar District), and Bihar (Hazaribagh District).

Figure 2

Locations with Community Forest Management Activities
and States with JFM Notifications

While new policies and programs represent an historic opportunity to shift from management practices of the 19th century to newly adapted systems that may better respond to the social and environmental needs of the 21^st century, many challenges remain. India's social, cultural, and ecological diversity requires that emerging local management be tailored to respond to prevailing problems and opportunities. This requires an understanding of vegetative conditions, local leadership and institutions, and the importance of forests to the local and regional economy. Viable management partnerships need to be based on a solid understanding of forest use practices and dependencies, balancing economic and ecological objectives to benefit both the participating village families and the FD.

Site-specific social, economic, and ecological factors interact to provide both opportunities and limitations on the types of management options that are possible. The rate of regeneration and the ecological sustainability of the forest is influenced by a range of biological conditions including species composition, prior utilization history, soils and climate. Participating FDs and communities require greater institutional capacity to make collaborative forest protection activities succeed, and finally, the economic returns from protected, regenerating forests must yield sufficient income to sustain the management activities over time.

Traditional social and economic studies typically rely on questionnaires that interviewers and field staff must fill in, rarely if ever seeing the results or knowing why the study was conducted. Conventional vegetation studies often require years of plot measurement and monitoring. However, this type of research may fail to address relevant management problems, takes months or years to complete, and rarely utilizes community knowledge and experience. Researchers typically end up conducting studies which are only read by other researchers. At the same time, senior FD officers and field staff are usually busy with their routine assignments. Administering the department and conducting field checks, as well as supervising the planning, implementation, and assessment of field projects while attempting to meet targets, leaves little time for conventional research.

In contrast, participatory diagnostic studies involve forestry field staff and villagers in establishing research objectives, and as key informants and analysts. They also represent a primary audience for the findings. The types of management issues that become the focus of the research are problems that local people perceive to be priorities. The analysis and discussion of options should reflect the interests and possibilities available in the study area.

In order to develop forest management systems at the macro and micro level, alternative research strategies are needed to collect, analyze and channel findings in an effective way to both FD staff and community members. Participatory diagnostic appraisals can help inform both sides regarding forest dependencies, use systems, and crucial management issues. Simultaneously, the rapid diagnostic research process provides the basis for a continuing dialogue to design alternative management systems with communities. Establishing Working Groups for officers, NGO staff, and researchers can provide an institutional basis for analyzing field experiences and learning, offering a mechanism to utilize emerging knowledge for policy and program formulation.

Contemporary Forest Management Issues

Cases from the Asia region indicate that poor management of public forest lands is often tied to conflicts over resource rights and utilization that lead to unsustainable exploitation. Management systems are needed which can minimize social conflict, utilize natural forests on a sustainable basis to maximize the flow of important products to communities, and generate income and employment opportunities.

In India, management problems frequently arise over resources that are in high demand and under increasing use pressures. In order to reorient forest management strategies to become more locally-responsive and ecologically sustainable, certain generic problems and demands in forest areas will need to be addressed. Some of the most common forest management issues that lead to social conflict and unsustainable use are outlined below.

Fuelwood Headloading

In many forest communities in India, commercial fuelwood headloading represents an important source of cash for low income families, especially many of India's poorest women. In addition, it is estimated that rural populations on the Subcontinent require 133 million tons of fuelwood annually for their subsistence energy needs. Commercial headloading is a major cause of forest disturbance. Collectors tend to overexploit, not just because of their numbers, but also due to their methods of cutting and collection. Where headloaders have no usufruct security or incentives to harvest sustainably, fuelwood tends to be gathered intensively at the nearest open access site, overutilizing those resources until they are exhausted.

A complete ban on commercial fuelwood headloading would be nearly impossible to enforce, and would displace millions while causing major market shortages. Forest ecosystems can generate fuelwood sustainably, but varying production levels under different natural succession and silvicultural management conditions must be understood first. Community-based regulatory mechanisms also need to be established to control access and ensure that exploitation does not exceed sustainable levels.

Bamboo Basket-Making

Increasingly in India, rural artisans face difficulties in obtaining a sufficient, high quality supply of forest produce and fair prices for their products. Of the estimated 3 million tons of bamboo harvested each year in India, as much as one third are used by hundreds of thousands of villagers engaged in bamboo cottage industries. Yet production, supply, processing and marketing systems are often constrained by poor management, leading to lower quality goods, low productivity, and low wage rates for collectors and producers. Participatory management systems are particularly tailored to address the needs of such forest-dependent user groups who require a stable and continuous supply of quality raw materials based on a sustainable harvesting system.

