E. N V I R O N M- E N T D E P A R T -M E N T DISS-EM''INAT-ION NOTES TOWARD &W'I1'41*'91114,Z0'li^' AND SOCIALLY SUSTAINABLE DEVELOPMENT Number 23 June 1995 Participation in Forest and Conservation Management The participation of local communities -and other stakeholders in managingforestry and conservation projects catn help to improve forest p3roductivity, alleviate poverty, enhance eniironizental sustainability, and make rzles governing forest access more enforceable. Introducing participatory. management depends on government commitment; and it requires time and resources to develop consensus among stakeholders, establish new institutional arrangements, decentralize finaiince and. administration, ensure appropriate rules and incentives for local involvement, and build organizational capacity at the local level. There has been a fundamental shift over the Benefits last decade in approaches to forestry and conservation-froin a focus on centralized Cooperation planning and management by, governiment in practice, one of the most compelling reasons agencies to a more participatory-approach which . 'for seeking the participation of forest users i' th,e balances social, environmental and economic. management of forest resources has been the objectives. Reflecting this shift, between 1991 and inability of governments to police forest areas 1994, Bank investtnent in forestry projects effectively and enforce their own rules of access classified as social and 'environmental increased and use without local public support. When local from US$ 834 mnillion- to US$ 1.2 billion, -or 27% of communities and'private. companies share in the all lending in the forestry sector. design; benefits, costs and management responsibility of forestry;projects, they have. Key differences between the, two approaches . incentives to cooperate in enforcing. rules' which .are- outlined in' Box 1. Under most centralized they have themselves agreed upon. forest'policies, large scale management.uxifts are-'-.-.-' oriented to a single-use objective (such as'timber Poverty Alleviation production or policing a conservation site), and The majority of the people who occupy forest the rights of local users are limited, to low value areas, -or the agricultural fringes that surround secondary products and temporary concessions; them, are poor and vulnerable populations. Many In contrast, participatory forestprojects are based are indigenous peoples, or landless people who' on a broader valuation of forest resources, taking have migrated from other areas. Enabling these into account the multiple values of forests and people to. share in the benefits, as well as the the: social and economic needs of local forest management, of 'forestry development and users. Access and use rights to forests, and. comercializationhelps -to alleviate.their poverty conflicts arising between competing users, are and diversify their sources of income. - locally defined and managed. The structuie of incentives and the choice of technologies are Forest Productivity. geared to environmental sustainability over the With the benefit of local knowledge and long term. ' participation, the value' of non-timber foresi This note isbased on the paperwritten byAjit Banerjee, Cabriel Campbell, Maria C. Criiz, Shelton Davis andAugusta Molnaras acontributi to the Participation Sourcebook. Copies of the full paper are available from the Environment Department, Social Policy and Resettlem Division, of the World Bank, Washington, D.C. 20433, Fax (202) 522-3247. Disseminatfion Notes iepresent the view>s of their authors and are not official publications of the World Bank. Box 1 Contrasting:Forest and Conservation Management Approaches Centralized Governent Approaches - Participatory Approaches Objectives Timber production or other single'use objective Usually multiple production and (e.g., watershed protection; short-rotation fuel-wood). biodiversity conservation objectives Protection of biodiversity pararount over otheruses. involving all stakeholders; developing local skills for forest and conservation management. Scale. Large-scale management units based onnatural . Micro management units corresponding to biophysical or political boundaries. - self-selected or residential units. Local Use . Usually very limited arid frequently ambiguous Extensive, clearly defined rights for local Rights or temporary. users. Protection Policing by forest service guards and fencing; By local community, frequently using social often-ineffective and expensive. fencing; higher local costs but low government costs; Local accountability., Typical Plan Long rotation of even agestands for economies Short rotation of uneven age stands designed of scale in management and industrial supply; to supply diverse products for continuous :centralized management of protected areas ahd income and subsistence needs; community- conservation sites.: management. Harvesting Generally large governm,ent contracts with . ' Generally combine multiple household , Contracts admninistrative pricing mechanisms and subsidized marketing arrangements with small-scale. - supply arrangemenits. . - ; contracts for higher value products. Technical Basis `Based on results of scientific research and single -Based on combination of traditional product optimnization models. knowledge and use patterns with fqrest and, conservation service guidance. Planning Centralized management planning process carrned Plans drawn up by community or household Process out by forest and ccmservation service staff. participants with guidance and approval from forest and conservation service. Plan Revisions Generally little flexibility in management High flexibility in management prescriptions prescriptions without cumbersome bureaucratic to adapt to changing conditions and'needs. approvals. products to different users-for food, fiber, Costs and Limitations medicines, oils and gums-can be more fully exploited (Box 2). Indigenous productive There are some circumstances in which technologies, based on close kriowledge of local participatory approaches have proven ecological conditions, catenrich scientific research unworkable: (i) when conflicts over foreat and serve as potential sources of new products. resources are particularly intense; (ii) when forest -...