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Degradation of forests and forest lands is a problem in many parts of the world and is particularly serious in south China. Chinese forest policy reforms in recent years have enabled rural households to generate income Rehabilitation of from forests, to own the trees they have planted, and have offered new opportunities to manage forests sustainably. Rehabilitation of degraded Degraded Forests forests and forest lands is one of the possible pathways to improve

livelihoods of poor farmers and others in the rural communities. China PoorSouth Farmersof in Livelihoods Improve DegradedForeststo of Rehabilitation to Improve Livelihoods This report documents the results of four case studies in south China in which farmers, local officials and researchers analysed the problems of of Poor Farmers degraded forests and forest lands, and formulated options for their in South China solution. Opportunities to improve forest management and people's livelihoods are dependent on overcoming a range of biophysical, socioeconomic and political constraints. Action research was used to implement and test some of the options identified. The experience and analysis should be of value for researchers, resource managers and government officials in China and elsewhere to address poverty and environmental concerns through a multidisciplinary, participatory and holistic approach.

ISBN 979-8764-98-6

CAF Editor Liu Dachang

Editorial Board Zhu Zhaohua, Cai Mantang, Liu Dachang and John Turnbull Rehabilitation of Degraded Forests to Improve Livelihoods of Poor Farmers in South China

Editor Liu Dachang

Editorial Board Zhu Zhaohua Cai Mantang Liu Dachang John Turnbull  2003 by Center for International Forestry Research All rights reserved. Printed by SMT Grafika Desa Putera, Indonesia

Cover photos by Christian Cossalter

ISBN 979-8764-98-6

Liu, D. (ed). 2003. Rehabilitation of Degraded Forests to Improve Livelihoods of Poor Farmers in South China. Center for International Forestry Research, Bogor, Indonesia. 97p.

Published by Center for International Forestry Research Bogor, Indonesia P.O. Box 6596 JKPWB, Jakarta 10065, Indonesia Tel: + 62 (251) 622 622; Fax: + 62 (251) 622 100 E-mail: [email protected] Web site: http://www.cifor.cgiar.org Table of Contents

Acknowledgements v Foreword vi

Chapter 1. Rehabilitation of Degraded Forests to Improve the Livelihoods of Poor Farmers: A Synthesis of Four Case Studies in South China 1 Introduction 1 Research Methods 4 Location of Research Sites 7 Biophysical and Socioeconomic Settings of South China 8 Extent of Forest Degradation 13 Causes of Forest Degradation in South China 15 Forest Rehabilitation in South China 20 References 26

Chapter 2. Reclaiming Degraded Forest Lands in the Dry, Hot Climate of Yuanmou County, Yunnan Introduction 29 Research Methods 30 Background Information on Yuanmou County and Loafan Village 31 Land Degradation Assessment 34 Strategies and Interventions for Land Reclamation 36 Conclusions 41 References 43

Chapter 3. Degradation and Rehabilitation of Evergreen Broadleaf Forest in Cangwu County, Guangxi 45 Introduction 45 Research Methods 46 Background Information on Shanxin Village, Cangwu County 47 Extent and Causes of Degradation of Evergreen Broadleaf Forest 50 Disincentives to Managing Evergreen Broadleaf Forest for Commercial Timber and Other Wood Products 54 Strategies for Rehabilitating Degraded Evergreen Broadleaf Forest 55 Conclusions 61 References 63 iv

Chapter 4. Rehabilitation of Degraded Chinese Fir Plantations and Evergreen Broadleaf Forest in Huitong County, Hunan 65 Introduction 65 Research Methods 66 Background Information on Dongxi and Xiangjian Villages, Huitong County 67 Chinese Fir Plantations 70 Evergreen Broadleaf Forests 75 Disincentives to Forest Rehabilitation 77 Conclusions 78 References 80

Chapter 5. Rehabilitation and Sustainable Management of Degraded Forests in Gaohong, Lin’an County, Zhejiang 81 Introduction 81 Research Methods 81 Background Information on Lin’an County 83 Overview of Forest Degradation in the Villages 86 Degraded Timber Forests 86 Degraded Bamboo Plantations and Forests 90 Degraded Tea Plantations 92 Development and Extension of Forest Technology 93 Conclusions 95 References 97 v Acknowledgements

This publication is the result of a project initiated a team from the CAF Research Institute of Tropi- by the Chinese Academy of Forestry (CAF) and cal Forestry; in Hunan, Professor Xu Guozhen finalised with inputs by representatives of Center led a team from the Central South Forestry Uni- for International Forestry Research (CIFOR), and versity; and in Zhejiang, Mr Zhou Guomo led a Canada’s International Development Research team from Zhejiang Forestry College and Lin’an Centre (IDRC) at a meeting in Singapore in 1995. County Forestry Bureau. The academic insights and management skills of We also thank the following individuals Professor Zhu Zhaohua and Mr Cai Mantang were and institutions for their participation in, and valu- critical in formulating the project and coordinat- able support in many ways for our research: in ing the implementation of the case studies in the Yuanmou County: staff of Bureaus of Forestry, field. Their major contribution is gratefully ac- Meteorology and Statistics, and the governments knowledged. They were supported by Professor of Zuolin Township, Nengyi Township and Bai Jiayu, who replaced Professor Zhu Zhaohua Laocheng Township; in. Cangwu: Mr Shao as the overall Project Leader towards the end of Jingxian, Mr Huang Yicai, Mr Xie Shangao, Mr the research period, Mr Jiang Chunquan and Ms Liang Shusheng, Mr Lu Shi’an and Xie Li Yuzhen. Drs Neil Byron, John Turnbull and Hongsheng of Cangwu County Forestry Bureau; Liu Dachang of CIFOR visited field sites to pro- and staff of Guangxi Academy of Forestry, vide academic inputs into the research process. Cangwu County Government, Cangwu County This was a multidisciplinary, participatory Committee of Science and Technology, Cangwu project and it involved many people to a greater Agriculture Bureau; and staff of Wangfu Town- or lesser extent at the case study sites. Sincere ship Government, Wangfu Forest Station and thanks go to farmers of the villages of Laofan, Wangfu Agriculture Station of Cangwu County; Xiaocun, Moke and Bingyue of Yuanmou County, in Huitong: staff of Huaihua Prefecture Forestry Yunnan; Shanxin Village in Cangwu, Guangxi; Bureau, Huitong County Government, Huitong the villages of Xiangjian and Dongxi in Huitong, County Forestry Bureau, and Ma’an Township Hunan; and the villages of Chenjiakan, Hongqiao Government of Huitong County; and in Lin’an and Shangfeng, Lin’an County, Zhejiang, for their County: staff of Lin’an County Forestry Bureau, participation in and collaboration with this re- Gaohong Township Government, and Gaohong search project. Their active involvement and col- Forest Station. laboration made it effective to identify causes of Dr Brian Belcher provided a critical review. forest degradation, and constraints to and strate- Mr Christian Cossalter and Dr John Turnbull gies for forest rehabilitation. Their traditional made a valuable contribution to the final editing knowledge made a great contribution to the de- and lay out. Dr John Graham provided continu- velopment of rehabilitation strategies. ous encouragement to those preparing this publi- The untiring efforts of the research teams at cation. each site in diagnosis, design and delivery, and Finally, sincere thanks to IDRC and CIFOR the preparation of reports is acknowledged with for their financial support for the research, and thanks. In Yunnan, Professor Lai Yongqi led a the preparation and publication of the research team from the CAF Research Institute of Resource report. Insects; in Guangxi, Professor Zheng Haishui led vi Foreword

Degradation of forests and forest lands is a Hu Shaofang, Chinese Science and Technology problem in many parts of the world and is Press, Beijing, 1995). Building on this particularly serious in south China where 70 per experience, a new project was initiated in 1995 cent of the population lives in rural areas. Many to develop strategies to assist in the rehabilitation natural disasters, such as catastrophic flooding in of the degraded forests and forest lands in the Yangtze River basin, have been attributed to southern China, to improve local livelihoods and deforestation and there is real poverty in areas to provide inputs into policy deliberations. A that have severe soil erosion and degraded forests. multidisciplinary, participatory approach with Forest policy reforms in the last 20 years have action-orientated research was designed and enabled rural households to generate income from carried out at selected sites in four provinces. The forests, to own the trees they have planted, and new project was managed by the Chinese have offered new opportunities to manage forests Academy of Forestry and implemented in sustainably. Rehabilitation of degraded forests and partnership with the Center for International forest lands is one of the possible pathways to Forestry Research (CIFOR), CAF Research improvement of livelihoods of poor farmers and Institute of Resource Insects, CAF Research others in the rural communities. Institute of Tropical Forestry; Central South In China, where individual farmers own Forestry University, Zhejiang Forestry College, much of the forest, management of the forest is Lin’an County Forestry Bureau with cooperation just one component of the farming system and of local and regional institutions and activities must be integrated with other communities. IDRC again provided financial agricultural tasks. Opportunities to improve support. management and livelihoods are dependent on The analysis of the CAF/CIFOR/IDRC overcoming biophysical, socioeconomic and project reported here should enable a better political constraints. There has been increasing understanding of the constraints and recognition among foresters and other natural opportunities for improving the livelihoods of resource managers that to address the problems poor rural communities and rehabilitating of rehabilitating degraded forests and lands degraded forests and forest lands. Some of the requires a holistic approach. A multidisciplinary participants have already contributed to effort involving all stakeholders, in particular the deliberations at a symposium entitled “Policy landholders, is required to analyse problems and reform and forestry in China: lessons for China formulate options for their solution. and the world” held at Dujiangyan, Sichuan in Between 1990 and 1994 the Chinese June 2001. I hope that this report will provide Academy of Forestry (CAF), with financial inspiration for researchers, resource managers support from the International Development and government officials, both in China and Research Centre (IDRC) of Canada, designed and elsewhere, to address poverty and environmental implemented a Farm Forestry Program that took concerns through a multidisciplinary, a multidisciplinary and integrated approach to participatory and holistic approach. solving on-farm forestry problems. The results of this work were reported in a book - Integrated David Kaimowitz Research in Farm Forestry (ed. Cai Mantang and Director General, CIFOR. Chapter One

Rehabilitation of Degraded Forests to Improve the Livelihoods of Poor Farmers: A Synthesis of Four Case Studies in South China Cai Mantang1, Liu Dachang2 and J.W. Turnbull3

Introduction natural forests, have not stopped and several Deforestation in the tropics is high with an annual factors suggest forests will continue to decline loss of 14.2 million ha converted to other land and have less capacity to provide both timber uses (FAO 2001). Deforestation and forest and non-timber forest products. It follows that degradation are closely linked and are sometimes more efforts will have to be made to rehabilitate referred to as ‘forest decline’ (Contreras- and sustainably manage degraded natural forests Hermosilla 2000) which can be taken to include and develop productive plantations if the losses of forest productivity in terms of wood and predicted increases in consumption of forest non-wood products and environmental services. products are correct. It directly threatens the livelihoods of millions Degradation of forests and lands is a common of forest-dependent people. phenomenon all over the world and is a very The underlying causes of forest decline serious problem in China. Much of China’s include: market failures, mistaken policy extensive area to the south of Yangtze River, interventions, governance weaknesses, and referred to as ‘south China’ in this account, has broader socioeconomic and political causes such a subtropical climate in which the typical as population growth and distribution of vegetation is evergreen broadleaf forest. Due economic and political power (Kaimowitz and largely to human actions, nearly all primary Angelsen 1998, Contreras-Hermosilla 2000). evergreen broadleaf forest has disappeared and Clearly forest decline is a complex phenomenon only a few areas exist, usually in isolated with many socioeconomic, political and cultural mountainous locations. Secondary forests and causes. Pressures to exploit forests, especially man-made plantations have replaced the original

Authors are listed in alphabetical order. 1 Chinese Academy of Forestry, Beijing. Currently at Beijing Development Institute, Peking University, Beijing, P.R. China. 2 Southwest Forestry University, Kunming P.R. China and Center for International Forestry Research, Bogor, Indonesia. Currently at The Mekong Institute, Khon Kaen, Thailand. 3 Center for International Forestry Research, Bogor, Indonesia. Currently at Forestry and Forest Products, CSIRO, Canberra, Australia.

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evergreen broadleaf forest but most of these on Environment and Development in 1992 to forests are degraded to some extent. There has guide states and peoples in global environment been a significant loss of biodiversity, with a and development matters relate to forestry, e.g. reduced number of species and a standing for environmental protection to be an integral biomass much lower than in primary forest. In part of development. Agenda 21 provided an some cases, the vegetative cover of forest land action plan and there was an appeal for countries has been reduced to sparse shrubs or even bare to formulate and implement national forestry land. programmes. The link between integrated While there has been an overall improvement forestry development in mountainous areas, in China’s living standards, the gap between the where the majority of the 65 million poverty- supply and demand for forest products has been stricken people in China reside, and the process widening partly due to low productivity of of poverty alleviation is recognized (Jiang degraded forests. Numerous natural disasters 1997). A forestry action plan has been prepared have been attributed to deforestation and the loss for China’s Agenda 21 which includes of environmental functions provided by forests comprehensive forestry development and (Yang 2001). At the local level, the lower poverty alleviation in mountainous areas as a productivity of degraded forests and forest lands specific goal (Zhao 1997). has a direct impact on rural communities which Effective implementation of such a plan are often partially dependent of forests for their requires a good understanding of the extent and livelihoods. causes of forest degradation and the actions In the early 1990s, about 70% of population required to rehabilitate and manage degraded in south China lived in rural areas (China forests sustainably. There has been research on Statistical Bureau 1993). These people rely on causes and prevention of forest degradation in forests for livelihood support in many ways. south China since the late 1960s (Institute of They depend on forests for energy (fuelwood), Forestry and Pedology 1980, Research Team of for timber used on their farms, and for timber Intensive Cultivation of Chinese Fir 1992, Chen and non-wood forest products (NWFPs) to sell 1992, Xu 1992). Zhu (1991) examined human to generate cash income. As a consequence of impacts on changes in biodiversity and soil forest degradation, they are now able to collect fertility in secondary broadleaf forest. Research less variety and quantity of products from forests has also been carried out to identify tree species and so generate less income than formerly. This and develop tree-planting technologies for those means a decline in their livelihoods unless they areas with harsh ecological conditions (Yu 1997, can generate income in other ways. Yang et al. 1999). However, experience shows Forest degradation has on-site and off-site that forest degradation largely is a result of ecological and environmental effects, including human intervention and so understanding its deteriorating agro-ecological conditions, causes and rehabilitating it needs more than a increased flooding, lower water quality and biological perspective. siltation of dams. The deterioration of agro- Political change and social transition are ecological conditions results in decline in features of modern China and numerous changes agricultural productivity, which in turn has in government policies have impacted on considerable impact on the welfare of farmers forestry. Several changes of policies related to and their families. Moreover, if the local supply land tenure and management of non-state forests of timber and other forest products is curtailed, have sometimes resulted in severe deforestation people will either suffer from the shortage or (Liu 2001). After 1950 there was a situation of have to rely more on expensive imports. collective ownership and compulsory low price Some of the principles set out in the Rio wood delivery system under the totally Declaration of the United Nations Conference government-controlled planned economy

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Table 1.1 Evolution of tree tenure and marketing systems in south China

Period System Ownership Timber marketing

Before 1950 Historical Bureaucrats, landlords, Free market timber merchants and self-sustaining farmers 1950-1955 Land reform All farmers, including self- Free market sustaining farmers and former landlords 1956-1958 Socialist Collective ownership Quotas and prices transformation and and production determined by the State agricultural collectivisation 1958-1980 People’s communes Collective ownership Quotas and prices and production determined by the State 1979-1983 Household-based Family forest plots (ziliushan); Self-determined production: agriculture (Contract responsibility forest land compulsory delivery system responsibility) and (zerenshan); collective forest people’s communes 1984 to present Household-based Family forest plots, responsibility Price controls lifted, but agriculture forest land collective forest; taxes and fees increased; shareholding system government monopoly on procurement 1999 to present Logging ban in Same as above No timber harvesting is natural forest allowed from collective and private natural forests

Source: Sun (1992) and Liu (2001).

(Table 1.1). Subsequently the government the degraded forests and forest lands, improve introduced market-orientated reforms changing local livelihoods, and provide input to policy property rights and marketing arrangements. In deliberations. It was implemented by the rural areas, poverty makes many farmers adverse Chinese Academy of Forestry and the Center to taking even small economic risks and they for International Forestry Research, with support have become very cautious about accepting from Canada’s International Development policy changes (Yin 1994). In these Research Centre, in partnership with local and circumstances, technology-oriented options and regional institutions and communities in the interventions alone are not sufficient to provinces of Yunnan, Hunan, Guangxi and successfully rehabilitate the degraded forest and Zhejiang in south China. A multidisciplinary, lands and improve livelihoods. Zhu (1997) participatory approach was used and action- describes several case studies showing the need oriented research was carried out in the field for the participation and cooperative interaction over the period 1996-1998. The project included of leaders, scientists, extension technicians and several complementary small technology farmers. It is clear that factors that cause forest research activities in different locations and degradation or inhibit rehabilitation need to be these are reported elsewhere. examined from multidisciplinary perspective, This chapter synthesises the outcomes of the including socioeconomics and government case studies in Yunnan, Hunan, Guangxi and policies, and with participation of all Zhejiang. Research methods and biophysical stakeholders. Only this way will it be possible and socioeconomic settings are described. The to develop effective options and strategies. causes of forest degradation are analysed and, In 1995 our research project was initiated to based on the case studies, strategies necessary develop strategies to assist in rehabilitation of for rehabilitating degraded forest in south China

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are suggested. Chapters 2 to 5 provide more the start of the project. A logical procedure details of the research and outcomes of each case consisting of three stages: diagnosis, design and study. delivery, called ‘Tri-D’ in this research, was used.

Research Methods Diagnosis, Design and Delivery Conventional scientific approaches in forestry Diagnosis and Design adapts farming system and agroforestry have often seen technologies approaches and Rapid Rural Appraisal (RRA) developed independently of the social or Participatory Rural Appraisal (PRA) to dimensions in which they must be adopted. identify problems and to design and test forestry Farmers on the other hand consider the and agroforestry options (Raintree 1987, Nair management of woodlots, and trees grown in 1993). This procedure has been used commonly association with crops and livestock as part of in community-based agroforestry research their integrated farming system. To meet their outside China but was a new approach in forestry economic needs they manage their land in a in China. Participatory rural appraisal or holistic manner aware of the interactions of the participatory rapid rural appraisal has been several biological components and the described by Chambers (1994 a, b, c) and complexity of the social and economic Chambers and Guijt (1995). environment that provides both constraints and Diagnosis aimed at achieving a good opportunities. Integrated farming systems understanding of local biophysical and combine agriculture, forestry, horticulture, socioeconomic settings, problems (extent and animal husbandry, aquaculture, as well as other causes of forest degradation and effects of forest biological production, into an interconnected degradation on livelihoods), and constraints to system (Li 2001). forest rehabilitation. Design, the second stage As the aim of this research was to seek to of the research process, aimed to identify improve the livelihoods of farmers by effective strategies or options and form policy addressing the problems of degraded forests and recommendations for rehabilitation and forest lands it was necessary to apply methods sustainable management of degraded forests that could encompass the complex biological- based on the results of diagnosis. In the delivery social-economic system in which farmers stage new options that had been identified were managed their forests as part of an integrated tested for their appropriateness and effectiveness farming system. Rocheleau (1999) has reviewed and policy recommendations were made. the many methods that have emerged in recent The approaches and methods used within the years to address the complexities of conducting Tri-D process included: agroforestry research and especially the need to • participatory approach apply the methods of social science. She • multidisciplinary approach particularly refers to the use of participatory • triangulation processes and practices and the need to bridge • attention to indigenous knowledge social, economic and ecological sciences. • conventional forestry research methods, and We drew heavily on social science • action research. methodologies especially in the diagnosis of problems and the design of options to address Participatory Approach them. It would have been desirable to include In recent years there have been notable examples social scientists directly in the research but of successful collaboration between scientific institutional difficulties precluded this option. The research organisations and rural communities compromise was that the forest researchers in the which have been assisted by a greater emphasis project received training in social science on participation, partnership and negotiation in methods from the Ford Foundation in China at the research process (Zhu 1997, Rocheleau

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1999). Participation is now widely advocated Diagnosis and accepted as a strategy for rural development The diagnosis phase involved detailed planning and natural resource management. Participation of the research, intensive data collection, can be interpreted in various ways but analysis of data and specification of the potential mobilisation and empowerment of the local interventions. PRA tools used at this stage communities are two basic elements (Oakley included: 1987). • secondary data collection This project emphasised the participatory • participatory observation approach with mobilisation, empowerment and • household survey (semi-structured interview, interaction as key elements of the research complemented by questionnaire survey) process. Participation took place at all the stages • key informant interview (semi-structured of diagnosis, design and delivery. We involved interview) farmers and their families, researchers and • group interview/meetings. extension staff, and government officials and facilitated interaction between them to develop A large amount of secondary data was and test options and strategies to address forest collected from relevant government agencies at degradation and improve livelihoods. county level such as the Forestry Bureau, Farmer participation was emphasised as Agricultural Bureau, Statistical Bureau, farmers have good knowledge of their Meteorological Bureau, County Archives; circumstances, problems and constraints. They township governments; and village offices. Data are also holders and beneficiaries of forests that were collected on climate, soil, land uses, forest need rehabilitating, and hence are able to make resources, the role of forest in local livelihoods, a very significant contribution to the forest products, forest tenure and management, development of effective strategies. During the marketing and taxation of forest products, tree research process nearly 400 households were planting policy, demography (population, labour consulted and 43 groups interviewed as part of force, their education), wealth/income, village the diagnosis. A subset of households social organisations and infrastructure. participated in identification and testing of Participatory field observation was carried out rehabilitation options. immediately after secondary data collection. It More than 50 researchers and extension staff was undertaken jointly by researchers, several had some level of involvement in the research. senior villagers and village leaders who were Their participation was on the basis that they familiar with village circumstances and history. could play an important role in developing The field visits observed and discussed land uses, appropriate strategies, providing information types and cultivation patterns of crops, types of and extension services, and facilitating forest, historical changes in the forest, extent of communication between participating forest degradation, and village infrastructure. government officials and farmers. This is Household survey aimed to identify extremely important in mountainous areas problems and constraints to forest rehabilitation where farmer access to information and at household level. Sample households were extension services is poor. About 130 local selected through random sampling from all government officials were involved to some households in the research villages. Household extent. Their involvement was encouraged survey was conducted mainly in the form of because they can facilitate implementation of semi-structured interviews plus a questionnaire options identified by helping to raise investment survey. Each household interview lasted 1.5-2 funds and resolving administrative conflicts that hours. Topics discussed during household often appear in resource management. interviews usually included family population

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and its age distribution, number of family Delivery (Testing) members at labour age, major livelihood means This phase involved planning the on-farm including sources of family income, family testing, refining the technologies and expenditure by activity, land uses, forest area approaches, dissemination of results, and and volume, forest degradation, and constraints feedback from users. Researchers and to forest rehabilitation. government officials played a part in this Key informant interviews were semi- implementation phase, but farmers had the most structured, aiming to analyse problems at village important role. They tested options in their level. Topics covered population, labour force forests, fields, home gardens and workshops. and gender distribution of labour, education, Participating farmer households represented land uses, crop calendar, village social those who had different forest resource holdings, organisations and governance institutions, forest types of degraded forests and lands, and wealth resources and tenure, village regulations on levels. forest management, timber prices, household Species’ identification is a good example of collaboration mechanism for forest production participatory implementation. The PRA surveys (e.g., shareholding system for forest revealed that villagers had not sufficient choice management), and extension and credit services. of well-adapted species for profitable tree Group meetings examined questions of planting. Based on this information, tree species relevance to the whole village. In each research not previously grown in the area were selected village, representatives of five or seven groups from both outside China and other parts of China were interviewed. In the case of five groups, they and tested their suitability for local ecological were village leaders, women, elders, middle- conditions and potential profitability. This was aged people and youths. In the case of seven undertaken at all the sites but was extremely groups, they were village leaders, elders of 60 important at one site (Yuanmou, Yunnan) where years old or over, married middle-aged and the availability of a well-adapted and profitable young people, unmarried young people, women, species is key to degraded land reclamation. The the poor and the relatively wealthy. Interviews process was participatory and collaborative, with were semi-structured, each lasting 2-3 hours. local communities providing land for field Each interview involved 4-12 people; most of experiments and being responsible for tending them had not been involved in the household seedlings. surveys. Multidisciplinary Approach Design (Planning) Forest degradation is related to both Participating researchers, farmers and socioeconomic and biophysical factors and government officials worked together in an rehabilitation needs an integrated solution. interactive manner to identify options and Achieving a good understanding of causes of strategies for forest rehabilitation and evaluate forest degradation and developing effective the role of existing technologies and indigenous options or solutions often require a knowledge. After a number of intensive multidisciplinary approach. Each of the research discussions, in which technical, economic and teams consisted of specialists from different social factors were considered, several options disciplines. For example, the Hunan research were identified for each type of degraded forest. team consisted of experts in forest economics, Farmers then chose the option or options best forest resource management, forest ecology, suited to their specific conditions and silviculture, and botany. Social scientists and circumstances. agricultural experts were consulted as required.

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Triangulation and changes in soil properties and fertility. Type, Triangulation was used as a research tool in data texture, depth, fertility of soil and its capacity analysis to check the reliability of the data for holding water and fertility were observed collected. Supplementary survey or further and measured by routine methods. observations were made to validate data if inconsistencies appeared in information from Expert Consultancy secondary sources, field observation, household Expert consultancy was used to help with the survey, key informant interview, group meeting identification of causes of forest degradation and or conventional forestry methods. options for reclamation. Consultation took place with those specialists with expertise in related Indigenous Knowledge fields or who had research activities in the Indigenous knowledge was used in developing research locations. The specialists were not some options for rehabilitating degraded forests members of the research teams of this project and lands. Local people often had existing but they expanded the range of expertise and knowledge that was just as useful and effective contributed to developing options to address as more recently developed techniques. For particular problems. example, in Hunan, villagers developed a sustainable system of establishment and Action Research management of Chinese fir plantations several Options identified to rehabilitate forests and hundred years ago (Menzies 1988, Yu 1994) but forest lands and improve livelihoods were tested this technology was abandoned for many years through an action research approach which as government officials dictated planting involved farmer participation as part of the practices. communities’ own research and development effort. Researchers and local government Conventional Forestry Research officials facilitated this research in various ways. Methods While innovative approaches such as PRA were Location of Research Sites emphasised, conventional forestry methods and The main factors considered when selecting sites techniques such as forest vegetation survey, soil for the case studies were: survey and expert consultancy were also used. • types and extent of degraded forest/land and potential to address the causes of forest Forest Vegetation Survey degradation Forest vegetation survey and forest inventory • economic development level and the extent were undertaken in sample plots of varying size of dependence of local people on the forest at all research sites. Information was gathered and the forest products used and traded. This on forest types, species composition and forest was necessary to determine how people at productivity (inventory), the extent of forest different levels of development market their degradation including historical changes in forest products and their attitude towards biodiversity and forest biomass, and causes of forest rehabilitation, and forest degradation. Researchers and • environmental conditions, e.g., rainfall and knowledgeable farmers together made surveys humidity vary east to west and different of historical changes to forests. technical interventions need to be developed for areas with different climatic conditions. Soil Survey Tree species must be selected carefully for Soil survey was made in different forest types adaptation to site conditions. and at different levels of degradation to Case studies were carried out in one county understand relation between forest degradation in each of four provinces (Map 1.1). They extend

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Map 1.1 Location of the four provinces where study sites were located

Lin'an Hunan Zhejiang Huitong

Yuanmou Yunnan Guangxi Cangwu

from the eastern seaboard (Zhejiang) to the were largely at village level, though some upper catchment area of the Yangtze River on countywide issues were addressed to provide a the high altitude plateau in the southwest good understanding of context. Village-level (Yunnan) and together they represent a studies were carried out in: reasonable sample of south China in the aspects • Shanxin village in Cangwu County included in this study. Initially eight sites were • Dongxi and Xiangjian villages in Huitong selected for study to provide a better sample but County this number had to be reduced due to cost • Chenjiakan, Hongqiao and Sahngfeng factors. The sites selected were in: villages under the jurisdiction of Gaohong • Cangwu County, Guangxi Township in Lin’an County • Huitong County, Hunan • Laofan, Xiaocun, Moke, Bingyue villages in • Lin’an County, Zhejiang Yuanmou County. • Yuanmou County, Yunnan. All the counties were in hilly or mountainous Biophysical and areas. Cangwu County is situated in east Socioeconomic Settings Guangxi; Huitong County in the west of Hunan; of South China Lin’an County in northwestern Zhejiang; and Yuanmou County in central Yunnan in the upper Topography and Extent of Forest catchment area of the Yangtze River. Lands Research in Yuanmou was undertaken at both China’s land area is 9.6 million km2 of which county level and village level, while the studies 6.6 million km2 (69%) is mountainous. As the in the counties of Cangwu, Huitong and Lin’an proportion of mountainous and hilly topography

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in the south is higher than in the north, forestry rehabilitation. The humid or subhumid is the primary land use and ‘forest land’ makes environment is good for tree growth and for up most of the land area of south China. More natural regeneration of secondary forest but the than half of the 70% of people in rural areas in harsh dry climate of Yuanmou makes successful south China live in mountainous areas and they tree growing a significant challenge. rely heavily on forests for timber, NWFPs and fuelwood for their livelihoods. Diversified Forests and Plantations Mountainous and hilly areas comprise Primary forest vegetation in most of south between 80% and 90% of the counties in the China has been replaced by naturally research project and the proportion of forest land regenerated, secondary forests and man-made is from 66% in Yuanmou County to 83% in plantations (Table 1.2). Secondary natural Shanxin village, Cangwu County. forests include evergreen broadleaf forest, mixed coniferous and broadleaf forest, and Climate various coniferous forests. There are major Most of south China typically has a subtropical plantations of Chinese fir (Cunninghamia climate but rainfall and humidity vary markedly lanceolata), bamboo (e.g. Phyllostachys within the zone. Three research sites are humid pubescens), and a range of tree species for or subhumid with a mean annual rainfall of 1516 NWFPs (e.g. Cinnamomum cassia and mm (Guangxi), 1415 mm (Zhejiang) and 1264 Camellia oleifera). mm (Hunan). In contrast, the climate of Evergreen broadleaf forest occurs at all the Yuanmou (Yunnan) is dry and hot and is study sites, including Yuanmou. It is the classified as semiarid. Its mean annual rainfall dominant vegetation type in Shanxin village in is 629 mm, and potential evaporation is six times Cangwu county, but makes up a small proportion the rainfall. Moreover, almost 90% of rainfall of forest area in the other three sites. All the comes during a short wet season (June to broadleaf forests at these sites are secondary in October). The temperature is as high as or higher origin. than in other research areas. Masson pine (Pinus massoniana) forest The climatic variation has implications for occurs naturally in most provinces of south the identification of technical solutions for forest China, and is present in Lin’an, Huitong and

Table 1.2 Woody vegetative cover on designated forest land (% of total land area)

Vegetative cover Yuanmou Shanxin, Dongxi, Lin’an Yunnan Cangwu Huitong Zhejiang Guangxi Hunan

Evergreen broadleaf forest 56 10 7 Mixed forest 25 Forest* and plantation 6 Masson pine forest 33 Chinese fir plantation 44 10 Bamboo forest/plantation 20 Tea plantation 4 Other tree species for NWFPs 2 22 Sparse bushes 46 No woody vegetation 14 2

Forest land (%) 66 83 76 76

* Mixed forest, pine forest and evergreen broadleaf forest.