Livestock Management

India possesses the world's largest livestock population, including 15% of the earth's cattle, which play a key role in the rural ecosystem for milk, draft power, and dung. Yet since the 1950's, non-forest common property has decreased over 30%, placing additional pressures for fodder and grazing on forest lands. Overgrazing of livestock and excessive burning to promote grass growth are commonly seen as two of the major causes of disturbance to Indian forests. Both processes typically suppress regeneration of the forest. Grazing, however, does not always damage tree saplings, especially if they have reached a certain age and height. Controlled grazing may actually stimulate grass growth and increase the effective nutrient yield. Fire can also increase grass productivity, and in some cases, facilitate the germination of tree seeds.

The timing, location and intensity of grazing pressure on forest lands depends upon many factors, including the role of livestock in the agrarian economy and the availability of alternative sources of fodder and pasturage. One solution to forest and pasture land overexploitation is to completely stop open grazing and shift to stall-feeding. However, this strategy depends on human labor to cut and carry fodder, and requires a strong community will to establish controls through fencing or patrolling, fines, and rules. In some parts of India, pastoral nomads migrate vast distances to traditional grazing areas and their practices and needs should also be considered in developing improved management systems.

In terms of fodder supply, successful forest regeneration may have the negative effect of reducing grass growth due to closure of the tree canopy. Hence, which grazing regime is best suited for a particular JIM site will need to be determined by the interplay of ecological and socioeconomic factors, local traditional and scientific knowledge, and the capacity of the community protection group to enforce a particular strategy for fodder production and controlled forest access.

Leaf Harvesting

Forests provide mulch and green manure for agriculture. If these nutrients were replaced with chemical fertilizers, it would cost crores of Rupees and still not provide the organic materials so important for healthy soil composition. The use of green manures is especially important in the hilly regions of peninsular India as well as the Himalayas, where lopped leaves or leaf litter are often used as bedding for cattle and then converted into manure for use on the farm. Lopping branches and leaves to provide fodder to livestock during winter is also a common practice. The leaves of dozens of tree species are also collected for bidi making, leaf plates, medicinals, and human consumption. In India each year, millions of tons of forest leaves are collected annually by the nation's rural communities.

When nutrients and organic matter are continuously removed from the forest floor, at a certain threshold the forest becomes adversely affected. While heavy lopping may retard tree and shrub growth, some pruning may actually accelerate increases in stem size, foliage, and fruit and seed productivity. Ultimately, Forest Departments and communities will need to improve their understanding regarding optimal harvesting and management techniques for sustaining valuable leaf production.

Commercial Timber

Over the past centuries, India's forest lands have generated a steady stream of timber profits, primarily to government, contractors, and local elites. As the nation's forest lands have diminished in area and quality through growing use and development pressures, national planners and senior foresters have attempted to slow exploitation, culminating with the national logging ban of 1986. There is some agreement that the nation's natural forests will not be able to play the same primary role of timber and pulp supplier that they have historically, and that the sources for these products must increasingly shift to private woodIots. At the same time, under effective management regimes a sustainable yield of timber, poles, and pulpwood is possible, especially to meet local needs.

While many forest areas possess management Working Plans, they tend to be based on outdated or inaccurate data and often assume the goal of maximizing timber productivity and revenue generation. In areas where the FD has earlier established Forest Labor Cooperative Societies (FLCSs), village members have lost employment opportunities as a result of the logging ban, or are finding ways to continue their activities, causing further damage to the forest. FD staff need to work with community members involved in the timber extraction industry to reach an agreement on the structure of an effective timber management system. Sustainable timber management systems, however, will not be established until foresters and communities have better information regarding the viability of current extraction levels and its impact on forest regeneration, as well as timber supply and demand for both local and commercial needs. Since current institutional management mechanisms frequently fail to ensure sustainable yields, new organizational arrangements need to be designed through participatory research with the concerned parties.

The five management problems described above need to be assessed in terms of their ecological, institutional, and economic dimensions. Figure 3 illustrates the relationships between thematic, interdisciplinary research questions dealing with a range of important forest management issues. In the following parts of the Manual, research tools will be presented which can provide information to design a more sustainable and productive management regime, responding to local human ecological needs.

