Collaborative Research on Farm aDLd Village

Organizers: ForestryIFuelwood Research and Development (FIFRED) Project International Centre for Integrated Mountain Development The Forestry IFuelwood Research and Development (FI FRED) Project is designed to help scientists aLlLlress the neeLls of small-scale farmers in the L1e.eloping world for fuel and other products. Funded by the U.S. Agency !I)r Interna­ tional Development. the project provides a network through which scientists exchange research plans. methods. and resuits. Research and development activities center on the production and use of that meet the several household needs of small farmers.

FIFRED is implemented by the Winrock International Institute for Agricultural Development. a private. non-profit U.S. organization working in agricultural development around th'~ worlLl. It was established in 1985 through the merging of the Agricultural Development Council. the International Agricultural Development Servile. and the Winrock International Livestock Research and Training Center. Winrock's mission is to reduce hunger and poverty in the world through sustainable agricultural and rural development. Winrock helps ~cople of developing areas to strengthen their agricultural research anLl extension systems. develop their human resources. institute appropriate food and agricultUi al policies. manage their renewahle resources. and improve their agricultural production systems.

.. Collaborative Research on Farm and Village Forestry

Report of a workshop held April 23-25, 1988 in Kathmandu, Nepal

Editors: David A. Taylor and Charles B. Mehl

Workshop co-sponsors: Forestry/Fuelwood Research and Development (FIFRED) Project International Centre for Integrated Mountain Development .. International Development Research Centre Institute of and Animal Science, Nepal

1988 Winrock International Institute for Agricultural Development ....

..

Copyright ©1988 by Winrock International Institute for Agricultural Development Petit Jean Mountain Morrilton, Arkansas 72110, USA

Printed in the Unh 00 States of Amer!"'

...~ . i . ": :.: Funded by the U.S. Agency for International Development \ijqiP/.... ill Acknowledgments

The workshop organizers would like to thank the following people who made this workshop possible: Mr. Surendra Shrestha, Ms. Preeya, and Ms. Sandhya of ICIMOD, for hours spent making arrangements; Mr. Batuk Upadhya and Mr. George Taylor of USAID/Nepal, for their encouragement and for their help in coordinating arrangements among the organizers and His Majesty's Government of Nepal.

Iv Executive Summary

In recent years. social fo,estry programs have multiplied throughout Asia. As natural are reduced by commercial , expanding agriculture, and increased local and international demand for products. and poIicymakers have recognized that traditional conservation forestry does not address the needs of villagers who use trees for fuelwood, fodder, poles, building material, and other uses. As a result. social forestry programs developE.'d, with an awareness of Villagers' needs for both forest products and agricultural land.

The work of applied social scientists in the region working on social forestry issues often provides useful insights for the programs they study. Y€;; it often falls short of its potential in several critical ways.

1. Social scientists do not always communicate their research results to the appropriate foresters and agriculturalists.

2. Many social scientists avoid the concise, firm recommendations that policymakers and program managers require. ..- 3. A lack of replicable and comparative research prevents recognition of patterns and trends on social and economic factors.

4. There is a tendency to collect too much information not immediately relevant to the applied research needs.

5. Donor-driven research efforts lack coordination, resulting in considerable duplication of effort.

-I The organizers of the Kathmandu workshop set forth three areas of objectives to address the above constraints:

1. Determine topics of common interest among applied social scientists and foresters working in social forestry. and shortlist those that would most benefit from cross-national analysis for immediate study;

2. Explore the potential for standardized methodology for these studies (including a minimum data set to be collected and methods of analysis) that would ensure their utility to policymakers and project managers;

3. Assess the potential for collatY.:lration on applied social science research among organizations in the region. and prepare proposals for collaborative research, including the methods and data set in (2) above. and a protocol.

Seventy economists. anthropologists. sociologists. and foresters met at the workshop to explore these issues. The workshop divided into working groups to better focus discussion on the above objectives. In their reports. the workino groups addressed slightly different aspects of !!"toeo cbje"tives. A'l'..ong tr.o priority research Issues Identified for such research, the eight topics judged to have widest regional Interest and greatest Immediate value to forestry researchers are: - - - -- 1. existing and Potential Tree/Farm Forestry/Land Use Systems

2. Markets, Labor, and Unemployment Issues

-- 3. Labor, Gender and Age Issues in FarmjVillage Forestry

4. People's Participation In FarmjVillage Forestry

5. Property and Tenurial Arrangements in FarmjVillage Forestry - ~ - 6. Population Dynamics

-- 7. Landlessness, Social Stratification, and Class Issues

- 8. Program/Project Evaluation; Extension in FarmjVillage Forestry

The participants agreed on the desirability of standardized methods of data collection and analysis and a common minimum data set as means toward greater comparability and complementarity of research. Participants felt that these tools could be developed as part of a program for collaborative research in the region. Subsequent working meetings were scheduled to develop a proposal for a regional research program for farm and village forestry. The proposal specifies the methods to be used and minimum data to be collected, for submission to several donor agencies for co-sponsorship (See appendix 2).

The Kathmandu workshop brought together an unprecedented gathering of applied social scientists and foresters from throughout Asia, as well as representatives of international research organizations working on social forestry in Latin America and Africa. The agenda was ambitious but steps were made toward a regional program of collaborative interdisciplinary research. As a basis for future cooperation, the workshop proved very successful. Donor agencies and national research organizations must pursue these opportunities with prompt and well-defined action in order to realize benefits for the resource-poor farmers of Asia.