- .- :resources are abundant relative to a small, Sustainability - dispersed population in the forest vicinity; (iii) While still seeking to generate economic . when powerful interests -t the national level are benefits from forest resources, policymakers are .- opposed to policy reform; in the. sector or to increasingly aware of the important role played. decentralization of autority; or (iv) when extreme by forests in preserving-biodiversity and social inequalities at the local level reinforce the: protecting critical. watersheds. Especially in control of forest benefits by local elites. regions with. large and growing populations, participation is often the only viable way to . Even in favorable circumstances, time and conserve forest areas for sustainable use or for 'resources are needed to establish effective their intact environmental values. . . participatory processes. Costs are incurred in three broad areas: (i) identifying key stakeholders and of non-wood 'products, and delineation of creating the conditions for effective consultation; '.protected.areas for biodiversity conservation. (ii) establishing appropriate institut:ional arrangements, including intermediary Decentralization organizations with the skills and incentives to' A wide range of different institutional' address environmental and social objectives; and arrangements, from private contractual (iii) building the organizational capacity-of' local agreements tojoint public/private partnerships, communities to manage large forest areas. have-been used to devolve authority over forest .management to the local level. In most cases, some Conditions for Success restructuring of government agencies has been called for as well as changes in procurement and Bank experience provides a number of lessons other administrative procedures. concerning the conditions for successful participation in forestry and' conservation Methods of ensuring the availability of funds management, and the measures which have at the local level have included increasing private helped to establish these conditions. sector involvement-by opening up lines of credit, underwriting private sector forestry investments, Government Commitment or endorsing joint contractaal management of Success depends first and foremost on forests-a$ in forestry projects. in Indonesia, government commirtment to broad stakehlolder Zambia, the Philippines, Bangladesh and Costa participation in determining forest sector and Rica. 'In other cases, direct finding to NGOs has conservation objectives. Measures by T'Ms to proved the best means of delivering funds directly facilitate policy dialogue have included: sponsoring to communities. For example, under the Bankk/GEF international or regional meetings at the ministerial financed Conservation of Priority Protected Areas, level, enabling policyrnakers to benefit fronm other Project in the Philippines, a grant is made to a countries' experience in devlving authority to consortium of NGOs for implementation of forest users; holding donor meetings to coordinate conservation programs. Trust funds have proved initiatives and assist government in defining the useful, as in Bhutan and Uganda, when returns to agenda; using forest sector reviews and biodiversity investments occur over the very long term. conservation strategy work to in-itiate policy' discussions with decisionmakers. and key Stakeholder Analysis and Consultation stakeholders; and supporting the preparaLtion' of Identifying and consulting stakeholders at the issues papers.by experts from stakeholder g,roups. earliest possible stage is important not only for ensuring that all the important issues are When government is actively involved in addressed but also for strengthening comniitment discussions with stakeholders, forestry refcrms are to implementing the necessary reforms. Gender easier'to introduce. For example, the multi sectoral analysis can be used to assess the' differential stakeholder workshops held in Mexico and impact of proposed policies on men'and women, Zimbabwe were helpful in identifying key reforms and measures taken 'to ensure that women share in forest tenure policy, regulations on matrketing in decisionmaking and pioject benefits (Box 3). Box2 Learning from Indigenous Practices to Increase Local Participation and Improve Forest Productivity Using Under-exploited Tree and Crop Species ir Africa. Trees in agroforestry systems inAfrica provide many other products and services such as food, fiber, medicines, oils" and gums which are used by many indigenous groups (e.g., Elaeis guineensis for oil,' wine,, thatch and mulch; Moringa oleifera as source of edible flowers and leaves and fodder; Xylopia aethio'pica as tobacco substitute and fuel in most of Kenya and the Farlo regions in Senegal). The annual harvestable