Figure 3:

Management Issues and Ecological, Institutional and Economic Research Questions

PART II: PREPARING FOR COMMUNITY FOREST RESEARCH

Rapid appraisal methods are useful for gaining a preliminary understanding of the research area in a relatively short period. The diagnostic tools presented here combine participatory research methods with simple sociological and ecological measurement techniques, using both modem science and indigenous knowledge to present an interdisciplinary picture of human-forest interaction patterns. Information from multiple sources is used to crosscheck and inform the research team. The research process is designed to build on the increased understanding emerging from each field visit by sequentially pursuing issues raised in previous interviews and field observations to verify and elaborate. The approach requires extensive data analysis and debriefings immediately following each data collection activity.

Time spent preparing for diagnostic research can be an excellent investment. Without adequate preparation, research teams may lack an informed orientation to the study site and could waste time collecting information that already exists. Preparation also includes explaining objectives and soliciting the involvement and support of the community and relevant members of the FD, other key governmental groups, and NGOs working in the area.

Identifying and Developing a Research Team and User Network

Past PRA experiences indicate that small, interdisciplinary teams of two to four members usually the most effective units for conducting studies. It is important that each team have at least one member fluent in the local language and at least one woman. Prior to entering the community, the research team should discuss and determine their roles and means of coordinating their activities. It is highly preferable for the PRA team to stay in the village overnight, or at least nearby, to informally socialize, build rapport and facilitate evening discussions.

The research team should be expanded to include a cross section of community members to act as the "resource faculty". Ideally, this group would include men, women, and children from different socioeconomic groups within the community. It may also include individuals with specialized knowledge (i.e., medicinal plants, forest product marketing systems, etc.). In some cases, it may be useful for the outsiders and the village resource faculty to break into sub-groups to further explore special topics.

Studies which are conducted without a clear user group in mind may be poorly focussed and of little relevance. During the research design phase, an effort should be made to involve those individuals and groups that have an interest in forest management in a communication mechanism which ensures the free flow of information, especially learning generated from the field. Normally, these would include senior officers and local field staff from the state FD, community members and leaders, researchers, and possibly local non-government organizations. Early meetings of this Working Group allow opportunities to discuss research design questions and schedules, clarify priority issues, and identify key individuals who might be involved in the research. It is also helpful to reach an agreement among Working Group members regarding how and where the information will be used once collected.

Background Research

As a first step, the collection of secondary data is important for an understanding of the local and regional context in which the research will be conducted. Academic researchers may have already documented the social and historical conditions in the area. Aside from books and articles, a wide variety of government reports are often available describing social, economic, environmental, and development features. Maps of most areas are available on a scale of 1:50,000 from the Survey of India, while local forest maps can be obtained from the Forest Department. Research teams need to allocate time for collection and analysis of such background documents.

Selecting a Research Site

In selecting appropriate research areas for community-forest management studies and programs, it is useful to work with the local District Forest Officer and Range Officer to identify a range or beat with important management problems and possibilities. Researchers should try to choose study areas that reflect a cross-section of institutional, ecological, and economic characteristics and conditions.

To study the social and institutional constraints and potential for community management, it may be useful to choose a site where communities are already active or interested in establishing forest management systems. Areas with strong community leadership and active, supportive FD field staff may present new strategies for village mobilization and collaborative action. Communities with current or past traditional forest (or other resource) management institutions may illuminate ways to integrate indigenous systems into emerging JFM programs. It is particularly important to identify and include communities which are heavily dependent on forest resources.

To understand the economics of forest product volume levels and flows on a per hectare basis, it is helpful if there are well-defined collection areas. If possible within the proposed study area, blocks of forests ranging in size from 25 to 200 hectares can be delineated with clear boundaries on the beat maps. It is also important that the study area has a well defined community of users, so that the human use pressure is more easily quantified.

If the researchers wish to gain insights into how production levels may change as the forest regenerates or degrades, an attempt should be made to choose a number of sites in varying stages of protection and succession, or degeneration. Candidate research sites in different it "protection age classes" should ideally be visited together with local forest guards and selected members of the community to assess specific vegetative and social characteristics. The Check List provided in Appendix 1 can serve as a guide to the socio-ecological site assessment.

Physical and vegetative characteristics across sites should be similar, including the percentage of coppicing species and percentage of good grass stock (especially in semi-arid areas), disturbance patterns in terms of fires, grazing, fodder and fuelwood cutting, topography, soil, and microclimatic conditions. Evaluation of social characteristics might include the presence of a community forest management group, degree of community homogeneity, and presence of any access rules and regulations (although these may not be applicable in an unprotected site). In selecting the final sites, the team should also consider logistical convenience and apparent community willingness to assist the research team with the study.