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Cangwu counties but is considered absent in human intervention and it has implications for Dongxi village, Huitong and Shanxin villages rehabilitation. Rehabilitation of existing, (Table 1.2) because they have individual trees degraded forests in areas such as Cangwu, but not stands of this pine. Huitong and Lin’an is possibly more Chinese fir has been planted in many areas of economically feasible and socially desirable south China where Masson pine occurs although than reclaiming forest land without tree cover. its best growth is observed on the more fertile However, where most of the tree cover has and deeper soils of lower slopes and valley already been removed, as in Yuanmou, efforts bottoms. It has been planted in Lin’an, Huitong have to focus on planting trees, shrubs and and Cangwu counties but there are only scattered grasses to restore the seriously deteriorating trees on the land of Shanxin village, Cangwu. environment. Plantations designated ‘NWFP’ are established for tree products other than wood. Role of Forest in Local Livelihoods Although bamboo produces many non-wood Rural people in south China rely on forest forest products, it is treated separately because products for income generation and on-farm of its relative importance. These plantations are consumption and benefit from ecological a major source of cash income for villagers. services of forests. Natural forests and Many tree and shrub species are used with the plantations are managed for timber, NWFPs and species and extent of NWFP plantations varying fuelwood. The extent of local people’s between localities. For example, NWFP dependence on forest and types of forest plantations accounted for only 2% of total land products they collect vary between area in Shanxin village, and major species were communities. This variation in dependence on Cinnamomum cassia, Illicium micranthum and forests inevitably results in differences in bamboo. Cinnamomum cassia is a medicinal community attitudes to tree planting and forest plant, and fruits of Illicium micranthum (star management. In Cangwu, Huitong, and Lin’an, anise) are a common spice in Chinese food. there is heavy reliance on forests for income Bamboo is planted for both shoots and timber. generation as well as for timber and fuelwood The proportion of NWFP plantations was much for on-farm use. If villagers in these areas are higher in the two villages of Huitong, and not interested in tree planting and sustainable comprised about 25% of land area, mostly in forest management, it suggests that there is some home gardens. Species used are Camellia problem that needs to be resolved. In contrast, oleifera (tea oil), Vernicia fordii, Castanea sp. villagers in Laofan village, Yuanmou have other (chestnut), and fruits (orange, plum and pear). sources of income and domestic energy and may Bamboo is planted for both shoots and timber. have little interest in tree planting. In the Lin’an villages NWFP plantations made up 24% of total land area, with tea and bamboo Shanxin Village, Cangwu County, as the main species. Bamboo is largely managed Guangxi to produce shoots for export and local Forests are very important to the villagers in consumption. Shanxin for generating cash income. The In Yuanmou, the majority of forest land is evergreen broadleaf forest provides wood for covered with sparse bushes, 6% of forest land farm tools and is the source of many NWFPs by poor quality mixed forest and tree plantations, and local fuelwood needs. Timber is harvested and 14% has no tree cover at all. Forest cover is in mixed forest for various on-farm uses. Before the lowest of the four sites and degradation of the late 1970s, they managed evergreen forest land is more serious than at the other sites. broadleaf forest mainly for fuelwood and for The variation of forest types between sites wood for making charcoal. These products were is mainly a result of differences in the degree of exported to cities in the Pearl River Delta and

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Hong Kong. Subsequently, market demand for profitable to plant trees and income cannot be these products diminished greatly due to the generated in short period of time. Little natural availability of alternative energy sources, such forest remains in the area and there are few as electricity and natural gas. However, new plantations. Previously some trees were grown markets appeared when many wood-processing for fuelwood but now there are other energy enterprises requiring small-diameter wood were sources such as electricity and gas available. established locally. Villagers also generate Tree management is therefore relatively income from NWFP species such as unimportant and currently makes little Cinnamomum cassia, Illicium micranthum and contribution to local livelihoods. bamboo. Now small-diameter wood, NWFPs and fuelwood are important sources of cash Forest Tenure and Management income for local farmers. It was estimated that Timber forests in China are controlled by the contribution of forestry sub-sector to government agencies or enterprises, collectives, Shanxin’s agricultural income was about 20% share-holding groups and individual households. in the mid-1990s. Before the nationwide forestry reform, launched in the early 1980s, most forests in China were Huitong County, Hunan owned and managed by the collective Villagers manage Chinese fir and NWFP (commune, production brigade and production plantations to provide products for trade and team), and they hence were called ‘collective these are a major source of cash income for forests’ (Table 1.1). The reform allocated use them. Chinese fir timber is also harvested for rights to denuded or non-forested collective land on-farm consumption. Villagers also collect to individual households as their family plots NWFPs and fuelwood from evergreen broadleaf (ziliushan in Chinese) in an attempt to encourage forest. It was estimated that forestry activities them to plant trees and develop plantations. The contributed about 30% of farmer income in the collective also ‘allocated’ most of existing villages of Dongxi and Xiangjian in 1993. collective forests to households (or a group of households) to manage. As a result, often both Lin’an County, Zhejiang collective management and household-based Forests in Lin’an play a greater role in management of forest exist in one village, with employment and income generation than in the the latter being dominant form in terms of other counties in the research project. Villagers managed forest area. In some cases, household manage Chinese fir plantations, Masson pine management is only form of management as all forest, and evergreen broadleaf forest for timber forests and forest lands were allocated to for trade and on-farm consumption. They manage individual households (Yin 1994, Liu 2001). bamboo and tea plantations as cash crops. There Throughout China the state directly controls has been a boom in developing bamboo about 40% of forest land, and the collective 60% plantations and bamboo shoots are the major during the early 1980s when the forest reform source of cash income for local farmers. They began. In the ten provinces of south China, are so profitable that many farmers have extended however, 90% of forests were collective owned, the planting to unsuitable sites, resulting in poor and the other two provinces (Sichuan and productivity and site degradation through soil Yunnan) had about 65%. After the forest reform, erosion. Villagers also collect fuelwood from most of these collective forests were under evergreen broadleaf forest. household management. For example, farmer households in Xiangjian village and Dongxi Laofan Village, Yuanmou County, Yunnan village of Huitong manage 92% and 66% of forest Most people in Yuanmou generate income by land respectively, while households in the three cultivating vegetables in winter. It is less villages of Lin’an manage 85% of forest land.

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Demography and Infrastructure employment opportunities differ from the other research sites. A large proportion of the Demography population had primary or junior middle school Three common features of demography in south education, but about 8% of villagers completed China were evident in the study villages. senior high school. People of labour age • Villages are agricultural communities and comprised 65% of the population. Only 45% of rely heavily on agriculture (food cropping, the labour force in Gaohong was working in forestry, and animal husbandry). agriculture, with 28% in secondary industry and • A high proportion of the population has 27% in tertiary industry. reached labour age (women 16-54 years old, and men 16-59 years old), which means in Communications many families labour is available for forest Laofan village is only 7 km from the Yuanmou rehabilitation from the underemployed. County town. A sealed road links it to the county • Most villagers have only primary and junior town that in turn has good road and railway middle school education, which is a connections with provincial capital cities constraint for securing off-farm employment (Kunming in Yunnan, and Chengdu in Sichuan). and external income generation. This provides villagers with ready access to markets for vegetables and other agricultural Laofan village, Yuanmou has a small produce. population. In 1995 there were 441 persons in Shanxin village has relatively ready access 108 households, with 73% of the population in to transport. Six of its village household groups labour force of which 93% was engaged in reside along the highway passing through the agriculture. village and 11 are connected by unsealed road Shanxin village, Cangwu had a population to the highway. However, the village is rather 2570 in 521 households (1995). About 64% of isolated in terms of telecommunication, for the population had primary school level example, the village office had no telephone education, 32% junior middle school education connection when this research was conducted. and about 3% was illiterate and very few The villages of Xiangjian and Dongxi are villagers had senior school education. In this about 25 km from Huitong County town. Both village 43% of the population was of labour age, villages have ready access to both road and rail the majority of whom were involved in transport. agriculture. Only those with senior middle Gaohong is near Lin’an county town that has school education and a proportion of those with a high standard highway to Hangzhou, capital junior middle school education have sought part of Zhejiang province. Telecommunications are time or full time off-farm employment. good and many households have television. This Xiangjian village, Huitong had a population enables farmers to obtain information and of 1170 in 335 households (1995). About 40% market signals more easily than farmers at the of people had primary education, 40% attended other sites. junior school and about 4% went to senior Although generally mountainous and hilly middle school. The remainder was illiterate. Of areas have poor transport infrastructure the 75% of villagers at labour age, most were compared to those in the plains, in this study involved in agriculture, and less than 10% had almost all the sites have relatively good access off-farm employment. Demography of Dongxi to transport, which suggests this is not a village in Huitong was similar to that of constraint to forest rehabilitation. Communities Xiangjian. in mountainous areas do however vary in their The population of Gaohong township, Lin’an ease of access to marketing and technology was 10 513 in 1995. The education levels and information.

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Economic Status negative off-site effects such as local flooding Among the four sites, Lin’an was most advanced and siltation. Forest degradation also means loss in economic development. Cangwu and Huitong of biodiversity in natural forest. The situation were less developed and Yuanmou farmers had in the different forest types is summarized below the lowest income. For example, average per and more details are provided in the case studies capita annual income of the three study villages in Chapters 2-5. in Lin’an was about 1800 Yuan in 1995, compared to about 1540 Yuan in the villages of Evergreen Broadleaf Forest Xianhjian and Dongxi in Huitong. Average per Three indicators were used to assess the state of capita annual income of villagers in Shanxin degradation of evergreen broadleaf forest: village, Cangwu was 980 Yuan in 1994, with • forest composition, or tree species diversity 80% of households unable to produce sufficient indices (Simpson Index and Shannon-Wiener food for themselves. Index) • biomass (standing timber volume/stock and Extent of Forest Degradation fuelwood output) Forest degradation was interpreted as decline • mean stem diameter at breast height. in productive capacity, reduced biodiversity, and in some cases deterioration of plantation health. The assessments showed most evergreen The indicators used to assess degradation broadleaf forests (70-85%) are degraded or differed from one type of forest to another, and seriously degraded. For example, 85% of this in a few cases, indicators for same type of forest forest type at Shanxin village was degraded, are different across sites. Existing indicators 10% seriously (Chapter 3). Degraded and were used as the aim was to concentrate on seriously degraded forest comprised 79% and identifying causes of forest degradation and 69% of forest area of Xiangjian and Dongxi intervention options for rehabilitation. villages respectively in Huitong County This research examined the level of (Chapter 4). Nearly 80% of this forest in the degradation in the following types of forests and three villages of Lin’an County was degraded forest lands: (Chapter 5). • Evergreen broadleaf forest The degradation of evergreen broadleaf • Masson pine forest forest is reflected in the decreasing number of • Chinese fir plantation tree species and families, simpler forest • Eucalypt plantation structure, and reduced standing biomass (wood • NWFP plantations, and volume), compared with its previous state and • Non-forested forest land. with normal, undegraded forest. Degraded evergreen broadleaf forest often comprises The majority of forests was assessed as impoverished and ecologically unstable stands. degraded or seriously degraded. This is The cases of the villages of Cangwu, Huitong indicative of the situation in much of south and Lin’an clearly show that the number of China. As a result, those rural people who rely species in the forests has been significantly largely on forest are now able to harvest less reduced. High value timber species for house timber and non-wood forest products, which building and furniture are greatly diminished in means a decline in their income from forest and number and fast-growing, lower-value species, accordingly a decline in their quality of life if such as Castanopsis fissa and Quercus griffithii, they cannot find alternative sources of have become dominant species in degraded employment and income. The agro-ecological forest. In seriously degraded forest few tree environment has become poor with potential species remain and many trees have been

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reduced to a shrubby form. Seriously degraded Although probably in the best condition forest of Shanxin village has become shrub land among all timber forests and plantations, many and bare land. In the three villages of Lin’an, Chinese fir plantations are also degraded. The evergreen broadleaf forests were in good Ministry of Forestry indicator for a fast-growing condition in the 1960s and 1970s, with a dense Chinese fir plantation is 12-15 m3 ha-1 mean canopy (80-90%), but now they are in poor annual increment (MAI) depending on the area condition with a more open canopy (30-50%). of cultivation (Department for Reforestation, In Shanxin, standing biomass of the degraded Ministry of Forestry 1982). Most Chinese fir evergreen broadleaf forest declined from about stands now are young and middle-aged and their 100 t ha-1 in the early 1950s to 65-100 t ha-1 in productivity is lower than that of a normal the early 1980s to 30 t ha-1 in the late 1990s. Chinese fir stand. For example, in Lin’an, 20- The biomass is much lower than the 280 t ha-1 year-old plantations have a mean dbh of 10 cm, of forest with the same dominant species in a a mean tree height of 7 m and a mean annual nearby reserve. increment of 2.7 m3 ha-1, well below the national Fuelwood output of Shanxin’s evergreen standard. broadleaf forest is now consistently less than 20 t ha-1 (on about a 7 year cutting cycle), Eucalypt Plantation compared to the 30 t ha-1 or more from slightly The only eucalypt plantation assessed was of degraded forest. In the villages of Lin’an, mean Eucalyptus exserta in Laofan village, Yuanmou. diameter at breast height of evergreen broadleaf The main indicator was growth rate. forest declined from 10-12 cm in the 1960s and Although this eucalypt is one of the most 1970s to 6 cm currently. tolerant species of poor soil conditions, the stand is irregular and lacks vigour. Apart from the slow Masson Pine Forest growth rate, there are almost no understorey Two indicators were used to assess the plants and there is continuing development of degradation of Masson pine forests: numerous soil erosion gullies. Both the • standing timber volume plantation and the land are severely degraded. • mean diameter at breast height (dbh) and It is recognised that most species of Eucalyptus mean tree height are not effective in controlling soil erosion in dry areas, because their open crowns provide Most Masson pine forest is degraded. In very little shading of the soil and their roots Lin’an, pine forest was dense in the 1960s and compete very effectively with understorey plants 1970s, with an average dbh of 26-28 cm, a mean for the small amount of water available. This tree height of 11-12 m, and a timber volume of suggests that a species with a dense spreading 105-120 m3 ha-1. In contrast, by the mid-1990s, crown that is either deep rooting or has a low average dbh decreased to 8-10 cm; tree height, water requirement would have been a better to 6-7 m; and timber volume to 20-30 m3 ha-1. choice on this eroded soil and in this dry climate.

Chinese Fir Plantation NWFP Plantations Indicators used for Chinese fir plantations were Indicators for NWFP plantations were decided similar to those for Masson pine forest. They based on the purpose of plantation establishment were: and included: • standing timber volume • productivity • mean diameter at breast height and mean tree • uniformity of the plantation (bamboos) height • plantation health. • mean annual increment

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Table 1.3 Causes of forest degradation

Policy and socioeconomic factors Forest practices

Development policy Poor harvesting methods Breakdown of forest management system Suboptimal silvicultural practices (species-site Tenure insecurity matching, multiple cropping, monoculture, burning). Over-harvesting Market environment and external conditions

The extent of degradation in NWFP Causes of Forest Degradation plantations was variable. Tea plantations in in South China Lin’an and some bamboo plantations planted The four case studies provided insights into the off-site were seriously degraded. In the study causes of forest degradation in south China. In villages of Lin’an about 20% of Lei bamboo most instances several interacting factors are plantations was degraded, with lower responsible. Factors change over time and productivity, uneven mother bamboo individuals dominant factor(s) in a given period may be at different ages and higher incidence of replaced by other factors as context changes. diseases, compared to those of a normal These factors can be grouped into two broad plantation. Nearly half of bamboo forest used categories. One group includes aspects of forest for producing dry shoots was also degraded. policy, development policy and other socioeconomic factors; the other mainly Non-Forested Forest Land inappropriate forest practices (Table 1.3). Two indicators were used to assess the extent of degradation of this type of forest land by Policy and Socioeconomic Factors examining how much forest left, how poor they Political and socioeconomic factors affect are, and how serious soil erosion is in the site. forestry development and some of the effects The indicators were: have been highlighted in reviews by Li et al. • per cent of land with vegetative cover, and (1988), Richardson (1990), Sun (1992), Yin • extent of soil erosion. (1994) and Zhu (1997). Of the several government policies that have been linked to Yuanmou, Yunnan, was the site with the deforestation and forest degradation perhaps the greatest area of this type of land. While about most devastating was the ‘Great Leap Forward’ 66% of the land area of the county is designated development policy in the late 1950s. However as forest land, only 6% was covered with forests, policies such as the forestry tenure reform of the majority had bushes, grass or no vegetative the early 1980s also had the unintended outcome cover at all. Bush vegetation was characterised of deforestation. by few species and with individuals sparsely distributed. Heavy rains in the short wet season Radical Development Policy result in severe erosion of the unprotected soil. In 1958, the government launched the ‘Great Degradation is a serious problem in Yuanmou Leap Forward’ campaign and one of the and significant efforts are required for ecological campaign’s objectives was to realise and environmental restoration. Chapter 2 industrialization in China with steel output as describes this situation in greater detail. Other the major indicator. It was planned that China’s sites had relatively small areas of non-forested steel output would surpass that of Great Britain forest land, e.g. 2% in Lin’an. in 15 years. To achieve the goal, people were

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mobilised to make iron and steel using backyard a peak reflecting uncontrolled harvesting of furnaces throughout China. The furnaces failed forest products. to produce usable iron and steel and wastefully Significant deforestation during the forest consumed a very large amount of fuelwood and reform in the early 1980s was also related to charcoal. Another aspect of the policy was the collapse of the forest management system, call for self-sufficiency in grain and this led to through tenure insecurity and risk aversion by forested land being cleared and cultivated villagers (as discussed below). Management (Richardson 1990). As this was a countrywide breakdown explains why numerous trees and campaign it impacted massively on forests and stands that remained under collective caused a significant forest decline that can be management at that time were cleared, while considered as the first disastrous deforestation tenure insecurity accounts for the harvesting of in modern China. forest designated for household management. Examples from our research sites lend At the beginning of the forest reform, Laofan support to this conclusion. In Shanxin, Cangwu village retained its eucalypt plantation as County, a large number of people from the collective property but nobody was given neighbouring town came to the village to cut authority to manage it. Consequently, villagers trees and make iron and steel. Together with cut down almost all the trees that were planted local villagers they established about 190 in the mid-1960s. charcoal making sites. Consequently, patches of high quality evergreen broadleaf forests were Tenure Insecurity cleared and many other dense forests became In modern China, government interventions poor quality secondary forest with low stocking. through a series of policies and decrees sought This also occurred at our sites in Yunnan, Hunan to implement farm forestry and encourage and Zhejiang. farmers to participate in developing forest resources. There were frequent, radical changes Breakdown of Forest Management in forest tenure during the period from the early System 1950s to the early 1980s. A majority of forests When the forest management system breaks was the private property of rural households in down, deforestation is very often a consequence. the first half of the 1950s. These private forests This happened in many places in China were collectivised between 1955-1957, and especially during two periods: during the ‘Great became the property of communes in 1958. They Proletarian Cultural Revolution’ and after the were then owned and managed exclusively forest reform in the early 1980s. The Cultural collectively until the early 1980s. Revolution, initiated in 1966 and lasting a Late in 1978, China began its agricultural decade, paralysed almost the whole governance reform. The primary feature of this reform was system from national to village level. It resulted the abolition of collective agriculture and the in the breakdown of the management system of introduction of household-based agriculture. collective forests in many areas. The collapse Before the reform, officials of the commune and of forest management was not a failure of the production brigade made most decisions system itself but was the result of the abnormal concerning land use and management, and political and policy environment. agricultural production on the collectively The effects were reported from the Shanxin managed lands. Farmers usually did not village in Guangxi where the leadership of the participate in the decision-making process. village lost control over forest management and Through the reform, use rights to agricultural illegal logging increased considerably. From lands were distributed to individual farm 1966-1968, fuelwood and charcoal output in households, while the village collective Shanxin and neighbouring villages experienced remained the owner of land. Along with the

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transfer of land use rights, households gained perceived insecurity farmers immediately increased authority to make decisions about land harvested trees distributed to them to realise their use and management and agricultural production value. They were not convinced that the and marketing. Village collectives reserved government would not reverse its policy so risk some rights as the owners of land. As a result, aversion strongly influenced their decision to farmers’ motivation to increase agricultural harvest the trees (Yin 1994). All the study sites production improved considerably. in Yunnan, Hunan, Guangxi and Zhejiang Nationwide forestry reform in the early experienced deforestation at this time. The 1980s followed the pattern of the agricultural premature harvesting led to a huge loss of forest reform. Use rights to denuded or non-forested and many of the remaining forests were severely collective land were distributed to individual degraded by over-logging. households as their family plots in an attempt The long period needed for timber to to encourage them to plant trees and develop generate income for investors requires tenure plantations. The collective retained ownership security. If the security is not there then farmers of the land, but farmer households have land will take a lower risk option. For example, use rights and own any trees they plant on the farmers in Lin’an were very enthusiastic about land. At the same time, the collectives also bamboo, because they can obtain income from ‘allocated’ existing collective forests to farmer it in just two or three years. This behaviour households to manage. In this case, the collective conforms to that reported in studies on property owned the forest but transferred responsibility rights and investment incentives in other parts for forest management to individual households. of the world (e.g. Fortmann and Bruce 1988, Income from the forest is shared between the Besley 1995). It follows that if there is doubt collective and households that manage the forest about tenure security, longer-term tree crops for under a wide range of terms agreed by both timber production are likely to receive poor parties. management and become degraded, and are The state of tree and land tenure and its unlikely to be replaced after harvesting. influence on farmers’ revenue directly influences farmers’ attitudes to engaging in Over-Harvesting forestry as part of their farming operations (He Although over-harvesting took place in the early 1995). It is arguable that tenure insecurity or 1980s due to tenure insecurity, generally it frequent changes in policy for forest tenure in results from the excessive dependence on forest China over the three decades to the early 1980s resources. Local villagers rely heavily on forests was responsible for the deforestation that took to generate cash income from timber and place immediately during the forest reform in NWFPs, while timber and fuelwood are also the 1980s and hence contributed considerably harvested for on-farm and domestic use. to forest degradation. Between 1977 and 1987 Fuelwood is the main or only source of energy there was an overall reduction in standing for cooking and space heating, in most volume of forests in south China from 49.6 m3 communities, especially those living in ha-1 to 43.7 m3 ha-1 (Yin 1994). mountainous areas where temperatures are Significant deforestation took place lower. immediately after the adoption of the household- Forestry contributed to about 30% of based forest management system. The root cause farmers’ income in the villages of Dongxi and of the deforestation was a complete lack of Xiangjian in Huitong County. In Cangwu, farmer confidence in tenure security, a sense Guangxi, sales of fuelwood and charcoal to cities developed from their experience in the period on the Pearl River and Hong Kong were a major from the 1950s to the 1980s, rather than the source of cash income from the 1950s to the household management system itself. With late 1970s until market demand disappeared as

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new other energy sources became available. sales were disincentives to farmer to invest in Fuelwood still is the primary source of energy sustainable management of plantations of for local villagers and the small-diameter wood Chinese fir and other timber species (Chapter is in demand for new wood processing plants. 4). In comparison, the market environment for If over-harvesting is to be halted and forests NWFPs and bamboo shoots is much better as allowed to recover, villagers need to have farmers are able to sell them freely. alternative sources of income. This can be achieved Poorly designed mechanisms for benefit through either farm forestry development or non- distribution can discourage investment in forest farm and off-farm employment, or a combination management and lead to forest decline. Data of both. from our surveys show timber income is distributed between outside stakeholders Market Environment and External (government and forest department) and local Conditions community/households. The outside The market environment includes government stakeholders receive income in the form of taxes interventions to the market such as harvesting and fees. For example in Huitong, Hunan, the quotas, pricing and taxation policies and price for Chinese fir timber is about 600 Yuan marketing services. External conditions relate m-3 from which 295 Yuan m-3 is deducted for to local constraints such as resource supply and government taxes and fees including the forest the demand for the forest products. department’s fee for the reforestation fund Government regulations on wood harvest (Chapter 4). Returns to the farmer are low as it and trade impact negatively on timber forest takes at least 20 years before Chinese fir is large establishment and management in China. A enough to harvest. In contrast, tax on bamboo cutting permit is required to cut trees and quotas shoots is less than 1% of sale price. This is to control the quantity of timber harvested in a another reason why farmers have little region are specified by the government. Timber enthusiasm for timber forest management. harvesting must be carried out at a time and Degradation or deforestation may also result location, and in an amount specified by the from poor local socioeconomic conditions. cutting permit. To some extent, this limits Where there is reduced demand for a product farmers’ authority and makes them unable to farmers may respond by cutting down the trees respond to market signals. For example, they (He 1995). In Yuanmou, Yunnan, forests were may not be able to harvest and sell their wood cut down and not replanted when the local when prices are high due to the inability to obtain demand for fuelwood disappeared and a permit. In most cases, the forestry department, agricultural crops provided an alternative source or other institutions to which it delegates of income (Chapter 2). In the case of tea authority to purchase timber from farmers and plantations in Lin’an, Zhejiang (Chapter 5), village collectives, monopolizes the timber when market demand and prices for tea declined, market. Consequently, timber prices are skewed farmers neglected their tea plantations and and farmers receive prices lower than those on consequently the productivity decreased. If the free market. Present wood marketing indicators other than output are used, then practice may encourage illegal logging and sales strictly speaking it may not be appropriate to and discourage farmers from managing timber assess such a plantation of tea or other NWFP forests sustainably. The study in Huitong species as ‘degraded’. County, Hunan, concluded that restrictive regulations on timber harvesting and marketing and the high level of taxation and fees on timber

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Forest Practices fertility and forest land degradation (Fang 1987, Sheng 1991, Yu et al. 1992), and plantation Harvesting Methods productivity of later rotations is low. A further Inappropriate logging methods result from over- factor in productivity decline in later rotations dependence of villagers on timber/wood for both may be the destructive effects on soil fertility farm-use and income generation. Over the past of burning and intensive site preparation two decades most timber stands in south China practices prior to planting Chinese fir. Burning have been young or middle-aged with a low has been a common practice in Chinese fir timber volume. In the absence of mature forests, plantations because it provides short-term farmers logged the best quality, large-diameter benefits to soil fertility, prevents weed growth, trees from immature stands (badamao in and makes planting easier. There are however Chinese) to meet their timber needs. This many records of loss of site productivity in selective logging also occurred because sale tropical plantations due to the loss of soil organic prices for large-diameter logs are high. Farmers matter due to burning (e.g. Goncalves et al. in Cangwu, Huitong and Lin’an counties all 1997). Observations at our research sites are adopted the logging practice that resulted in a consistent with these literature reports, e.g. in dysgenic selection in their forests. In Cangwu, the Hunan villages average MAI of Chinese fir increasing demand for wood for new local plantations has decreased from 10.5 m3 ha-1 in industries resulted in cutting cycle being reduced the first crop to 9.2 m3 ha-1 in the second crop from 8 years to 5-6 years. and 6.0 m3 ha-1 in the third crop. These figures Poor harvesting occurred in bamboo forest suggest that the decline in tree productivity for producing shoots. Farmers harvest early becomes very significant in the third crop. sprouting and vigorous shoots and leave late There has been considerable government sprouting, weak or unhealthy shoots as mother pressure for farmers to plant Chinese fir without bamboos. This is detrimental to healthy and the necessary attention to situating the productive bamboo forest. They also break plantations on more fertile, deeper soils shoots off by hand instead unearthing them with occurring on lower slopes and valley bottoms hoes or other tools, a practice believed to which this species is known to require for contribute to lower quality bamboo shoots. satisfactory growth. In Huitong (and other Demand and prices for low quality shoots are areas), Chinese fir plantations were often low and accordingly local farmers were not developed on shallow, infertile soils on upper enthusiastic about investing their time and slopes. The majority had low productivity and money in properly managing bamboo forest. about half were classified as degraded (MAI = 6-10.5 m3 ha-1) or seriously degraded (MAI <6 Silvicultural Practices m3 ha-1) (Chapter 4). Traditional cultivation practice for Chinese fir Species-site matching is also a problem in was a sustainable system that included bamboo plantations. In Lin’an, Zhejiang, establishing modest-sized plantings on suitable farmers have established extensive Lei bamboo sites, allowing land to lie fallow after two or plantations on steep slopes and ridges with three successive crops, and intercropping with infertile, shallow soil and other lands not suitable food crops or cash tree crops. However, these for the species. Bamboos planted on these sites traditional technologies were abandoned for grow slowly and plantation productivity is low. various reasons after about 1960. From this time, Planting Lei bamboo on steep slopes and ridges extensive Chinese fir plantations were often has caused serious soil erosion, and some extent developed on inappropriate sites, and fallows biodiversity loss where natural forests have been and mixtures were not used. This changed cleared for the plantations. silvicultural practice has resulted in lower soil

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A mulch cultivation technology for bamboos heavily on timber/wood for both farm-use and developed in the late 1980s to stimulate shoots income generation. Over-exploitation explains to sprout earlier than normal has also caused much of the degradation of timber forest, problems. Lei bamboo usually sprouts after especially that observed in evergreen broadleaf Chinese New Year but mulching increased soil forest in Cangwu, Huitong and Lin’an. Both over- temperature and shoots sprout before and during harvesting and selective logging immature stands Chinese New Year when prices are much higher. have contributed to forest decline. This technology is profitable but unsustainable Ways must be found to reduce dependence as it results in several bamboo diseases and on forest products to support livelihoods if the unhealthy bamboo plantation including smaller present degraded forests are to be rehabilitated. stem diameters, a higher proportion of old These can include developing fast-growing mother bamboos and increased flowering. Both plantations and intensifying or developing new the application of the mulch technology and poor farm, non-farm and off-farm activities and siting of plantations are motivational factors employment. Some possibilities were because high profitability is a great incentive demonstrated at the research sites e.g. neem for farmers to plant bamboo. plantations in Yuanmou, and pig raising and The underlying causes of these methods and orchard development in Cangwu. In Lin’an, practices leading to forest decline are over- where education levels were higher, there were dependence on forest products for livelihoods, greater opportunities for employment in non- farmer motivation, inappropriate guidelines of farm and off-farm industries. from government agencies on plantation development and limited availability of Overcome Constraints to Forest information on appropriate technologies and Rehabilitation methods. There are many site-specific constraints to successful rehabilitation of degraded forests, but Forest Rehabilitation in South some constraints are more general. Experience China at the research sites highlighted the importance The above analysis indicates that successful of size of forest holdings, current access to rehabilitation of degraded forests and forest land forest, access to technical information and needs to address several issues. While some advice, and capital for investment. issues are site-specific, others will apply to much of south China. They will require action to: 1) Fragmentation of Forest Holdings reduce dependence on forest resources; 2) Fragmentation resulted from inappropriate overcome constraints to rehabilitation; 3) implementation of policy for the forest reform improve the motivation of farmers by removing in the early 1980s. When forest land and forest disincentives; 4) improve technical guidelines were distributed to individual households, to for plantation development; 5) build and raise ensure equal distribution they were divided into environmental awareness of farmers and other many tiny plots based on tree species and age, groups; and 6) identify and develop effective land quality, distance of forest/land from interventions for rehabilitating degraded forests village etc., and matched to family size. As a using innovative approaches. result, a household was allocated several very small plots in different locations and so use Reduce Dependence on Forest rights to forest/land in one location are owned Products by a number of households. For example, in An important cause of forest degradation in China Shangfeng village of Lin’an County, several is over-harvesting of forest products driven by households each have 10 or more plots of over-dependence on forests. Many farmers rely forest, while the average holding is only 2.3

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ha per household (Chapter 5). This situation is conservative. In Huitong, which is more very common in south China. developed economically than Shanxin, the Land fragmentation makes it difficult to shareholding system as an option for common develop an integrated plan to rehabilitate a management of forest often was also rejected degraded forest. For example, mountain closure by local communities and farmers, though the for natural regeneration of secondary forest and government made great efforts to promote it. plantation establishment in small catchment is Observations from these sites and elsewhere cost-effective and technically easy to adopt, but demonstrated that common management is not it needs common action of many households. only is able to solve the problems of forest holding Mountain closure was adopted in three of our fragmentation but also is more cost effective than research sites. In Lin’an, household forest farms individual household management where, for and a shareholding system were emerging as example, each household must allocate a person ways to solve the fragmentation problem. In the to look after its scattered plots. It is necessary to former case, a household expands its forest land pool resources or to transfer land use rights area through leasing land use rights from, or in between households to realise common partnership with, other farmers. In the latter, all management for natural regeneration of forest but parties involved pool their land, funds and/or it must be achieved through negotiation and in technology to manage forest and establish response to market forces rather than externally plantations. They subsequently share benefits imposed by the administration. generated from the forest based on the shares they hold through their resource input. A shareholding Access to Forests system was also adopted by villagers in Huitong Villagers in mountainous areas rely heavily on but was not acceptable in Shanxin village. In forests for their welfare and so need some access Shanxin farmers were more comfortable with an to forest resources when mountain closure is option that did not change the form of forest identified as an option for natural regeneration tenure or involve redistribution of forest benefits. of forest. If all their forest is closed, they will Each household with forest land in the closed area be unable to collect fuelwood and NWFPs, retained control of their trees and will harvest harvest timber, or graze their animals. If this products only from their own plot(s) of land when occurs they may have no cash income to buy the mountain is reopened. manufactured goods or to pay school fees and A point that must be made regarding common medical expenses. Full closure of a mountain action in forest rehabilitation is the form of area for regeneration is therefore not acceptable common management. It is households who and will not be successful. should decide what forms (e.g. shareholding Recognising the problems for full mountain system, household forest farm or other models) closure, partial closure was proposed for the to be adopted based on their socioeconomic study villages of Huitong and Shanxin village circumstances. At our sites decisions on this when this strategy was identified for forest seemed to be related to the communities’ level rehabilitation. Half of a mountain area was of social and economic development and the closed during a given time, while the other half extent of their exposure to market forces. In was open for use. When the closed half reopens Lin’an, farmers have achieved considerable after a specified period (several years), the other economic advances and were more amenable half of mountain will be closed for rehabilitation. to a shareholding system or household forest In Shanxin village, several households had all farm that involves leasing of land use rights. A or the majority of their forests in the designated shareholding system was not acceptable in closed area so an exchange of forest land was Shanxin village, Cangwu, which is much less arranged with those households with majority developed, more isolated and the farmers more of their forest outside the closed area. The