2 Introduction

C. B. Mehl

Forestry/Fuelwood Research and Development Project Winrock International Bangkok, Thailand

Discussion of this workshop's theme depends on a Data set -- A format for recording, storing and common understanding of several key words, retrieving information in a standardized form, phrases, and concepts. To review these briefly: allowing easy retrieval for comparative analysis of data from a number of sites and studies. This data Farm and vilage forestry -- The production and use does not have to be quantitative; descriptive of trees by sm311-scale farmers and other poor information also can be collected, reported, and villagers, including systems (however analyzed using a standard format. defined), village woodlots, communal forests, and other systems of tree prr-duction and use by the Collaborative research -- A research program for rural poor. the study of topics of concern to scientists throughout the region, using a common research MlJtipurpose tree species -- Fast-growing species design and methods of data collection and analysis. having several subsistence and/or commercial uses. Because we are concerned with the rural poor, we The workshop organizers look for progress on six are most interested in trees that can be used for goals: fodder, food, fuelwood, and other household uses. 1. Determine topics of common interest among Applied social sciences, or social and economic applied social scientists and foresters research - Research directed at understanding working on social forestry in Asia, as the social, economic, and cultural processes for the basis for the development of a regional, purpose of affecting them. In rural development, collaborative research program. the applied social sciences are directed at the effects of social relations, culture, etc., on the 2. Identify topics for immediate study on social, development process, and the effects of the economic, and cultural factors affecting farm economic and social change that we call and village production and use of trees, "development" on cultural, social, and economic especially those issues of direct value to relationships. Applied social scientists often work forestry program Implementors. to ensure that benefits of development are shared equitably in a society, that disadvantaged groups are 3. Determine how the results of these studies not forgotten or left behind, and that the process can best be analyzed for use by forestry is neither too disruptive nor malevolent to those program implementors and if this research who can least afford to risk major changes In their can benefit from cross-national, cross­ lives. cultural study rather than studies particular to individual sites or cultures. Some issues Standardized methods -- Agreed-upon, relatively cannot be effectively studied through ., •,nifnrm rnothl'V'f~ nf ",,,,,nl"f ••",.1""", .."',.._...... -~.-- H'r-- .... " ...... '...... '8 ioo_a'''''''" - comparative,· cross-etriturah assaici i. Despite J recording information that allow research results to their utility for understanding and promoting be replicated and compared over time and across development, we should leave these issues to societal boundaries. We are interested in developing concentrate on those issues that can most standardized methods as a tool to highlight issues benefit from a comparative, regional study. or variables of direct and relevant importance to farm and village forestry.

3 4. .~chlevement of a consensus on the common Our research should be driven by two goals: 1) to methods or approaches that should be used for help the rural poor, and 2) to assist the work of such studies to ensure comparability and technical scientists, development implementors, and repllcability of research. pollcyrnakers by analyzing and explaining clearly the social and economic conditions that affect the lives, 5. Development of a data set on selected social, decisions. and opportunities of the rural poor. Data economic, and culturel factors affecting farm sets and standard methods are tools to help us and vnJage production and use of trees. This achieve these goals. By first focusing on two or should Includo discussion of the methods for three important topics that lend themselves to collecting the minimum data set. regional study, we can determine the appropriate tools for Inquiry and analysis. 6. Development of proposals for regional collaborative research on the shortlist of farm and village topics of common interest.

4 J. I

Standard Methods and Minimum Data set for Social and Economic Research on Farm and Village For~~

Y. Chalamwong

Center for Applied Economics Research Kasetsart University Bangkok, Thailand

TOWARD A STANDARDIZED METHODOLOGY disc~sslons with villagers and observations of their use and man"gement of trees. This method is most To address the information needs of poIicymakers useful for gathering information on topics tha~ and program managers, a survey procedure for farm require trust between the researcher and informants. and village forestry studies should determine which Its main disadvantage is the difficulty in recording segments of a community participate - or do not the information in a format that allows comparison participate -- In vlllage forestry activities. Three of several sites studied by different researchers. research methods that may be useful are a simple rapid appraisal method, the more traditional field The last method employs a type of sampling method of observation and discussion, and sampling. procedure. TI16 sample group interviewed should be salected to cover a broad range of the community To obtain an initial guide to the axisting social to allow comparisons among different socioeconomic forestry situation in a rural area, the rural rapid strata, and to cover both farmers who are currently appraisal method can be very useful. The success growing trees and those who are not. The level of of this method depends on the investigators' scarcity of trees should be included as part of the thoroughness in preparing a checklist or informal sample design, as it affects community attitudes. questionnaire, ability to record characteristics of (See Subhadhira et al. for four divisions of fuelwood the key informants, and pre-existing site shortage.) information. The survey team should be interdisciplinary, composed of broadminded Standardized questionnaires for farm and village professionals who are not protective of their forestry surveys can be developed, with minimal respective areas of expertise. adjustments, from those already used in India, Pakistan, Thailand, Malaysia, and Philippines. A The advantage of rapid appraisal is its potential as few open-ended questions concerning the a tool for researchers to obtain a quick and fairfy respondents' attitudes should be included. accurate (though often superficial) understanding of conditions and characteristics of a community. A The followin~ are suggestions for two disadvantage of rapid appraisal Is that it does not questionnaires, one on farm forestry and the other allow adequate time for respondents to develop trust on market prices, for use in developing a In the researchers. The results of a rapid appraisal standardized research format. These are only will not have formal or statistical vallditv. Such a demonstrations to encQur~ge disc!.!S~in"_ .. ------. stUdy can be usefui;however:-In describing a -' baseline situation, and identifying areas for more Fann Forestry QuestJonnalre detailed research. The variables addressed In a farm forestry Two other methods are useful for a deeper questionnaire Include: household Information, farm understanding of the social and economic variables size and holdings, tree-p1untlng activities, seedling affecting farm forestry. The first Is the traditional growth and survival, use of trees, assets, and field research method consisting of In-depth Income. The questionnaire should capture both

5 current and historical data. A similar questionnaire of social and economic priority areas of research in was used for studies conducted In Thailand. agroforestry and farm and village forestry.