Establishing the use history of prospective sites is also valuable in comparing regenerating growth patterns across sites. Sites should be selected with similar histories and experiences to facilitate comparisons. The data could be drawn from Forest Department Working Plans for the area, maps, aerial photographs taken at different points in time, interviews with past FD staff familiar with the area, and with older villagers.

The PRA field trials in southwest Bengal were quite successful in identifying regenerating forests of various age classes which were protected by village committees. The researchers selected sites that had no protection, 3 years, 5 years and 15 years of protection. The sites were all within 5 kilometers of each other and possessed similar soils, topographic conditions, and plant species. Each research team can determine the periods of protection they want to use in selecting sites for their studies. In West Bengal, because the JFM program is based on a 10 to 15-year rotation, it made sense to select sites using a five-year interval. It may also be helpful to include additional sites during the first five years of protection, since changes are most rapid during this period. Researchers should work with FD staff to select a number of candidate sites for different age classes of forest (see Figure 4).

Time series plots provide a useful basis for understanding likely trends in the availability of timber, fodder, fuelwood, and other NTFPs as regeneration occurs. PRA trials in Gujarat found that in many areas where there are numerous user communities and many small forest tracts at varying levels of disturbance or stages of regeneration, it was difficult to assess specific levels of productivity for any given tract based on community recall alone. In villages with a range of smaller patches of protected and unprotected forests, some product flow trends were possible to estimate; however, in large forest tracts with multiple user communities, per hectare productivity estimates based on recall were more difficult to calculate. In such cases, population data on individual species productivity or harvest flows will need to be determined using vegetative research.

Ultimately, the Working Group will heed to select study sites that reflect important social, ecological, and economic characteristics affecting forest management in the district or state. Research areas should possess common management conditions so that findings are useful in solving problems and improving programs in neighboring areas.

Working Together: Community-Research Team Interactions

It is important that the team begin to build rapport with the community prior to data collection. One of the first steps is to clearly explain the study goals and methods to the villagers, including the distinctly different approach of the community members as experts and the researchers as students. The research team should stress that it has come to learn from the community and to help communicate their knowledge, needs and ideas to the Forest Department, providing a basis for negotiations to design improved management systems that respond to community and environmental priorities. The community should understand that the study is meant to help the research support group, community, and Forest Department better understand the ecological and economic status, changes, and potential of the forest. At the same time, the researchers should be careful not to raise community expectations that the research will result in development projects or programs in the area.

Past experiences indicate that each PRA field visit may take three to four days or more. Since this represents a considerable time contribution on the part of community members, at least some of their opportunity costs should be met. While cash compensation may deter a sense of effective participation, the NGO MYRADA suggests arranging meals near the village to be shared by all participants.

In recent PRAs conducted in Gujarat, a number of approaches were used in introducing the research team to the community. On the first day, both formal and informal meetings were held to explain the objectives of the research and enlist community assistance in carrying out the studies. On days two and three, it became apparent that many community members had limited time to meet with the researchers, and that the teams needed to adjust their schedules to minimize the disturbance to the work routine of the village. Strategies to achieve M objective included scheduling meetings in the early morning and later in the afternoon and evening, conducting discussions during rest breaks in the forest or fields where the villagers were working, or holding discussions with special groups, including children, older men and women who were less busy.

Even after the team has been introduced to the village and becomes well-established, when visiting new households or neighboring communities the researchers should remember to introduce themselves and explain their purpose, since the new participants may be unaware of the study's objectives. Each time researchers meet with a new group, time should be allocated for building rapport and creating a conducive social environment for learning about forest use from the people.

PART III: RAPID APPRAISAL RESEARCH METHODS

A: PRA TOOLS FOR COMMUNITY-FOREST PROFILING

The purpose of the Community-Forest Profile is to familiarize researchers with the social and economic characteristic of the village and the patterns of human forest interactions in space and time. These methods also provide background which can inform more specialized assessments of vegetation, human organizational, and forest production systems described in later sections. The Community Profiling methods discussed below entail the descriptions of seven different information types (see Figure 5).

Figure 5

PRA Steps for Profiling Community-Forest Relationships

1: Background Information

Upon entering the community it is important to collect information regarding the socioeconomic and demographic characteristics of the area. A Community Profile Background Sheet proved useful in earlier PRA exercises in gaining a quick overview of some important features of the village, while also involving community members in a discussion of household-oriented topics (see Community Profile sheet in Vol. U, Appendix 1). All members of a PRA team need to share and discuss community background data early during the course of the study. Basic socioeconomic statistics help identify important sub-groups within the community so that different local perspectives are represented in the PRA process.