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arrangement made it possible for all households communities in remote and isolated rural areas to have access to forest resources. but need new initiatives to improve Implementation of partial mountain closure communication. Unless this occurs was effective in the study villages in Cangwu, rehabilitation of degraded forests will be difficult Huitong and Lin’an, which suggests it could be as villagers will find it hard to find alternative applied in the context of small scale forestry in sources of income. south China. Shortage of Capital for Investment Lack of Technical Information Shortage of funds is a constraint most farmers It was evident from our research that village face when they want to regenerate natural communities did not have ready access to forests, establish plantations or undertake other information about alternative technologies that agricultural and non-farm activities. This was a could help them diversify their sources of general problem at the research sites. In Shanxin, income. In Lin’an, farmers left tea plantations one of difficulties in implementing the untended when market demand for general tea ‘mountain closure’ strategy was how to cover declined and they were not able to identify operational costs. In the Huitong villages, opportunities for alternative, profitable forest farmers had to change their plan to replace products. In Huitong, there was a need for degraded Chinese fir plantations with chestnuts agroforestry technologies and to identify new and oranges because they could not raise funds species or varieties with market potential that for these species from external sources and were were adapted to local ecological conditions. not able to cover all the costs themselves. Finally These are beyond farmers. The situation was they decided to plant Ginkgo biloba, a tree used similar in Shanxin village when villagers tried to provide medicinal products, because the to develop other sub-sectors of agriculture and forestry department at that time provided loans non-farm activities to reduce pressure on only for that species. existing forests. In Yuanmou, lack of a species Some of these problems in the research sites that was adapted to local conditions and that were solved by financial support by the project could be grown profitably was one reason and special allocations by local governments but villagers were not enthusiastic about planting this is not a solution that can be replicated trees. elsewhere. Improved rural credit services, such These problems were identified and resolved as the microfinancing arrangements of Grameen in the research sites by tapping into the broader Bank and other rural financial institutions which experience and knowledge of project researchers have already shown promise in some areas in and local research and development institutions. China, are needed. In Lin’an, there was a government extension organisation at township level and farmer Farmer Motivation demonstration households with primary It is essential to harness interest of all responsibility to demonstrate successful stakeholders, but especially rural communities, technologies to their fellow farmers but poor in rehabilitation and sustainable management of communication between them. The project degraded forests in south China. Without their helped to improve the agricultural extension active involvement, there is little likelihood of services by establishing village technical groups success because so much of forest land in the to assist the flow of information. region is managed either by households or by Villagers have good understanding of their village collectives. Our research, and that of problems but they need help in identifying others, shows that incentives are related to policy options to solve them. Public extension services factors, marketing of forest products, and have the potential to make great contribution to comparative economic benefits. At policy level,

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tenure insecurity, over-taxation on timber and Over-Taxation on Timber restrictive regulations on wood harvest and trade Distribution of forest benefits, if not properly are factors that have been disincentives to designed and implemented, can be a significant farmers to invest in timber tree planting and disincentive for farmers and other investors. forest management. It also is important to Timber income is distributed between outside manage incentives as over-enthusiasm for stakeholders (including government, forest planting of a particular crop can have a negative departments and timber companies) and impact on forests, as in the case of widespread community/individual households. Our data planting of bamboo for shoot production in show that local government and the forest Lin’an. department captured about half of the turnover of wood trade in the form of tax and fees; costs Tenure Insecurity of logging and timber transport are estimated at Tenure insecurity has been not only one of about 30-35% of sale price; and farmers received factors responsible for deforestation and forest only the remaining 15-20%. Profits to farmers degradation in China but also a disincentive for from timber were nearly zero when farmers to be involved in forest rehabilitation. establishment and management costs are taken The frequent change in policy for forest into account. Shares of timber income were ownership over the three decades to the mid- similar in Lin’an, Zejiang, with outside 1980s led to a great lack of confidence among stakeholders seizing half of gross timber income villagers in tenure security. With perceived (trade price). In the case of Chinese fir log in insecure tenure, villagers did not manage forests Huitong, government captured 25% of trade sustainably and did not want to invest in price; forestry department about 15%; timber establishing timber plantations or managing company around 35% (including costs of timber forests that need a long period to generate transport and profits); and farmers, 25% of income. In contrast, farmers were extremely which 9% is logging cost. Sun (1992) refers to enthusiastic over bamboo and other NWFP other studies that show the farmer captures only plantations that can generate income in just a a very small part of income from timber sales. few years. The behaviour conforms to that As a result, farmers shift to develop NWFP reported by others on property and investment plantations such as bamboo (e.g. Ruiz-Perez et incentives in other parts of China and elsewhere al. 1996), fruits, nuts and others, because tax on (e.g. Fortmann and Bruce 1988, Besley 1995). these products is very low, e.g. tax on bamboo The tenure issue also involves the rights of shoots is less than 1% of sale price. owners to dispose their property. A frustration The reduced level of benefits to farmers due among Chinese farmers is to have trees, to over-taxation of timber in part explains why recognised by law and policy as their property, they have little enthusiasm about timber which they are not permitted to harvest because plantation establishment and forest of environmental concerns. The logging ban in management. It is also clear that where the state natural forests in most areas of China (Yang has reduced its influence on production and 2001) is an example. Such a ban may be marketing of other crops farmers have been necessary for the country’s environmental motivated to increase production. benefits but then farmers should be properly compensated for their contribution. If this does Regulations on Wood Harvest and Trade not occur they will again lose confidence in Wood harvesting is highly regulated in China policy for forest tenure and have no incentive through a system of cutting quotas and permits. to manage their forests. The logging quota set by government, rather than market supply and demand, is the most important factor determining China’s annual

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timber production (Sun 1992). A cutting permit resulted in plantations with low productivity and is required to cut trees irrespective of whether associated soil erosion. While this is clearly they belong to private households or collectives. undesirable, it is not uncommon for proper Timber must be harvested at a time, location, and species-site matching to be neglected when in the amount specified by the cutting permit. prices for a commodity are high. When the quota is filled for a county or town, then no more cutting permits will be issued that Comparative Advantage in Economic year. Quotas are limited and obtaining permits is Benefits a difficult, costly and time-consuming process. Farmers will plant trees and manage their forests The regulation is discouraging because it inhibits when their products are more profitable than farmers from responding quickly to market products from other agricultural activities. Farmers signals. They may not be able to harvest and sell in Laofan village were not interested in tree their wood when prices are high due to failure to planting because cultivation of winter vegetables obtain a permit. It also provides an incentive for is much more profitable and is their major cash illegal logging and selling. income. The income is generated within a year Current wood marketing regulations are a and so they rely little on trees and plantations for disincentive. The timber market is a monopoly their livelihoods. When tree planting is profitable with only the government forest department, or or has the potential to be more profitable than other institutions designated by the forest department, agricultural activities, farmers will take action entitled to purchase timber from villages and immediately as the rapid diffusion of neem trees households. Consequently, farmers may obtain in Yuanmou and other areas attests. prices much lower than market prices, while the This is a factor that must be taken into account state timber company benefits. In comparison, when the government urges rural communities the market environment for NWFPs is much to restore environmental conditions through better as farmers can sell their products freely. planting trees and grass in environmentally This, in part helps explain why farmers are more sensitive areas such as the upper reaches of the enthusiastic about NWFPs than timber. To Yangtze River. motivate farmers to establish and manage forests, monopolised purchases by the forest Raising Environmental Awareness department and other regulations must be Harnessing self-interest of stakeholders is reviewed and modified to give farmers more essential but not sufficient. Although flexibility and authority in wood marketing. profitability was the major driving force for farmers to be involved in forest establishment Market Demand and Prices and management, the research found that Market demand and prices for forest products villagers are also not active in planting trees have a strong influence on farmers’ motivation, because there is a lack of awareness of especially in the case of NWFPs. When demand environmental benefits of forest and tree and prices are low, farmers have little incentive plantations. Generally they did not recognise to invest time and money managing their forests direct benefits from improved agroecological properly. For example, farmers in Lin’an left conditions and reduced soil erosion. Farmers in their bamboo forest for dry shoot production and Yuanmou showed little interest in revegetating tea plantations untended because demand for the bare hilly land even though there was evidence two products was low. Conversely, high prices that rising salt levels in the soil was beginning encourage farmers to develop plantations and to affect the productivity of their more fertile manage forests. Farmers in Lin’an were so crop lands (Figure 2.1). This finding raises a enthusiastic about Lei bamboo that they planted need for education among villagers to build and the species on unsuitable sites, a practice that raise their environmental awareness. They may

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participate more actively in forestry if they are important role in developing strategies. Villagers convinced environment restoration is not only know their own circumstances and local beneficial to others but also to themselves. conditions and can make significant contributions to the identification of problems Improve Plantation Development and designing interventions to address them. Guidelines Involvement of professionals can provide Guidelines by forest authorities on plantation expertise and new ideas, and improve development may need to be modified to prevent communication between government agencies forest plantations declining in productivity. In and villagers. Government officials are the 1960s-1980s, some forest authorities were important for forest rehabilitation because their so ambitious to establish extensive plantations participation will help them make effective that they ignored the silvicultural principle of policies and their networking with government species-site matching and practices to maintain agencies will help villagers to gain access to soil fertility. Plantations developed under the public resources such as extension services, rural guidelines are poor and with low productivity. credit and market information. The inappropriate silvicultural technologies of Three lessons can be learnt from the research Chinese fir in Huitong (site mismatch, multiple experience to encourage active participation of cropping [duodai lianzai in Chinese], the three parties: 1) building partnerships to monoculture plantations, burning and intensive address problems requires all participants to trust site preparation practices) are mainly a result of each other; 2) responsibilities of each of the poor guidelines rather than a lack of appropriate parties involved and the potential benefits must technology. However, further research and the be clearly specified at the start of discussions establishment of demonstration plots with new and self-interest harnessed to encourage technologies may be necessary to show the participation; and 3) farmers and their effects of burning logging slash on the long-term indigenous knowledge must be respected and productivity of plantations. Research to recognition given to their ability to participate understand the effects of site management on in and contribute to identification and Chinese fir and other tropical species in implementation of effective solutions. Illiteracy plantations has begun (e.g. Nambiar et al. 2000). should not be equated with ignorance. Without such preconditions, it is impossible to achieve Developing Effective Interventions genuine farmer participation when normally for Forest Rehabilitation farmers are rarely involved in the design and Forest degradation is a complex process and planning strategies for sustainable forest results from many inter-related factors. As management. discussions and analysis of the research project A multidisciplinary approach is effective in results have shown, these factors involve policy, developing interventions and strategies for forest sociology and economic aspects as well as rehabilitation and associated improvements in technical issues. Diagnosis of problems (extent the livelihoods of rural communities. Our and causes of forest degradation) and constraints research recognised the complementarity of the to rehabilitation interventions and livelihood skills of social scientists, economists and range enhancement require more innovative of forestry researchers, but the research teams approaches than the conventional, single may have performed better with greater inputs discipline approach usually applied in China. from social science. We found that adoption of Our research demonstrated that a a multidisciplinary approach required: 1) team participatory and interdisciplinary approach is members to commit to cross-disciplinary very effective. All stakeholders, i.e., villagers, collaboration with members working within researchers and government officials, played an their disciplines, but contributing to overall

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outputs; 2) members of different disciplines to 140. Food and Agriculture Organization of listen to and respect others’ opinions and to think the United Nations, Rome. more broadly than their own discipline; and 3) Fang, Q. 1987. Impacts of many crops of a team leader with skills to guide a Chinese fir in succession on soil fertility and multidisciplinary team, manage disciplinary tree growth. (Chinese). Forestry Science 23: conflicts and negotiations, and synthesise views 389-397. (In Chinese) and findings from various stakeholders. Fortmann, L. and Bruce, J.W. (eds.) 1988. Whose trees? Proprietary dimension of forestry, Westview Press, Boulder, References Colorado, USA. Besley, T. 1995. Property rights and investment Gonçalves, J.L.M., Barros, N.F., Nambiar, incentives: theory and evidence from E.K.S. and Novais, R.F. 1997. Soil and Ghana. Journal of Political Economy 103: stand management for short rotation 904-937. plantations. In Nambiar, E.K.S. and Brown, Chambers, R. 1994a. The origins and practice A.G. (eds.) Management of soil, nutrients of participatory rural appraisal. World and water in tropical plantation forests. Development, 22: 953-969. ACIAR Monograph No. 43, 379-417. Chambers, R. 1994b. Participatory rural Australian Centre for International appraisal (PRA): analysis of experience. Agricultural Research, Canberra. World Development 22: 1253-1268. He, Q. 1995. Economics and socioeconomics Chambers R. 1994c. Participatory rural of farm forestry in south China. In: Cai, appraisal (PRA): challenges, potentials and M. and Hu, S. (eds.). Integrated research paradigm. World Development 22: 1437- in farm forestry, 237-247. China Science 1454. and Technology Press, Beijing. Chambers, R. and Guijt, I. 1995. PRA – Five Institute of Forestry and Pedology. 1980. A years later: where we are now? Forests, collection of papers on ecology research Trees and People Newsletter No. 26/27: 4- of Chinese fir plantations. Chinese 14. Academy of Sciences, Shenyang. (In Chen, B. 1992. Status, causes, and improvement Chinese) strategy of soil degradation in timber Jiang, Z. 1997. On the strategic position of plantations in China. In: Sheng, W. (ed.). forestry in sustainable development. Research on site degradation of timber Forestry Economics 2 (1): 17-26. plantations. China Science and Technology Kaimowitz, D. and Angelsen, A. 1998. Press, Beijing. (In Chinese) Economic models of tropical deforestation: China Statistical Bureau.1993. China statistical a review. Center for International Forestry abstract, Beijing. Research, Bogor, Indonesia. Contreras-Hermosilla, A. 2000. The underlying Li, W. (ed.). 2001. Agro-ecological farming causes of forest decline. CIFOR Occasional systems in China. Man and the Biosphere Paper No. 30, Center for International Series Vol. 26. UNESCO, Paris and The Forestry Research, Bogor, Indonesia Parthenon Publishing Group New York, Department for Reforestation, Ministry of Forestry USA and Carnforth, United Kingdom. (ed.) 1982. Technologies for high yield Li, J., Kong, F. and He, N. 1988. Price and Chinese fir plantations. China Forestry policy: the keys to revamping China’s Publishing House, Beijing. (In Chinese) forestry resources. In: Repetto, R. and FAO (2001). Global forest resources assessment Gillis, M. (eds.) Public policies and misuse 2000. Main report. FAO Forestry Paper of forest resources, 205-246. Cambridge

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University Press, Cambridge. United Ruiz-Perez, M., Fu, M., Xie, J., Belcher, B., Kingdom. Zhong, M. and Xie. M. 1996. Policy change Liu, D. 2001. Tenure and management of non- in China: the effects on the bamboo sector state forests in China since 1950: a historical in Anji County. Journal of Forest Economics review. Environmental History 6: 239-263. 2: 149-176. Menzies, N. 1988. Three hundred years of Sheng, W. 1991. The management of taungya: a sustainable system of forestry in Cunninghamia lanceolata plantations in South China. Human Ecology 16: 361-377. China. In: Shi, K. (ed.). Development of Nair, P.K.R. 1993. The diagnosis and design forestry science and technology in China, (D&D) methodology. In: An introduction 108-114. China Science and Technology to agroforestry, 347-356. Kluwer Academic Press, Beijing. Publishers, Dordrecht, Netherlands and Sun, C. 1992. Community forestry in southern International Centre for Research in China. Journal of Forestry 90 (6): 35-40. Agroforestry, Nairobi. Xu, H. 1992. Dynamic characteristic of soil Nambiar, E.K.S., Tiarks, A., Cossalter, C. and fertility of forest land and problems of soil Ranger, J. (eds.) 2000. Site management degradation in timber plantations. In: and productivity in tropical plantation Sheng, W. (ed.). Research on site forests: a progress report. Center for degradation of timber plantations. China International Forestry Research, Bogor, Science and Technology Press, Beijing. (In Indonesia. Chinese) Oakley, P. 1987. “State of process, means or Yang, X. 2001. Impacts and effectiveness of end? The concept of participation in rural logging bans in natural forests: People’s development ideas”. IDRC Bulletin, March Republic of China. In Durst, P.B., 1987. International Research and Waggener, T.R., Enters T. and Tan L.C. Development Centre, Ottawa. (eds.), Forests out of bounds: impacts and Raintree, J.B. 1987. The state of the art of effectiveness of logging bans in natural agroforestry diagnosis and design. forests in Asia-Pacific, 81- 102. RAP Agroforestry Systems 5 (3): 219-250. Publication 2001/08, Food and Agriculture Research Team of Intensive Cultivation of Organization of the United Nations, Chinese Fir. 1992. General report of Regional Office for Asia and the Pacific, research group for ‘National Research Bangkok. Program on Intensive Silviculture Yang, Z., Zhuang, Z., Qin, D., Ran, G., Fu, W. Techniques on Chinese Fir Plantation’. 1999. Afforestation technologies for water Chinese Science and Technology Press, conservation in arid-hot valleys of Beijing. (In Chinese) Yuanmou County. Bulletin of Soil and Richardson, S.D. 1990. Forests and forestry in Water Conservation 19: 38-42. (In Chinese) China: changing patterns of resource Yin, R. 1994. China’s rural forestry since 1949. development. Inland Press, Covelo, USA. Journal of World Forest Resources Rocheleau, D. 1999 Confronting complexity, Management 7: 73-100. dealing with difference: social context, Yu, L. 1997. A study for the selection of content and practice in agroforestry. In: afforestation species for the dry-hot river Buck, L.E., Lassoie, J.P., and Fernades, valley in Yuanmou. Journal of Southwest E.C.M. (eds.) Agroforestry in sustainable Forestry College. 17(2): 49-54. (In agricultural systems, 191-235. Lewis Chinese) Publishers, Boca Raton, Florida, USA.

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Yu, X. 1994. Chinese fir silviculture. Fujian Science and Technology Press, Fuzhou. (In Chinese) Yu, X., Ye, G., Lin, S., and He, Z. 1992. An approach to the culture system for Chinese fir. Journal of Fujian College of Forestry 12(3): 259-263. (In Chinese) Zhao, X. 1997. Forestry Action Plan for China’s Agenda 21 (abridged). Forestry Economics 2 (1): 3-16. Zhu, Z. 1991. Forest ecology. China Forestry Publishing House, Beijing. (In Chinese) Zhu, Z. (ed.) 1997. Participatory forestry in China. International Academic Publishers, Beijing.

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Chapter Two

Reclaiming Degraded Forest Lands in the Dry, Hot Climate of Yuanmou County, Yunnan

Lai Yongqi1, Liao Shengxi1, Liu Dachang2, Liu Jun1, Su Jianrong1 and Zhang Yanping1

Introduction The dry and hot valley climatic type occurs to develop effective planting technologies are mainly in the southwest provinces of Yunnan, in progress (Yu 1997, Yu et al. 1997, Zhou and Sichuan and Guangxi. In Yunnan, this climatic Zhang 1998, Li and Zeng 1999, Yang et al. type covers 13 000 km2, between latitudes 22.5°- 1999). The research has focused on technical 28.0° N, and makes up 3.4% of the area of the interventions, however, experiences show that province (Yang 1992). As the name suggests, it improved technology practices alone are not is a hot, dry climate providing harsh growing sufficient to bring about an expansion of tree conditions for plants and the aridity is a critical planting and plantation establishment in this constraint to tree planting and plantation area. It is essential to understand why this is the establishment. case and what other interventions and options Little forest vegetation remains in areas with are needed for effective reclamation of degraded these climatic conditions. Forest land is often lands and forests. seriously degraded, has had its vegetation cover Our research was carried out in Yuanmou reduced to sparse shrubs or even bare land, and County, Yunnan. Yuanmou has a typical dry and severe soil erosion is common. Existing, limited hot valley environment and areas of severely forests are degraded or seriously degraded with eroded land. It has a mean annual temperature low productivity, resulting from excessive of about 22°C; mean annual rainfall is only 630 exploitation and unsustainable practices. Given mm, while potential evaporation is nearly six the inadequate vegetation cover and serious land times the rainfall. Only 6% of Yuanmou’s land degradation, environmental restoration in the area was covered with forests in 1993. The ma- areas will have to be achieved through the jority of its designated forest land is covered with planting of trees, shrubs and grass. Improvement poor quality bushes or grass and sometimes there of the deteriorating ecological environment and is no vegetation cover at all. Heavy rains in the achieving economically and ecologically short wet season cause severe erosion of the sustainable development of forest lands is a great unprotected soil and restoration of cover by challenge to foresters/biologists, villagers, and planting trees, shrubs and grasses is necessary local governments at different levels. to address this problem. Research to identify tree and shrub species This chapter presents research methods; adapted to the harsh ecological conditions and describes biophysical and socioeconomic

Authors are listed in alphabetical order. 1 Research Institute of Resource Insects, Chinese Academy of Forestry, Kunming. 2 Southwest Forestry University, Kunming P.R. China and Center for International Forestry Research, Bogor, Indonesia. Currently at The Mekong Institute, Khon Kaen, Thailand.

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circumstances of the research site, providing a resources, changes in forest tenure and setting for the research; and examines the state management, tree planting policies, role of of forest land degradation. It discusses strategies forest in the local economy, demography, and and interventions for reclaiming local serious extent of infrastructure development. degraded forest lands: incentives and Household interviews were used to deter- environmental awareness of farmers, and mine villagers’ views on land degradation and appropriate species. their attitudes to tree planting and utilisation of the uncultivated land. A random sample of 33 Research Methods households was made and each household in- As an action-oriented research project, this terview lasted 1.5-2 hours. The interviews were research adopted a logical procedure from conducted in the form of a semi-structured in- diagnosis through design to delivery. It used a terview complemented by questionnaire survey. participatory approach complemented by the After a pre-testing phase, 20 questions cover- more conventional inputs from expert ing nine topics were used in the household in- consultants. The participatory approach terviews. The topics were (1) family size, la- involved great attention to interacting with key bour, education and production activities, (2) stakeholders to develop the options and land resources, (3) land use, (4) livestock and strategies. This was a departure from top-down fodder, (5) household income, (6) household approach used in traditional forest research and expenses for production, (7) household expenses governance practices in China. Therefore, the for non-production activities, (8) value of fixed research itself was an experiment with assets, and (9) taxes and fees paid. We sought innovative research methods for natural resource to understand the level of interest in tree plant- management and reclamation of degraded forest ing, the perceived constraints to plantation es- land. tablishment and the incentives needed to encour- age planting. Participatory Approach Group interviews examined questions of Villagers, government officials and agricultural relevance to the whole village. Five groups extension agents and researchers in relevant (village leaders, women, elders, youths, and disciplines were actively encouraged to interact progressive villagers) were interviewed. Each to analyse problems, to identify constraints and group consisted of 10-12 people and most had opportunities, and to develop appropriate not been involved in household interviews. Each options and strategies to address degradation group interview took 2.5-4.0 hours to complete. problems. After pre-testing, 21 questions covering 10 A number of PRA tools were used at the topics were discussed. The topics included the diagnosis stage, including secondary data state of forest land degradation, the views of collection, household interviews, group villagers on two forms of tree planting in the interviews, and direct field observations. In area (government chief model plantation and addition, a participatory program of species planting by villagers), attitudes and constraints testing was implemented at the delivery stage. to tree planting at the village level, and Secondary data were collected from especially the issues that were controversial or relevant county government agencies such as which individual households failed to explain the Forestry Bureau, Statistics Bureau and adequately. Meteorological Bureau, from township Direct field observations were made by a governments, and from previous research group of two forest researchers and three farmers projects and programs. The data included who had good knowledge of their village and biophysical conditions and socioeconomic its lands. Findings from these observations were settings such as climate, land uses, forest recorded and maps were made. The data and

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maps cover a wide range of issues such as vil- socioeconomic constraints to tree plantation lage boundaries, topography, land uses, irriga- establishment and strategies for successful tion, forest types, state of degraded lands, crop plantation development in Yuanmou. calendar, transport, gender distribution of work, and indigenous knowledge. Background Information on A small program of field testing exotic tree Yuanmou County and Laofan species not previously grown in the area was Village initiated based on the villagers’ view that they Research was conducted at both county and did not have sufficient choice of well-adapted village levels. Studies were undertaken in four species for profitable tree planting. The villages: Laofan and Xiaocun villages of Zuolin process was participatory and collaborative. township, Moke village of Nengyi township, and Local communities (villages) provided land Bingyue village of Laocheng township. These for field experiment and were responsible for villages are situated either in the Yuanmou basin tending seedlings. Yuanmou County Forestry or the transitional zone from the basin to the Bureau provided part of funding and made the mountainous area. necessary arrangements. The research team Overall biophysical conditions and the social took responsibility for obtaining tree seeds setting of Yuanmou county are described and and provided technical support for nursery Laofan village is used to illustrate village-level establishment and part of the funds. It also conditions as there were similarities in climate, took advantage of the availability of vegetation, land uses, socioeconomic specialists with international experience in circumstances and land degradation in the four tree species selection and access to computer- villages studied. based selection methods. Potential species were selected on the basis of their suitability Yuanmou County for reclamation and their potential profitability was assessed. A total of 15 exotic Climate tree and shrub species were introduced and Yuanmou county is a typical dry and hot valley tested for their adaptability to the dry and hot area in central Yunnan and is located at 25°23’- climate and impoverished soils. Commitment 26°06’N latitude and 101°35’-102°06’E to the project varied between villages and this longitude (see Map 1.1 in Chapter 1). The mean may have influenced the maintenance and annual temperature is 22°C, May is the hottest performance of some trials. month with a mean temperature of 27°C, and the coldest month is December with a mean Expert Consultancy temperature of 15°C. Mean annual rainfall is 629 Expert consultancy, the usual approach to mm and annual evaporation is 3729 mm. forestry problems in China, was used to help Rainfall is not distributed evenly throughout the with the identification of options for year. Most rain falls during June to October. The reclamation. During the research process, 7-month dry season, from November to May, consultations took place with Kunming-based averages less than 100 mm or 14% of the mean specialists from the Research Institute of annual rainfall. (Table 2.1) Resource Insects, Southwest Forestry College, The dry climate makes successful tree Yunnan Academy of Forestry, Yunnan planting a challenging operation. It also makes Institute of Forestry Planning and Design, and natural regeneration extremely difficult after Yunnan University. Local professional staff forests are harvested or cleared. The survival from Yuanmou County Forestry Bureau were rate of trees planted using planting technologies also consulted. Topics discussed included the that are effective in other areas was very low in state of land degradation, technical and this area during the period 1952-1988 (Yuanmou

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Table 2.1 Climatic data for Yuanmou (1956-1990) Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Year

Mean temperature 15.2 17.8 21.8 25.2 26.9 26.4 26.4 25.4 24.3 21.3 17.6 14.9 21.9 (°C) Rainfall 3 4 5 13 45 115 142 125 88 65 18 6 629 (mm) Evaporation 251 318 461 514 506 340 294 233 222 203 191 196 3729 (mm) Relative 44 37 32 34 44 60 66 70 67 66 61 53 53 humidity (%)

Source: Yuanmou Meteorological Station (Yuanmou County Forestry Bureau 1997).

County Forestry Bureau 1997). This in part production sectors. The sum of gross output explains why forest cover is so limited and why value of agriculture and industry is called gross few plantations have been successfully output value of industry and agriculture. The established in Yuanmou. gross output value of agriculture comprised: crop production 76%; animal husbandry about Land use 20%; and forestry slightly more than 3%. The land area of Yuanmou is 201 970 ha. Two Although the forest contribution to the economy thirds of the area is designated as forest land; is usually systematically underestimated in 19% is food crop land; and 15% is grazing land, China, its very low contribution to the Yuanmou water bodies and settlement areas. In 1993 forest economy is in sharp contrast to the 66% of land covered only about 6% of Yuanmou’s area while area allocated to the forestry sector in the county. 47% of the land had poor quality bushes Winter vegetables, livestock and sugar cane (Yuanmou County Forestry Bureau 1997). are major sources of cash income for villagers, especially farmer households in the Yuanmou Socioeconomic setting Basin. Relatively high temperatures in winter Yuanmou County has 13 townships and had a make vegetable cultivation possible and population of 198 000 in 1998 with most people profitable. People in Yuanmou began planting depending on agriculture for their livelihood. winter vegetables in 1978, and now these are Agriculture, broadly defined as including crop marketed in more than 150 cities throughout production, animal husbandry, forestry and China and are the most important source of cash agricultural products processing, plays a very income for many farmer households. important role in employment and income Forests contribute little to the material generation of the rural population of Yuanmou. welfare of communities and villagers of the In 1998, agriculture contributed nearly 70% of Yuanmou Basin area. Alternative sources of the gross output value of society with the balance energy such as coal and electricity have been to the economy contributed by the substituted for the fuelwood on which villagers manufacturing, construction, transport, and were dependant for cooking and space heating tertiary industry sectors. Gross output value of prior to the 1980s. Other profitable products, society is a measure of Chinese economy. It is such as winter vegetables, have increased the sum of gross output value of agriculture, peoples’ income and enabled them to afford the industry (manufacturing), construction, new types of energy. The railway from Kunming transport, and commerce, the five material (capital city of Yunnan) to Chengdu (capital city

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of Sichuan) goes through Yuanmou, and a good income. In 1995, the labour force of the village road system has been developed in the county. was 322 of which 93% was involved in agricul- This infrastructure provides ready access to ture. Labour age for rural women is 16-54 years markets for local products. These factors have old and for rural men 16-59 years old. Agricul- had a major influence on the attitude of people ture, broadly defined, contributed 94% of the to tree planting in the area. annual gross output value of society of Laofan, while non-farm activities was only 6%. Within Laofan Village the agricultural sector, food grain and vegeta- ble production and animal husbandry are pri- Land use mary contributors of the economy. Food grain The land area of Laofan village is 115 ha. About and vegetable production contributed 67% of 50% of total area of the village is used for food gross output value of society and animal crop production, including paddy fields, husbandry 27%. The contribution of forestry to irrigated land and rain-fed land. However, gross output value of society was less than 1%. farmers often do not cultivate food crops on the A sealed road links Laofan to the county town rain-fed land because its productivity is low. and provides villagers with ready access to markets Instead, they graze their animals on it. Plantation for vegetables and other agricultural produce. forest and denuded land make up about 40% of the village’s total area. The plantation forest is Forest tenure and management Eucalyptus exserta that was first introduced to Forest tenure and management in Laofan has this area in 1966. Farmers also graze their undergone similar radical changes to other parts animals in the plantation and on the denuded of China (Liu 2001). Prior to the nationwide land. Water bodies and residential areas make Land Reform Campaign in 1952, landlords up nearly 10% of total area. (Table 2.2) (wealthy village households), religious groups and clans owned forests in Laofan. All these Socioeconomic setting categories of forests were confiscated during the Situated in Yuanmou Basin, Laofan village is Land Reform and redistributed equally to farmer 6.5 km from the Yuanmou County town. It is a households as private property. However, small village with a population of 441 (1995), following the agricultural collectivisation - the comprising 108 households, and with 51% of establishment of the advanced (agricultural) the population female and 49% male. cooperatives in 1956 and the people’s commune Although it is not far from the county town, in 1958, forests became collective property and Laofan is a typical agricultural community, with were managed exclusively by the village crop production and animal husbandry collective until the early 1980s. providing primary employment and sources of

Table 2.2 Land use in Laofan Village

Paddy fields Rain-fed Plantation Denuded Water bodies Total and irrigated land forest forest land and residential land (huangshan) area

Area (mu*) 632 231 300 400 160 1723

% total area 36.7 13.4 17.4 23.2 9.3 100

Area head-1 (mu) 1.4 0.7 3.9

Source: field survey data. * 1 mu = 0.066 ha

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Laofan experienced two periods of destruc- plantation. In practice, the farmers have ignored tive deforestation from the late 1950s to the early the grazing regulation. 1980s. The iron and steel making drive in 1958- 59 caused the first deforestation. At that time a Land Degradation Assessment considerable amount of wood was cut and used to fuel numerous backyard furnaces. The Yuanmou County collectivisation of forest resources made the waste Only 6% of the land area of Yuanmou was cov- possible. The second deforestation happened ered with forests in 1993. The existing natural immediately after collective agriculture was forests and plantation forests are degraded. The replaced by household-based agriculture (known majority (90%) of designated forest land has as the agricultural production responsibility either poor-quality bushes or no vegetation cover system) in the early 1980s. The replacement led at all. The bush vegetation is degraded and the to a breakdown of the management system of denuded forest land is seriously degraded. This collective forest. Forest remained a collective situation is a cause for concern and has both local asset at that time but nobody was given authority and regional implications. It requires significant to manage it, especially to protect it from illegal efforts for ecological and environmental resto- cutting. Consequently, villagers cut down almost ration through planting trees, shrubs and grass. all the eucalypt trees that had been introduced and planted in Laofan in the mid-1960s. The Laofan Village village leadership had to sell the remaining Our field surveys showed that much of the land collective trees to individual farmer households in Laofan is degraded or seriously degraded, in the village in 1983. including the denuded forest land, plantation As an area in the upper catchment of the forest, and the rain-fed land (see Table 2.2 Yangtze River, Yuanmou is entitled to funds of above). The extent of degradation varied on the a large government-sponsored environment different types of land but exceeded 50% of total restoration program - the Yangtze Shelterbelt area of the village. Program (Conservation Forest on Upper and Middle Reaches of Yangtze River) that was initiated by Ministry of Forestry in 1989 to plant Figure 2.1 Highly salinized land in a low lying area trees and to protect existing forests. Yuanmou County Forestry Bureau implemented the program in Laofan village. To encourage farmers to plant trees, the village leadership allocated collective forest land use rights equally to individual households, and the Forestry Bureau again promised the policy ‘whoever plants the tree owns it’. A eucalypt plantation of 20 ha (300 mu, see Table 2.2) was established and it was the only plantation forest in Laofan when this research was conducted. The Forest Bureau appointed a villager to guard the plantation and made regulations to protect it. Only branches can be harvested because the plantation was developed for soil erosion control and environmental services; tree harvest is not allowed unless a permit is obtained from the Bureau, and grazing is prohibited in the

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The denuded forest land of Laofan is seri- The eucalypt plantation is seriously ously degraded. It can be further divided into degraded. Indicators are slow growth of trees, two sub-types: (1) land along a small stream that lack of understorey plants and continuing is highly salinized (Figure 2.1) and (2) the development of numerous soil erosion gullies denuded forest land on which either only a few (Figure 2.4). Although the eucalypt species in plants of a small shrub, Dodonaea angustifolia, the plantation is one of the most tolerant of poor and grass occur or there is very little or no soil conditions, the stand is irregular and lacks vegetation cover. Heavy rains in the rainy season vigour. Most species of Eucalyptus are less result in severe erosion of the unprotected soil effective in controlling soil erosion in dry areas, and there are numerous erosion gullies of because they provide very little shading of the varying length, width, and depth on the land soil due to their open crowns and because their (Figure 2.2 and Figure 2.3). Little organic mat- roots compete very effectively with understorey ter remains and fertility is very poor. plants for the small amount of water available. This suggests that from perspective of soil erosion control and ecological benefits, Figures 2.2 and 2.3 Erosion of the unprotected soil appropriate species are those trees with resulting in numerous erosion gullies of varying length, width, and depth on the land characteristics such as dense spreading crowns and either deep rooting or low water use (Boland Figure 2.2 1997). This is also a lesson farmers in Laofan and beyond have now learned from their own experience. Although eucalypts may inhibit understorey development in dry areas, uncontrolled animal grazing exacerbates the situation here and the erosion damage appears to be increasing. The rain-fed crop land is also degraded, though not as seriously as the denuded forest land and the eucalypt plantation. The degrada- tion is indicated by low productivity of the land. Farmers now either grow only sweet potatoes

Figure 2.4 Erosion damage appears to be increasing even in the plantation area Figure 2.3

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on this type of land, or in most cases no longer Organisation of Tree Planting crop it. This is a type of degraded land to which Plantation establishment is organised in two future reclamation efforts designed for dry and ways in Yuanmou: (1) by villagers with or hot valleys in Yuanmou and other areas must without government support, and (2) by give attention. government, with the local government chief Land degradation is a deterioration of local taking overall responsibility. The second agroecological conditions and has direct impacts category of establishment is called ‘government on local welfare. Land degradation in this area chief model plantation’ or ‘yangbanlin’. also contributes to the problems in Yangtze Local communities and villagers have so far River. For example, soil erosion leads to silting been the primary force of plantation of the river, and the lack of forests and other development in Yuanmou, though governments vegetation increases the likelihood of disastrous at various levels have played a greater role since floods, such as those in 1999. the late 1980s. Over the six years from 1989- Clearly, there is a need to reclaim degraded 1994, about 8400 ha of plantations was lands in dry and hot valleys in Yuanmou and established in the county, two thirds by adjacent areas, both for improving local communities and villagers, and the rest by agroecological conditions and welfare and for county and township governments and village environmental benefits and services in middle leaders (Table 2.3). and lower reaches of Yangzte River. Hence reclamation of degraded lands in the area is of Government chief model plantation national significance. A government chief model plantation is a high quality plantation established through Strategies and Interventions administrative means by a given level of for Land Reclamation government using reforestation funds. The This section discusses socioeconomic factors government chief at each level takes overall and technical aspects of reclaiming degraded responsibility for plantation establishment and forest lands in the dry and hot climate zone by management. One purpose of ‘government chief analysing the ways in which tree planting is model plantations’ is ‘demonstration’ to organised currently in Yuanmou and drawing convince villagers that it is feasible to establish lessons and implications from our species plantations successfully and increase forest testing. The purpose is identifying strategies and cover in the harsh environment. distilling policy recommendations for reclamation efforts in the harsh ecological conditions.