Forest Product Prices Questionnal~ 1. Use of MPTS within Indigenous forest and land managment systems Local forest agencies should observe and collect the 2. Local institutions, beliefs, and customs market prices of trt.'8 products on a regular basis affecting production and use of MPTS by (preferably every six months) for both rural and small-scale farmers urban markets. This Information can help Villagers 3. Potential demand for MPTS products with decisions on use and sale of tree products. produced by small farmers Villagers arE' more likely to grow trees if they are 4. Financial analysis of MPTS cultivation shown clearly that it Is profitable. The 5. Adoptability of MPTS cultivation methodology suggested by Slade and Campbell (1986) 6. Infrastructure and organization required for can be ado::>ted here to collect the data country- promotion of MPTS use wide: 7. Comparison of social forestry programs

1. design and test a standard form Other studies introduced in India (R.H. Slade and 2. observe the prices in each market on the same J.G. Campbell 1986) are also relevant and deserve day In each six-month period further discussion. These topics are: 3. take 3-5 observations for each product at each market 8. Study of extension and publicity activities 4. collect retail market prices paid by the final 9. Economic analysis of different types of farm users forestry and their effects on production 5. develop separate price series for rural and and labor use urban markets 10. Study of the role of women in social 6. standardize commodity units forestry 7. Include prices of wood for commercial uses 11. Study of Incentives, legislation, and the effects of markets on private tree-growing This price data form should be distributed to all 12. Study of the effectiveness of non­ parties concerned (e.g., nursery managers, extension governmental organizations (NGOs) In workers, tree-growers) bl-annually. promoting social forestry 13. Study of the causes of non-participation in SUGGESTED TOPICS FOR FUTURE RESEARCH social forestry

A meeting of the MPTS Research Network's The above is by no means an exhaustive list. It is Research Committee, including social scientists and intended to stimulate further discussion among the foresters, took place in Malaysia April 4-9, 1988. workshop participants. The committees drafted the follOWing provisional list

REFERENCES

FjFRED Project. 1987. F/FRED-Asia Progress Subhadhira, S., N. Suphanchaimat, et al. 1985. Report. Arlington: Winrock International Fuelwood Situation and Farmers, Adjustment Institute for AgriCUltural Development. In Northeastern Thai Villages. KKU-Ford Umplnuntana, V. 1985. Conceptual Tools for RRA In Foundation Project, Socio-Economic Studies ------Agrarian Society:PaperpresernooarRaptd ormeFatmeFsinRainfooAfeas Of------Rural Appraisal Conference, Khon Kaen Northeast Thailand. Thailand: Khon Kaen University, September 2-5, 1985. University. Slade, R.H. and J. Gabriel Campbell. 1986. An Operational Guide to the Monitoring and Evaluation ofSocial . New Delhi: National Wastelands Development Board.

6 Minimum Data sets in Socioeconomic Studies: The CATIE Experience

T. A. McKenzie

Tropical Agriculture Center for Research and Education (CATIE) Turrialba, Costa Rica

INTRODUcnON Panama. Within this target population, a farm Is defined as a family unit capable of supporting the This paper represents the combined experiences and resident family for most of the year. Depending on plans developed over the past two years with the climate, soils, . and markets, these farms range socioeconomic working group of the Multipurpose from 1.5 to 10.0 ha in Central America (Reiche - Tree Crops (AUM) Project. This USAID-sponsored 1988). - project is one of several agroforestry efforts by the Tropical Agriculture Center for Research and The project has identified 45 typical farms as Education (CATIE), in Turrialba, Costa Rica. The demonstration farms, 9 In each country. For each ii project works through three types of activities to farm, a study known as a ·static analysis· has been improve small-farmer welfare and conservation of made (MADELENA Project 1988a). This information natural resources: 1) dissemination of information, serves as the basis for farm-level study. Other • 2) education and training, and 3) research. The sites and projects that correspond to a farm level following describes an overall system for developing for socioeconomic study will also be Included as an effective database In social and economic fields of basic data. Many silvicullural observation sites research. The system is designed to complement being monitored fall Into this category and share CATIE's existing database of silviculturallnformation, some of the same basic requiremants of farm-level Information Management for Tree Resources (MIRA). socioeconomic studies covering samples of nurseries, Basic definitions of the study data are revieWed, the , , , and US9 of tree system's main components and their interrelationships crops. are outlined, followed by examples. Community DEANING LEVELS OF RESEARCH The term community refers to a populatIon center Three levels of socioeconomic studies are recognized characterized by a distinct name, permanent houses, as Important for affecting agroforestry development a social organization, and the availability of certain programs and policy formulation. These levels are commerlcal and public facilities or services. In Its large and practical, but they relate to the minimum study, the AUM Project considers Important regional level of study possible from such data, and also centers related to the demonstration farms and should reinforce one another. Silvicultural studies other selected sites. The socioeconomic structural undertaken by the project complement these relationship between the community and the selected rII .. d~fiQ.iti()llsand fUe types. Th.eleveLofsilvlcultural sites m11C0 1" bec!ear.. O!'.e.COt.'l'Jl"riJn!ty-rr,aY-&et~e ._-,~ -..------research, however, is considered below the farm level several sites. as experimental and demonstration plots (CATIE 1988a). Because a study area often contains more than one community, it has been necessary to prioritize Fann communities according to proximity to study site, availability of services (official registry, public The AUM Project is targeted to the small- and offices, health station, and so on), population size medium-sized rural farmer in Central America and (50 Is a minimum), and other factors (CATIE 1988b).