Survey questionnaires structure the flow of information. To encourage informal, free flowing discussions, the research team can use the questionnaire as guidelines. It is likely there will be gaps in the information collected during the first day; consequently, the research team should continue to update the baseline information and discuss its implications for the PRA as it progresses.

2: Community and Forest History

Forests and communities are both dynamic, interacting elements within larger ecosystems which must be understood in terms of their relationship to one another and how they have changed over time. There may be little written record of these changes, so it may be necessary to interview village elders who have observed how the forest ecosystem and community use patterns have altered over the past 30 to 50 years. In degraded forest areas, it is important to document the processes of ecological change, reconstructing the actors and activities that have affected the forest ecosystem (See Community and Forest History Interview Guidelines, Volume II, Appendix 2).

Local forest officers can usually provide considerable information on the forest history of the research site. Some issues worth pursuing include the history of logging, fires, cleaning and pruning operations, and enrichment plantings (when, what species, how many, survival levels, etc.). Villagers can assist the research team in understanding informal use patterns and pressures, as well as the types of environmental effects they perceive from changes in forest vegetative cover. Other issues to probe with Forest Department staff and communities include: grazing practices (type and number of livestock, periods of grazing allowed, other restrictions, etc.), fuelwood and fodder collection patterns (number of users, volume collected, etc.), surface water and wind-generated soil erosion, changes in microclimate, and changes in water tables, well levels and flooding.

In beginning a discussion regarding the community, ecological, and forest history of the area, it is often helpful to ask a group of older people to reconstruct what the forest was like when they were children. Developing maps, land use and historical transacts of the research area can also illustrate the changes in forest cover and structure over time and their impact on the flow of forest products and local hydrology. To better identify how the structure and composition of the forest have changed, it may help to ask community members to prepare a historical transect of the area. Since this exercise is meant to illustrate community perceptions regarding relative changes in the forest environment and requires remembering the forest structure and composition as long as 50 years ago, recollections should only attempt to approximate conditions in the past (see Figure 6). Experience from other PRAs suggests that it is helpful for participants to begin by drawing the forest at present as a baseline, and then follow with earlier periods. The villagers decide the appropriate time periods to draw; usually three to four periods are sufficient. They can attempt to draw the size and composition of the forest trees in each period, indicating relevant management information at each time segment. For example, they might list the number of different productive species available, the type of management system, periods of logging, rules, rights, and regulations, and advantages and disadvantages of particular systems.

Figure 6: Gamtalao Historical Transect

Time lines can also be helpful in identifying important past events (i.e., droughts, land reforms, forest felling, fires, etc). Historical studies of the area and the Forest Department Working Plan can help identify significant socio-political and environmental events providing a framework for the time line. Oral histories can provide more details on local events, how they were perceived by the community, and their eventual impact on forest management. An example of a time line from Gamtalao village in southeastern Gujarat follows (see Figure 7).

Figure 7: Time Line of Gamtalao

Trend line graphs are also useful in showing changes in the population, rainfall, and volume flow of important forest products over time (see Figure 8). They can also be used to chart patterns of forest disturbance and regeneration. Information generated during the preparation of a historical transect might show how the diversity of forest products and species has declined over time. Involving community members in discussions of declining or increasing availability of products can also raise a range of important issues. Information on how distances travelled to collect fuelwood, fodder, NTFPs, and water have changed can be depicted in graph form by community members.

Figure 8: Trend Lines for Wood Extraction in Karnataka, 1973-1989

3: Community Forest Values and Perceptions

Historically, many communities have been heavily dependent on forests to supply a broad range of raw materials for housing, fuelwood, medicines, tool making, and food. Gums, resins, fibers, and fruits have also been collected for sale and trade in local markets. Beyond their economic importance, forests have provided refuge for rural people when attacked by outside groups. Forests play a role in stabilizing the local hydrology and microclimate, often improving agricultural productivity and ground water availability. They provide a home for birds, animals, and insects which can control agricultural pests. Forests also provide an escape from the pressures of village life. They serve as a meeting ground for women, and frequently have great religious significance for tribal communities. Traditional tribal songs and poetry are replete with images of the forests, reflecting its centrality in the culture, economy, and World view. Many forest tree species such as mahua, ficus, and sal, as well as animals and birds such as monkeys and peacocks, take on totemic importance and receive special protection by the community.