Table 2.3 Plantation establishment in Yuanmou (1989-1994)

Year Total planted Tree planting by villagers Government chief model plantation area (ha) Area (ha) % total Area (ha) % total

1989 796 656 82 140 18 1990 2096 1645 79 451 21 1991 1815 1403 77 412 23 1992 1046 299 30 747 70 1993 1658 1217 73 441 27 1994 1004 412 41 592 59 Total 8415 5632 67 2783 33

Source: Yuanmou County Forestry Bureau (1997).

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In Yuanmou, government chief model plan- spend 1-2% of its yearly budget on forestry. tation establishment started in 1989. The County Yuanmou received reforestation funds totalling government chief, township government chiefs 1.6 million Yuan annually from central, provin- and village leaders must develop their model cial and prefecture governments during the pe- plantations respectively. Their success in estab- riod from 1993-1996. Contributions by public lishing plantations is an indicator used to assess sector employees are also an important invest- their performance and is used as a reference for ment source of government chief model planta- promotion. The chief model plantation is a strat- tion establishment. Initially, people must plant egy designed to effectively establish plantations trees in person to fulfil their obligation of “Vol- through better use of available funds, and clear untary Tree Planting”, a requirement by law for and specific responsibility. all adult citizens. Later in Yuanmou, the require- Responsibilities of each party involved are ment was adapted to allow cash contributions clearly set out. The government chief takes rather than planting trees in person. Each pub- overall responsibility for plantation lic sector employee contributes 20 Yuan a year establishment, including selecting planting sites, for tree planting. making this land available, ensuring no conflict The amount of capital spending varies across over the lands; coordinating villagers whose different levels of government chief model lands are used with the forest department and plantations. Planned investment is 1500-1800 related agencies; making funds available; and Yuan ha-1 for model plantation of county monitoring results of the tree planting. Forest government chief; 1200-1500 Yuan ha-1 for departments take specific responsibilities for model plantation of a township government plantation establishment, including managing chief; and 750-1200 Yuan ha-1 for model funds, selecting sites and tree species, making plantation of a village leader. However, actual operational schemes, organising planting, input in county chief model plantations in 1998 protecting trees planted, and initial evaluation was 2700 Yuan ha-1. About 20% of capital of plantation development. Likewise, the investment is used for seeds and seedlings, 50% performance of participating forest officials in for labour for land preparation and tree planting plantation development is recorded and used as and the remainder for fertilisers and plantation a reference in promotion. tending and guarding. Lands for the establishment of government Tending after planting is essential for chief model plantation belong to villagers. successful tree survival and growth in the local Hence, by policy, trees planted are the property hot, dry climate. Recognising this, the forest of villagers who own lands. However, the rights department recruits forest guards (from of villagers to trees/plantations are very limited: villagers) to tend and protect plantations for Only branch lopping is allowed because such three years after planting or five years in plantations are developed largely for ecological extremely difficult areas. Subsequently, local services. Villagers who contribute lands are communities are responsible for plantation given priority in planting, or tending and management. guarding as paid labour. Experience over the last decade shows that Capital investment in the reforestation is this form of plantation development is effective. from three sources: local government budget; The approach was helpful in obtaining necessary reforestation funds from central, provincial and financial inputs, using them effectively and prefectural governments; and contributions by generating a comprehensive tree planting effort. public sector staff as their obligation of As a result, the government chief model “Voluntary Tree Planting”. A policy made by plantation is an important way of organising Chuxiong Prefecture that governs Yuanmou plantation development in Yuanmou. Over the County, requires the county government to period of 1989-1994, the area of chief model

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plantations accounted for one third of total area tations. More than 10 species have been used in of plantations established. In two of the years, these plantations in Yuanmou, including species the ratio of chief model plantations to total plan- of Eucalyptus, Acacia, Albizia, Leucaena, Pinus, tations established in the year rose to more than Ziziphus oenoplia and Cajanus cajan. Timber 50% (Table 2.3). This form of plantation devel- species are dominant and most plantations are opment significantly improved the quality of tree monocultures. Large-scale, highly intensive, planting and increased seedling survival rate. plantation forests are usually grown in Survival rates increased from about 50% (1989- monocultures to maximise production of a de- 1992) to over 80% (Yuanmou County Forestry fined product such as pulpwood. However, the Bureau 1997). risk factor in smaller-scale plantings by farm- Nevertheless, the government chief model ers and communities, which often have less cer- plantation is not sufficient as it mainly involves tain markets, can be reduced by using more than government effort. Government funds are one species and producing multiple products. limited and government alone is unlikely to The implication here is that more attention must reclaim all the denuded and degraded forest be given to multipurpose trees when selecting lands that make up about 60% of the total area species for planting. This way, villagers can of Yuanmou. Without complementary efforts by expect material benefits from plantation forests communities and villagers, there is little of multipurpose species that provide environ- likelihood of revegetating Yuanmou and mental services and economic products, a point providing environment services locally and to that is well demonstrated widely else where. In other areas along the Yangtze River. parts of southern China Acacia mearnsii (black Incentives are essential to encourage active wattle) has been planted on degraded lands. This involvement of local communities and villagers, nitrogen-fixing tree provides ground cover and but current policies do not provide enough incen- commercial products such as tannins, poles and tives for villagers to plant trees, especially timber timber (Ho and Fang 1997). Though species. Although villagers who contribute lands monoculture plantations of multipurpose spe- to the development of government chief model cies with dense spreading crowns and deep root- plantations are owners of trees planted but they ing can also provide protective cover of soil, have very limited rights to cut trees. Villagers have there are other benefits for using mixed species little incentive to become involved in the devel- plantings for soil conservation and rehabilita- opment of timber plantations, as timber harvest- tion plantings. For example, mixed plantings ing is highly regulated and they can expect little may provide more habitats and encourage return from their labour and capital investment. greater biodiversity than monocultures. Mix- While strict restrictions on logging (timber har- tures including a nitrogen-fixing species may vesting) may be necessary for the environmental have better nutrient cycling than pure stands services for Yuanmou and other areas of the Yang- (Khanna 1997), and increased growth and pro- tze watershed, there is concern that compensation ductivity (DeBell et al. 1997). be paid to local communities and villagers who provide such services through their trees and plan- Tree planting by villagers tations. The ongoing countrywide government Villagers and communities have been program of ‘food for trees and grass’ (tuigen responsible for the majority of plantations huanlin1 in Chinese) does encourage farmers to established in Yuanmou. Even though plant trees. The program is progressing well, with government chief model plantations were farmers asking a greater quota of tree planting than initiated in 1989, plantations developed by the government is providing. villagers accounted for two thirds of total Species choice is another issue that needs to plantation area in the years from 1989 to 1994 be addressed in government chief model plan- (Table 2.3). Villagers established small woodlots

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Food for Trees and Grass Program few months while returns from tree planting (tuigen huanlin) cannot be expected in at least a few years. Also, it is not easy to grow trees profitably due to the The program started in 1999 after the low productivity of denuded lands and excessive disastrous Yangtze floods in 1998. Farmers government taxes and charges. While it is not of upper catchment of the Yangtze River and easy to change the productivity of the land, upper and middle catchments of the Yellow changes in policies on rights to harvest and River are required to stop cultivating food market timber and a more favourable approach crops and to plant trees and grass instead on to taxation and charges could provide a greater their crop lands on steep slopes. To encourage incentive for tree planting. them to do so, the central government provides The second factor is the lack of capital for them with food grain, cash subsidy and tree planting. The availability of funds is an funding for tree seedlings. Every year, farmers important feature contributing to the high quality get 2.25 t of grain ha-1 once they have done so of government chief model plantations. Capital in the upper catchment of the Yangtze, and input was 2700 Yuan ha-1 for county chief 1.5 t ha-1 in the upper and middle catchments plantations in 1998. In sharp contrast, of the Yellow River; and cash subsidy of 300 reforestation funds provided by the forest Yuan ha-1. They get 750 Yuan ha-1 for seedlings department to villagers was only 300 Yuan ha-1. at beginning of planting. The government It is unfortunate that since 1989 most villagers provides grain and cash subsidy for eight years have received little or no funding support for in the case of plantation forest developed tree planting as almost all public funds allocated largely for ecological services and five years for tree planting have been used to develop in the case of NWFP plantations. In the latter government chief model plantations. This case, the hypothesis is that farmers will be able suggests a necessity to find a mechanism to to generate income from their plantations in overcome the funding constraints villagers face five years. for plantation establishment. Thirdly, it is essential to identify sufficient tree species well-adapted to local ecological on denuded forest lands and on rain-fed crop conditions that can be grown profitably. lands and were responsible for choosing the Finally, villagers do not value tree planting species and planting methods and for deciding for environmental protection. Villagers in the extent of planting. Yuanmou Basin and the transition zone now rely However, the area planted by villagers has little on forests as they have alternatives sources been far less than it could be and what is needed. of fuel and building materials. They are not keen Our surveys found four factors affecting to plant trees when they can expect little material plantation development by villagers. First and benefit from the forest. Our surveys found that most important is the disincentive for them to in four study villages, most villagers did not plant trees compared to other crops. Besides consider it in their interest to develop plantation restrictions on their rights to harvest and market forests for environmental services. They did not timber products as discussed earlier, villagers recognise direct benefits from improved in Yuanmou have more profitable investment agroecological conditions and reduced soil opportunities. Since the late 1970s, vegetable erosion that might result from revegetating the growing in winter has been a profitable degraded land. This finding implies a need to enterprise and vegetables have been a primary demonstrate potential direct benefits of source of farmers’ cash income. Moreover, veg- environmental restoration to villagers and local etable growing can generate income within a communities.

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Species Selection from the seed is used for soap making but is Identification of a sufficient number of species well known for its medicinal and insecticidal well-adapted to the dry and hot climate and able properties. The species is fully described by to be grown profitably is one of the keys to Ahmed and Idris (1997). restoring vegetative cover and rehabilitating It was introduced into Yuanmou in 1995 at degraded forest lands in Yuanmou. So an beginning of this research project. Seedlings important component of this research was to were raised and planted in around village and identify additional species to those that are homesteads, and on the denuded forest lands at currently planted in the area. Laofan during the rainy season of 1996. A total Introduction of plant species to Yuanmou can of 350 seedlings were planted. In August 1997, be traced back to the 1920s. Considerable work after one year of planting, the height of young on introduction of species started in 1958 and trees averaged 2.6m, with a maximum of 3.5m; about 110 species were tested during 1958-1992 and diameter at ground level averaged 3.8 cm, (Yuanmou County Forestry Bureau 1997). Most with a maximum of 6.2 cm. In August 1998, of the species came from other parts of China after two years of planting, the height of young but some were from other countries. They trees averaged 3.8 m, with a maximum of 5.9 included both timber species and species for m; diameter at breast height averaged 6.4 cm, non-wood products. The efforts of more than with a maximum of 10.2 cm; and crown size four decades did identify some well-adapted averaged 2.0 x 2.0 m, with a maximum of 2.9 m species. However, with change in economic x 3.0 m. It was also in the year that the trees conditions and markets, some of these species flowered and fruited. are no longer profitable to grow in plantations. Four additional Azadirachta provenances Our research in Yuanmou introduced 15 new (seed sources) were introduced to Yuanmou species to expand the range of species available from Myanmar and Africa in 1997. Experiments for selection by farmers and to understand what with these were made in Xiaocun village and a species farmers want and why, because only total of about 0.5 ha was planted. A survey after those species accepted widely by farmers are three months of planting found that survival rate appropriate species. Species tested included was over 98%. Experiments with neem have Azadirachta indica, Acacia spp., Eucalyptus now been carried out in other counties of Yunnan spp., and Casuarina sp. province such as Yuanjiang and Jinggu and show similar encouraging results. Experiments, demonstration and These experiments demonstrated the high extension of neem potential of this species for planting in Yuanmou Neem (Azadirachta indica) is a small to and adjacent areas with similar ecological medium-sized tree, usually about 15 m tall, with conditions. Of particular interest currently is the a spreading evergreen crown. It is thought to oil that has many biologically active compounds. have originated in the Assam-Myanmar region Recognising the great market potential, several and is distributed throughout the Indian processing enterprises have entered into subcontinent. It has been cultivated for many contracts with farmers in Yuanmou to purchase years in Indonesia, Malaysia and Thailand. More fresh Azadirachta seeds at prices of 1Yuan kg-1. recently it has been grown as an exotic in many The economic potential of neem has also parts of the world. It is a multipurpose tree attracted considerable attention from adapted to poor soils and hot, dry tropical governments and farmers. Governments at conditions. It grows best where there is an annual different levels are now encouraging farmers to rainfall of 1000 mm but will tolerate as low as plant these species and villagers themselves are 400 mm. It is grown for shade and shelter, timber enthusiastic. and fuel, and to control erosion. In India, oil

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Azadirachta indica could be the most torulosa and Acacia tumida, failed in the nursery, successful introduced species in Yuanmou. Eight probably because local nursery techniques were plantations, with a total area of 37 ha, were not suitable for them. Some of these species fix developed in Yuanmou in 1998. Of these, 17 ha atmospheric nitrogen and could be planted in were established with government capital association with neem, especially on highly investment, while 5 plantations totalling 20 ha degraded soils. Acacia holosericea is already were established exclusively with farmers’ being used in mixed plantings with eucalypts in money. This is in sharp contrast to the attitude Guangdong province, China. Villagers stated that of farmers to other introduced species. The no vegetation survived under eucalypts and this driving force of the rapid expansion of neem is probably related to competition for water in plantation is the economic potential of the neem the dry environment. There would be less tree products, especially the oil. The lesson from competition if eucalypts were planted at wider this experience is that tree species must be both spacing and this might permit acacias to be ecologically suitable and economically interplanted and provide better ground cover and profitable to generate enthusiasm among farmers a potential source of animal fodder. to invest their time and money to plant them. Planting for environmental improvement Conclusions reasons alone is not sufficient incentive to attract Improvement in the ecological environment and farmers’ interest. people’s welfare through planting trees in the seriously degraded forest lands with a dry and Testing other species hot valley climate in southwest China is a great Australian tree species have been successful as challenge. It needs the combined efforts of local exotics in many parts of the world. Many are communities and villagers, governments at multipurpose species adapted to harsh tropical different levels, and the academic community. environments (Doran and Turnbull 1997). Using Our research highlighted what others have computer-assisted climatic analysis (Yang et al. been finding in other regions and counties, 1996) the climate of Yuanmou was compared namely that both socioeconomic factors and with that of Australia to identify species with a technical aspects must be addressed to high probability of being adapted to the hot and encourage active involvement of local dry local conditions. communities and villagers in this task. The Ten species, mostly from central Queensland, former includes economic returns villagers can were identified. Some of the species have already expect from tree planting, removal of shown potential in dry areas in Vietnam, parts of government disincentives, increased West Africa and elsewhere. Seeds were provided environmental awareness among villagers, and by the CSIRO Australian Tree Seed Centre, the availability of capital for investment in Canberra and the experiment was established in reforestation. Appropriate technologies include Xiaocun in 1998. The species are: Acacia identification of appropriate species and the difficilis, A. holosericea, A. neriifolia, A. development of planting technologies effective plectocarpa, A. torulosa, A. tumida, Casuarina in the harsh climatic and soil conditions. cunninghamiana, Eucalyptus camaldulensis var. obtusa, E. exserta and E. punctata. Economic Incentives Initial observations show that performance Reasonable economic returns are essential to varied across these species. Eight species show encourage active involvement of villagers. Such initial positive results, with the survival rates returns can be achieved through several pathways. and average height of seedlings comparable with One is the adoption of multipurpose tree species those of endemic species such as Albizia kalkora for non-wood products in plantations because and Phyllanthus emblica. Two species, Acacia such plantations can generate material benefits

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without harvesting the whole tree thus to establish profitable multipurpose plantations. maintaining environmental services. The rapid The case of rapid adoption by villagers of neem diffusion of neem in Yuanmou and other trees shows that provided the economic incen- counties in Yunnan demonstrates that farmers tives are there the more wealthy farmers can are willing to plant trees if they can expect overcome capital shortage. economic returns from their investments. Another possible incentive would be to have Appropriate Technologies appropriate compensation for villagers for the Technical difficulties that need to be overcome environmental services their plantation forests include identification of sufficient appropriate provide. Government policies can also have a species to provide a choice of options and the significant influence on the profitability of generation of economical and effective planting forestry plantations. technologies for the dry and hot area. Appropriate species means species that are well- Government Policies adapted to local climatic and soil conditions and While timber harvesting has to be controlled have characteristics that help control soil strictly in the upper reaches of the Yangtze to erosion, such as dense spreading crowns and reduce erosion and flooding, it is a disincentive either deep rooting or low water use, and are for farmers to invest in tree plantations. Yin also profitable to grow. The neem tree appears (1994) recognised the disincentives of to be a good example of the type of tree that is governmental market controls and price required. Technologies that are effective but distortions and such disincentives were evident costly inhibit widespread adoption, as shown by in Yuanmou. Changes in government policies planting techniques developed by several other on rights to harvest and market timber and a research projects. more favourable approach to taxation and A participatory and collaborative approach charges could provide a greater incentive for tree to testing species and silvicultural techniques planting. The ongoing countrywide government has advantages including the rapid uptake of program of “food for trees and grass” is an appropriate technologies. This has implications example of a positive approach to the problem. for the design of future projects of land An expansion of the program in size or a reclamation and forest rehabilitation. development in similar programs is required. Environmental Awareness Availability of Capital There is a need for environmental education for One constraint that needs to be addressed is villagers to build and raise their awareness of insufficiency of capital for investment in environmental issues. This implies a need for plantation establishment. Currently villagers use efforts to demonstrate potential direct benefits any surplus income for fixed assets, such as of environmental restoration to villagers and house construction, television, or to pay for local communities. They may participate marriages. Investment capital will be required actively in developing plantations if they are to encourage villagers to develop quality convinced that environment restoration through plantations. Government reforestation funds tree planting is not only beneficial to others but have been limited, and most of them have been also to themselves. Locally this may mean used to develop government chief plantations controlling severe soil erosion, preventing with little support to villagers. Investment by salinization of soil and improving land fertility government in plantation establishment is public and productivity. spending and should be used to develop forests with environmental services as the primary ob- jective. Investment by villagers should be used

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References Yang, H., Booth, T.H. and Zuo, H. 1996. Ahmed, S. and Idris, S. 1997. Azadirachta GREEN - a climatic mapping program for indica A.H.L.Juss. In: Faridah Hanum, I. China and its use in forestry. In: Booth, T.H. and van der Maesen, L.J.G. (eds.). Auxiliary (ed.) Matching trees and sites. ACIAR plants. Plant Resources of South-East Asia Proceedings No. 63: 24-29. Australian No. 11. 71-76. Backhuys Publishers, Centre for International Agriculture Leiden. Research, Canberra. Boland, D.J. 1997. Selection of species and Yang, M. 1992. Classification of dry and hot provenances for planting. In: Doran J.C. and valleys in Yunnan. In: Zhao, Junchen et al., Turnbull, J.W. (eds.). Australian trees and (eds.) Preliminary exploration of economics shrubs: species for land rehabilitation and of dry and hot valley. 123-131. Chinese farm planting in the tropics. ACIAR Economic and Culture Publication Co., Monograph No. 24: 39-58. Australian Hong Kong. (In Chinese) Centre for International Agriculture Yang, Z., Zhuang, Z., Qin, D., Ran, G., Fu, W. Research, Canberra. 1999. Afforestation techniques for water DeBell, D.S., Cole, T.G. and Whitesell, C.D. conservation in arid-hot valleys of Yuanmou 1997. Growth, development, and yield in County. Bulletin of Soil and Water pure and mixed stands of Eucalyptus and Conservation 19: 38-42. (In Chinese) Albizia. Forest Science 43: 286-298. Yin, R. 1994. China’s rural forestry since 1949. Doran, J.C. and Turnbull, J.W. (eds). 1997. Journal of World Forest Resource Australian trees and shrubs: species for land Management 7: 73-100. rehabilitation and farm planting in the Yu, L. 1997. A study for the selection of tropics. ACIAR Monograph No. 24. afforestation species for the dry-hot river Australian Centre for International valley in Yuanmou. Journal of Southwest Agriculture Research, Canberra. Forestry College 17 (2): 49-54. (in Chinese) Ho, C.K. and Fang, Y.I. 1997. Development of Yu, L., Shu, Q., Gao, J. 1997. A study on black wattle (Acacia mearnsii De Wild.) introduction experiment of afforestation plantations in China. In: Brown, A.G. and species for vegetation recovery in dry-hot Ho, C.K. (eds.). Black wattle and its river valley of Yuanmou. Journal of utilisation. 83-88. Rural Industries Research Southwest Forestry College 17 (2): 25-29. and Development Corporation, Canberra. (In Chinese) Khanna, P.K. (1997). Comparison of growth Yuanmou County Bureau of Forestry. 1997. and nutrition of young monocultures and Yuanmou County Annals of Forestry, mixed stands of Eucalyptus globulus and Kunming. (In Chinese) Acacia mearnsii. Forest Ecology and Zhou, J. and Zhang, M. 1998. Study on Management 94: 105-113. quantitative selection of drought-resistant Li, K. and Zeng, J. 1999. [A] Comparison of and heat-resistant afforestation species in water physiological characteristics of 9 Yuanmou. Yunnan Forestry Science and planting species in Yuanmou dry and hot Technology 3: 32-36. (In Chinese) valley areas. Yunnan Forestry Science and Technology, 1999 No. 1: 70-74. (in Chinese) Liu, D. 2001. Tenure and management of non- state forests in China since 1950. Environmental History 6: 239-263.

isi Christian 43 6/30/03, 9:26 PM Chapter Three

Degradation and Rehabilitation of Evergreen Broadleaf Forest in Cangwu County, Guangxi

Liu Dachang1, Weng Qijie2, Zeng Jie2, Zheng Haishui2 and Zhou Zaizhi2

Introduction Evergreen broadleaf forest is typical vegetation more innovative multidisciplinary approaches in China’s extensive subtropical zone in most with participation of stakeholders are required. hilly and mountainous areas to the south of the Our research was carried out Shanxin village, Yangtze River. The majority of these forests are Cangwu County, in eastern Guangxi. Evergreen secondary forests and most have been degraded broadleaf forests comprise two thirds of forest to a greater or lesser extent. Only a few primary area of the village and most of the remainder is natural forests exist in isolated locations mixed coniferous and broadleaf stands. For over (Ministry of Forestry 1996). 100 years the broadleaf forests of this and other Degraded evergreen broadleaf forest is villages in the area have been managed largely characterised by a reduced number of tree for fuelwood and charcoal. These products were species and much lower biomass than normal consumed on farm and exported to the Pearl forest. In the forest there is a loss of biodiversity River Delta and Hong Kong to provide an and off-site effects of forest degradation include important source of cash income. Now 75% of increased flooding, lower water quality and the broadleaf forest is degraded and 10% has siltation of dams. These forests have received deteriorated into bush-covered land and considerable attention from foresters and local grassland. Forest degradation appears to have communities but there is limited understanding resulted in significant decline in forest output of the extent and causes of their degradation and and to threaten local livelihoods and its impact on people’s welfare. Few effective environmental services. strategies or solutions, especially overall A participatory approach was used to packages, for rehabilitation of these forests have examine critically the extent and immediate and been identified. Nevertheless it is clear that underlying causes of degradation of evergreen degradation of such forests is continuing and if broadleaf forest in one village to achieve an left unchecked will have serious consequences improved understanding of the issues. Then we for people depending on forests for their aimed to identify effective strategies/solutions livelihoods and for the environment in general. to reduce degradation and to test some of the Part of the problem has been failure to recognise solutions in the village’s forests through action that technical ‘fixes’ alone are not sufficient and research.

Authors are listed in alphabetical order. 1 Southwest Forestry University, Kunming P.R. China and Center for International Forestry Research, Bogor, Indonesia. Currently at The Mekong Institute, Khon Kaen, Thailand. 2 Research Institute of Tropical Forestry, Chinese Academy of Forestry, Guangzhou.

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This chapter presents results of our re- who are also farmers were consulted during di- search. It briefly presents research methods, agnosis stage. The overall aim of the survey was describes biophysical and socio-economic to identify factors responsible for the forest deg- conditions of the village, and examines the radation, to canvass possible solutions and to extent and causes of degradation of evergreen find acceptable ways of implementing action broadleaf forest. It discusses disincentives to research to test potential rehabilitation strategies. management of broadleaf forest for timber and The survey was undertaken in two periods of other wood products; and identifies strategies about one month duration. Survey methods for forest rehabilitation and analyses their included common PRA tools such as secondary effectiveness based on results from testing data collection, farmer household interviews and them at the study site. group interviews/meetings. In the first survey 54 households were consulted and 52 Research Methods households during the second survey. These As part of a multi-location research project, the households were chosen through random research in Shanxin village used similar methods sampling from village household groups at to those in the other study sites (Chapter 1). This different levels of economic development. required a participatory approach combined with Specifically, the 54 sampling households were the logical procedure of diagnosis of the selected from two wealthier village household problem, design of possible solutions and finally groups, four middle-income groups, and two testing of proposed solution through action poor groups. Households were consulted largely research. through semi-structured interviews complemented by a questionnaire survey. Participatory Approach During the first survey period, three group Participation is now widely advocated and meetings were organised, each with the village accepted as a strategy for rural development and leaders, the leaders of village household groups, natural resources management. It is referred to and representatives of farmers. as ‘Participatory Rural Appraisal’ (PRA) Views and opinions were listened to and (Chambers 1994a, b, c, Chambers and Guijt respected throughout the research process. For 1995). The participatory approach recognises example, initially the researchers proposed a that it is critical to conduct research in the local shareholding system when discussing natural social context where differences in land, labour regeneration through mountain closure and markets can radically change the (fengshan-yulin in Chinese) and reclamation of effectiveness of proposed technological a small area of sloping land. However, farmers solutions to forestry problems. In this research, rejected the proposal. After much debate, the participation involved farmers, their families, farmers proposed and adopted a form of researchers and local government officials to common management involving no changes in address forestry problems. It is an approach that tenure. Similarly, the researchers worked with has rarely been used in China. farmers to develop options but farmers decided whether to adopt them or not. Farmer participation In contrast to a ‘top down’ approach, farmer Involvement of researchers involvement in diagnosis, design and delivery More than 10 researchers and extension was particularly stressed in this research. More personnel were involved. They were from the than 100 households representing nearly 20% national Research Institute of Tropical Forestry of households in Shanxin and a number of and South China University of Agriculture, leaders of village and village household groups based in Guangzhou, and from local government

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services such as agricultural extension, forest Conventional Forestry Research bureau, and scientific and technical commission. Methods Researchers and extension staff played an im- portant role in identifying appropriate options/ Forest vegetation survey strategies, and providing necessary extension Conventional methods for forest vegetation services and information. This was extremely survey were used to understand plant species, important in this isolated mountainous area forest resources, and the extent of forest where farmers have poor access to information degradation. The survey team consisted of five and extension services. Participation of research- researchers and two villagers. It was carried out ers helped improve communication between in sample plots measuring 20 m x 20-50 m. A government officials and the farmers. plant inventory was made to document biodiversity, and the extent of forest degrada- Participation of government officials tion was assessed using indicators such as Over 20 government officials from six fuelwood output and standing biomass of forest government agencies, including county bureaus over time. To achieve an understanding of for- of agriculture, forestry, and science and est degradation a comparison between the cur- technology, and from township government rent state of forest and past forest conditions was participated in this research. Involvement of made. This was based on available research data government officials helped facilitate successful and recall of senior villagers. For the same rea- implementation of strategies identified because son, a comparison between forest in Shanxin and their participation made a significant primary forest in a nearby reserve was also contribution to the raising of investment funds made. and to conflict resolution. Soil surveys Action Research The survey team undertook soil surveys in The research in Shanxin adopted a logical different types of forests and in forests degraded project procedure of diagnosis, design and to a different extent of to understand relation delivery. The researchers worked together with between changes in soil properties and forest villagers and government officials to achieve a degradation. Type, texture, depth and fertility good understanding of local forest resources and of soil and its capacity for holding water and to identify the state and causes of forest fertility were observed and measured. degradation and opportunities and constraints to forest rehabilitation. On the basis of this, a Background Information range of activities was identified to address the on Shanxin Village, problems of rehabilitation of degraded forests. Cangwu County These activities were either direct, such as the mountain closure to promote natural Location, Terrain and Climate regeneration, or indirect, such as planting trees Shanxin village is an administrative village to provide non-wood forest products (NWFPs) governed by Cangwu County It is located at and developing yard activities to provide sources 23°19’31”-23°26’50”N latitude, 111°40’41”- of incomes that did not involve harvesting of 111o50’00”E longitude in eastern Guangxi (Map products from the broadleaved forests. These 1.1 in Chapter 1). It is close to towns and cities, activities were then tested in and around the being only 30 km from Wuzhou city and 45 km village to determine their appropriateness and from Cangwu County town. effectiveness, which is action research or the The terrain is predominantly hilly with an delivery part of the research process. altitudinal range of 55-300 m above sea level but mainly 110-250 m. The mountains are steep,

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with slopes of 25-35 degrees in general and up south China. In Shanxin it comprises two thirds to 45 degrees. This rugged topography makes of forest area (Table 3.1). This natural forest food cropping difficult and less productive. The has become less rich in species composition climate is warm, rainfall abundant, and summer but still includes many species. Our surveys is much longer than winter. For the period 1959- indicate that the most common tree species in 1992, mean annual temperature was 21°C, and this forest type are: Castanopsis hickelii, mean annual rainfall 1516 mm. Most of the Castanopsis fissa, Castanopsis fargesii, rainfall (80%) comes in spring and summer, and Lithocarpus fenzeliana, Quercus griffithii, autumn and winter are very dry. Although the Cinnamomum camphora, Sassafras tsumu, lands and climate are quite favourable for tree Michelia macclurei, Schima superba, growth, the hilly topography increases the cost Schefflera octophylla, Cratoxylum ligustrinum, of logging and wood transport. Altingia chinensis, Madhuca subquincuncialis, Rhodomyrus tomentosa, Phyllanthus emblica Forest Resources and Melastoma candidum. Miscanthus Shanxin has an area of 2940 ha. Data in Table florodulu and Pteridium aquilinum are the most 3.1 shows that 83% of the area is forest whereas common herb species. cropland is only 4%. About 13% of the area has Evergreen broadleaf forest in Shanxin has other uses, such as grazing and habitation. been managed mainly for fuelwood and wood Primary forests in Shanxin were natural for making charcoal, although it also provides evergreen broadleaf forests. Now, due to long- materials for farm tools and NWFPs. Until the term over-harvesting and other human late 1970s, some fuelwood and charcoal were interventions, secondary natural forest has consumed on farm and the remainder exported become the most common type of vegetation in to cities in the Pearl River Delta and Hong Kong. the village and adjacent areas. Currently, the Demand for these products has gradually forests can be grouped into three broad diminished due to the availability of alternative categories: evergreen broadleaf forest, mixed energy sources such as electricity and natural gas. coniferous and broadleaf forest, and NWFP However, a new demand for wood has appeared. plantation (Table 3.1). Many wood processing enterprises, especially the Wuzhou Wood Factory, have been established Evergreen broadleaf forest since the 1980s, and these enterprises need Evergreen broadleaf forest is common in significant amounts of small-diameter wood. In Guangxi and is the typical vegetation in addition, fuelwood is still the primary source of subtropical areas of several other provinces in energy for local rural communities.