7 - OJ Region cross ~tlon of family, farm, community, ~nd regional Information. to region Is defined as a sub-national division with clear administrative and political significance. In the Because tha data was collected on a single visit, a context of the Project, the government has assigned series of data was collected to economize on field regions specific priorities for agrofor£:lstry costs and maximize the team's effectiveness. The development (MADELENA Project 1988b). A region team consisted of an economist, , and Is composed of various communities and may agricultural engineer. Data were recorded according correspond to any commonly recognized division, to the following categories: = such as a major watershed, province, department, or administrative division, generally with a population o Identificaticn: 1) Farm identification above 50,000. There should be a government administrative center In a principal community. o Inventori~s: 2) Assets Official statistics should recognize the geographic 3) Obligations and net worth limitations and should be complied on the basis of 4) Actual land use the named area. o Operations: 5) Potential land use GENERAl. STRUCTURE OF mE MINIMUM DATA 6) Production system SET 7) Inputs 8) Technical and financial Table 1 outlines the factors to be considered In a assistance minimum data set. These parameters are perhaps 9) Labor partiCUlar to agroforestry development studies. The 10) Plans for changes goals that this structure Is designed to pursue, however, have more general application. o Community: 11) Physical aspects 12) Social aspects The heading Type of File is used with computer data 13) Institutional aspects processing to separate major groups of data, often collected by different means or Investigators. The o Results: 14) Financial analysis only file that Is useful at all levels Is the 15) Umitatlons and potentials identification tile, which permits the accumulation and stratification of data on a geographic basis. Observations

The heading Variables covers the types of data For identification, forms 1, 2, and 11 adequately considered. Two fundamental types of variables, provide the minimum data set Indicated In the dependent and Independent, are listed as subtitles. general structure for 'Farm - Site Identification.' The dependent variable Is the output, or forecastable Farms were assigned numbers rather than farmers' value, and Is of most Interest. The Independent names to ensure confidentiality and to proviUe a variable refers to various conditions that probably simple, easily usable code. influence the nature or value of the forecastable variable. A generic name Is used to suggest the The general farm description Is dervled from the l1asic nature of the data considered. community data form because the farm Is considered representative of that community. Farm layout and EXAMPLES OFm~Mt~M1JMDATA$ET INmE Qperqt.IQ!l~are pr~sentedJ[Lttle_file.1Qrpr.oduetlOll.-~ _ AUMPROJECf processes.

Fann Identification Fann Forestry Production Processes

After a reconmlssance survey identified the The sequence used here to describe the farm rep:-esentative farms In a region, the ·statlc analysis· forestry production process is a modular design, and was prepared to characterize the demonstration farms Is planned to cover activities from the nursery to selected for the prn!ect (MADELENA Project 1988b). final harvest. It differs from the cross-sectional An Interdisciplinary team visited each farm to study In that It deals only with technology at the gather, by ob.~rvatlonand Interview; a complete

8 Table 1. General structure of the AUM Project's minimum data set.

Variable l.8vel of Research Type of Rle Dependent Independent

Farm Site identification Location Descriptio,,"1 Production processes Output Technology Home economy Sufficiency Organization Prospects Opportunities Umltations

Community Identification location Descriptions1 Demography Dynamics Population, structure Production processes Output Technology/subsector Markets Demand Distribution channels Community structure Power structure Organizatloi~ Land tenure Sufficiency Structure, uses Culture Compatibility AttItudes and actions

Regional identification Location Descriptions1 Natural resources Potentials Umltations by types Population Tendencies Distribution Infrastructure Umltations Description, location Economy Strengths Weaknesses Commerce Balance of trade Description, imports Rnance Credit surplus Obligations pending Institutions Programs Organizations, roles Political priorities Supportive Umitations, tendency

National/General Institutions Ecology and forest Laws Agricultural extension Cadastre Social welfare

Economics Inflation and monetary measures Subsidies Unemployment and underemployment

1Descriptions are according to level of resel'.rch, but in general cover aspects of climate, soil, topography, and indigenous vegetation, as well as the farm Inventory 0' assets.

farm level. This research plan (CATIE 1988c) transfer of output of one step to the next mayor In,.." ,Ii0 .. tho 1"1I,,...ln,., ....."A. ,I...,.. ffriiYfMlr~tfaTtsponaiion;-ihatwouid'w--' ",9_ .... _u

The minimum set of variables applicable to each o specific product yields by product classes module appears In table 2. The design of R (for calculations of work requirements particular agroforestry system will require that, in and/or pricing and valuations), and these addition to the variables shown In the table, must be convertable into the metric system. specificaLions of the particular design also must Additional products, such as fruits and appear In the minimum data set. These designs forage, and protection against erosion should must contain the following criteria: also be specified so that benefits may be caiculated in relevant terms. o specific units of measure compatible with the metric system. Specification of financial units o specific time period during which activities should be compatible with the file are carried out, noting actual versus 'National/General - Economics.' preferred timing.