PRAs indicate that rural communities are well aware of their heavy dependence on the forest and are concerned when forests are threatened by overuse and degradation. Establishing more effective management systems depends on the motivations of the community and their perceptions of the value of the forest. Understanding the economic, social, and religious significance of the forest to local groups reveals the degree of commitment they may have in sustaining these threatened ecosystems. Community values of the forest may vary among men, women and children in the village. Consequently, interviews should be conducted with different types of community members to assess their management priorities, perceived needs, and incentives to contribute labor and resources toward forest protection. In some cases it may be preferable to hold these discussions in the forest where members can observe and identify important aspects. It may be useful to begin with a question about the most important benefits of the forest and then to gradually pursue more specific functions such as religious, socioeconomic significance, environmental functions, and the forest's relationship to agricultural and livestock management systems.

4: Spatial Information - Sketch Maps, Product Flow Maps, and Land Use Transects

Through interactive exercises with the community and observation, the research team can help create a picture of spatial resource use patterns by developing sketch maps, product flow maps, and transacts of resource use patterns. The main purpose of diagnostic sketch-mapping is to create a visual representation of the resource system which can be easily understood by both villagers and foresters. An alternative to traditional mapping, participatory sketch-mapping has been developed successfully with communities in many parts of Asia. Prior to beginning the exercise, the research team needs to explain to community members the purpose of the mapping activity as a way to learn more about the forest's condition and community use patterns. A suitable site for map construction should have a large, flat area where community participants can relax and work without disturbance, possibly off the road under a tree or in a communal courtyard.

The team should first request participants to draw a map of their village and adjacent forest areas on the ground, utilizing stones, twigs, leaves, seeds and other local materials to identify characteristics. The process should proceed with as little intervention as possible by the researchers. Villagers often debate what characteristics are important, and as a result, a wide variety of relevant and unexpected information may emerge. Ground maps can be recorded both by photographing and copying onto a large sheet of white paper or previously prepared base map. The maps can serve as a focal point for discussions on forest-related resource issues.

In one forestry PRA, the sketch-mapping exercise was held in the school courtyard. The mapping began with a demarcation of roads, settlements and rivers which were drawn in the gravel with a stick by the teacher. The researchers suggested some local materials might be used to highlight these features, so the school teacher began involving his students in procuring ash, dirt of various colors, leaves, flowers and other materials. The use of a wide range of local materials was an effective method to involve the students in collection and decisions on how to depict landmarks. The colorful ground map which resulted attracted the interest of many community members, drawing their comments and suggestions (see Figure 9). The earth sketch map was later drawn on a large sheet of paper and taken to the forest for ground truth checking (see Figure 10). This involved walking and driving through the forest, and stopping periodically to check features on the map. A final map integrating more information was prepared by an artist after the originals were returned to the communities (see Figure 11).

Figure 9: Limbi Ground Sketch Map

Figure 10: Drawing of Limbi Sketch Map

Figure 11: Artist's Rendition of Limbi Sketch Map

More specialized maps can be drawn based on PRA discussions and field observations. Maps of use routes, collection areas, and informal usufruct areas are especially useful for holding follow-up discussions regarding new management systems (see Figure 12). A map of forest condition and standing stock levels can also be helpful in determining sites for vegetation measurement and the impact of existing use practices (see Figure 13).

Figure 12: Flow Routes in Nawanagar, Pinjore, Haryana

Figure 13: Forest Conditions in Nawanagar, Pinjore, Haryana

Working with villagers to draw land use transacts can also provide a valuable perspective on the types of ecosystems and use patterns in the area. These can be drawn while sitting on a ridge, roof top, or other elevated place with a group from the community. While sketching the transect, it is useful to distinguish major zones of land use and topography (hill top, forested plain, agricultural land, village, river, etc.). Under each zone, the community can list important information such as species composition, economic activities, and management problems and opportunities. Figure 14 illustrates a 3 km, transect of Chandana forest area in southeast West Bengal.

Figure 14: Land Use Transect in Chandara, West Bengal

5: Temporal Information - Seasonal Calendars and Activity Schedules

In order to document the flow of forest products over time and better estimate yields, it is important to determine how product collection changes over the seasons. This can be done by working with community members to develop a seasonal calendar of forest product collection activities. If villagers list a great number of forest products during the inventory exercise, it may be best to limit the seasonal analysis to products given high priority scores in each type class (e.g. three to five fodder products, fuel products, edible products, etc.) All products with commercial value, either sold in raw form or processed, should be included in the calendar.