Table 3.1. Land use in Shanxin village

Types of land Area (ha) % Total % Total forest area

Total land area 2940 100 Total forest 2446 83 100 Evergreen broadleaf forest 1462 67 Mixed forest 728 30 NWFP plantations 76 3 Crop land 103 4 Other (grazing land, settlement area) 391 13

Source: Cangwu County Forestry Bureau and Guangxi Institute of Forestry Inventory and Planning.

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Figure 3.1 Bundles of bamboo stems for a local paper Shanxin is rich in forest resources on a per factory in Cangwu County capita basis. On average, each villager has about 1 ha of forest land and 8.5 m3 of timber. However, the endowment varies significantly among hamlets of the village. For example, per capita forest area is only 0.27 ha and 0.35 ha respectively in two hamlets but is 1.9 ha in another hamlet.

Contributions of forest to income generation and villager livelihoods Shanxin village is a typical agricultural community, and if those who find off-farm employment are excluded, farmers contribute the majority of the production of the village. The contribution of different sub-sectors of agriculture has varied over time. Forestry has become more important in income generation Mixed forest since the early 1990s, with its share increasing Mixed forest of conifers and broadleaf trees ac- from less than 10% in the early 1990s to nearly counts for 30% of the forest area of Shanxin (Ta- 20% in the mid-1990s. In this period it became ble 3.1). Dominant species in this type of forest as important as animal husbandry in the village. are Masson pine (Pinus massoniana) and some In contrast, the share of cropping decreased from broadleaf tree species. Masson pine is natural and over 80% to about 60% over the same period, secondary in origin. There are also plantations of although it is still the largest sub-sector (Table Chinese fir (Cunninghamia lanceolata) but they 3.2). Fuelwood is the sole source of energy for are very limited in extent comprising less than cooking and space heating for local people; and 1% of forest area. The mixed forests are man- aged mainly for timber production, although resin is tapped from the Masson pine. Figure 3.2 Leaves of Cinnamomum cassia harvested for oil production NWFP plantations These plantations are limited in area and make up only 3% of the forest (Table 3.1). They are mainly plantations of Cinnamomum cassia, Illicium micranthum and bamboo. Cinnamomum cassia is a medicinal plant, its bark is used directly in Chinese medicine and its leaves and branches are distilled to produce oil. Fruits of I. micranthum are a common spice in Chinese food. Bamboo is managed for timber to make baskets for farming use, as building material and for paper pulp (Figure 3.1). Edible bamboo shoots are also produced. Plantations of Cinnamomum (Figure 3.2) and Illicum ac- count for 1.7% of forest area of the village; and bamboo, 1.4%. In addition, Camellia sp. is planted for tea oil in several hamlets.

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Table 3.2 Gross output value of agriculture in Shanxin by subsector (1991-94) Subsector 1991 1992 1993 1994 Yuan % Yuan % Yuan % Yuan % 000s 000s 000s 000s

Cropping 1802 83 1911 73 1930 61 2293 62 Forestry 153 7 163 6 597 19 728 20 Animal husbandry 223 10 533 20 621 20 703 19 Fishery 3 0.1 3.6 0.1 6.0 0.2 5.6 0.2 Village total 2182 100 2611 100 3155 100 3730 100

Yuan capita-1 Yuan capita-1 Yuan capita-1 Yuan capita-1 Cropping Forestry 694 743 751 894 Animal husbandry 59 64 233 284 Fishery 86 207 242 274 Total 1 1 2 2 840 1016 1228 1454 Source: Shanxin Village Office, Annual Statistical Reports of Shanxin Village, Wangfu Township, 1991,1992, 1993, 1994.

sales of fuelwood, small-diameter wood and (30 km from Shanxin) and many cities in the Pearl NWFPs are important sources of cash income, River Delta and Hong Kong. while the crops produced are largely for on-farm The village is rather isolated in terms of consumption. telecommunication. The village office had no access to telecommunication and officials had to Demography, Infrastructure and rely on oral or written messages when they needed Wealth to contact leaders of the village household groups. Shanxin has a population of 2570 in 521 Shanxin village is poor compared with the households (1995) with 43% of the population other 20 villages within the same township. at labour age. The dependant ratio is not high, Average per capita gross output value of so, poverty is not much related to this factor. agriculture of the village was 77% of township About 64% of the population has primary school average; and average per capita income about level education; 32% has junior middle school 65% (Table 3.3). Average per capita output of education; and nearly 3% is illiterate. Few food grain was also lower than the township villagers have senior middle school education. average due to a smaller area suitable for crop Almost all those with senior middle school production and poorer land productivity. As a education and a large proportion of those with consequence, 80% of households were not able junior middle school education seek part-time to achieve food sufficiency and had to buy grain or full-time off-farm employment in urban areas to make up the deficit. of Guangdong and Guangxi. The village has relatively good access to Extent and Causes of transport. The highway from Wuzhou to Hexian Degradation of Evergreen County passes through the village and provides Broadleaf Forest for it access to vehicle transport. Six of 24 village household groups reside along the highway and Extent of Degradation 11 of them are connected by dirt road to the high- In this chapter, two indicators - biomass ha-1 and way, though seven groups are far from the main forest composition – are used to assess the forest road or have no access to motorised transport. In in Shanxin village. It is compared with its addition, the Xijiang River (a branch of the Pearl previous state and with an undegraded forest in River) provides transport between Wuzhou city a nearby reserve.

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Table 3.3 Agricultural economic performance in Shanxin and Wangfu township (1994) Mean annual Average Gross output value of agriculture gross output annual income ’000s Yuan value of agriculture (Yuan capita-1) Total Cropping Forestry Animal Fishery (Yuan capita-1) Husbandry

Shanxin 1454 980 3730 2293 728 703 5.6 Wangfu 1888 1509 5030 3161 511 937 421 Shanxin as 77 65 74 73 143 75 1.3 % of Wangfu

Source: Shanxin Village Office (1994), Annual statistical reports of Shanxin village and Wangfu township, 1994.

Our surveys in 1997 showed that 75% of showed that soil fertility between the degraded evergreen broadleaf forest in the village is de- forests in Shanxin and the primary forest in the graded, 10% severely degraded and about 15% reserve did not differ significantly. This suggests slightly degraded. The degraded forest com- that land in the degraded forests still has great prises impoverished and ecologically unstable potential for forestry production. stands equivalent to those classified as Forest composition has become less diverse. ‘overlogged forest’ by Banerjee (1994). Its Senior villagers in Shanxin recall that tree output of fuelwood is less than 20 t ha-1 on about species preferred for house building and a 7-year cutting cycle. The seriously degraded furniture making such as Castanopsis hystrix, forest has become shrub land or bare land. It Erythrophleum fordii, Phoebe nanmu, and can provide little fuelwood, compared to the 30 Madhuca subquincuncinalis were very common t ha-1 or more from slightly degraded forest. in evergreen broadleaf forest in the early 1950s. Biomass of Shanxin’s forests has declined Due to prolonged selective cutting, there are now remarkably over the last five decades. Based on not many trees of these species left. Fast- the recall of senior villagers, standing biomass growing species such as Castanopsis fissa, of the forest in the early 1950s averaged about Quercus griffithii, Alangium chinense and 100 t ha-1 and could reach 150 t ha-1. It declined Schefflera octophylla, are now very common so to about 65-100 t ha-1 in the early 1980s and the value of the forest is lower. In addition, as a further to only 30 t ha-1 in the late 1990s (Table result of shorter interval between wood harvests, 3.4) so the past 20 years saw a substantial the proportion of large-diameter trees in the reduction in the biomass. Wood output has forests is very small. shown a similar trend. Yield decreased from 50- 60 t ha-1 in the early 1980s to about 20-30 t ha-1 Causes of Degradation in the late 1990s. Forest degradation has received increasing Biomass of the evergreen broadleaf forests attention throughout the world but convincing in Shanxin is also sharply lower than that of research on causes of forest degradation is still forest with same dominant species in a nearby limited in China. Our research in Shanxin natural reserve. Survey showed that forest focused on causes of degradation of evergreen biomass in the reserve is 280 t ha-1, about eight broadleaf forest to better understand the issue times that of the forests in Shanxin. This further and to identify effective strategies for demonstrates the severity of degradation of the rehabilitation. The research indicated a number village’s forests. of factors responsible for forest degradation. Although Shanxin’s forests are degraded or They are: severely degraded, soil fertility in the forests did • over-harvesting not show a similar trend. Our survey data • inappropriate logging methods

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Table 3.4 Changes in forest biomass

Forest type Biomass (t ha-1 ) Early 1980s* 1997**

Castanopsis fissa forest 98.5 33.5 Schima superba forest 65.1 Mixed forest of C. fissa and S. superba 77.2 Castanopsis hystrix forest 33.7 Mixed forest (I) 29.3 Mixed forest (II) 6.8 Shrubs 4.4 Primary forest (natural reserve) 281 * Data from a survey on fuelwood by Guangxi Academy of Forestry. ** Data from our field survey.

• radical development policy and breakdown High consumption of fuelwood on-farm and of collective forest management system, and local market demand places a huge pressure on • tenure insecurity the forest. Our survey of 74 households in Shanxin in 1995 showed these households Over-harvesting annually harvested 940 t of fuelwood, nearly Cangwu County has been a fuelwood and 13 t per household. On-farm consumption was charcoal production area for more than a century 68% and 32% was marketed. About 70% of exporting these products to Guangzhou, other households in the village sold fuelwood, and cities in the Pearl River Delta and Hong Kong. more than half earned most of their cash income Overlogging, driven by local and outside from these sales. Each of 40% of households demands for fuelwood and charcoal, has caused earned 1000 Yuan or more annually from forest degradation in the county, including fuelwood selling. Shanxin village harvested Shanxin. This took place largely during the 6711 t of fuelwood in 1995. As noted earlier, period from 1954 to the late 1970s. average fuelwood output of 7-year-old forest is Although farmers sold these products before estimated to be around 30 t ha-1. This suggests 1954, the quantity marketed to outside areas was that Shanxin needs to harvest more than 220 ha limited, mainly due to the lack of transport in- of forests annually for fuelwood only. This is frastructure. Construction of the highway from equivalent to about 13% of evergreen broadleaf Wuzhou to Hexian in 1954 provided villagers forest in the village. in Shanxin with easy access to transport and A new demand for small-diameter wood facilitated increased production and marketing appeared in the mid 1980s with the of fuelwood and charcoal. These were primary establishment of a number of wood-using sources of cash income for farmers in Shanxin enterprises. The largest is the Wuzhou Wood and other villages in Cangwu and beyond at Factory, located in Cangwu County, which least until the late 1970s. Since then demand produces fibreboard and particleboard and needs for them in Hong Kong and the Pearl River 90 000-100 000 t year-1. It is estimated that Delta declined significantly as other energy current demand in Cangwu County for small- sources became available. In 1977 Shanxin sized wood is 180 000-190 000 t year-1. On the stopped making charcoal because of very lim- supply side, the county is not able to meet this ited demand. However, there is still market demand. The area of secondary broadleaf demand for fuelwood, because this remains the forests in Cangwu is 67 600 ha, assuming sole source of energy for cooking and space harvesting is at 7-year intervals, so about 9660 heating in the area. ha can be harvested a year. Experience

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indicates that average output of small- resulted in cutting cycles being reduced from diameter wood of 7-year-old broadleaf forest about 8 years to 5-6 years, which also means is only about 10 t ha-1. This suggests that Cangwu that slow-growing species that produce higher County is able to supply about 96 000 t of small quality wood have disappeared from the forest. wood at present and in the near future, or only able to meet the requirement of the Wuzhou Radical development policies and Wood Factory. Clearly, there exists a substantial collective forest management breakdown gap between demand and supply of wood in this Forest degradation in Shanxin also has county. The situation has placed great pressure something to do with the radical development on the already degraded local forests. policies of the late 1950s and a unique political Over-harvesting also occurs because of over- circumstance that caused the breakdown of dependence of local communities on forest collective forest management system in the late resources. Surveys showed that more than 80% 1960s. of households depend on small wood and other In 1958, the Chinese Government launched forest products as main sources of cash income the radical ‘Great Leap Forward’ campaign to and they have limited cash income from other establish the people’s commune and attempt to sub-sectors of agriculture and non-farm realise country’s industrialisation with a vision activities. that China’s steel output would surpass that of A possible solution is to increase small wood Great Britain in 15 years. Throughout China output by developing fast-growing plantations people were mobilised and forced to make iron and tapping other sources of income to reduce and steel using backward backyard furnaces. over-dependence on the degraded forests. These furnaces used a very large amount of Empirical evidence shows that there is a close fuelwood and charcoal but failed to produce interrelationship between dependence on forest usable iron and steel. Shanxin suffered from this and development of other sub-sectors of event as a large number of people from the agriculture and non-farm activities. Forests in neighbouring town came to the village to cut Fuzhu hamlet of Shanxin have been conserved trees and make iron and steel. At that time 190 and are in relatively better condition than those charcoal making places were established in the in other hamlets, as village households in Fuzhu village. Patches of higher quality evergreen have developed animal husbandry, fruit orchards broadleaf forests were cleared and many other and food processing enterprises and do not rely dense forests became poor quality secondary heavily on forests for income generation. forests with low stocking. As fuelwood and charcoal output peaked it was accompanied by Inappropriate logging methods the first serious deforestation in Shanxin since Poor logging methods, including selective 1949. logging, and shorter intervals between In 1966, Chairman Mao initiated the ‘Great harvesting have contributed to the degradation Cultural Revolution’. The campaign paralysed of forests in Shanxin and other villages in the almost the whole governance system from area. Excessive application of selective cutting central to village level and resulted in the has resulted in less individuals of slower breakdown of management system of collective growing species preferred for house building forests in many rural areas. The leadership of and furniture making, while less valuable, lower Shanxin village also lost control over forest quality species, such as Castanopsis fissa and management at that time and illegal cutting Quercus griffithii, have become dominant. increased significantly. In the period 1966-1968, Hence tree diversity and wood quality have fuelwood and charcoal output in Shanxin and diminished. Increasing demand for wood adjacent areas experienced another peak, which

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implies serious deforestation, though not as small-diameter wood to the wood processing severe as occurred in the late 1950s in terms of factories even though demand is great and prices forest stock logged. for small-diameter wood are higher than for fuelwood. This apparent aberration can be ex- Insecurity of forest tenure plained largely by farmers’ response to the two Further significant deforestation and government policies. degradation of forests took place in Shanxin and Timber harvesting is highly regulated in other villages following the distribution of China. Usually, one must obtain a cutting permit collective-owned forests to individual to harvest timber no matter whether this is in households in 1982. This is shown by the collective-owned forests and plantations or in significant decline in forest biomass over the household plantations. Furthermore, cutting last two decades as previously noted. certificates are tied to logging quotas. When an Frequent changes in policy for forest tenure administrative area has used up its quota in a over the three decades to the early 1980s were given year, it is not allowed to issue more cutting the underlying cause of this deforestation due to certificates that year. Experience shows that insecurity of forest tenure (Liu 2001). As in other farmers are usually in a disadvantageous parts of China, Shanxin village experienced radi- position to get certificates for the quantity they cal and frequent changes in forest ownership. wish to harvest and at the time they want to Forest was private property of rural households harvest it. Timing is important to ensure the best in the first half of the 1950s, collectivised in 1956- price is obtained. In Shanxin, however, 1957 and became commune’s property in 1958, regulations were not strictly followed for and owned and managed exclusively collectively harvesting fuelwood. until the early 1980s. The ownership of scattered Data indicate that local governments and the trees around homesteads also experienced simi- forest department collected and charged 14 kinds lar change. They were collectivised in 1958, re- of tax and fees on timber in Cangwu County. turned to individual households in the early Consequently, half of the turnover of wood 1960s, and taken away again by commune from trading went to the outside stakeholders. As costs farmers in mid-1960s. of logging and timber transport are estimated at The frequent changes led to a great lack of about 30-35% of market price for timber, it confidence among farmers in tenure security. follows that the farmers received only the With perceived insecure tenure it made little remaining 15-20% of sale price. Profits of sense to them to manage forests sustainably. farmers from timber production were nearly zero Instead, they immediately harvested trees when their costs of planting, tending and distributed to them to realise their value, a guarding of trees are taken into account. Taking reasonable response based on their past pine timber an example. The price was about experience. 500 Yuan m-3 in 1997-1998, from which the farmers received only 60-80 Yuan (12-16% of Disincentives to Managing market price). Although fuelwood prices were Evergreen Broadleaf Forest only 160 Yuan t-1, much lower than for timber, for Commercial Timber and farmers received more income from it than from Other Wood Products timber, because they were subject to little The case study in Shanxin showed that taxation when selling fuelwood. This explains government policies for timber harvesting and why farmers preferred to sell their wood as taxation on timber discourage farmers from fuelwood. properly managing timber forests. Local farm- Less restrictive regulations on timber har- ers preferred to sell all their wood as fuelwood vesting and less taxation on timber sales would on the free market rather than directing their provide incentives to encourage farmers in

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Shanxin and other villages to plant timber trees Natural Regeneration through and manage timber forests more effectively by Mountain Closure enabling a better return on the products. Natural regeneration of forest through closing the mountain or hillside has been a common Strategies for Rehabilitating silvicultural practice in China over the last four Degraded Evergreen Broadleaf decades. It aims to promote regeneration of Forest secondary forest through prohibiting or Degraded and seriously degraded forests must restricting specified activities such as grazing be targets of rehabilitation efforts, because if left on a tract of degraded mountainous land. It is untreated their yields will continue to decline technically feasible since broadleaf trees readily and restoration of their productivity will be time sprout by coppice shoots and coniferous trees consuming and expensive. In their degraded regenerate easily by seeds. The favourable state they will not be able to provide the normal subtropical climate with warm temperatures and environmental functions of a forest. In contrast, adequate rainfall provide ecological conditions slightly degraded forest has high potential to re- for successful natural regeneration of secondary cover its productivity in a reasonable period of forests. Many secondary forests have been time. successfully regenerated in this way and the The most important causes of forest practice is cost-effective and much cheaper than degradation in Shanxin are over-harvesting and establishment of artificial plantations (Yang and short intervals between harvests. This problem Ou 1987, Xu and Zheng 1994). Experience in can only be addressed by reducing the farmers’ other parts of Cangwu County also shows that dependence on the forest for income generation. secondary forest recovery begins two years after The strategies identified to rehabilitate the closing the area and this enables small diameter seriously degraded and degraded evergreen wood to be harvested in 7 to 8 years. broadleaf forest included direct and indirect The experiment at Shanxin began in early interventions. Three broad strategies emerged: 1998 and the area closed was 670 ha. Informal • natural regeneration through closing moun- village regulations on mountain closure specify tain (fengshan yulin in Chinese), that participating households collect forest • plantation establishment, and products only from their own patch of forest, • development of other sub-sectors of and no tree removal, fire or grazing in the closed agriculture and non-farm activities. area is permitted. However, several challenges The first strategy was designed to restore the of governance and management needed to be degraded forest by restricting access and leaving addressed and some constraints overcome if the it to regenerate naturally for a sufficient period. mountain closure was to succeed in Shanxin. The second was designed to reclaim the These challenges and constraints, and strategies seriously degraded lands and expand to address them are summarised in Table 3.5 and opportunities for income generation to reduce discussed below. dependence on the existing forests through developing plantations, especially NWFP Collective action and tenure security plantations, which could provide income in a Forest holdings became very fragmented as a relatively short time. The third strategy was to result of the inappropriate implementation of the develop agroforestry systems, including raising policy for the distribution of collective forest animals with trees, and non-farm economic land and forests to individual farmer households activities in household yards and on lands in China in the 1980s. In almost all cases, forests around homestead. The purpose of this third on a mountain slope now belong to many option was to expand opportunities for income households. Therefore, closing an area of the generation for households. mountain requires some form of collective

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Table 3.5 Challenges, constraints and strategies for ‘closing mountain’ for natural regeneration

Challenges and constraints Strategies

Fragmentation of household holdings Common management of household forest resources without any changes in forest tenure and benefit distribution.

Maintaining access to forest when closing mountains - “Shifting closure of a mountain” at village level (only half of forest was closed at one time) - “partial closure” at household level (just part of forest of any a household was closed at a given time)

Encouragement of active farmer involvement Harness their self-interest and build their awareness of the importance of mountain closure.

Set up an effective management system Establish a governance group, a management group, a supervision group,and appoint full-time forest guard (s).

Overcome lack of operational funds County Forestry Bureau, Township Government, and the research team jointly agreed to cover the costs.

action. At first, we recommended a shareholding sources in China in general. This in part explains system to farmers. Under the system, villagers why farmers in Shanxin refused the initial idea would pool their forest resources for common of a shareholding system for closing mountain management and share benefits from the forest regeneration. The other point is that there must in accordance with resources they contribute. be an agreement on an acceptable mechanism This involves a change in the form of forest for benefit distribution. Farmers refused the ini- tenure and benefit distribution. Farmers in tial proposal because they were concerned that Shanxin rejected this proposal. Through village leaders who hold power for benefit dis- consultation an option was identified that did tribution under a shareholding system would not change forest tenure and did not involve appropriate proceeds derived from their forest redistribution of benefits. Each household with area. Such a problem has occurred elsewhere in forest land in the closed area remains the holders China. of trees, has use rights to the land and will harvest products from their own land when the Current access to the forest mountain is reopened. Nobody is allowed to If mountain closure is to be an effective strategy collect forest products from the forest areas of for forest regeneration, villagers’ current access other households within the closed area. to forest resources needs to be addressed while Farmers adopted and implemented the the regeneration area is closed. Villagers in moun- option. Two points are stressed. First is that tainous areas in China are forest-dependent, as tenure security is crucial to ensure success in in Shanxin. They collect fuelwood for self-use closing mountain reforestation. Farmers are very and wood and/or NWFPs to sell for a cash in- sensitive to tenure as a consequence of the come. Options completely denying access to for- frequent changes in forest tenure over the past ests are impracticable and definitely not accept- several decades. They are still not confident of able to farmers. In Shanxin, we worked with the security of their use rights to land, which is one farmers to develop a plan that required half of of main reasons they are not keen to invest in the degraded evergreen broadleaf forest to be tree planting and sustainable use of forest re- open for use when the other half is closed. When

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the closed half re-opens after several years, the management group. The forest guard is other half of mountain will be closed for reha- responsible for patrol, forest fire control and bilitation. At household level, some households prevention of damage by domestic animals. The had all or the majority of their forests in the des- supervision group consists of representatives of ignated closed area. We addressed this issue by farmers with forest in the closed area. It is helping coordinate an exchange of forest land responsible for monitoring performance of the such that these households exchanged part of their forest officer and the forest guard and will report forests with those with the majority of their for- any problems to the management group. In the ests outside the designated closed area. This way event that this group does not take timely action no household had all their forests closed in one on the problem the supervision group can report time and so maintained current access to forest problem to the governance group. Informal resources. Moreover, agreement was reached to regulations on forest management were waive children’s education tuition fees for sev- formulated to ensure forest protection and eral very poor households whose income would maintenance and all farmers involved are required decrease as a result of reducing their access to to help with this task. forests. Operational costs Farmer participation There are operational costs that must be met. The Shanxin experience shows that farmer Natural regeneration through mountain closure participation is essential to the successful requires at least a full time guard to patrol forests rehabilitation of degraded forests using the and prevent illegal cutting and grazing damage. mountain closure approach. Regulations, This involves payment of a salary and other statutory or informal, and measures for forest costs. However, a majority of rural communities management will not work without their col- in mountainous areas are too poor to contribute laboration. Only when their self-interest is har- funds to cover such costs. In the experiment in nessed and their awareness raised of the impor- Shanxin, the Cangwu County Forestry Bureau, tance to their future income of rehabilitating the Wangfu Township Government and the degraded forests by natural regeneration using research team agreed to pay for essential mountain closure, will they be willing to be ac- operational costs for the first period of mountain tively involved. closure. Farmer households will reimburse these bodies when they harvest products from the Governance system regenerated closed forest. This money then will An effective governance system is essential in go into a fund to cover the costs of next round ensuring success in the mountain closure of mountain closing. It is the aim that economic strategy. The system we facilitated in Shanxin sustainability of the system can be achieved by consisted of a governance group at township using this rolling fund. level, a management group at village level, and a supervision group. Responsibilities of each of Progress the groups are clear and specific. The Since the mountain closure in Shanxin began in governance group is responsible for dealing with early 1998, initial experience in the experiment any illegal deforestation cases and for providing suggests that the arrangements are working extension services. The management group satisfactorily. The forest guard fully assumed his takes its responsibilities through two key responsibilities. The informal regulations persons: a forest officer and a forest guard. farmers made have strictly been followed, with Duties of the forest officer are liaison and no illegal cutting or animal grazing in the closed communication between the supervision group, area. The experiment in Shanxin has the forest guard, and other members of the demonstrated the potential for developing

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arrangements suitable for poor villages with a mechanism for collective action involving many development level similar to that of Shanxin to stakeholders, the second examined factors that rehabilitate their degraded subtropical broadleaf encourage farmers to establish and manage evergreen forests. NWFP plantations, and the third tried to identify new species for NWFP with market prospects Plantation Establishment and and quick returns. Management There are about 160 ha of seriously degraded Reclamation of a hillside forest representing about 10% of the area of An experiment to improve productivity and evergreen broadleaf forest in the village. Further vegetation cover on a seriously degraded hillside forest degradation will occur if measures are not was initiated. Thirty-eight households of taken. However, villagers have few other sources Shanxin village owned a piece of sloping land of cash income apart from the forest. Over- of about 10 ha in extent. All had to agree to dependence of local communities on forests for participate in the collective planning effort. their welfare is a primary, underlying cause of Technical actions had also to be integrated. The over exploitation. Plantation development is one agreed plan was to plant the native pine (Pinus option to improve livelihoods as it will provide massoniana) for timber and soil and water additional opportunities for income generation. conservation on the upper part of the slope and It can also ameliorate ecological conditions where NWFP trees (mainly Illicium verum and the land is degraded. Canarium album) in an agroforestry system with Development of plantations involves many food crops on the middle and lower slopes. socio-economic and technical issues. As with the mountain closure for native Technically, different species may be needed for broadleaf forests, the researchers initially different parts of a mountain slope. For example, proposed a shareholding system. The land adaptable timber species, such as Pinus spp., owners rejected the idea as they perceived it as may be appropriate on shallower, less fertile re-collectivisation and were concerned that their soils on the upper slopes and ridges. More site- interests might be appropriated by village demanding NWFP plantations and agroforestry leaders. An arrangement similar to that for the systems may be ecologically suitable and more mountain closure was finally adopted. Under the profitable on the middle and lower slopes. From arrangement, each of the household would plant management and policy viewpoints, successful trees based on the integrated plan and collect plantation development requires a mechanism products from their own patch of land. An oral to ensure implementation of collective action agreement was made among all the households and needs to provide incentives to farmers to involved that grazing would not be allowed on become involved. Farmers’ incentives to plant the area. The research team provided the NWFP are related, to large extent, to the households with tree seedlings and fertilisers availability of appropriate species that are without charge. ecologically suitable, with good market prospects The planning took place in October 1996. (high demand and prices) and high economic Soon after agreement was reached the land was returns that can be expected within a few years. prepared in late 1996 and trees, cassava, beans, Three initiatives were designed to address these green beans and corn were planted in March issues in Shanxin: 1997. The survival rate of Illicium verum was a • reclamation of a small area of sloping land, satisfactory 90%, while that of Canarium album • development and management by individual was only 50%, largely due to poor quality of farmers of NWFP plantations, and the seedlings and late planting. However, 80% • exotic NWFP species experiment. of the young trees were damaged by the brows- The first initiative gave attention to a ing of domestic animals after the intercropped

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crops were harvested in July and August 1997. was to determine the critical factors involved in This was a serious breach of the agreement the development and management of NWFP reached by villagers. plantations by households or individuals. Two What went wrong? It had been decided that case studies were conducted. the village leader would have overall One study examined the tree management responsibility for ‘management’ of the area but by individual farmers of a collective forest farm. no one, even on a part time basis, was assigned The forest farm had an area of 14 ha of hilly to tend, care and guard the tree seedlings. land. It was established and is owned by the Moreover, no action was taken when the first township government. Pine (P. massoniana) was grazing damage took place. Other villagers planted on the upper slopes, Chinese fir began to graze their cattle on the tree planting (Cunninghamia lanceolata) on middle slopes, area when they found no discipline for the and NWFP trees such as Cinnamomum cassia, destruction. Some of households therefore did Illicium verum, Canarium album and plums not observe the agreement on grazing and the (Prunus saliana) on lower areas. The farm village leader did not fulfill his responsibility planted the trees but contracted management in punishing those whose animals damaged such as tending, caring and guarding to three seedlings. The village leader had no incentive farmers. The farm covered salary of the three to take action as he did not own land on the slope farmers and other operational costs. In the and there was no reward for his participation. agreement the farm paid the farmers a basic The failure of the experiment shows fac- amount of money monthly and the balance at tors that work to affect common action/man- the end of year based on their performance in agement as has been the experience elsewhere managing the trees. The plantation has grown (Arnold 1998). An agreement is important but well as a result of adequate tending and caring. a mechanism to ensure its strict observation is Cinnamomum cassia planted in 1993 and 1994 equally, if not more, important. Disciplinary was ready for harvesting in 1998. Linking the measures are needed when someone breaks the farmer performance to financial rewards was an agreement to encourage all people involved to effective strategy. observe the rules. This is a platform for col- The other case involved establishment of lective action of natural resource management small NWFP plantations by individual involving many stakeholders. Incentives are households. Six households planted essential for the person responsible for disci- Cinnamomum cassia, a species chosen by the plinary measures. The person’s interest must farmers. They stated that they planted this be harnessed either as a stakeholder or through species because they believed it has potential other material returns commensurate with his for high economic returns after 4 to 5 years in responsibility. the case of bark harvesting and in only 3 years The lesson drawn from this experience is that for leaf products (Figure 3.2). Market demand an effective management mechanism is essential and prices for Cinnamomum products are high. in rehabilitating land owned by many In 1997-1998 the mean value of bark was 6000- households. 7000 Yuan ha-1 and leaves from three-year-old trees yielded 2500 Yuan ha-1. Some small Development and management by factories were established locally to process oils individual farmers of NWFP plantations from Cinnamomum leaves and branches. While the slope rehabilitation involved Implications from this activity are that market collective action of natural resource demand and reasonable returns in a short period management, another group of activities was of time were the driving forces of plantation initiated to assist individual farmers to develop establishment by farmers. It is very important and manage NWFP plantations. The purpose for farmers to have information on markets and

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to assess future trends in demand for their adaptability and management is necessary, these products. Reliance on a single product can be a new introductions show considerable potential problem if the market collapses. for expanded planting in the area.