Table 2. Important variables within farm forestry production study modules. 1

Module and Purpose Main Divisions Subdivisions

Nursery Production: to predict Permanent nurseries Production in bags costf plant In the nursery Temporary nurseries Production In seedbeds Production of stump cuttIngs

Site preparation: to predict Mechanized Slope class costfunit area Manual Soil class Vegetation type Site size class

Planting: to predict cost/planted Direct seeded Slope tree Stock In bags Soil Bare roots Site size Stumps Cuttings

Maintenance: to predict cost/tree Individuals Slope Forage lines Vegetation Fence lines

-n.:ftft:ft~. : ..__..1lllli1UIJ!!;._tll-prm.u,,~co...,.m.....:... <>.t I 3 Facage. __ ~I"'r" ...... _------product (or class) Individual trees Cutting class Plantations

Final harvests: to predict costfm3 Forage Slope product (or class) Individual trees Cutting class Plantations

, Data types for the variablos are specified in each tlme-motlon observation form, showing name, units, and measurement.

:';::.'.

10 o specific productivity mea~ures In terms of Some of these could occur in the same place, given efficiency levels so that realistic production that. over time, all six major steps could possibly rates (for machines. labor, trees, and land use occur on the same site. This requires a full crop by site class) can be developed. rotation period. Shortening the time period for information collection or increasing the complexity Table 2 shows that most dependent variables are of a class of variables to provide more detailed physical and biological in nature. The main information will place heavy demands on divisions under each module clearly indicate the investigators to meet minimum data set technology to be described. Although this requirements. observation Is not unique. It points olf. the strong need for economists and social scientists to Include Furthermore, the inclusion of data on modules as physical. biological, and engineering aspects at the described above. In full enterprise, farm management farm level of research. Perhaps the above case studies, will require coordination in the time scales shows the level of detail needed for a minimum data and in cost-sharing considerations that multiple set for farm forestry production typical in Central product enterprises that such enterprises necessarily America and Panama. involve. The minimum data set anticipates this by requiring that an overall cost estimate for each site Actual data collection should be addressed as a include fixed costs. practical concern. In the case of lable 2. the minimum number of observations was estimated Researchers can minimize the potential distortions based on only one set of time and motion data in presented by integrating module data abstractly into each of the categories of variables shown. Under enterprise situations only through complete on·farm this assumption. 49 class-types are considered. studies and by remembering the minimum data set considerations mentioned above.

REFERENCES

CATIE. 1988a. Plan de investigacion de silvicultura . 1988b. EI sondeo en areas ----,.--:---,.-- 1986-1991. Turrialba. Costa Rica: CATIE. prioritarias papa seleccionar fincas . 1988b. Plan de investigacion socio-ecof'omica demostrativas en America Central y Panama --1986-1991. Turrialba. Costa Rica: CATIE. para el Proyecto MADELENA. Turrlalba, . 1988c. Methodo/ogia para los estudios de Costa Rica: CATIE. --faenas de produccion de AUM. Turrlalba. Reiche, Carlos. 1988. Aspecto socio-economicos del Costa Rica: CATIE. programa de fincas demonstratives del MADELENA Project. 1988a. Manual de analisis Proyecto MADELENA en America Central y estatico de las fincas df:mostrativas del Panama. Turrialba, Costa Rica: CATIE. Proyecto MADELENA. Turrla!ba, Costa Rica: CATIE.

11 Research on Farm and Village

S.Z.Sadeque

Department of Sociology Rajshahl University Rajshahl, Bangladesh

Due to Bangladesh's longs!anding concern over sponsored evaluation research undertaken by the Inadequate food production, forestry has been Forestry Department and DTCP of UNDP, very few neglected until recently. In the absence of large­ socioeconomic studies have been undertaken in this scale programs, the fuel crisis and area. An anthropologist, Kibriaul Khaleque (1984), population pressure are causing the fast conducted a study on the prospect of social forestry disappearance of village woodlots. Currently only among tho Garos tribe of Madhupur, a forested 9.5% of the land area Is forestland under control of highland In northern Bangladesh bordering India. the forest department. Homestead forest groves are Khaleque's ethnographic account points out the grown on private lands. Although these privately Interaction between the tribal population and the owned groves constitute only 12% of the forestland, forest ecosystem. A second study by Khaleque th€:, supply nearly 80% of the total fuelwood, (1986) describes homestead forestry practices in timber, and consumption (Forest Department Bangladesh, based on a survey of 210 households in 1986). 7 districts representing different agro-ecological zones. The survey covered and use by As village woodlots shrink, the role of fuelwood in households, and led to a set of recommendations to I non-conventional energy consumption is gradually assist agroforestry programs. The survey "" decreasing. Othel' sources, such as crop highlighted rural people's perceptions about fO'3stry, resklues formerly used for fodder and organic recorded their preference concerning tree species, manure, are replacing it. This Is affecting livestock and proposed how an effective afforestation program production and Increasing dependence on energy­ could be undertaken. Intensive, high-cost chemical fertilizers, ultimately Intensifying the food-fuel crisis. The author has highlighted similar concerns In a paper on socioeconomic variables Important to the With fUnding from the Asian Development Bank, the succ~ss of community and agroforestry programs U.N. Development Project, and the Food and (Sadeque 1987a). This paper discussed the Agriculture Organization, the Forest Department Importance of SQl;IaI organization, class, and gender launched the Project In 1981­ Issues. Alater study (Sadeque 1987b) surveyed a 82, covering seven greater districts of North-west Village In Rajshahl district Involved In the forest Bangladesh. The six-year project's aim Is to department's community forestry program to Increase fuelwood supply In the area thrt)ugh a) determine the participation of rural men, women, strip along roads, embankments, and and children In planting, maintaining, and using railway tracks, and b) homestead groves, among trees and tree products. Aforthcoming study (~rfPl'l"e1QAA} t ~vr=rv1 th~da!a- - others. Bv 1985-86. mOJe t.bmJZ5~oUhe planned '., wlU$lttt>mr tn nn _ fuelwood and homestead plantations had been base and scope of prevlous studies and examine achieved (Forest Department 1986). A number of tenurial practices regarding tree planting and use non-govemmentaJ organizations (NGOs) are also and the management of existing forestry programs. Involved In social forestry, notably Proshlka, an natlol"8l NGO with external assistance. Four research proposals were recently finalized under the Bangladesh Center for Advanced Studies, Social science research on forestry and particularly with fUnding from the University of California at community and agroforestry practices In Bangladesh Berkeley. These will be on community practices and Is stili in Its Infancy. Apart from the Internal and programs (Sadeque 1988), tree tenurial practles by