Other PRA studies in India have shown that it is helpful to study seasonality by placing twelve stones in a row on the ground, with each one labeled with the local name for the appropriate month. Participating villagers are asked to indicate which months each product is available. Only one product or type of product should be discussed at a time. The villagers can use seeds to show the relative availability, indicating low and high yield periods. After each product or type of product has been indicated, the information should be recorded by photographing the calendar and transcribing it onto paper. After recording, the next product or type can be discussed and laid out on the ground calendar. Calendars can also be effectively portrayed in a circle as shown in Figure 15. If the research team and participating villagers have time, they may also want to draw a seasonal calendar showing the high and low periods of labor input into agriculture, forestry, and other production systems. The villagers can indicate peak demand periods for different types of forest products like fodder, fuel, food, and raw materials.

Figure 15: Seasonal Calendar of Forest Product Flows, Gamtalao

The preparation of daily activity schedules can help identify labor allocation patterns. One PRA found that beginning a semi-structured interview with women by preparing an activity schedule served as an effective icebreaker because it dealt with familiar routines, was a comfortable topic, and promoted group consultation in which 4-5 of the women reached consensus regarding their typical day-to-day schedule (See Figure 16). Daily activity schedules can be cross-checked by spending a 24-hour period in the village and timing activities. Labor allocation data can then be used to calculate labor costs for the collection, processing and marketing of different forest products.

Figure 16: Daily Activity Schedule of Women in Moti Pipal, Limbi Panchayat

6: Inventory and Classifying

It is well established that many forest communities throughout the Asian region have considerable understanding of the forest ecosystem and its species composition. Ethnobotanical studies demonstrate that tribal and some non-tribal people who have strong ties to the forest can identify hundreds of productive species and their uses as sources of foods, medicines, fiber and construction materials, gums, dyes, tannins, etc. Using secondary data and local resource specialists, this information can be collected for the case study sites. As a prelude to fieldwork, books or reports should be obtained listing all the forest species found in the area, ideally giving local names and uses.

A number of enthnobotanical methods have been developed to inventory non-wow forest products which can be adapted by the research team to the particular needs of the study area. While many of the fruiting, flowering and seed-bearing species only yield products during the dry season, other products such as mushrooms may only be available during the monsoon. While it may be possible to inventory many species at one point in time, to collect information on production levels research teams win need to ask villagers to recall what they collect throughout the year.

The community can begin by listing all forest species used for subsistence or commercial use, classified according to important uses which they identify. The resulting "folk typology" may reflect categories such as: edible flora (mushrooms, fruits, oil seeds, nuts, flowers, tubers, leaves, stems); edible fauna (including insects, honey, fish, animals, birds); construction materials (timber for roofs, house walls, agricultural tools, grasses and barks for rope); medicinals (leaves, bark, roots, stem, seeds, fruits); fuels (trees, shrubs, leaves, grasses); fodder (trees, shrubs, leaves, grasses); and others (gum, resins, lac, toothbrush sticks, etc.) Once the important use types have been identified, the name of each category should be written in the local language on large pieces of poster paper, and the community encouraged to list all the local names of each species under each use category. A separate column should list the parts of the plant utilized.

Since it typically requires one to two hours with a small group to complete the initial listing of species, this exercise should be done when the villagers have time to think carefully and are not under pressure to perform other tasks. Separating groups of men and women to list forest species can create a competitive atmosphere which facilitates a more thorough listing and indicates gender-specific knowledge. Species lists can 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. The advantage of conducting a walk-through is that it also allows the researcher a chance to see where different species are located. During harvest periods, the researcher can observe product collection techniques, photograph harvesting processes, interview collectors, and record volume or weight measurements if a scale or tape measure is brought along.

7: Forest Product Ranking and Scoring

In addition to classifying, researchers can also assess the relative importance of different forest products to the community. To facilitate the comparison, it may be best to allow the villagers to compare products within each type of use (i.e., fodder, fuel, food, etc.). Each type of product can be represented by its local name, a picture, or the actual object, listing these products on the ground or on a piece of poster paper. PRA exercises in India have found that the relative importance of each product can be determined by providing village participants with a fixed number of seeds or stones to award scores. If 5-15 products occur in a use type, the villagers can be asked to place the number of stones or seeds next to the name, picture or object to reflect its importance in relation to other products on the list. The participants may need some time to agree on a score, and men and women may wish to score the products differently, in which case two columns should be used.