Experiment with exotic NWFP species Development of Other Agricultural The availability of species adapted to local Sub-Sectors and Non-Farm Activities ecological conditions is critical for successful Results of our surveys in Shanxin indicated that development in NWFP plantations. Identifying over-dependence of local villagers on forest was such species that also have good potential for because their sources of cash income other than markets is an important ‘technical’ activity. Our from the forest are quite limited. Food grain was research in Shanxin also gave attention to the produced largely for on-farm consumption; and identification of appropriate species by testing each household raised only 1-2 pigs and a few the adaptability of selected rattan and bamboo chickens and ducks. Growing bamboo for local species. traditional commodities such as building Three rattan species (Calamus simplicifolius, materials and baskets was practised but plastic C. tetradactylus and Daemonorops margaritae) and other materials are replacing these products were introduced to Shanxin village and a nearby in the market. village in spring 1997. One household in each Development of other agricultural sub- of the villages was involved in the experiments. sectors and non-farm activities is an option to One household planted rattans in Michelia diversify sources of income for farmer macclurei plantation, while the other planted households and to reduce over-dependence on them in a secondary evergreen broadleaf forest. existing degraded forest. Other agricultural sub- Each planted an area of about 0.8 ha. Preliminary sectors include cropping, animal husbandry observation suggests that the three species grow (poultry, pigs etc.) and processing of agricul- well in the local conditions and may be a tural and forest products. This group of strate- potential source of income generation for local gies attempts to address forest degradation by farmers. taking full advantage of house yards and land The experiment with bamboo was an attempt around homesteads for non-forestry agricultural to identify a multipurpose bamboo species that activities and non-farm industrial activities. could produce both shoots and timber. Cangwu Small processing industries suit farmer County has a long history of bamboo planting households because of low capital investment but almost exclusively for timber. Market and simpler techniques. Farmer households have demand for bamboo timber is shrinking so there the flexibility to develop activities according to is a need for alternative sources of income. A their own circumstances. We worked with three multipurpose bamboo species has potential to households to determine whether it is feasible provide a new opportunity for income to find other sources of income and to identify generation. Tissue cultured plantlets of five constraints to their development and strategies bamboo species (Bambusa pervariabilis x to overcome them. [Dendrocalamus latiflorus x B. textilis], No. 1; The first household developed an Bambusa pervariabilis x [Dendrocalamus agroforestry system comprising fruit trees and latiflorus x B. textilis], No. 7; Dendrocalamus pig raising on 4 ha of land. Part of the land was latiflorus; Dendrocalamus brandisii; and an abandoned school property and the rest an Bambusa oldhami) were planted in March 1997 abandoned collective orchard. The household by two households. Performance varied greatly leased the land for 5 years for 7000 Yuan year-1 among the species, but the growth of two of them with a possibility for contract renewal. The fam- was rather rapid for this area and they produced ily then planted persimmon (Diospyros kaki) and a large number of shoots. While more testing of plum (Prunus saliana) and raised 80 pigs on the

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land. Pig dung was used to generate methane a constraint to development of non-forestry ag- gas for lighting and cooking, and as fertiliser. ricultural activities and non-farm economic un- This was a typical household business as the dertakings. household was responsible land leasing, tree planting and tending, and raising the pigs. Conclusions The second household developed an agroforestry system that included more Causes of Forest Degradation elements. It included fruit trees, food crops, and Several factors were responsible for the poultry on a plot of 0.3 ha. With our technical degradation of evergreen broadleaf forest in assistance, the family raised chickens and ducks Shanxin village. The participatory approach in their yard, planted fruit trees such as citrus adopted in the research greatly facilitated the and persimmon on land around homestead, and identification of these factors. The radical intercropped the fruit trees with food crops such development policy (Great Leap Forward as peanuts, cassava and beans. Preliminary campaign) in the late 1950s and the abnormal observation shows that the family was able to political environment (the Cultural Revolution) raise and sell some chickens and achieve a in the 1960s to 1970s contributed to significant reasonably good output of food crops. deforestation in the Shanxin area. Lack of A third household was involved in non-farm confidence among farmers in tenure security, activities plus growing fruit trees. The family resulting from frequent changes in forest had already established a small factory making ownership over the three decades to the early chess pieces from local wood and was achieving 1980s, caused another major deforestation early a good economic return. Lack of technical in the 1980s. Excessive logging and selective knowledge prevented the family from cutting, driven by poor financial returns for effectively using the land around the homestead forest products and over-dependence of the and it was left almost uncultivated. We encour- population on the forest, have been a continu- aged the household to take advantage of their ing cause of forest degradation. This depend- land and tap another source of income by plant- ence has been exacerbated by a lack of oppor- ing fruit trees on it. With our technical assist- tunities for other income generation activities ance, the family planted persimmons and due to poor access to market information and intercropped them with cassava, beans and technical advances, and unavailability of rural peanuts. credit. In all three cases, we provided information on market demand for goods, helped design Strategies and Policy various agroforestry systems and non-farm Recommendations on Forest activities, and provided advice on agroforestry Rehabilitation and in some cases free seedlings. It is clearly The evergreen broadleaf forests are very resil- possible to expand sources of income for local ient and can recover provided they are given farmers by these means but there are several sufficient time. Reduction of the level of constraints to be overcome. There is a need for dependence on the forests by identifying other access to information on market demand for sources of income is the key to reducing the level products on which basis agroforestry systems of exploitation and giving them time to recover. can be developed. In addition, there is a need Several strategies to generate income from ani- for improved extension services, especially for mal husbandry, agroforestry, and non-farm ac- advice on development and management of tivities were identified. Natural regeneration, agroforestry systems and non-farm enterprises. through mountain closure, was used to improve There is also a need for improved rural finance degraded forests, while agroforestry was used services since a lack of capital investment is also to revegetate seriously degraded forest land.

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The action research in Shanxin demonstrated Shanxin. In this situation a shareholding system that these strategies can be effective. They was neither appropriate nor acceptable to farmers. mainly used existing technologies, although When common action for resource there is potential for introducing new crops to management, such as hillside reclamation and produce new products. Resolving mountain closure, is needed, it is essential to socioeconomic and management problems ensure that all people concerned observe agreed through active participation of the stakeholders rules. Disciplinary measures should be specified was a major factor in achieving positive and implemented to establish a platform of outcomes. The research provided some common action. instructive lessons and implications. Current access to forest resources Motivating farmers Villagers in mountainous areas depend heavily Farmer participation is key to the success in on the forest for income and other livelihood natural regeneration through mountain closure needs. It is not appropriate to completely deny and the establishment and management of them access to forest resources during the plantations whether through common action or rehabilitation process. The compromises agreed by individual households. To encourage this in Shanxin i.e. ‘shifting closure of a mountain’ participation, it is most important to harness at village level (only half of the forest was closed farmers’ interest, especially through financial at one time) and ‘partial closure’ at household incentives. level (only part of the forest of a household was In Shanxin, farmers could also appreciate the closed at a given time) show that the access somewhat longer-term benefit of improving the problems are not insurmountable. yield from the degraded evergreen broadleaf forests. The prospect of financial benefits within Improved rural services a reasonable time from the production and sales There are opportunities to develop other sub- of NWFP was also attractive to Shanxin farmers sectors of agriculture, agroforestry, and non- and the community. Such activities can be farm activities for income generation to reduce beneficial even to those who only provide pressure on existing forests. To do this labour, as was shown by the three farmers who effectively, it is necessary to overcome a range managed the plantation of NWFP on the of constraints faced by farmers. Important first township-owned forest. It is also clear that steps suggested by the research in Shanxin are researchers attempting to identify new species better access to market information and technical for farmers to grow should seek those that are advances through improved agricultural both ecologically suitable and have the potential extension, and availability of rural credit/finance for good returns in a short period of time. from both public and private sources.

Organization of common management of Government policies household resources The current restrictive regulations on timber Both mountain closure and hillside reclamation harvesting and high taxation on timber sales are involve common management of households’ disincentives to farmers in Shanxin and other forest resources. The form of management (a villages to plant timber trees and manage timber shareholding system or common management forests more effectively. A review and without changes in individual forest tenure and amendment of such government policies could benefit distribution), should be decided by enable farmers to achieve a higher return on their relevant stakeholders. Tenure issues are very forest products and would encourage them to sensitive and management skills limited in make greater efforts to manage their forests and isolated and poor areas, as was the case in reduce forest and land degradation.

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References Chambers, R. 1994c. Participatory rural Arnold, J E M. 1998. Devolution of control of appraisal (PRA): challenges, potentials and common pool resources to local communities: paradigm. World Development 22: 1437- experiences in forestry”, Paper to the Meeting 1454. of the UNU/WIDER Project on Land Reform Chambers, R. and Guijt, I. 1995. PRA – five Revisited: Access to Land, Rural Poverty, and years later: where are we now? Forests, Trees Public Action, April 1998, Santiago, Chile. and People Newsletter No. 26/27: 4-14. Banerjee, A. K. 1994. Rehabilitation of Liu, D. 2001. Tenure and management of non- degraded forests in Asia. World Bank, state forests in China since 1950: a historical Washington DC. review. Environmental History 6: 239-263. Cangwu County Forestry Bureau and Guangxi Ministry of Forestry. 1996. A summary of forest Institute of Forestry Inventory and Planning. resources of contemporary China. Ministry 1995. Cangwu County Forest Management of Forestry, Beijing. pp. 1-22. (In Chinese) Plan, Cangwu, Guangxi. (In Chinese) Xu, H. and Zheng, J. (eds.) 1994. A study on Chambers, R. 1994a. The origins and practice forest regeneration through closing mountain. of participatory rural appraisal. World China Forestry Press, Beijing. (In Chinese) Development, 22: 953-969. Yang, Z. and Ou, Z. 1987. Forest regeneration Chambers, R. 1994b. Participatory rural through closing mountain. China Forestry appraisal (PRA): analysis of experience. Press, Beijing. (In Chinese) World Development 22: 1253-1268.

isi Christian 63 6/30/03, 9:27 PM Chapter Four

Rehabilitation of Degraded Chinese Fir Plantations and Evergreen Broadleaf Forest in Huitong County, Hunan

Li Tiehua1, Liu Dachang2, Xiang Wenhua1, Xu Guozheng1 and Zeng Guangzhen1

Introduction Huitong County, Hunan, is in the subtropical of Forestry and Pedology 1980, Research Team climatic zone and its primary vegetation is of Intensive Cultivation of Chinese Fir 1992, evergreen broadleaf forest. Extensive Chinese Chen 1992 and Xu 1992). Zhu (1991) examined fir (Cunninghamia lanceolata) plantations have human impacts on changes in biodiversity and been developed since the first cultivation of this soil fertility in secondary broadleaf forests. species in the county in 1368, and especially These studies centre on biological or technical during the last 50 years they have replaced causes of forest degradation and identification evergreen broadleaf forest. As a result, now of technology-oriented solutions. Chinese fir plantations cover 22% of the land Our research, carried in Dongxi village and area and evergreen broadleaf forests 18% Xiangjian village in Huitong, targeted two major (Huitong County Forestry Bureau 1993a). forest types: evergreen broadleaf forest and Moreover, forests in Huitong, and in Hunan Chinese fir plantation. In collaboration with province and beyond are degraded with less local officials and farmers the researchers standing timber volume, reduced species examined the state and causes of degradation diversity and declining soil fertility. Forest and identified activities for forest rehabilitation degradation and a reduction in forest cover have respectively for each forest type. We then tested resulted in a significant decline in ecological some of the activities to assess their services by forests and have impacted negatively effectiveness. We also gave considerable on the livelihoods of forest-dependent people. attention to disincentives among farmers to They are now able to collect less timber and non- sustainable management of their forests in an wood forest products (NWFPs) and their income attempt to address forest rehabilitation at a from forests is reduced. policy level. There has been research on causes and As in other chapters, research methods and prevention of degradation of nature forest and biophysical and socio-economic settings of the Chinese fir plantations since the 1960s (Institute two villages are described. The state of

Authors are listed in alphabetical order. 1 Central-South Forestry University, Hunan. 2 Southwest Forestry University, Kunming P.R. China and Center for International Forestry Research, Bogor, Indonesia. Currently at The Mekong Institute, Khon Kaen, Thailand.

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degradation, factors responsible for degradation, Archives and the township government respon- and strategies for rehabilitation of evergreen sible for the villages where the research took broadleaf forest and Chinese fir plantation are place. Data were collected on climate, soil, land discussed. Finally, the disincentives to uses, forest resources, tenure and management rehabilitation and sustainable management of system of forest, taxation of forest products, degraded forests are highlighted. population, education, labour force, income, village social organisations and infrastructure. Research Methods Participatory field observation was carried The research in Huitong used methods similar out immediately after secondary data collection. to those in the other sites of this research project We worked with several senior villagers and but different from those in traditional forestry village leaders familiar with local circumstances research in China. They included a logical on field visits to observe and discuss land use, procedure of action research; use of a types of crops and their patterns of cultivation, participatory approach involving villagers, types of forest, extent of forest degradation and government officials and researchers and a village infrastructure. multidisciplinary team of socio-economic and Household surveys were mainly in the form biophysical scientists, complemented by some of semi-structured interviews plus a conventional research methods; and attention to questionnaire survey. Sixty households were indigenous knowledge. interviewed. Criteria for sample strata included level of family wealth, family composition of Farmer Participation in at All Stages sex and age, and distance between household of Project Process and market and between household and village In this research, the logical procedure started office. Household surveys aimed to identify from diagnosis through design to delivery. problems, constraints and opportunities at Farmer involvement, at all stages, was household level, and topics discussed included emphasised. More than 500 villagers contributed family population and number of members at to the diagnosis of problems and the subsequent labour age, land uses, forest area and volume, design and testing of strategies and options. forest degradation, constraints to rehabilitation, major livelihood means, sources of family Diagnosis income, and family expenditure by activity. This phase aimed at obtaining reliable baseline Key informant interviews used semi- information on the two villages and beyond, and structured interviews and aimed at analysing achieving a good understanding of the extent problems at village level. Topics covered and causes of forest degradation and constraints population, education, labour force and gender to rehabilitation. Participatory rural appraisal division of labour, land uses, crop calendar, tools used included: village social organizations and governance • secondary data collection institutions, forest resources, forest tenure, • participatory observation village regulations on forest management, • household interview (semi-structured timber prices, household collaboration regarding interview, complemented by questionnaire forest production (shareholding system, for survey) instance), and extension and credit services. • key informant survey (semi-structured Group interviews/meetings also used semi- interview), and structured interviews. The first interviews were • group interview/meetings. with villagers at the two villages to validate the secondary data and baseline information Secondary data were collected largely from collected through the key informants. The Huitong County Forest Bureau, Huitong County second interviews were with groups of villagers

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of different ages, women, and village leaders to Indigenous Knowledge identify causes of forest degradation. Finally, a Local people have rich local knowledge that can meeting was held with villagers, township be as useful and effective as modern technol- government officials, and forest officials from ogy. For example, villagers developed a sustain- Huitong County Forestry Bureau and Huaihua able system of establishment and management Prefecture Forestry Bureau to further analyse of Chinese fir plantations over the last 600 years causes of forest degradation. (Wu 1984, Yu 1994). This, and other indigenous knowledge, was used in our research to develop Design and testing strategies for rehabilitating degraded Chinese fir Villagers were involved in the identification and plantations. testing of options for forest rehabilitation. Many discussions were held in 1996 and 1997 to Conventional Forest Survey Methods develop strategies and the villagers made Conventional forest survey techniques were decisions on whether or not to adopt them. For used for part of this research. Four investigations example, when identifying species for home were undertaken. Thirty sample plots were used garden development, researchers provided advice to gather information on types and species and options for promising fruit varieties but composition of evergreen broadleaf forest, the farmers selected those they considered to have extent and causes of forest degradation, and tree good market potential and were easy to store. growth and soil fertility under different cultivation practices in Chinese fir. Other Participation of Government Officials investigations measured the growth of crops and Participation of local government officials from trees and changes in soil physical features and prefecture, county, and township was essential fertility in agroforestry systems. because they had knowledge of problems and constraints from an institutional and policy point Farmer Training of view, had access to financial and extension Lack of necessary skills among farmers is one resources, and were able to coordinate project of the constraints to rehabilitation. Hence, implementation activities. Over 50 government improvement in farmer skills is of critical officials were consulted and some of them importance in forest rehabilitation in short term participated directly in the research. Several and sustainable resources management in the meetings were organised with them at the longer term. Five training courses were diagnosis stage to discuss the circumstances of organised, involving more than 250 villagers. the two villages. At the design stage, there were more meetings to identify options and strategies for forest rehabilitation. Background Information on Dongxi and Xiangjian Villages, Involvement of Researchers and Huitong County Multidisciplinary Approach The research team comprised of seven special- Location and Biophysical Conditions ists in forest resource management, forest ecol- Huitong County (26°40’00”-27°09’13” in N ogy, forest economics and silviculture. At the latitude, 109°26’48”-110°07’56”in E longitude) beginning of the study, four team members at- is in the west of Hunan province (Map 1.1 in tended training courses on the application of Chapter 1). Research was undertaken mainly in social science research methods in natural two villages of the county, Xiangjian and resource management. Dongxi, both of which administratively belong to Ma’an Township. They are near to each other and about 25 km from the county town that is

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the political and cultural centre of the county. 1021 ha of land of which 75% is forest land, Both villages have good access to transport as a 5% crop land (Table 4.1). highway and a railway cross them. Huitong has a subtropical monsoon climate. Crop land The frost season is short, both rainfall and Crop land is used intensively with villagers relative humidity are high, and there are four usually growing one summer crop and one distinct seasons in a year. Climatic data (1957- winter crop annually. Rice is the main summer 1992) show a frost season of about 60 days, crop and this is the staple food in the villages of mean annual temperature is 16.6oC, mean annual the area. Villagers also grow other food crops rainfall is 1265 mm, 54% of which comes such as corn, sorghum and sweet potato, and between April and July, with the greatest in May cash crops such as cotton, fibre plants, (212 mm) and the lowest in December (37 mm). watermelon, chilli and ginger. Winter crops Average annual evaporation is 1148 mm and include rape seed, wheat and beans. relative humidity 82%. The villages of Xiangjian and Dongxi are Chinese fir plantations situated in a landscape of hills and low Forests in the two villages consist of Chinese mountains. The altitudinal range of the area is fir plantations, evergreen broadleaf forests, and 50-650 m above sea level. Forests cover the cash tree crops. Chinese fir plantations are very mountains while in the valleys there are paddy common in the provinces of Hunan, Fujian, fields, rain-fed crop lands and streams. The Guizhou, Guangxi, Jiangxi and Zhejiang and a streams are the primary source of water for very important source of industrial timber. They irrigation. There are two broad categories of soil: represent the largest forest type in Xiangjian and ‘red soil’ makes up 40% and occurs in areas Dongxi, making up about 35-45% of area (Table below 400 m, ‘yellow soil’ makes up 60% and 4.1) and 72% and 81% of total standing timber occurs in areas above 400 m. Most soil is acidic volume of the two villages respectively. and deep, with organic matter content higher than 1%. The subtropical climate and relatively Evergreen broadleaf forest fertile soil are suitable for the growth of forest, Evergreen broadleaf forest of the two villages, food crop production and animal husbandry. Xiangjian and Dongxi, is secondary forest formed by natural regeneration. It is smallest in Land Uses and Forest Resources extent, comprises just about 10% of area (Table Most land is classified as forest and forest land. 4.1) and 28% and 19% of standing timber vol- Xiangjian village with an area of 1234 ha, has ume respectively in Xiangjian and Dongxi. 73% forest land and 4% crop land with the However, these secondary natural forests are remainder for other uses. Dongxi village has significant in local livelihoods and welfare. They

Table 4.1 Land use in Xiangjian and Dongxi Land use Xiangjian Dongxi Ha % Ha %

Total land area 1234 100 1021 100 Forest land 910 73 775 75 Chinese fir plantations 451 36 451 44 Evergreen broadleaf forests 168 13 105 10 NWFPs 290 23 219 21 Food crop land 60 4 49 4 Other (roads, water, buildings) 264 21 197 19

Source: Project survey 1995.

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provide villagers with fuelwood and NWFPs, homesteads. Most plantations are part of an and timber for marketing and making farm tools. agroforestry system because villagers usually Our household surveys showed each household raise cows, buffaloes, pigs, chickens and uses about 0.5-0.7 m3 year-1 of fuelwood. In ducks in them. In recent years villagers have 1995, the volume of fuelwood used was larger raised goats in their plantations as well. In than the volume of commercial timber used in Dongxi village households have an average the two villages, which is common in south and holding of 30 goats and derive more income southwest China. Moreover, evergreen broadleaf from animal husbandry than villagers in forest provides more environmental services Xiangjian (Table 4.2). than Chinese fir and NWFP plantations. Broadleaf trees are the dominant species in Forest Tenure these secondary forests, but conifers also occur. There have been frequent, radical changes in The most common broadleaf species include: forest tenure over the last 50 years. Before 1952, Castanea henryi, C. mollissima, over 90% of forests in Xiangjian and Dongxi Castanopsis fargesii, C. sclerophylla, C. villages were the private property of landlords tibetana, Cyclobalanopsis glauca, Quercus and rich peasants. Private forests were confiscated fabri, Cinnamomum camphora, C. and then equally redistributed to all rural porrectum, Litsea cubeba, L. coreana, households (including former landlords and rich Machilus lichuanensis, M. pauhoi, peasants) in the early 1950s. These private forests Neolitsea cambodiana, Liquidambar were collectivised in 1956 when advanced formosana, Dendrobenthamia japonica, agricultural cooperatives were formed. They were Adinandra bockiana, Elaeocarpus transferred in 1958 from advanced cooperatives japonicus, Sloandea sinensis, Ilex to communes, larger collective institutions. In chinensis, Diospyros kaki, Engelharatia 1961, the ownership of timber forest was roxburghiana, Styrax suberifolius, devolved from commune to production brigade Huodendron tibeticum, Sorbus folgneri, (former advanced cooperatives); and ownership Photinia biauverdiana, Eriobotria of cash tree plantations from commune to cavalerieri, Daphyniphyllum oldhamii, production team, a level lower than production Ulmus parvifolia, Tarenna mollissima, brigade. These property regimes remained till the Clethra varbinervis, Meliosma flexuosa, early 1980s. Mallotus japonicus, Albizia macrophylla, In the two villages, the Chinese government’s Kalopanax septemlobus, Celtis sinensis forest reform in 1982 allocated 40% of collective and Ormosia henryi. forestland/forest to farmer households as family plots. Most of the remaining 60% was NWFP plantations distributed to households as responsibility hills These plantations are the second largest, in 1984. In total, 92% of forest land of Xiangjian making up about 20% of area in the two village and 66% of forest land of Dongxi village villages respectively (Table 4.1). They are a was distributed to individual households. This major source of cash income of local villagers. tenure pattern has so far been maintained and The main species are bamboo (Phyllostachys household management is the dominant form pubescens), tea oil (Camellia oleifera), of forest management. Vernicia fordii, chestnut, orange, and plum. Bamboo has become an important species in Forest as a Major Income Source Huitong because of new factories using it as Xiangjian and Dongxi villages are typical raw material. agricultural communities. Agriculture, broadly A large proportion of NWFP (cash tree) defined, is the primary pursuit from which most plantations are in villagers’ yards and/or of total output value or farmer income is generated.

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Table 4.2 Average income of villagers in Xiangjian and Dongxi villages Xiangjian Dongxi 1993 1995 1993 1995 Source ’000 Yuan % ’000 Yuan % ’000 Yuan % ’000 Yuan % Total income 1544 100 1650 100 1105 100 1208 100

Cropping 463 30 545 33 386 35 463 38 Forestry559 36 428 26 343 31 205 17 Animal husbandry337 22 337 20 312 28 408 34 Other 185 12 340 21 64 6 132 11

Sources: Data for 1993 from village statistics and for 1995 from the project’s farmer household surveys based on a sample of 21 households in Xiangjian and 29 households in Dongxi. Comparisons of 1993 and 1995 data are not accurate because of different data collection methods.

In 1993 agriculture generated nearly 90% of on labour distribution by season showed that farmer income in Xiangjian, and even more in villagers harvest timber mainly in the period Dongxi village (Table 4.2). Forestry, as a sub- when they are not involved in food production, sector of agriculture, contributed around 30% but tree planting and camellia tending must take of farmers’ income in 1993. The contribution place in the same season as food production. of forest to the economy in the two villages is The two villages were at average level of higher than in Yuanmou, Yunnan (Chapter 2) rural economy development for China as a and Shanxin village, Cangwu, Guangxi (Table whole in the mid-1990s. In 1993, average annual 3.2, Chapter 3). income per person was 1302 Yuan in Xiangjian village and 1329 Yuan in Dongxi village. In Social and Economic Setting nominal terms, in 1995 it rose to 1526 Yuan in Demography of the two villages is similar. There Xiangjian and 1545 Yuan in Dongxi, compared was a population of 1170 in 335 households in the national average of 1600 Yuan in that year. Xiangjian village (1995). Ethnic minorities There were some households of Dongxi village make up more than slightly half of the unable to produce sufficient food grain for population: Dong nationality accounts for about themselves. However, the wealth level was 37% and Miao 18%. There were 880 people of higher than that of Shanxin village, Guangxi labour age, with equal numbers of male and (Chapter 3). Agriculture generated 80-90% of female. About 40% of people have primary income (Table 4.2). While non- and off-farm education, 40% attended junior middle school employment is encouraged, the forestry sub- and about 4% went to senior middle school. The sector should be able to make greater remainder is illiterate. contribution to local employment and Dongxi village had a population of 782 in livelihoods. 228 households (1995). Dong people make up 42% and Miao 15%. There were 368 people of labour age with 230 male farmers (62%) and Chinese Fir Plantations 138 female farmers (38%). About 43% of villagers have primary schooling, 43% attended Degree of Degradation junior middle school and 4% have a senior The Ministry of Forestry (MoF, now State middle school. About 10% is illiterate. Forestry Administration) set technical indicators Most villagers of labour age in the two for fast-growing Chinese fir plantation by culti- villages undertake food cropping, forestry and vation region: mean annual increment (MAI) is animal husbandry. Less than 10% found off- 12-15 m3 ha-1 in the central area of cultivation farm employment (65 people in Xiangjian and 12 m3 ha-1 in other areas (Department for village and 15 people in Dongxi village). Data Reforestation, MoF 1982). Our investigations

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in Xiangjian and Dongxi villages showed MAI Figure 4.1 Normal Chinese fir plantation of Chinese fir is 16.0 m3 ha-1 for the best planta- tions and 10.5 m3 ha-1 for average plantations. Chinese fir plantations in the two villages were classified as slightly degraded (MAI >10.5 m3 ha-1) (Figure 4.1), degraded (MAI = 6-10.5 m3 ha-1), and seriously degraded (MAI <6 m3 ha-1) (Figure 4.2). Based on these indicators, in Xiangjian village 32% of Chinese fir plantations is degraded and 32% is seriously degraded and Dongxi village has 12% degraded and 36% seriously degraded (Table 4.3).

Causes of Degradation Figure 4.2 Degraded Chinese fir plantation Degradation of Chinese fir plantations is due to several factors. The traditional cultivation practice of Chinese fir is a sustainable system with components such as establishing modest- sized plantings on suitable sites, allowing land to lie fallow after two or three successive crops, and intercropping with food crops or cash tree crops. However, these traditional technologies were abandoned for various reasons after about 1960. From this time, extensive Chinese fir plan- tations were often developed on inappropriate sites, and fallows and mixtures were not used. In addition to changes in silvicultural practices, selective harvesting and forest tenure insecurity establish extensive Chinese fir plantations that they have contributed to degradation of Chinese fir ignored the basic silvicultural principle of species- plantations. site matching. The consequence of planting Chi- nese fir on shallow, infertile soils on upper slopes Site selection has been the slow tree growth and low productiv- Chinese fir is adapted to relatively fertile, well- ity of plantations. Our surveys in the two villages drained, moist soils on the lower slopes of hills. show Chinese fir plantations on poor sites with an Forestry authorities have been so ambitious to MAI as low as 1.5 m3 ha-1 which is less than 20%

Table 4.3 Degradation of Chinese fir plantations Degree of degradation Xiangjian Dongxi ha % ha %

Slightly degraded 161 36 236 52 Degraded 145 32 53 12 Seriously degraded 145 32 162 36 Total 451 100 451 100

Source: Project’s forest survey 1995.

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of the MAI of an average plantation. Inappropri- Selective harvesting ate guidelines of the government forest department Poor harvesting practice is another factor in the for Chinese fir plantation development are a cause degradation of Chinese fir plantations. Since the of this problem. early 1980s, farmers in Huitong County (and elsewhere) have selectively harvested timber Multiple cropping (duodai lianzai in from large, vigorous trees and leaving the small Chinese) and weak trees. This practice resulted in Chinese fir develops after evergreen broadleaf sparsely-stocked stands of low productivity. The forest is harvested or destroyed (Institute of MAI of such stands is about 4.5 m3 ha-1, less Forestry and Pedology 1980). In its long history than half that of normal stands. Adoption of this of planting Chinese fir, Huitong County practice is largely attributed to the very strong developed a traditional cultivation technology market demand and higher price for large- incorporating fallow. The first crop of Chinese diameter timber. fir, planted after evergreen broadleaf forest was harvested, was followed by a second Chinese Tenure insecurity fir crop. After two crops, land was usually left Forest tenure insecurity is a critical factor that fallow for 10-20 years to recover soil fertility. has contributed to forest degradation in Huitong, The fallow practice has been discontinued in as well as in other areas of China. The frequent, recent decades. This changed silvicultural radical changes in forest tenure, already practice has resulted in lower soil fertility and discussed, have had at least two negative forest land degradation (Fang 1987, Yu et al. impacts. Significant deforestation took place in 1992), and plantation productivity of later Xiangjian and Dongxi villages immediately after rotations is low. Our surveys in the villages forests were distributed to farmer households indicated that average MAI of Chinese fir in the early 1980s. Farmers, concerned that plantations has decreased from 10.5 m3 ha-1 in government would repossess forests and trees, the first crop to 9.2 m3 ha-1 in the second crop responded by immediate harvesting. According and 6.0 m3 ha-1 in the third crop. These figures to a villager in Xiangjian village, over 70 ha of suggest that the decline in tree productivity Chinese fir plantations established by one hamlet becomes significant in the third crop. of the village in the early 1970s were cut in the early 1980s. Tenure insecurity has also Monoculture plantations discouraged farmers from investing in tree Degradation of Chinese fir plantation may also planting. Frequent changes of tenure are not be related to the development of monocultures consistent with the long period of time required instead of the former practice of intercropping for timber production. A cycle of traditional with either food crops or tree crops. There is cultivation of Chinese fir consists of two experimental evidence in the Huitong area that successive crops plus a fallow period, which soil physical and chemical properties are better takes about 50 years. The negative impacts of and productivity higher in mixed stands of forest tenure insecurity apply to Chinese fir Chinese fir and evergreen broadleaf species plantations and to other types of forest. Michelia macclurei than in pure Chinese fir plantations (Chen and Zhang 1991). This Strategies for Rehabilitation suggests that intercropping with food crops and/ The above discussion suggests that strategies for or tree crops and mixed stands are options for improving degraded forest land and the improving productivity and sustainability in productivity of degraded Chinese fir plantations Chinese fir plantations. must address silvicultural techniques, harvesting

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methods and tenure security. Options identified productive Chinese fir plantations through in- for improving silvicultural techniques included creased growth of the young trees. After one some agroforestry systems, development of year, the average height of Chinese fir seedlings mixed species forest stands, and replacement of without intercropping was 1.3-1.4 m, in Chinese fir with multipurpose species through comparison, seedlings intercropped with P. planting and/or natural regeneration. notatum it was 1.6-1.7 m, with C. vulgarisschard it was 1.6 m, and with Amaranthus sp. it was Agroforestry 1.4-1.5m. The increase can largely be attributed Agroforestry is part of traditional cultivation to an improvement in soil properties through system of Chinese fir in Huitong and other areas cultivation and added organic matter from leaves in south China, and still can be employed to help and stems. Grain amaranth takes up potassium create productive Chinese fir plantations today. effectively and so promotes cycling and use of Many types of agroforestry have been practised, this element. Soil organic matter in the Chinese including a taungya system in which Chinese fir plantation intercropped with C. fir was intercropped with food crops for the first vulgarisschard was 17% higher than Chinese three years after the trees were planted (Menzies fir plantation without the intercrop. 1988, Fu et al. 1995) or with cash tree crops Growth of these species was variable. Grain such as Vernicia fordii (a species with oil- amaranth, an annual plant with high protein bearing seeds). These systems were abandoned content and a quality fodder for domestic during the period of collective agriculture from animals, grew poorly. Citrullus vulgarisschard, the 1950s to the early 1980s. Since then a species that can produce about 280 kg ha-1of intercropping with a range of crops in Chinese edible seeds in normal conditions, grew well. fir plantations has resumed in different provinces Paspalum notatum grew best, with a biomass (Wu 1984, Yang et al. 2001). of 5.5 kg m-2 of fresh grass. The C. Our research identified five agroforestry vulgarisschard and P. notatum grew well enough technologies to promote the establishment of to show potential for intercropping with Chinese productive Chinese fir plantations in Huitong. fir and to increase economic benefits. The first four were designed to use in young Intercropping Chinese fir with V. fordii was Chinese fir plantations and the fifth for older a traditional and well-developed agroforestry plantations. system (Wu 1984, Yu 1994), and remains a • Chinese fir and Amaranthus sp. (grain promising option. The mixture has two amaranth) important ecological benefits for Chinese fir. • Chinese fir and Citrullus vulgarisschard First, V. fordii is a tree that provides a canopy • Chinese fir and Paspalum notatum cover able to improve moisture relations in the • Chinese fir and Vernicia fordii plantation by reducing radiation and wind speed. • Chinese fir and Gastrodia elata Second, it can improve physical and chemical The first three options were tested in Chinese properties of the soil. Data from the research fir plantations of Lianshan Forest Farm of indicate that growing stock volume of the Huitong County Forestry Bureau. These species Chinese fir-V. fordii mixture is 25-30% greater were new to Huitong and it was necessary to than that of Chinese fir monoculture. test their suitability. The research team provided Cultivation of Gastrodia elata is a complex the forest farm with seeds, fertilisers and a technology, and it involves the establishment of training course, while the Forest Farm Armillariella tabescens as the former lives on contributed the land and labour for the the latter. Armillariella tabescens lives on a tree. experiment. Cultivation of Gastrodia elata builds on this The tests showed that these intercropping relationship as Chinese fir plantation (and other options are beneficial to the establishment of forests) provides a suitable site for G. elata. This

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research did not test the option because it was plantation area was 17 ha and was managed by not new in Huitong at that time. As an important 40 households. Chinese medicine, Gastrodia elata cultivation A major factor that influenced selection of can be profitable. Data show that profits of the this species was the availability of funds for species stood at 20 000-90 000 Yuan ha-1 in the plantation development. In 1996 villagers area in the first half of the 1990s. As with many wanted to replace the Chinese fir with chestnuts such products, there can be a marketing problem on higher part of the mountain and oranges on if promotion of the product results in over the lower slope. However, they could not raise production. funds for these species from external sources and were only able to cover part of the costs of Mixed stands establishment from their resources. Although it After intensive discussions between farmers and was suggested that they implement the option the research team and among farmers step by step with their funds, villagers wanted themselves, they decided to plant bamboo in to reclaim all the land immediately. Huaihua degraded Chinese fir plantations. This strategy Prefecture Forestry Bureau was able to provide was implemented in Xiangjian village, involving loans for G. biloba planting only and the a total of 20 households. Funds needed to plant villagers agreed to this. bamboo were provided by the County Forestry As in the case of mixed plantation development, Bureau in the form of seedlings and the loan potential market demand for products was most must be repaid (including interest) when the important factor that influenced species selection. bamboo is harvested. Villagers agreed on G. biloba because it is a It is too early to assess effects of the mixed multipurpose species with leaves, fruit and timber plantation on soil fertility or plantation providing potential for income generation. In productivity improvement. The choice of recent years, the value of G. biloba as a medicine bamboo for the mixture was based less on its has been widely recognised and many ginkgo- ecological suitability than the fact that it can based food and medicinal products are being generate economic benefits quickly. developed (Xing et al. 1998, Commonwealth Agricultural Bureau International 2000). Domestic Replace Chinese fir with other tree and international demand for ginkgo products is species great, and prices are high at present. For example, This strategy aimed at rational use of land on the price for ginkgo seeds is 40 Yuan kg-1 or higher, which there are seriously degraded Chinese fir leaves sell for 2.4 Yuan kg-1 and the price for timber plantations. These plantations are often the result is about 6000 Yuan m-3. Moreover, income from of planting Chinese fir on inappropriate sites or leaves can be obtained after only two or three years. poor harvesting practice. There are many species Villagers in the area have planted Ginkgo that can be grown on sites unsuitable for Chinese biloba for a long time but only around fir. With the present pattern of land tenure in homesteads. To develop a plantation on land rural China, developing even a small plantation belonging to many households they had to pool involves many households due to small size of land and practise common management. A landholdings. Hence, this strategy not only shareholding system was adopted with villagers involves choosing another species but getting shares based on land contributed and addressing the issue of common management government agencies their shares through capital of household resources. investment and/or their work in managing the The establishment of a Ginkgo biloba plan- plantation. Land shares made up 20% of the total tation was designed and tested. The plantation and were distributed among the 40 households. was developed on land in Xiangjian village with Management shares represented 10%, half of a seriously degraded Chinese fir plantation. The which are owned by the village committee and

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forest guards and another half by representatives forests. Using the two indices, secondary ever- of Huitong County Forestry Bureau at township green broadleaf forests in the villages were clas- level and the Township Government. The sified into: remaining 70% is owned by the investors • normal or slightly degraded (Simpson Index (Huitong County Forestry Bureau and its >0.8, Shannon-Wiener Index >3.0) representative at the township) who provided • degraded (Simpson Index = 0.3-0.8, the capital. Profits will be distributed among the Shannon-Wiener Index = 1.0-3.0), and shareholders based on shares they hold. • seriously degraded (Simpson Index <0.3, Each shareholder has clear responsibilities. Shannon-Wiener Index <1.0). The County Forestry Bureau’s representative at The number of species is significantly township level is responsible for the tending reduced in degraded forests. In seriously (weeding and fertilising) and guarding the degraded forests few tree species remain and plantation. The village committee and many trees have been reduced to a shrubby form. representatives of land shareholders assist with About 70%-80% of evergreen broadleaf forest guarding of the plantation and implementation in the two villages is degraded and seriously of the scheme for benefit distribution. A contract dergraded. (Table 4.4) that was made between the County Forestry A consequence of degradation of secondary Bureau’s representative and the village broadleaf forests is a significant change in some committee agreed that the ginkgo plantation soil properties. Analyses showed soil porosity must be established within 3 years and generate was less and there was a reduction in soil organic benefits in 10 years or the village, as landowner, matter and nitrogen in seriously degraded will be entitled to use the land for other purposes. forests. The farmers were allowed to cultivate food crops in the plantation in the first 3 years when the Causes of Degradation land was not fully covered by tree canopy. Prolonged over-exploitation of forest resources is the major cause of degradation of evergreen broadleaf forests of the two villages. Local Evergreen Broadleaf Forests residents rely heavily on this type of forest for timber, for sale and on-farm use, for fuelwood Extent of Degradation that is the primary energy source of the villages, When an evergreen broadleaf forest community and for non-wood forest products. They depend becomes degraded, the number of tree species on forest to generate cash income from timber and families decreases and forest structure and NWFPs. Clearly, there is a need to reduce becomes simpler. Tree species diversity indices dependence on broadleaf forest to halt e.g. Simpson Index and Shannon-Wiener Index degradation and allow rehabilitation to take (Department for Science and Technology, place. A more recent pressure on these forests Ministry of Forestry 1994), were used to assess is the browsing effects of goats as goat raising the extent of degradation of secondary broadleaf is now practised widely in the area.