12 the Gam :ilbn (Khaleque), women's participation In BARI. through Its Farming Systems Research (FSR) forestry programs (Ferdouse Hannan) and farm Program. Is studying homestead land use. as well as forestry (agricultural scientists at Bangladesh tree-crop Interaction in the northwestern Barlnd Agricultural Research Institute). Tract (relatively drier high land). The Bangladesh Forest Research Institute (BFRI) is also a partner in In addition, Ms. Farlda Arif. an FAO consultant, particlpa:ory forestry research with BARI and the studied women's involvement In community forestry Bangladesh Agricultural Research Council (BARC), (Arif 1985). A task force formed by the Ministry assisting In the FSR program with baseline surveys of Agriculture drew up an action plan based on Its on tree cover by farm size and inceme group. evaluation of participatory forestry and agroforestry concepts (Task Force 1987), Including the current There Is a marked lack of coordination among these status of research on homestead. farm and various research efforts, both In scope of research community forestry In Bangladesh. and methodologies used, which future research should address.

REFERENCES

Arif. F. E. 1985. Women's Involvement in Community Sadeque, S. Z. 1987a. Socioeconomic variables in Forestry. Dhaka: FAO. designing community and agroforestry Forest Department. 1986. Community Forestry in programs in North-West Bangladesh. Bangladesh. Dhaka: Government of Bangladesh. Mimeo. Rajshahl: University of Rajshahl. Khaleque, K 1984. Prospects of Social Forestry In . 1987b. Evaluation of ----~~- the Garo Villages of Madhupur. Mlmeo. Dhaka: community forestry program In North-West University of Dhaka. Bangladesh. Mlmeo. Rajshahl: University of ___~_~:--'1985. Homestead forestry Rajshahl. practices In Bangladesh. Mimeo.·Dhaka: . 1988. Evaluation of ------:----:-- University of Dhaka. community forestry practices and programs Rashid. H. 1985. Forestry sector in Bangladesh. in Bang.'adesh. Dhaka: BCAS-UCBerkeley Mimeo. Dhaka: CIDA-ASTfMinlstry of research project. Agriculture. Task Force. Government of Bangladesh. 1987. A task force report to Government of Bangladesh. Dhaka: GOB.

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13 -. -~

Socioaconomic Research on Fann

J. Qureshi

Forestry Planning and Development Project Winrock International Islamabad, Pakistan

The socioeconomic variables associated with farm information, and farmer reactions and attitudes were forestry are crucial to design and Implementation of considered at the micro level to Identify problems development projects. Recent concerns regarding and consequences of the resulting land-use patterns fuelwood and energy shortages, and the Initiation of (PFI1980b). projects attempting to meet these needs, give new directions to the research process. Land and forest statutory rights, the soclo-cultural structures, and the relative position of Guzara In Pakistan, research on farm forestry has a broad forest owners were the subjects of a 1981 PFI study scope. Presently universities, the Pakistan Forest for the preparation of a plan to ensure Integration Institute (PFI), and international donor agencies are and participation of the local population In a studying the socioeconomic aspects of farm forestry. forestry development project (PFI 1981 b). In this study, observation and interview schedules were the UN~SITYRESEARCH two methodological tools used.

At the university level, only masters' degree theses An ongoing research project Is being conducted to are conducted on social and economic topics. From determine the economic value of fuelwood for 96 1979 to 1986, three surveys wefe conducted: one households in Punjab and NWFP through monthly studying the socioeconomic Impact of a pilot Interviews over a six-month period. watershed management project In the North West Frontier Province (NWFP)(Khan 1979); another on DONOR AGEN~ f PROGRAMS preferences of fuel type, quality, and quantity by farmers and rural Villages in two villages (Zafar-ul­ Pak-Gennan Integrated Rural Development Program Hassan 1986); and a third study on traditional uses of trees in the farming systems of two rainfed This rural development project In NWFP has the areas (Mridha 1986). objectives of promoting the self-help potential of villages In ralnfed areas of District Mardan through RESEARCH AT THE PAKISTAN FOREST INSTITUTE Infrastructre, agriculture, health, social organization, women's, and ecological activities. A survey was Since 1980, five studies have been conducted at PFI conducted In 1987 with local farmers and village on socioeconomic Issues. The first aimed to study organizations to start a pilot social forestry scheme the attitudes of people In NWFP to't'taJrd conversion InSwabl. of their grazing lands to Intensive forest __.._.... r'~nt~tlnnC:j ~c: w~1I ~c: rnc:c:ihJ~ In"'iDnt"'iD~and approaches for such a project (PFI198Oa). In another study, a two-stage sampling procedure of Under this Netherlands-sponsored project, a 1987 Forest Divisions and work sites was used to explore survey of afforestation, range Improvement, and the socloeccnomic conditions of labor In forestry vmage development was carried out to: 1) assess and the forest Industry in Pakistan (PFI1981a). the availability of private land for social forestry development projects; 2) gauge willingness of village An Impact assessment of a project in Hazara cooperatives to maintain plantations; 3) study targeted both macro and micro level Impacts. awareness about erosion and area fuelwood, timber, Project office records were used to gain macro-level and fodder supplies; and 4) study attitudes toward