During earlier PRAs, both ranking and scoring techniques were used by community participants. Ranking indicates the degree of importance given to each item, while scoring is a comparative measure which provides an indication of their magnitude of importance in relation to each other. Community participants had little difficulty in understanding the scoring method, and once familiar with the procedures, they conducted the exercise with considerable interest. Most of the scoring exercises were carried out in small group discussions, at times stratified by socioeconomic group or gender. In scoring exercises, it is important that the researchers attempt to assess the criteria that the participants are using, whether it is commercial value, strength, ease of collection, nutrition, etc. Criteria will generally vary by use type. For example, villagers may give higher scores to fuelwood species which 1) produce less smoke 2) are easy to cut or collect and 3) burn longer or hotter. By investigating criteria for evaluation, the research will uncover considerably more information about why certain species are more valuable than others. Once the rankings have been completed and tables drawn up, the researcher may want to return to the village to further explore the rationale or criteria used in scoring different species by use. Since there may not be sufficient time to acquire this knowledge during the first scoring exercise, a follow-up session could be very useful.

Data from scoring exercises can be displayed in tables as shown in the Phulwadi village forest species example (see Figure 17). It is important that the researcher explain the significance of the different scores given. For example, why is teak ranked so much more highly for agricultural implements than other timber-bearing trees? Ranking and scoring techniques can also be used to determine priority management problems and options perceived by the community or forestry field staff.

Figure 17: Scoring of Forest Species by Use, Phulawadi Village

The community profile generates a broad picture of local forest use practices. This information can be used to design and inform follow-on studies of vegetative change, institutional conditions, and the economics of forest production systems. For example, sketch maps and forest use history should guide the selection of study plots for assessing vegetative conditions. Information on the community's social composition can help identify important groups and organizations for institutional analysis. Finally, profile data on daily and seasonal work patterns, product flows, product inventories, and priority scores can identify issues and provide a basis for designing the economic analysis of forest production systems.

B: STUDY OF VEGETATION STATUS AND CHANGE

Introduction

Studies of vegetation conditions and patterns of ecological change in natural forests are essential for management decision-making at the state, district, and village levels. Due to the immense ecological and microclimatic diversity found in India, it is necessary to conduct localized studies to understand and respond to the highly varied environmental contexts. Knowledge of the vegetative characteristics of forest ecosystems can be effectively combined with economic and institutional information to develop participatory and locally-adapted management systems based on appropriate resource development strategies. Forest vegetational status and dynamics can be investigated through a combination of conventional ecological mensuration methods and participatory research techniques. The methodologies advocated here differ in certain ways from conventional forest ecosystem studies in terms of approach, time line, and audience. Traditional ecosystem research has been typically directed toward an academic audience and often requires lengthy data collection. In contrast, these methods are designed to generate a rapid understanding of the vegetative conditions in natural forests utilized and/or managed by community groups. The main purpose of study is to help communities generate practical management options that will lead to optimal productivity, while also responding to environmental needs. Resulting management options will be site specific and tailored to local vegetation, economic and institutional factors. Data on vegetation status by itself may not be sufficient to generate viable management options.

The target groups utilizing the vegetation data for generating management options include Forest Departments, NGOs, local institutions and communities. For planning purposes, these groups require timely information that allows them to identify trends reflecting degeneration or regeneration and corresponding productivity levels for important species under current and potential use practices. These groups are not likely to be trained to carry out complex conventional ecological research, and they often do not have the time to wait for lengthy studies. To respond to the requirements of forest managers, whether they be government officers or villagers, vegetative assessment methods should be rapid, simple, user-friendly and applied. The goal is to guide the generation of management options rather than simply describing the forest or grassland ecosystem. These methods also can facilitate community involvement, both capturing the experiences and collective wisdom existing among village members, and bringing families into a dialogue concerning the vegetative state of the forest and how it could best be managed to meet their economic and ecological needs. An exemplary range of participatory vegetative assessment techniques are described in the proceeding section.

1: Management Issues and Parameters

A cross section of examples illustrating common management issues and research parameters, sites, and field methods are presented in Figure 18. Typical issues may include the annual amount of fuelwood or tree leaves that can be extracted sustainably, or the impact of forest protection and increasing canopy closure on fodder grass yields.

Figure 18

Ecological Management Issues, Parameters, and Research Methods

In the context of addressing key forest management issues faced by foresters, NGOs and local communities the aim of the vegetation study is to generate information which will assist in identifying strategies which respond to local resource problems. For example, the research and analysis framework might address such management questions as the current impact of fuelwood extraction practices on wood and biomass productivity described in Box 1.

Box 1: Sustainable Harvest of Firewood