Table 4.4 Extent of degradation of evergreen broadleaf forests in Xiangjian and Dongxi

Extent of degradation Xiangjian Dongxi Area (ha) % Area (ha) %

Slightly degraded 35 21 32 31 Degraded 126 75 40 38 Seriously degraded 7 4 33 31 Total 168 100 105 100

Source: Forest survey by this research, 1995.

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Rehabilitation Strategies The option was initiated in a forest of 133 ha in the boundary area of Xiangjian and Dongxi Mountain closure villages in 1998. Partial closure and a Evergreen broadleaf forests usually occur on shareholding system were used. Partial closure steep slopes and in ravines. These areas are means closing part of the mountain during a ecologically fragile so it is easy to cause soil given period and leaving other part open. The erosion if they are subjected to artificial planting. shareholding system was designed to address Natural regeneration through ‘mountain closing’ forest holding fragmentation. Households with is an ecologically sound and cost-effective forest land in the closed area obtained shares alternative. Our surveys indicated the cost of this based on their land and trees. In calculating technique was about 40 Yuan ha–1, much lower shares, both the area and quality of land and the than for plantation establishment. stock of all trees with diameter at breast height Mountain closure was a traditional practice of 6 cm and over were taken into account. An in Huitong, and in other areas of south China, inventory of forest was made to estimate the before 1950. In Huitong, every year or two all standing volume of each household’s trees. adults in each village gathered to discuss which A governance group, a supervision group and area to close and what penalties would apply a forest guard group were set up to implement for infringements. Forest owners contributed the strategy. The governance group is responsible funds and food for the meeting. All signed a for making management regulations, distributing document recording the agreement. It usually benefits, coordinating relationship among included: no cutting of Chinese fir trees without households involved and between households and a permit; no fuelwood collection in broadleaf village committee, and seeking support from the forest at a given time of year; no tree theft; no government forest department. The supervision grazing of domestic animals in newly developed group, consisting of villager representatives, areas; no clearing of forest for food crop oversees activities of the governance group and production; and no collecting tea oil and Vernicia the forest guard group. Duties of the forest guard fordii seeds before the mountain or forest is open group include control of forest fire and prevention for that purpose. Tools or animals of offenders of tree theft and illegal cutting. Benefits from were confiscated, and they were fined and had closed forests, mainly income from timber, are to compensate for loss incurred. The offender then distributed among all the stakeholders. The also had to host a feast for all the villagers. The governance group is entitled 10% of benefits, governance mechanism worked well and there 25% of income is used to pay forest guards, and were few offenders. the remaining 65% is distributed to households Today the situation is different and two on the basis of the shares they hold. constraints must be overcome in mountain closure for natural regeneration. One is current Home gardens access of villagers to collect fuelwood and graze This strategy was not designed directly for a their domestic animals in evergreen broadleaf particular type of degraded forest. It was forests. The other is the fragmentation of forest intended to reduce excessive pressure on all land use rights into very small patches resulting forest types by generating income from outside from inappropriate implementation of the forest the forest. This strategy is attractive because in- reform policy in the first half of 1980s. Now come can be produced quickly. one household has several tiny patches of forest Home garden is a household-based land use land in different locations and some kind of col- system and an important component of the laboration among households or joint manage- agricultural economy in Huitong and elsewhere ment is needed to implement the ‘closing moun- in south China. It is a traditional land use system tain’ option. that integrates agriculture, forestry, animal

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husbandry, and processing of agricultural and of their market potential and ease of storage. A forest products at one site. It takes full advantage fruit technician from Huitong County Fruit of lands around homesteads to plant trees and Association passed on grafting skills and raise animals to generate cash income. The provided advice on fruit varieties. The research tenure of such land is usually clear and more team provided free seedlings and grafting secure than for other types of land, so there is materials, which helped overcome the capital less conflict and a good opportunity for constraint. Skill development for home garden investment of capital and labour. operations and management was promoted A survey of households and village leaders largely through training courses. Four courses in the two villages in 1995 revealed that 129 were organised, covering topics such as pest and (43%) of 304 households in Xiangjian village disease control, pruning and fruit storage. Apart have a home garden with an area of 0.03-0.05 from skill development, these training courses ha. In Dongxi village 139 households (73%) enabled some households in the two villages to have a home garden mainly of 0.03-0.2 ha (but establish and maintain contacts with fruit up to 0.8 ha). There are three types of home technicians in Huitong County town. gardens in the two villages based on their main components: (1) animal (goat) raising dominant, Disincentives to Forest (2) a combination of animal raising and fruit Rehabilitation trees, and (3) mixed tiny plantation of fruit and There are government policies and practices that other cash trees. are disincentives to farmers to plant trees and Although widely adopted, home gardens in manage existing forests and plantations the two villages had low productivity. One sustainably. problem was the inferior varieties of fruit and other cash trees that were planted so market Taxes and Fees demand was not great and prices were low. For High taxes and fee charges on timber products example, the price for locally produced oranges are very common in China. In Huitong County, was 0.8 Yuan kg-1 or less in 1996-1997. Another in the case of Chinese fir log grade, local reason was poor home garden management government tax and fees amount to about a (including tending) with investment lower than quarter of wood trade prices. The forest required. Adequate investment was estimated at department collects about 14% as reforestation 6000-7500 Yuan ha-1 in young orchards and 12 fund but little is returned to farmers. Farmers 000-13 500 Yuan ha-1 when orchards are fruit- obtain 16% of the log price after deducting ing. Actual investment was only 1500-4800 Yuan logging costs (Table 4.5). ha-1. This analysis suggests that identification In the 1990s, costs of planting, tending and and propagation of species/varieties with good guarding of Chinese fir plantations were 40-45 market demand, greater capital investment, and Yuan m-3, which meant farmers obtained a net improvement of management skills among local income of about 80 Yuan m-3 (129 Yuan minus village households must be addressed to develop 40-45 Yuan) for Chinese fir logs that took 20 quality home gardens. years to grow. In contrast, there are few taxes In response, new, better-quality varieties of and fees on fruit and fuelwood. According to a orange and plum were introduced. The effort farmer in Xiangjian village, he can gain an with oranges achieved a positive result with income of 200 Yuan m-3 from fuelwood with survival rates of grafted varieties being 60-70%. less capital and labour investment. A farmer in In 1998, over 600 plum seedlings were provided the village leased 2000 orange trees from his for eight households, four in each of the two village collective and earned an income of 20 village, and they were well established when this 000 Yuan year-1. This in part explains why report was prepared. From several proposals, farmers are not enthusiastic about timber villagers chose these species/varieties because plantation establishment and are more interested

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Table 4.5 Distribution of income from two grades of Chinese fir timber Local Forestry Transport Farmers government department and marketing

Timber Gross Tax Fees for Refores- Other Costs Profits Logging Income grade income township tation costs and village fund Yuan m-3

Yuantiao* 580 104 119 76 15 80 60 50 77 % 20 21 13 3 14 10 9 13 Log** 800 76 121 96 14 110 185 70 129 % 10 15 12 2 14 23 9 16

Source: Huitong County Forestry Bureau, its representative office at township, and Ma’an Township Government * Less than 5 m in length and 8 cm in diameter. ** Over 5 m in length and 8-12 cm diameter

in fuelwood and NWFPs. It also explains why restrictive as farmers can sell their products in some farmer households converted their timber local free markets. forests into orchards, bamboo plantations or other cash tree plantations. Conclusions Harvesting and Marketing Regulations Causes of Forest Degradation Restriction of rights to harvest and market Degradation of Chinese fir plantations and forest products, especially timber, is another evergreen broadleaf forests in Huitong County factor that discourages farmers from planting is associated with many factors, including trees and managing forests. Wood harvesting inappropriate silviculture practices, poor is highly regulated through a cutting quota and harvesting methods, tenure insecurity and over- cutting permit system that extends throughout dependence on forest resources. Silvicultural China. In Huitong, the County Forestry methods, such as planting Chinese fir on Bureau and County Planning Commission unsuitable sites, planting successive crops of allocate the yearly cutting quota to townships, Chinese fir without a fallow period and each of which is responsible for reallocating establishing monocultures are technical issues but quotas to villages under its governance. are promoted by government forestry Village offices then allocate their quotas to department’s planning and guidelines on households. Quotas are limited and obtaining plantation development. These guidelines often a cutting permit is a difficult, costly and time- have negative consequences and neglect consuming process. traditional management practices developed over The timber market is a monopoly with only 600 years. the government forest department, or institutions designated by the forest department, entitled to On Strategies to Rehabilitate purchase timber from villages and households. Degraded Forests As a consequence, farmers receive prices that To be effective, strategies for rehabilitation must are much lower than market prices. For address causes of forest degradation and con- example, the market price for Chinese fir log straints to rehabilitation. They must be overall was 800 Yuan m-3 in 1996, while state timber packages rather than technology ‘fixes’. company obtained a profit of 185 Yuan, and farmers about 130 Yuan (including costs of Silvicultural practices tending and guarding) (Table 4.5). In contrast, It is crucial to revise guidelines on plantation regulations on marketing NWFPs are much less development on the basis of both new and

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indigenous knowledge to prevent the establishment shareholding system, can rearrange forest tenure of Chinese fir plantations with low productivity to the advantage of the landowners. This must potential. The unsuitable sites planted with Chinese be achieved on a voluntary basis and with proper fir should be allocated to species better adapted to governance or there will again be a crisis of them. Agroforestry technologies that ensured villagers’ trust in tenure policy. sustainable management of Chinese fir over the last six centuries, including intercropping trees with Policy Changes are Essential food crops or cash tree crops, still have an Restrictive regulations on timber harvesting and important role to play. marketing and the high level of taxation and fees It is essential to reduce dependence of the on timber sales are disincentives to farmer to rural population on forest resources. Home establish and manage plantations of Chinese fir gardens can provide income-generating and other timber species. Farmers are not opportunities and reduce pressure on forests to interested in establishing timber plantations some extent. The reduced pressure should make because of the unsatisfactory returns from timber forest rehabilitation easier. sales as a result of high taxes and fees. The restrictive regulations discourage them from Improved rural services investing in tree planting and sustainable Improved rural credit services and expanded management of forest. Changes to these policies sources of funding are needed to overcome to give farmers greater freedom in marketing farmers’ lack of capital to invest in rehabilitating and to obtain a greater return from timber degraded forests and production activities. products are essential to encourage the Farmers’ access to commercial credit is limited, establishment and management of timber- as they often cannot meet bank requirements for producing forests and plantations. collateral. One possibility is to introduce and adopt an innovative rural financial system, e.g. Problem and Strategy Identification using the Grameen Bank approach. Another is Forest degradation is a complex process and the to involve outside institutions to provide funds rehabilitation of degraded forest requires a for development of plantations and/or home dynamic partnership of villagers, technical gardens. Capital input by Huaihua Prefecture professionals and government officials. Forestry Bureau into ginkgo plantation Villagers know their circumstances and local establishment in Xiangjian village and by conditions and are able to make significant Huitong County Forestry Bureau into bamboo contributions to the identification of problems planting are examples of such an approach. and constraints and the development of Many farmers lack the skills and technical strategies and options to address them. They are knowledge to effectively manage forestry and the means of achieving rehabilitation and agroforestry activities. This requires better sustainable management of degraded forest, and access to technical information and improved ultimately the beneficiaries of it. Involvement extension services, including training courses. of technical personnel can provide expertise and innovation in developing effective strategies and Organisation of common management of improve communication between government household resources agencies and villagers. Government officials are Fragmented forest land holdings make it difficult important for forest rehabilitation, because their for farmers to adopt options such as natural participation will help make effective policies regeneration of broadleaf forests through and their networking with government agencies ‘closing mountain’ and tree plantation will help villagers to gain access to public sec- establishment. Tenure issues are very sensitive tor resources such as technical extension, rural but joint forest management, such as a credit, and market information services.

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References Menzies, N. 1988. Three hundred years of Chen, B. 1992. Status, causes and improvement taungya: a sustainable system of forestry in strategy of soil degradation in timber plan- South China. Human Ecology. 16: 361-377. tations in China. In: Sheng, W. (ed.). Re- Research Team of Intensive Cultivation of search on site degradation of timber planta- Chinese Fir. 1992. General report of research tions. China Science and Technology Press, group for ‘National Research Program on Beijing. (In Chinese) Intensive Silviculture Techniques on Chinese Chen, C. and Zhang, J. 1991. Study on the effect Fir Plantation’. In: Sheng, W. (ed.). Research of mixed forest of Cunninghamia lanceolata on site degradation of timber plantations. and Michelia macclurei upon forest China Science and Technology Press, productivity and ecological balance. In: Shi, Beijing. (In Chinese) K (ed.). Development of forestry science and Wu, Z. (ed.). 1984. Chinese fir. China Forestry technology in China. 170-177. China Science Publishing House, Beijing. (in Chinese) and Technology Press, Beijing. Xing, S.Y., Tian, C.J., Wang, C.B., Guo, J. and Commonwealth Agricultural Bureau Wang, Y. 1998. Review of the silviculture International. 2000. Forestry Compendium, and kernel utilization of Ginkgo biloba L. Global Module. CAB International, World Forestry Research 11(2): 32-37. Wallingford, UK. (CD version) Xu, H. 1992. Dynamic characteristic of soil Department for Reforestation, Ministry of fertility of forest land and problems of soil Forestry (ed.). 1982. Technologies for high degradation in timber plantations. In: Sheng, yield Chinese fir plantations. China Forestry W. (ed.). Research on site degradation of Publishing House, Beijing. (in Chinese) timber plantations. China Science and Department for Science and Technology, Technology Press, Beijing. (In Chinese) Ministry of Forestry. 1994. Methods for Yang, X., Luo, J. and Li W. 2001 Agro- research on forest ecosystem in fixed site. silviculture systems. In: Agro-ecological China Forestry Publishing House, Beijing. farming systems in China. (ed. W. Li) pp. (In Chinese) 105-131. Man and the Biosphere Series Vol. Fang, Q. 1987. Impacts of many crops of 26. UNESCO, Paris and The Parthenon Chinese fir in succession on soil fertility and Publishing Group New York, USA and tree growth. (Chinese). Forestry Science 23: Carnforth, United Kingdom. 389-397. (In Chinese) Yu, X., Ye, G., Lin, S. and He, Z. 1992. An Fu, J., Fu, M., Fang, M. and Wang, A. 1995. approach to the culture system for Chinese The main agroforestry models in the eastern fir. Journal of Fujian College of Forestry subtropics of China. In: Cai, M. and Hu, S. 12(3): 259-263. (In Chinese) (eds.). Integrated research in farm forestry. Yu, X. 1994. Chinese fir silviculture. Fujian 41-49. China Science and Technology Press, Science and Technology Press, Fuzhou. (In Beijing. Chinese) Huitong County Forestry Bureau, 1993a. Zhu, Z. 1991. Forest ecology. China Forestry Huitong County annals of forestry. Huitong, Publishing House, Beijing. (In Chinese) Hunan. (In Chinese) Huitong County Forestry Bureau. 1993b. Data of forest inventory of Huitong County 1991- 1995. Huitong, Hunan. (In Chinese). Institute of Forestry and Pedology. 1980. A collection of papers on ecology research of Chinese fir plantations. Chinese Academy of Sciences, Shenyang. (In Chinese)

isi Christian 80 6/30/03, 9:28 PM Chapter Five

Rehabilitation and Sustainable Management of Degraded Forests in Gaohong, Lin’an County, Zhejiang

Li Minghua1, Liu Dachang2, Shen Yueqin1, Wang Anguo3, Wei Xinliang1, Yu Shuquan1 and Zhou Guomo1

Introduction In response, our research, carried out in the Zhejiang province is in the subtropical evergreen three villages of Gaohong Township of Lin’an broadleaf forest zone. Due to excessive human County, Zhejiang, used a participatory approach intervention, however, most of evergreen and aimed at understanding root causes of broadleaf forest has now disappeared and has degradation of timber forest, bamboo plantations been replaced by secondary natural Masson pine (a major source of cash income) and tea (Pinus massoniana) forest and man-made plantation. We also examined disincentives and plantations of Chinese fir (Cunninghamia constraints to forest rehabilitation, and lanceolata), bamboo, tea and other cash tree developed strategies for forest rehabilitation and crops (NWFPs). Remaining evergreen broadleaf improvement in local livelihoods. forest is secondary in origin. This chapter presents research methods and A significant proportion of forests, both timber background information on the three villages, and NWFPs, in the region is degraded or seriously deals with three types of forests/plantations: tim- degraded. Standing timber volume and quality ber forest, bamboo and tea plantations by ana- has decreased and biodiversity is diminished. lysing the causes of degradation and disincen- Local rural communities and other forest- tives and constraints to their rehabilitation., Re- dependent people are able to obtain less habilitation options are described and the devel- environmental and ecological services and to opment and extension of effective forestry tech- collect fewer products and generate less income nology discussed. Lessons and implications are than formerly. Farmer income in the mountainous drawn that may have wider application to sus- area is 75% of the provincial average and tainable management of degraded forests. therefore it is a great challenge to rehabilitate and manage degraded forests and plantations to Research Methods generate income and improve livelihoods. As an action-oriented research project our Few comprehensive studies have been made research in Gaohong followed a logical procedure on why forests in the region are degraded so of diagnosis, design and delivery, and stressed understanding of these issues is still limited. participatory and interdisciplinary approaches. Identification of effective strategies for Participatory Rural Appraisal (PRA) was used. sustainable management of degraded forests has PRA has emerged from a synthesis of Rapid Rural largely focused on technical solutions. Appraisal, Agroecosystem Analysis, Diagnosis

Authors are listed in alphabetical order. 1 Zhejiang Forestry College, Lin’an. 2 Southwest Forestry University, Kunming P.R. China and Center for International Forestry Research, Bogor, Indonesia. Currently at The Mekong Institute, Khon Kaen, Thailand. 3 Lin’an County Forestry Bureau, Zhejiang.

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and Design and other appraisal techniques with were conducted, each involved 4-8 persons and action research and community organization lasted up to 2 hours. techniques (Chambers 1994a,b,c; Rocheleau 1999). This type of social science research was Participatory planning complemented by conventional forestry Design aimed at developing effective strategies methods such as soil survey, forest inventory for rehabilitation and sustainable management and landscape analysis. of degraded forests based on identification and analysis of problems and constraints at the Using a Participatory Approach diagnosis stage. We worked with farmers and government officials in an iterative manner to Participatory diagnosis identify options and evaluate the role of existing A participatory rural appraisal (PRA) team was technologies and indigenous knowledge. After assembled comprising 15 farmers, 15 technical a number of discussions, several options were specialists and researchers, and 5 government agreed for each type of degraded forest to allow officials. PRA tools such as secondary data farmers to choose the option(s) that best suited collection, participatory direct observation, their specific conditions and circumstances. household survey and group interviews were used. Testing options/strategies A large amount of secondary data was In the delivery phase, more than 10 households, collected from relevant government agencies with support of researchers and forest extension and technical institutions at county and township workers, were involved in testing effectiveness levels. For example, information was derived of options identified. Participating households from Lin’an County Annals, Lin’an County represented different economic development Annals of Forestry, Report on Forest Inventory levels and had different forest resources and types in Lin’an County and yearly statistical data. of degraded forest. The options that proved Direct field observations were made by effective were then disseminated to villagers researchers together with farmers. The farmers through training courses, printed materials, farmer had good knowledge of local forest management household visits, and the existing extension and historical changes in environment. They network, and mass media (cable TV and video tape). were encouraged to draw sketch maps to support their observations. Conventional Forestry Methods As occurred at research sites in other provinces in this project, the primary method Soil survey for farmer household survey was semi- Field surveys were made to determine soil types structured interviews, complemented by a and their distribution and collect soil samples. questionnaire survey. Sample households were Analysis on chemical properties of soil samples selected through random sampling from 659 from 29 transects in different forest types of the households in three villages. About 350 villagers three villages was made to assess soil fertility. from 175 households were consulted during the survey. The villagers consulted represented Forest vegetation surveys about 20% of the population in the three villages. An inventory was made in 14 sample plots Representatives of seven groups of villagers representing different types of forest in each of the three villages were interviewed. communities. Both tree layer and shrub layer The seven groups were: senior villagers (60 were surveyed in each of the sample plots. In the years old or over), village leaders, married tree layer, species, diameter at breast height, tree middle-aged and young people, unmarried height, trunk height to first branch, canopy class young people, women, the poor, and the and health were recorded. Names, numbers and relatively wealthy. Twenty-one group interviews dimension of shrubs were also recorded.

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A second field survey focused on types and found on 55% of land area of the villages. Red amount of forest products. The survey earth is generally assessed as a fertile soil but concentrated on historical changes in forest due to soil erosion on some land in recent years, volume, forest land and environment, and on the profiles are becoming shallower and fertility has extent of forest degradation during the previous declined. Some of this land degradation is a re- 20-30 years. We (the research team) worked with sult of planting Lei bamboo on steep slopes by several experienced villagers to assess the farmers. Soil fertility is also broadly related to historical changes based on field survey, villagers’ types of forest and age of trees on it with greater recall, and secondary data obtained from forest fertility in natural forest than in man-made plan- inventories respectively in 1983, 1989 and 1994. tations, and under older stands. This survey is by its nature participatory. Land Use and Forest Resources Forest landscape analysis There are 1128 ha of land in the three villages. A landscape study was used to analyse The largest land use is forestry with the balance degradation and features of forest to comprising food crops, settled area and water complement findings from other research. bodies. Forest land comprises 76% of total area Criteria for the classification of forest polygons and crop land 10% (Table 5.1). were decided first. Plots were located on maps At present, 98% of forest land is covered by during the field survey, followed by a stratified forests (Table 5.1). Masson pine forest and statistical analysis by forest type. The results evergreen broadleaf forest are usually provided an estimate of area, dominant species, regenerated naturally whereas Chinese fir and and features of each type of forest. This tea are planted. Bamboo is either natural or information assisted in assessing the extent of artificial depending on the species. Plantations forest degradation. of Chinese fir and Lei bamboo make up 32% of forest land or more than 80% of plantation area Background Information in the villages. There are only 43 ha of tea on Lin’an County plantation. Lin’an County (29o56’-30o23’N latitude and All timber forests are young or middle-aged 119o11’-119o52’E longitude) is located in stands at present so the standing timber volume northwest Zhejiang province (see Map 1.1, is low. It averages 13.5 m3 ha-1 in Shangfeng Chapter 1). Our research was mainly undertaken village, 20.7 m3 ha-1 in Chenjiakan and 24.3 m3 in the villages of Chenjiakan, Hongqiao and ha-1 in Hongqiao. Without mature forests, local Shangfeng, all of which are under jurisdiction farmers practise selective logging of larger trees of Gaohong Township, though some options from these immature stands to meet their timber identified were also tested in the township- needs. The practice has contributed to owned Gaohong Forest Farm and several other degradation of timber forest. villages in Lin’an. Local people use forest resources to meet their varied needs. Masson pine forest and Climate and Soil Chinese fir plantation are primarily for timber Situated to the south of the Yangtze River, Lin’an production. Evergreen broadleaf forest is for County has a subtropical climate, with four timber, fuelwood, NWFPs and ecological distinct seasons a year. Winter and summer are services. Bamboo and tea are cash tree crops. 124 days and 114 days respectively, and spring Bamboo is planted primarily for bamboo shoots and autumn are each 64 days. Mean annual rain- for cash income and on-farm consumption. Tea fall is 1415mm. was also a major source of cash income but from Soil is typically red earth, with two subtypes: the late 1980s was replaced by bamboo shoots. yellow-red soil and red soil. Yellow-red soil is Evergreen broadleaf forest contains most

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Table 5.1 Land use

Land uses Area (ha) % Total Area % Forest land

Total area 1128 100

Forest land 853 76 Timber forests 561 50 65 Masson pine 372 33 43 Chinese fir 117 10 13 Evergreen broadleaf forest 72 7 8 Bamboo forests 229 20 27 Lei bamboo* plantation 158 14 19 Bamboo forest producing dry shoots** 71 6 8 Tea plantation 43 4 5 Non-forested land 20 2 2

Crop land 115 10 Others 160 14

Sources: Based on the field survey 1995. Notes: * Phyllostachys praecox f. preveynalis ** Including Phyllostachys nuda, Phyllostachys dulcis, and Phyllostachys iridenscens.

biodiversity, while Masson pine forest, Chinese Although the market demand for quality tea fir plantation, bamboo forest, and tea plantation is still high, the quality of tea produced in the are much less diverse. villages is poor and the amount farmers are able to sell is declining. Fresh leaves are sold to Agricultural and Forest Products buyers who come to the villages and then sell Important agricultural products include rice, them to tea processing factories. Most tea wheat, barley, watermelons, vegetables and rape produced in the villages is used locally. seed. Primary forest products are fresh bamboo shoots, dried bamboo shoots, timber and tea. Forest Tenure and Management Food grains, especially rice, are produced both As in other parts of China, Lin’an County im- for on-farm consumption and sale to fulfil plemented the policy for forestry reform in the farmers’ obligation to the state, while other early 1980s. The term ‘sanding’ is often used in agricultural crops are mainly consumed on-farm. Chinese literature to refer to the forest reform. Bamboo shoots now have become the main Village collectives distributed part of their for- source of farmers’ cash income. About 80% of ests and forest lands to village households for shoots is marketed and 20% is consumed on- management, while retaining some under col- farm. Part of the fresh shoot crop harvested in a lective management. Forests/forest lands were normal season is marketed, part is used on-farm, distributed to farmer households in two catego- and the remainder is processed into dry shoots. ries: family plot (ziliushan in Chinese) and re- About half of the dried shoots are marketed. sponsibility hill (zerenshan in Chinese) (Liu Timber was major source of cash income for 2001) that are often called liangshan in Chinese farmers in the villages. It has been replaced by literature on forestry. bamboo shoots since the late 1980s. It is now In Lin’an County, 122 200 ha, or 50%, of largely for on-farm consumption, harvested forest were distributed as responsibility hills; 42 from household’s own plots and/or purchased 700 ha, or 17%, as family plots; and 81 900 ha from forests under collective management. The or 33% were under collective management. timber market is monopolised by the state- However, in the three villages nearly 80% of owned timber company, which is one reason forests were distributed to rural households, and farmers have been less enthusiastic about tim- only about 20% remained under collective man- ber plantation establishment. agement (Table 5.2).

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Table 5.2 Forest land by tenure

Village Forest land (%) Household managed Collectively-managed Family plots Responsibility hills

Chenjakan 66 19 15 Hongqiao 56 9 35 Shangfeng - 97 3 Total 43 36 21 Source: Field survey 1995

In the case of family plots, there is a division Demography of use rights and land ownership. Use rights to Almost all the population of 10 513 in Gaohong land were distributed to farmer households on township in 1995 were Han Chinese. Based on long-term basis, while the collective remained our random sample survey, gender distribution the owner of land. The policy dictated that a land was 51% male and 49% female. Those of la- certificate had to be issued to each household bour age comprised 65% of the population. 45% when forest or forest land was allocated to them. of the labour force was working in primary in- Trees planted on family plots are private dustry (agriculture, forestry, animal husbandry, property and both the land use rights and tree and fishery and aquaculture), 28% in second- ownership can be inherited. A cutting permit is ary industry (manufacturing, construction and required to cut trees on family plots, although transport) and 27% in tertiary industry (mainly in the villages this regulation has been strictly services). A high proportion of the population applied only to the harvesting of commercial has primary education and 14% is illiterate. Only timber and not to harvesting for on-farm use. about 8% of villagers completed senior high Responsibility hill areas were distributed to school education or higher level. Most of farmer households in the attempt to improve the middle-aged and senior villagers, who have had management of existing forests. Benefits from a low level of education, remain working in responsibility hills are shared between the agriculture, while the better-educated younger collective as owner and the households generation prefers non- and/or off- farm assuming responsibility for forest management. activities as their employment and sources of A cutting permit is essential to cut trees on income. responsibility hills. In the past, the three villages were typical The usual practice is for the village collective subsistence communities. Villagers produced to appoint part-time or full-time forest guards food grain and vegetables and raised animals to look after forests remaining under collective mainly for self-consumption, and managed management. Income from the forests goes to timber forest and tea plantation to generate cash the collective and is used to cover public income. This pattern, however, has changed expenses including part of village leaders’ salary. since the late 1980s due to the availability of Village leaders must obtain cutting permits and other opportunities for employment and income logging operation planning from the forest generation. Sources of farmer income have authority to harvest timber from collective diversified to include bamboo, transportation, forests. Villagers are given priority to purchase manufacturing, food crop production, trade, and timber for their own use from collective- animal raising in descending order. In brief, managed forests. villagers rely on less agriculture and more market related economic activities.