14 shared labor costs and extension services, and private land were met. The first phase of the patterns of communal land ownership and use. study, a village level census on about 1,200 farmers In the project area, provided an overview of Hit FanningTechnical Development Project demography, agriculture, animal husbandry, and farm forestry In the project area. More detailed baseline This World Bank-assisted project undertook a survey data on fuel and fodder use and attitudes toward In 1978 on land tenure, farmer participation, and tree cultivation resulted from a series of subsequent communication patterns between farmers and project Interviews with project area farmers. strJff. This was done to assess the adequacy of the project's social strategy and to formulate Phase Three of the study involves compilation of a alternatives for the large-scale follow-up project. daily record of farmer activities over a period of 18 months to identify gaps for extension to address. Forestry Planning and Devefopment Project Phase Four will include follow-up interviews to measure local participation and to suggest In Implementing this USAID/GOP project, a baseline Improvements in project implementation. A study study focusing on socia-anthropological aspects was on the role of women in farm forestry also will be carried out in four phases, with the aim of ensuring carried out under this project. the project's aims of establishing tree plantings on

REFERENCES

Dove, M. R. 1987. Household-ievel factors affecting Khan, S. 1979. Socia-economic impact of • interest in planting trees and operating watershed management, pilot project, Hazara, nurseries: the Punjab. Forestry Planning and NWFP. Unpublished Masters' thesis, Development Project Report No.1. Islamabad: Peshawar: Department of Economics, FPDP. Peshawar University. . 1987. HO!1sehoid-level factors affecting M:-!dt'~, N. 1985. Traditional uses of i:rees in --,...---interest in planting trees and operating farming systems In two villages in rainfed nurseries: the NWFP. FPDP Report No.2. areas In Pakistan. Unpublished masters' = Islamabad: FPDP. thesis. Peshawar: PFI. __,...--_. 1987. Household-level factors affecting Pakistan Forest Institute. 198Oa. A socia-economic interest in planting trees and operating survey of Guzara owners in Hazar Forestry nurseries: Baluchistan. FPDP Report No.3. Project. Peshawar: PFI. Islamabad: FPDP. . 1980b. Socia------:---:---~- _~:--_. 1987. Village-level factors affecting economic impact ofwatershed management interest in farm fcrestry: the Punjab, NWFP, program in selected villages in Hazara Baluchistan. FPDP Report NO.4. Islamabad: Forestry Pre-Investment Project. Peshawar: FPDP. PFI. __--:-~. 1987. Prospects for farm forestry on . 1981a. Socia------:---':':""':""---:- rainfed versus irrigated farms: the Punjab, economic conditions oflabor engaged in NWFP, Baluchistan. FPDP Report No.5. forestry and forest industry. Peshawar: PFI. Islamabad: FPDP. __~--:-__--:-~~_. 1981b.Forestry ___-:--. 1987. Prospects for wood-dung fuel development in Pakistan: a study ofhuman perspec'i~ P~h~wa:~··PFJ..··- -~----_ ,---._-_.----~--- replacement through farm forestJl/~ the __ ·M .• Punjab, NWFP, Baluchistan. FPDP Report No. Qureshi, J. A. 1988. Traditional responses to farm 6. Islamabad: FPDP. forestry problems: the Punjab, NWFP, Dove, M. R., N. K. Aziz, and J. A. Qureshi. 1988. Baluchistan. FPDP Report No.7. Islamabad: Farmer preferences for the timing of tree­ FPDP. planting: the Punjab, NWFP, Baluchistan. zafar-ul-Hassan, D. 1986. Fuel preferences by FPDP Report No. 8. Islamabad: FPDP. farmers and rural villages. UnpUblished Masters' thesis. Peshawar: PFI.

15 • -=

Social and Economic Research on Farm and Village Forestry in the Philippines

H. A ;'rancisco

Director, Highland Socio-Economics Research Institute Benguet State University Benguit, Philippines