production from leaves and fruits is about 300 kg/ha in the typical Sahel areas and over 600 kg/ha in the Sudano-Sahel.' Crop-Livestock-Fallow Rotations. In the Zimbabwe and Haiti Bank financed forestry projects, rotations of crop'cultivation, grazing, and tree-shrub fallow are-permitted as a result of documentations of indigenous crop-grazing'systerns. The rotations involve two or more sub-populations in the praject site but often just one piece of land. Because lands are appropriated on the basis of kinship and ethnic affiliation, several farmilies have use-rights to the land over a certain period of time. This multiple use arrangement encourages participation of other user groups.: Box 3 Women's Participation ini Bank. Financed FoetyPoects : D:;0:l :~~~~~~~~~~~~~-ar:V ffn GO;n ;:t Kenya: Women Participating in Forest Sharing Agreements. With the assistance of an intemational NGO (CARE), the Kenya Forestry Developrment Project solicited the help of women in devising an agreerient between the government:and local users regarding distribution of agroforestry or intercrop benefits, since most of the village agroforestry-laids were controlled byvwomen. During project implementation, women were in.charge of recording-households that received harvest * shares.and they were key actors in resolving conflicts over forest benefits. India: Women as Members of Forest Protection Committees (FPCs). In.Lthe WVest Bengal II project, the Bank worked with the state forestry agency and NGOs to perrmit and encourage the recording of women as FPC members. This allowed women to participate fuilly in decision making and thereby receive a more equitable share of timber harvests. When women were given responsibilities in thesecormmnittees, the project gained wider support and spread rapidly to other villages. Security of XTenure often more effective in terns of forest productivity * Because of the long gestation period of andsustainability. Moreover,theentirecommuruty forestry and conservation investments, security understands the management- rules and has an :of tenure is particularly important as an incentive incentive to monitor and enforce them. for community investment of time and resources. Existing regulations frequently restrict access and Local Capacity undermine local or indigenous claims. to X Most Bank:and GEF/Bank financed forestry. resources.- However, overlapping- claims by and biodiversity projects involve a capacity government, different groups of forest users; and building component, often contracted to NGOs,:to industry, can make adjudicating tenure rights a strengthen management capacity- .. the very complicated process.. In Bank financed 'commity level. The role of NGOs may include projects in Nepal and. India- (Box 4),. publicly training of :forest service staff and local leaders; endorsed written agreements have been . village level publicity and extension; developing instrumental in resolving tenure con'flicts. -micro-planning tools and facilitating pIan -' formulation; improving forest marketing Equitable Rules and Incentives . information networks; facilitating the formation of Forestry. projects have the best chance of women's groups and farm forestry associations; succeeding when the costs and responsibilities .of and technical support to forest product processing,. each stakeholder are closely related to rights and ' energy alternatives or village-based conservation benefits. Arrangements for the sharing of costs, inventories. One of the most effective tools for benefits and management responsibilities, and building local capacity is fhe study tour, enabling -rmechanisms for resolving conflicts between' stakeholders to visit and question' their groups, are most likely to motivate participation .counterparts on projects where participatory if they are widely u:nderstood and agreed upon . management has. already been established. by all stakeholders through an open negotiating process. Special measures, may be needed to Box l 4 ensure that wo .men, indigenous groups, and Tenure and Access to landless households are not excduded. . Forests in Nepal and India Appropriate Technology ~~~~~The Ban-financed Nepal forestry project allowed user : 0 : Appropriate forest rnan- technologies ' communities to take over forest management. Forest users- Appropriate management ~~~~received certificates ensuring long-term rights to forest provide important incentives forparticipation. The befnefits. The only control the Nepal state forestry agency participation of local users is encouraged by an -. retaiedover forests wasthrough approval ofvillage forest annual flow of income from non-timber products : managementplans. However, the project had to reconcile. -: : . Xsuch as'agricultural intercrops, fodder- ot .thatch - -the multiple, and often conflicting, rights to forests by local grass, and co*erciall val l s s o - villagers before long-term tenure could -be recognized. * :: ~grass, and corrunercll valuabl e sees or leaves. ; : XThis ca nyocri lnain ihwdr IntheBank-financed-WestBengalIIforestryprojectinlndl;a . Thscan only occur in-plantations with wider spacmgs and multi-tiered, mnore diverse tree and nag beenth sateadifiagesestab she4 oknership and use-rights to, forest protection commidttees. shrub species than are found under conventional However, to maintaid rights over aforets,ech committee even-age management. Technologies defined by - had to provide evidence of sustainable forest use. the community on the basis'of loal knowledge are - - - Printed on 100%post-consumer recycled poper