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Farmer income at the site is relatively higher total area (Table 5.1). It is now secondary than that in other mountainous areas. However, forest with less species and shorter trees. there was a considerable disparity of income • The forest has become much more frag- among households. Data of income for the three mented with the majority of patches smaller villages show that in the mid-1990s, income of than 6 ha. the lowest income group was 18% of that of the • Forest communities with a single species in highest group in Shangfeng village, 32% in the tree layer have become dominant forest Hongqiao village, and 46% in Chenjiakan. in the landscape, including Lei bamboo and Interestingly, the disparity was not because of a Chinese fir plantation, and Masson pine difference in households’ landholding size but forest. was due to the different industries pursued by • Distribution patterns of some forest villagers. In Shangfeng, in the highest income landscape elements are not sound. Lei group were those with part-time off-farm bamboo plantations and Chinese fir employment; and in the lowest income group plantations established on steep slopes are were those who pursued agriculture only. In irrational land use and lead to soil erosion. Chenjiakan, most households planted bamboo and so the disparity of income among households Factors causing forest degradation and was not as great as that in Shangfeng. options for rehabilitation and management vary according to the different types of forest. Overview of Forest Degradation in the Villages Our surveys showed that a large proportion of Degraded Timber Forests forests in the villages was degraded. These degraded forests covered about 390 ha, Extent of Degradation representing 46% of forest land. Degraded According to general criteria of the forest Masson pine forest made up 57% of degraded department, the following four types of forests forest area. Most of the evergreen broadleaf are degraded and need to be rehabilitated. They forest and tea plantations were degraded and are: nearly half of the bamboo forest producing dry a) land with a canopy density of 10-20% and shoots was also degraded. (Table 5.3) with little likelihood to naturally regenerate From a landscape perspective, there are four into stands; features of forest degradation in the villages. b) young and middle-aged forests on any • Evergreen broadleaf forest, formerly the typi- unsuitable site; cal vegetation in the region, is only 7% of

Table 5.3 Degraded forests by type

Degraded forest type Area (ha) % total area of % area of same degraded forests type of forest

Broadleaf forest 56 14 78 Tea plantation 30 8 70 Masson pine forest 224 57 60 Bamboo forest for dry shoots 34 9 46 Chinese fir plantation 15 4 13 Lei bamboo plantation 33 8 20

Total 392 100

Source: Field survey 1996.

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c) young and middle-aged forests with an Deforestation resulting from tenure annual growth of less than 3 m3 ha-1; and insecurity d) forests suffering from serious diseases, pests, In 1981, the government decided to allocate non- forest fires and human damage. forested forest land and forests to farmer About 60% of the Masson pine forests is households to encourage tree planting and degraded. The 224 ha of degraded pine forest improve management of existing forests. accounts for 57% of degraded forest in the Contrary to the policy objectives, this forest research area (Table 5.3). Generally, Masson reform was followed by increased harvesting in pine forests are growing on sites suitable for the many areas. Significant deforestation occurred species. In the 1960s and 1970s there were dense in the mid-1980s, immediately after the adoption secondary Masson pine forests with an average of household-based forest management. Some diameter breast height (dbh) of 26-28 cm, a farmers cut trees immediately after they were mean tree height of 11-12 m and timber volume distributed to them. This occurred in the three of 105-120 m3 ha-1. When we surveyed the villages too. One underlying cause of the forests in 1995, the stands were less productive deforestation was tenure insecurity in an with an average dbh of 8-10 cm, a tree height of uncertain policy environment due to frequent 6-7 m, and a timber volume of 20-30 m3 ha-1. changes in polices for forest and land tenure. Nearly 80% of evergreen broadleaf forests China experienced radical changes in forest are degraded (Table 5.3). These forests are tenure and management from the early 1950s mainly on cool, north facing slopes that are steep to the 1980s. The major change included from and rocky, and with shallow soil. Dominant private ownership and household-based species include Castanopsis sclerophylla and management in the early 1950s to collective Cyclobalanopsis (Quercus) glauca, often mixed ownership and management during the with a few Masson pine trees. Evergreen following 25 years. With this experience it is broadleaf forests were in good condition in the not surprising that farmers chose to harvest their 1960s and 1970s, with mean dbh 10-12 cm trees rather than to manage them. This attitude (maximum 20 cm) and a dense canopy of (80– is consistent with observations made elsewhere 90%). They are now in poor condition with mean in China (Yin and Newman 1997, Liu 2001). dbh 6 cm, mean height 6-7 m and a more open We found in our interviews with farmers that canopy (30-50%). their misgivings about tenure security have not Chinese fir plantations are in the best yet been dispelled completely. Despite policies condition among the timber forests with only and law assuring farmers of forest tenure 13% degraded (Table 5.3). The degraded security, uncertain factors remain at the Chinese fir stands are young or middle-aged implementation level. For example, certificates with low productivity. For example, 20-year-old were not issued nor contracts made for forests plantations have an average dbh of 10 cm and a allocated to farmer households in Shangfeng height of 7 m, standing timber volume of about village. In other cases, use rights to land were 54 m3 ha-1, and mean annual increment of 2.7 often reallocated by local officials. This helps m3 ha-1. All these indicators are lower than those explain why many farmers are reluctant to of a normal Chinese fir stand. establish and/or sustainably manage forests.

Factors Responsible for Degradation Over-harvesting of forest Our survey shows that immediate causes of tim- Forest degradation in the villages is also closely ber forest degradation included tenure insecu- related to poor harvesting practices. Timber has rity and over-harvesting of forest, including poor been the major source of cash income in the area harvesting practices. for a long period of time and has resulted in over- harvesting. Over the past 20 years, farmers in

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the research area have practised a dysgenic se- the balance that had to cover costs of planting, lection in the forests by removing the best qual- tending, guarding and harvesting. As it takes at ity, large-diameter trees (badamao in Chinese) least 20 years before Chinese fir is large enough and leaving poor, often unhealthy, trees. Even to harvest, returns to farmer investment are very today, local villagers practise selective logging low. In sharp contrast, tax on bamboo shoots is of larger trees from immature stands because less than 1% of sale prices. From a perspective there are no mature forests left. Similarly, of benefit sharing among stakeholders, this fuelwood was the only source of energy for explains why farmers have little enthusiasm cooking and space heating until the 1980s. This about timber forest management and why over- dependence on fuelwood caused depletion of the taxation and fee charges are a disincentive to evergreen broadleaf forest. timber forest rehabilitation. Regulations on wood harvest and trade also Disincentives and Constraints to impact negatively on timber forest establishment Rehabilitation and management. In China, a cutting permit is required to cut trees. Timber harvesting must Disincentives be carried out at a time and location, and in an Disincentives to farmers to invest in timber tree amount specified by a cutting permit. To some planting and forest management included: extent, this limits farmers’ authority and makes • tenure insecurity them unable to respond to market signals. For • over-taxation on timber and example, they may not be able to harvest and • restrictive regulations on timber harvesting sell their wood when prices are high due to the and trade. inability to obtain a permit. Present wood Perceptions of tenure insecurity can marketing practice also discourages farmers explain why farmers are interested in bamboo from developing timber forests. In most cases, production but not timber growing. The long the forestry department, or other institutions to period needed for timber to generate income for which it delegates authority to purchase timber investors requires tenure security. In contrast, from farmers and village collectives, farmers in Lin’an were incredibly enthusiastic monopolises the timber market. Consequently, about bamboo, because they can obtain income timber prices are skewed and farmers receive from it in just two or three years. There have prices lower than those on the free market. In been similar observations of farmers’ behaviour comparison, the market environment for in relation to property rights and investment bamboo shoots is much better as farmers are able incentives elsewhere (e.g. Fortmann and Bruce to sell them freely. 1988, Besley 1995). From this analysis, it is clear that at policy Poorly-designed mechanisms for benefit level, three disincentives must be removed to distribution can discourage investment. Data encourage farmers to rehabilitate and manage from our surveys show that timber income is degraded forests. (1) The government needs to distributed between outside stakeholders further reassure farmers about tenure security, (government and forest department) and local and tenure policy and law must be strictly community/households. The outside enforced. While transfer of use rights to forest stakeholders received about half of gross timber land is necessary, it should be through market income (trading prices) in the form of taxes and mechanisms, such as leasing, rather than fees. For instance, the price for Chinese fir reallocation by political forces and timber is about 600 Yuan m-3. From this the administrative orders. (2) Tax and fee charges government collected taxes and fees of about must be reduced so local communities/ 200 Yuan m-3 and the forest department 95 Yuan households can receive more benefits from sales m-3 for the reforestation fund. Farmers received of timber. (3) Monopolised wood purchases by

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the forest department should be abandoned or gest that this form of forest management is ef- modified to give farmers more authority in the fective in overcoming the constraint of land frag- wood trade and to enhance their prospects for mentation. Tenants have capital and labour to higher gains from timber sales. manage a larger area, while those who lease their land use rights out usually have insufficient la- Constraints bour and investment capital. Two major constraints to the rehabilitation of In the shareholding system, all parties timber forests need to be overcome. The first involved pool their land, funds or technologies constraint is the fragmentation of forest land to establish plantations and manage forest. They holdings resulting from the way collective non- subsequently share benefits generated based on forested forest land and forest was allocated to the shares they hold through their resource input. individual households in the early 1980s. When The system can take many forms based on the this land was allocated in the villages, villagers range of stakeholders, including collaboration and local government officials emphasised among households; between households and the absolute equity. Lands and forests were first village collective; among households, the village divided into many tiny plots based on tree age, collective and stakeholders outside of village species, soil quality and distance from village community; and between households and etc., and then matched to family size. As a result, institutions outside of community. Experience land holdings are very fragmented so that one from the area shows that the shareholding household has many tiny plots in different system can largely overcome constraints of land locations, and a land or forest on one slope fragmentation, while addressing farmers’ lack belongs to many households. Several of capital investment and expertise through households each have 10 or more plots of forest funds and extension services from outside in Shangfeng village, while the average forest partners. The shareholding system has been used area is only 2.3 ha household-1. This makes forest to develop timber forest and more often cash operations more costly and difficult, and makes tree plantations in the area and beyond. mountain closure for natural regeneration of The second constraint to rehabilitation is lack forest almost impossible to organise. One forest of expertise and knowledge of appropriate guard can easily patrol an area of forest if an technologies for sustainable management of effective management institution exists, but timber forests among farmers. This requires under household management each household development of technologies suitable for local must allocate one person at least part time to conditions and markets and the support of an look after its many tiny, scattered forest plots. effective extension service. Clearly, there is a need for an improvement in forest management arrangements. Household Mountain Closure as a Strategy for forest farm and shareholding systems emerging Rehabilitation in Lin’an (and other areas) offer some Natural regeneration of secondary forest through possibilities to address the problem. ‘closing mountain’ is a common, traditional In household-based management, a solution to forest rehabilitation, largely because household expands the forest land area it is cost-effective. It was identified as a strategy distributed to it in the early 1980s through for rehabilitating degraded evergreen broadleaf leasing use rights to land from, or in partner- forest and Masson pine forest distributed in ship with, other farmers. It is more efficient to location far from the village settlements. The manage the larger forest land area. In Lin’an option was tested on about 260 ha of forests in County up to late 1998 more than 500 household Hongqiao village. About 60 ha of the forests forest farms, managing an area of over 20 000 were household-managed family plots. Villagers ha, were established. Initial observations sug- formerly collected fuelwood from the broadleaf

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forests but now they depend less on fuelwood Figure 5.1 Intensive culture of Lei bamboo using for cooking and space heating as gas and mulching in Lin’an County electricity are available. This made it feasible to implement the option.

Degraded Bamboo Plantations and Forests

Lei Bamboo Plantations Lei bamboo (Phyllostachys praecox f. preveynalis) in the region could be planted or natural but it is mainly planted. In this chapter, the term ‘plantation’ is used for this type of bamboo. There has been a rapid development in Lei bamboo plantation over the last decade in Lin’an and beyond. As a result, shoots of this species have replaced tea as an important source usually sprouts after Chinese New Year but of income for farmers. However, degradation mulching increased soil temperature and shoots also occurs in Lei bamboo plantation. About were produced before and during Chinese New 20% of Lei bamboo plantations in the three Year when prices are very high. This profitable villages are degraded (Table 5.3). They are practice unfortunately has adverse site impacts. characterised by low productivity, uneven Covering land with mulch for 3-4 months every mother bamboo individuals at different ages, and year results in a significant increase in soil diseases. microorganisms that change the soil’s physical Degradation is strongly associated with two and chemical properties. The changed growth silvicultural practices. One is the planting of environment makes the bamboo susceptible to bamboos on inappropriate sites. Local farmers diseases and makes it difficult to maintain a good were so enthusiastic that they established age class distribution of healthy mother extensive Lei bamboo plantations on lands bamboos. Zhou et al. (1998) found the unsuitable for the species, such as steep slopes technology changes bamboo stands in many and ridges with infertile, shallow soil. These are ways, resulting in smaller stem diameters, a the sites where Masson pine forests occur higher proportion of old mother bamboos and naturally. Bamboo plantations on these sites increased flowering. The longer mulch is used grow slowly and poorly, and have low output. the more mother bamboos flower. When land Where Lei bamboo has been planted there has was covered with mulch for 3 years in been serious soil erosion, further land succession over 10% of mother bamboos degradation and biodiversity loss. A major flowered. Jin et al. (1998a, b) examined impacts reason for development of bamboo plantations of long-term mulching on the growth, structure on unsuitable sites has been the great market and distribution of underground rhizomes. They demand for the shoots and high economic found that the number of rhizomes increases but returns from this crop. total length of rhizomes and percentage of The other silvicultural practice with a young, vigorous rhizomes (2-4 years old) negative impact is the application of mulch, a decline, compared with unmulched plantations. bamboo cultivation technology developed in the There were 181 buds m-2 in the whole rhizome late 1980s (Figure 5.1). Mulching stimulated system of a mulched bamboo plantation shoots to sprout earlier than normal. Lei bamboo compared to about half that number in an

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unmulched plantation. Most of rhizomes occur have with minimum adverse impacts on agro- in the upper layer of soil in mulched bamboo ecological conditions. This is necessary because plantations but are found below 30 cm depth in forest operations are often undertaken in eco- unmulched plantations. Diseases often infect logically fragile areas. rhizomes of mulched bamboo plantations. Two rehabilitation options were identified. Bamboo Forest for Producing Dry The first was to replace degraded plantations Shoots with less site-demanding species. In 1996, an Bamboo forest for producing dry shoots occurs experiment was carried out to incorporate timber on upper slopes. Formerly, forests on these lands species such as Masson pine and cash trees such were mixed forest of Masson pine, broadleaf as Myrica rubra and chestnuts into a bamboo species and small bamboo groves. After the plantation area. household-based forest management was The second solution identified for this adopted in the early 1980s, farmers cleared all problem was to modify the practice to minimise the pines and broadleaf species and developed the adverse effects on the mother bamboos by monocultures of bamboo. Nearly half of these not mulching every year and by controlling the bamboo forests were found degraded with low soil temperature. This option was first tested in productivity (Table 5.3). a farmer’s field in Shangfeng village and at the The research found that degradation of these Gaohong Forest Farm. The plantation was forests was closely related to inappropriate shoot mulched for 2 years during which not many harvesting methods. Surveys in Shangfeng shoots were retained as mother bamboos, village show that local farmers harvested earlier followed by 1 year during which it was not sprouting and vigorous shoots and leaving later mulched and more shoots were retained as sprouting, weak or unhealthy shoots as mother mother bamboos. Ideally, a bamboo plantation bamboos. This selective harvesting is should have 18 000 bamboo individuals ha-1, an detrimental in the longer term to healthy and average dbh of 3.5 cm and over 70% of mother productive bamboo forest. Farmers also degrade bamboos of 3 years old or younger. Soil tem- the bamboo forest by breaking shoots off by perature was reduced to help develop healthy hand instead of unearthing them with hoes or mother bamboos and to prevent diseases by (1) other tools. using mulch materials that does not raise the Poor shoot processing technology temperature so much and reducing the thickness contributed to the poor quality of bamboo shoot of mulch to about 20 cm, (2) reducing mulch products. The processing was a manual during the second half of the sprouting period, operation in household workshops and there and (3) shortening length of the mulching pe- were no uniform standards. This produced the riod. dry shoots of highly variable quality. The Preliminary results of the testing were processing method also resulted in wastage of positive with an increase in both the number of fresh shoots. Some households produced 1 kg buds on rhizomes and the weight of individual of dry shoots from 4 kg of fresh shoots, and shoots. This could lead to an increase in healthy others used 10 kg of fresh shoots. mother bamboo individuals and an improvement Prices for poor quality bamboo shoots were in quality of the bamboo shoots. The results of very low and bamboo forest management was the tests resulted in adoption of the modified not profitable. Consequently, more than 80% of mulch technology by many households and this farmer households did not tend their bamboo will potentially alleviate degradation of Lei bam- forests. If the quality of bamboo shoots can be boo plantations. improved by adopting appropriate technologies The problems of mulching Lei bamboo for harvesting and processing shoots, farmers highlight the importance of developing forestry will have incentives to properly manage de- technologies that are not only profitable but also graded bamboo forest.

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Based on this premise, we worked with quence, Lin’an County ranked third in Zhejiang farmers to identify and test several options. province in tea output in the early 1980s. Since • To adopt harvesting methods such as then 70% of tea plantations in the county have retaining vigorous shoots sprouting in the become seriously degraded (Table 5.3) and the intermediate sprouting period as mother output of fresh leaves has dropped dramatically bamboos; renewing one third to a quarter of to less than 1500 kg ha-1. total mother bamboo individuals (4500-6000 The “degradation”, or low productivity, was bamboos ha-1 year-1); clearing all bamboos closely related to the disinclination of farmers that are older than 5 years; and maintaining to manage tea plantations because: 1) market 18 000-24 000 bamboos ha-1 evenly spaced share of Lin’an tea declined considerably as to generate healthy bamboo forests. more tea plantations were established • To adopt tending technologies such as throughout China; 2) developing tea plantations clearing weeds, other tree species, and old that produce general tea is much less profitable and diseased bamboo individuals; using than planting Lei bamboo. Data collected from herbicide in July and August; scarifying the the villages indicated that returns to investment soils in the bamboo forests in November and in Lei bamboo could be 10 times that for tea December; and applying fertilisers twice a cultivation. Farmers responded by producing year. bamboo shoots and neglecting tea. • To improve technology and standards for Similar to the case of timber forest, shoot processing. landholding fragmentation is a constraint to These options were tested in bamboo forests effective and profitable management of tea and workshops of several households in the three plantation. In the early 1980s Hongqiao village villages at first and demonstrated to other distributed its tea plantations to households households after they were proved appropriate. across the contours of the hills so that every The test results were encouraging. The adoption household received an equal share of both good of appropriate methods for shoot harvesting and poor lands. This pattern makes tending, together with improved tending of bamboo pruning and fertiliser application difficult and forest significantly improved the health of less effective. It is also not good for tea making bamboo forests, as shown by increased unit because processing superior tea requires a output of shoots. Output of dry shoots increased certain scale of plantation area that is hard to from 60 kg ha-1 to 600 kg ha-1 and the achieve under the fragmented landholding improvement in shoot processing resulted in pattern. added value. As a result, on average each We worked with farmers to develop two household now generated 6000 Yuan year-1 from options. One was conversion of tea plantation dry shoots. About 20% of households in into bamboo plantation where site is suitable for Shangfeng village adopted some of these bamboo and production of high quality tea. In technologies in 1998-1999. This suggests there Hongqiao village, where land is more suitable are good prospects for an improvement in for Lei bamboo than in the other two villages, management of bamboo forests for dry shoot part of the tea plantations have been replaced production. by bamboo, with results being positive. In an innovative approach an exotic variety of qual- Degraded Tea Plantations ity tea, ‘white tea’, was introduced to the Tea was formerly one of three primary products Gaohong Forest Farm in 1997. This tea is largely in Lin’an County and an important source of for export, with prices as high as 2000 Yuan kg-1 income for farmers. At that time, tea plantations (US$240 kg-1). About 2 kg of white tea was pro- were in good condition and their output of fresh duced from an area of 0.06 ha in 1997, which leaves was as high as 7500 kg ha-1. As a conse- suggests the venture could be profitable.

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The other was an expansion of tea area man- hence involves just a minor modification of the aged by a household as a production unit. This traditional method. All villagers can understand was to be achieved by leasing use rights to land and use it whether they are literate or not. Mulch- from other households. In Hongqiao village, for ing involves little risk and so takes into account example, a household rented tea plantation land the vulnerability of poor farmers. Most poor from several other households, obtaining use farmers are not innovators because they cannot rights to a single tea plantation area of 0.33 ha. afford to take risks. The mulch technology fits It also was to be achieved by combining several most of Roger’s criteria but it must also be sus- tiny pieces of land owned by several households tainable. Unfortunately, the mulch technology into a larger piece managed by one household for Lei bamboo is profitable in short-term but through voluntary exchange among themselves. was not sustainable in the long run.

Development and Extension Development of Appropriate of Forest Technology Technology Forest technology has an important part to play Participatory and interdisciplinary approaches in the rehabilitation and sustainable management are effective ways to generate appropriate of degraded forests. It is essential to generate technologies. Farmer involvement is particularly appropriate technologies with farmers and then important because they fully understand local support their dissemination. Three questions ecological conditions, socio-economic then arise: (1) What are appropriate forest circumstances, and their technology needs. technologies? (2) How they can be generated? Technical options identified must be tested with (3) What are effective ways to disseminate farmers in their fields. In this study farmers were technical information to stakeholders? involved in at all stages of research process, from identification and analysis of problems, Appropriate Technologies for Reha- constraints and options through planning to bilitation testing of options and solutions. They helped Rogers (1982) argued that agricultural the researchers improve their understanding of innovations have five characteristics that affect local situations and contributed to the generation their rate of adoption: of effective strategy packages for the • relative advantage (productivity gains) rehabilitation and sustainable management of • compatibility (ecological compatibility to degraded forests of the villages. The researchers local conditions) used their knowledge of biological processes • complexity (consistent with local capacities and experience from other places to contribute to adopt; including low risk in adopting) to problem identification and solution • trialability; and generation. The research approaches offer a • observability model for the generation of forest technology This list is helpful in reviewing the experi- in general. It supports the observations by others ences in Lin’an. The mulch technology for Lei on participatory technology development (e.g. bamboo shoot production was rapidly adopted Rao 1985, Waugh et al. 1989, Scoones et al. by 90% of households in the villages because it 1993, Chambers 1994a,b,c). has high productivity gains. The returns on in- vestment in applying the method are predict- Extension of Forest Technology able and farmers quickly benefit from increased Effectiveness of pathways for information dis- income. The more predictable the benefits of a semination may vary across user groups and new technology the more rapidly farmers will areas. A pathway that works well in an area with adopt it. The technology is simple and was de- easy access to transport and mass media may veloped on the basis of existing practice, and not be effective in more isolated localities.

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Our surveys in the villages found that farm- 8% of households interviewed knew these or- ers obtain technical information through neigh- ganisations existed in the township. bours, relatives and friends, visits to outside ar- Demonstration households play an important eas and television programs in descending or- part in forest extension in general, and in der of importance. They indicated they expect information dissemination in particular, given to continue to rely heavily on neighbours, rela- the farmers’ preference for this type of tives and friends, and visits to outside areas in information source. Several demonstration the future for technical information, probably households have been appointed in Gaohong because they can see the technologies being township but they are insufficient for the role adopted. They are less confident in those tech- they are supposed to play and lacked institutional nologies shown on television because their suit- support. ability for local conditions may not have been Based on this analysis, we tried to improve tested. This emphasis on local observation sug- forest extension in the area by: gests the importance of extension methods such • appointing additional demonstration as demonstration plots and demonstration house- households and empowering existing holds in the transfer of forest technology. demonstration households; The surveys also showed three areas of forest • establishing experimental and demonstration extension that need improvement: plots; • mismatch between the role of the existing • providing short training courses for farmers; technical organisations and farmer demand • enhancing the bamboo and forest farm for extension services; associations; • insufficient number and limited role of • setting up village technical groups, and demonstration households; and assisting the formation of a network of • lack of extension organisations at village extension services comprising township level. technical organisations, village technical There are several technical organisations groups and farmer households. providing extension services at the township level, including the Society of Science and Three additional demonstration households Technology, forestry station, Bamboo were appointed and one experimental and Association and Association of Forest Farms. demonstration plot established in each village The township Society of Science and to test options identified for sustainable Technology is responsible for research and management of degraded forests and as a way technology related affairs in the township. The of technology transfer. Existing demonstration township forest station is the lowest level of the households were empowered through (1) Forest Department and has forest extension as granting them membership of technical societies one of its responsibilities. The Bamboo Asso- at township level or some societies at county ciation is made up of bamboo growers and the level, and (2) providing them with training Association of Forest Farms comprises, on a courses and opportunities for involvement in voluntary basis, those involved with township adaptive research and with some experimental forest farm, village forest farms and household and demonstration projects. forest farms plus technical professionals. Both Short training courses were provided for are non-government organisations and were set about 3300 villagers and 150 township officials up to provide members with technical advice in Lin’an County, covering a wide range of top- and opportunities for information sharing and ics such as sustainable rural development, sus- exchange. Although they have much potential, tainable forest management, non-wood forest these four organisations are not effective in pro- products, and other specific forest technologies. viding extension services for villagers as only The courses assisted dissemination of technical

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information and development of appropriate inappropriate methods of harvesting. technologies. Underlying causes of deforestation were The Bamboo Association and Association of development policies such as the ‘Great Leap Forest Farms were enhanced through promoting Forward Campaign’, and tenure insecurity membership and improving their rules, resulting from land reform policies from the including requirements for regular meetings. 1950s to the early 1980s. Degradation of Lei The aim was to support them as functional bamboo plantations was directly related to poor organisations and to improve their role in silvicultural techniques including planting extension, materials supply and product bamboo on unsuitable sites and using the marketing. profitable but unsustainable mulching Lack of technical organisations at village technology. The underlying cause is huge market level was addressed by establishing a technical demand and high prices for Lei bamboo shoots. group in each of the three villages as a link Conversely, the shrinking demand and falling between farmer households and the technical prices for dried bamboo shoots and tea organisations at township level. Core members discourage farmers from properly managing the of the village technical group are demonstration tea plantations and bamboo forest resulting in households, and other members are low productivity. Degradation of bamboo forest representatives of farmers who are innovators producing dry shoots is exacerbated by poor or risk-adverse in adopting technologies. The shoot harvesting methods. village technical groups were effective in communicating with farmers because it is Rehabilitation Strategies indigenous and consists of only farmers. They The research provided insights into the problems also provided an opportunity for interaction of rehabilitation of degraded forests and some between innovative and less-innovative farmers ways to address them. Timber forest rehabilitation and an opportunity to transfer technologies to a must address disincentives to farmers (tenure wide range of farmers. The technical network insecurity, over-taxation, and restrictive helped farmers obtain more information and regulations on product harvest and trade) and facilitated technology transfer to them from constraints (landholding fragmentation, and lack government organizations on the one hand. It of expertise and technology among farmers). also provided feedback to the government Landholding fragmentation is also a constraint organizations on the other hand. to tea plantation management. The action research in Gaohong demonstrated that some of these constraints can be overcome. Conclusions Government policies Causes of Forest Degradation Farmers’ incentives to plant trees and manage There are more types of forests and a higher forest involve a number of factors, including proportion of plantations in Zhejiang as a result tenure security; and favourable policies for of prolonged intensive economic activities than harvesting, marketing, and taxation of forest at the other three sites of this research. These products. forests provide villagers with many Tenure insecurity is an underlying factor in opportunities for employment and income forest degradation and a disincentive to generation but all forest types are now degraded. rehabilitation. It discourages farmers from Factors causing forest degradation in Lin’an planting trees and managing existing forests County varied across forest types. Major causes sustainably. Deforestation after the adoption of of timber forest degradation include household-based forest management in the mid- deforestation, over-dependence on forest, and 1980s is closely related to lack of farmer

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confidence in the security of tenure of forests sustainable technology for Lei bamboo planting, allocated to them, a lack of confidence resulting production of quality tea through introducing new from the radical, frequent changes in polices for varieties and processing methods, improvement forest and land tenure during the period from the of quality of dry shoots by adopting appropriate 1950s to the early 1980s. Perceptions of tenure harvesting and processing techniques. insecurity resulting from the many policy changes Technologies promoted for forest rehabilitation partially explain why farmers are more interested must be suitable for local ecological conditions in bamboo production than timber growing. The and socioeconomic circumstances, and both long period needed for timber to generate income profitable and sustainable. A technology is not for investors requires tenure security. Although appropriate if it is profitable but not sustainable, current policies and law assure farmers of forest as illustrated by the Lei bamboo mulch technology. tenure security, uncertain factors remain at the Improving product quality by technical means may implementation level and these need to be help increase market share of products and so addressed by government. encourage farmers to provide better management The current restrictive regulations on timber of their forests and plantations. harvesting and high taxation on timber sales are disincentives to farmers in Gaohong to plant Improved rural services timber trees and manage timber forests There are opportunities to improve the sustainably. A review and amendment of such management and profitability of forests that are government policies could enable farmers to currently degraded. To do this effectively, it is obtain a better return on their forest products necessary to overcome a range of constraints and would encourage them to make greater faced by farmers. Important first steps suggested efforts to manage their forests and reduce forest by the research in Lin’an are better access of and land degradation. Farmers in the area were farmers to technical advances and market highly enthusiastic about bamboo planting rather information through improved services. This can than timber forest because they do not have be achieved by establishing village technical problems with harvesting, selling or high groups to facilitate communication between taxation of the product. farmer households and the technical organisations at township level. Such means are also effective Common management of household in improving communication among farmers, resources which provides an opportunity for technology The development and acceptance of household transfer. This is so because the village technical forest farms and shareholding systems in Lin’an groups formed part of a technical network that County shows that farmers can find acceptable helps farmers obtain more technology and market ways to overcome the problems caused by land information from government organisations and holding fragmentation. Our research there disseminate among themselves and is able to provided examples of successful common provide feedback from farmers to the government management of household land resources to organisations. make a tea plantation of larger scale feasible and Further ways of improving extension and more cost effective. It was also possible to get demonstrating new technologies can include: agreement for mountain closure to enable the appointing additional demonstration households area to be naturally regenerated with trees. and empowering existing demonstration households; establishing experimental and Appropriate technologies demonstration plots; providing short training Technology has an important role to play in courses for farmers; and enhancing local non- rehabilitating degraded forests and plantations. governmental organisations such as bamboo and For instance, development of profitable and forest farm associations.

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References Rocheleau, D. 1999. Confronting complexity, Besley, T. 1995. Property rights and investment dealing with difference: social context, content incentives: theory and evidence from Ghana. and practice in agroforestry. In: Buck, L.E., Journal of Political Economy 103: 904-937. Lassoie, J.P. and Fernandes, E.C.M. (eds.) Chambers, R. 1994a. The origins and practice Agroforestry in sustainable agricultural of participatory rural appraisal. World systems, pp. 191-235. Lewis Publishers, Boca Development, 22: 953-969. Raton, Florida, USA. Chambers, R. 1994b. Participatory rural Rogers, E. M. 1982. Diffusion of innovations appraisal (PRA): analysis of experience. (3rd ed.), The Free Press, New York, USA. World Development 22: 1253-1268. Scoones, I., Clark, J., Matose, F., Phiri, C., Chambers, R. 1994c. Participatory rural Hofstad, O., Makoni, I. and Mvududu, S. appraisal (PRA): challenges, potentials and 1993. Future directions for forestry extension. paradigm. World Development 22: 1437- In: Bradley and McNamara (eds.) Living with 1454. trees: policies for forestry management in Fortmann, L. and Bruce, J.W. (eds.) 1988. Zimbabwe. Technical Paper No. 210, World Whose trees? Proprietary dimension of Bank, Washington DC. forestry, Westview Press, Boulder, Colorado, Waugh, R. K., Hildebrand P. E. and Andrew, C. USA. O. 1989. Farming system research and Jin, A., Zhou G., Zheng B., Chen Z. and Feng extension. In: Compton, J.L. (ed.), The W. 1998a. An effect of cultivation in mulched transformation of international agricultural and protected Phyllostachys praecox research and development. Lynne Rienner plantations on its rhizome, Journal of Bamboo Publishers, Boulder, Colorado, USA. Research 17 (4): 36-39. (In Chinese) Yin, R. and Newman, D. 1997. Impacts of rural Jin, A., Zhou G., Zheng B. and Zhao X. 1998b. reform: the case of the Chinese forest sector. A preliminary study on degenerative Environment and Development Economics mechanism of Phyllostachys praecox stand No 2, 291-305. planted in protected site. Journal of Fujian Zhou, G., Jin A., Zheng B., Fang W. and Yu W. College of Forestry 19 (1): 94-96. (In Chinese) 1998. [A] Preliminary study on composition Liu, D. 2001. Tenure and management of non- of lei bamboo in protected plot. Journal of state forests in China since 1950: a historical Zhejiang Forestry College 15 (2) :111-115. (In review. Environmental History 6: 239-263. Chinese) Rao, Y. S. 1985. Building success through people’s participation. Unasylva 37 (147): 29-35.

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Degradation of forests and forest lands is a problem in many parts of the world and is particularly serious in south China. Chinese forest policy reforms in recent years have enabled rural households to generate income Rehabilitation of from forests, to own the trees they have planted, and have offered new opportunities to manage forests sustainably. Rehabilitation of degraded Degraded Forests forests and forest lands is one of the possible pathways to improve

livelihoods of poor farmers and others in the rural communities. China PoorSouth Farmersof in Livelihoods Improve DegradedForeststo of Rehabilitation to Improve Livelihoods This report documents the results of four case studies in south China in which farmers, local officials and researchers analysed the problems of of Poor Farmers degraded forests and forest lands, and formulated options for their in South China solution. Opportunities to improve forest management and people's livelihoods are dependent on overcoming a range of biophysical, socioeconomic and political constraints. Action research was used to implement and test some of the options identified. The experience and analysis should be of value for researchers, resource managers and government officials in China and elsewhere to address poverty and environmental concerns through a multidisciplinary, participatory and holistic approach.

ISBN 979-8764-98-6

CAF Editor Liu Dachang

Editorial Board Zhu Zhaohua, Cai Mantang, Liu Dachang and John Turnbull