Social forestry, also called village forestry and rural (See ft:;:srences for a listing of the studies forestry, was formally intrcxfuc~ to the Philippines reo fiewed.) in 1978, although the practice 'ilas endured under various names for centuries. The Integrated Social Of 1;\le PCARRD-monitored studies, the proportion of Forestry (lSF) program started In 1982 with the aim socioeconomic to technical studies was 2/6 among of engaging upland dwellp.rs as partners to the completed studies, 3/34 for ongoing research, 1/9 government in the management of the forest area for new studies, and 5/34 for proposed research. for conservation and the provision of their basic These studies focused on areas of Luzon and on needs. Jala-jala, Quezon (an island of Rizal Province serving as the social forestry learning site to ISF integrated existing programs under one UPLB). management scheme, which includes Forest Occupancy Management begun in 1975, Communal The socioeconomic survey, description, and Tree Farming In 1978, and Family Approach to documentation of Indigenous agroforestry practices Reforestation launched in 198"I. in Regions 5,6, and 8 can be a gocxf starting point for a social forestry project in these areas. The By 1987 the program affected 184,243 families, yet area covered by the six-month study, though vast, still was below its target (Serna 1987). The leaves room for further in-depth research. program Is constrained by lack of adequately trained personnel, insufficient baseline data, and poor Very few socioeconomic studies have been carried information and extension support. out in Region 1, in spite of the high rate of forest ddstruction in the area (BFD 1985). As of 1986, Currently there is a need for a state-of-the-art 30,357 families with 107,097 dependents occupied the analysis of the social/anthropological aspects of area of 55,469 ha of forestland in the region. The soci.al forestry, focusing on lessons from previous lack of research in this region is due to: 1) lack studies and projects useful to policymakers and of recognition by administrators of the importance planners. of these studies, 2) lack of finCtncial support, and :) dearth of qualified personnel for conducting these A preliminary survey of the literature available from stUdies. national offices monitoring and/or conducting ~----"". researchm-soclal or agrolorestrywasunaeffaRen. rrrscope;-anumoe(of ffies"EfsiLidlesKJentifled The offices visited included the Philippine Council factors affecting acceptability of various social for Agriculture and Resources Research and forestry activities, including people's perceptions Development (PCARRD), the Ecosystems Research and attitudes toward projects, aspirations of the and Development Board (ERDB), the Department of upland dwellers, their economic status, level of Social Forestry under the College of Forestry of the acceptance of innovations, and the extent of University of the Philippines (UPLB), the different people's participation. Other studies dealt with the libraries of UPLB, the Bureau economics of agroforestry schemes. (FMB), and the Department of Natural Resources. Evaluation/impact assessment studies have been done, generally as graduate students' theses, 16 although this area merits further research. Except benefits derived from trees, such as fuelwood. for comprehensive analyses done at the ISF learning Instead, they consider only returns from crops site in Jala-jala (see references), there have been suchas vegetables, coffee, and other fruit trees. very few studies of social acceptability and Future studies should look at the tree components economic viability analyses. Even at the Jala-jala of social forestry projects and their role in the life site, some important aspects like credit and of the people. = marketing support services were not integrated into the program. Fernandez and Serrano (1987) suggested other research areas of importance to policy in the As a whole, indications suggest that past ISF uplands, including land tenure, identification of projects in Region 1 were developed on the basis of areas to be allocated to social forestry, and an technical feasibility studies alone, without improved definition of uplands and uplands policies. consideration of the project's economic viability, Agencies such as the Forest Development Center social acceptability, and environmental safety. (FDC), the Genter for Policy and Development Apparent!y, not much interaction between technical Studies (CPDS), and the Philippine Institute for researchers and social scientists is taking place in Development Studies (PIDS), are conducting limited Philippine social forestry. studies on these issues.

The economic studies done so far are limited in that they do not assess less tangible, non-cash

REFERENCES

Bureau of Forestry Development. 1985. Philippine Moldez, I., and F. E. Costales, Jr. 1987. forestry statistics. Manila: Department of Agroforestry practices in Region 1. A paper Environment and Natural Resources. presented during the training workshop on Fernandez, V. and R. Serrano. 1987. Agroforestry in agroforestry and . Laguna: the Philippines: practice, current R&D PCARRD. undertakings, and directions. A paper presented Serna, C. S. 1987. DENR integrated social forestry at the training workshop on soil conservation and upland community program. A paper and agroforestry. Los Banos: PCARRD. presented during the training workshop on agroforestry and soil conservation. Laguna: PCARRD.

17 Socioeconomic Research on Social Forestry Conducted by Phiippine Forestry Research Agencies

PCARRD 4. Acay, J., Jr. Comparative analysis of profitability Qf agrQforestry and non-agroforestry At the end of 1987, PCARRD monitored 83 studies: upland farmers in Region 2. .: 6 completed, 34 ongoing, 9 new, and 34 proposed. Those considered to be social and economic studies 5. Arano, R. NutritiQnal status of agroforestry are listed below. farming systems in selected areas in Region 2.

.fJQmpleted UPLB 1. Rebugio, A. Economics of various agroforestation schemes in selected areas of Luzon. The College of Forestry at UPLB has a department of Social Forestry, created in 1979. In additiQn to

2. Dalmacio t R. Socio-economic survey, its main task of instituting a curricular program, desription and documentation Qf indigenous the faculty is also involved in research, inclUding agrofQrestry practices in Regions 5, 6, and 8. the most comprehensive action research program on social forestry in the Philippines, launched in 1982. Ongoing SQcial Forestry Action Research Project (1982-1986). 1. Exconde, A. Economic feasibility of This project has undertaken the following establishing perennials under established plantations. socioeconomic/anthropological studies.

2. UriQs, L Survey and analysis of existing 1. Demographic aspects of the social fQrestry agioforestry practices in Region 2. learning site: Jala-jala, Rizal.

3. Mauricio, L Socia-economic impact of 2. The establishment of a rural migrant Kaingin-management pilot project Qn the Norzagary community: migration aspects of the SF learning settlers. site.

3. A study on the communication pattern in Jala­ jala, Rlzal.

1. Acay, J. t Jr. Socia-economics of agroforestry farms in Region 2. 4. Study of leadership In an upland community in Jala-jala. Proposed 5. Profile of rural WQmen. 1. Bacuado, L. SociQeconQmic and cultural status of hillside farmers as affected by 6. Health, nutrition, and sanitary conditiQns in the agrofQrestation. SF learning site.

2. Revilla, A. and M. ~isaion.Upland 7. Farm managementstudy afan upland .... communities -Ofthe fUiure (demonstration of viable community. upland communities in the Philippines): an action research project proposal. 8. Land use zones and settlement patterns.

3. Slnesio, M. Extent of tenancy in the 9. production in the adQptiQn Qf the uplands: a survey. technology introduced in the SF prQgram.

10. Land tenure in the uplands.

18 Additional research conducted by graduate students Codamon, S. 1980-82. Psychological aspects of the in the Department of Social Forestry include: forest fire problem in the Philippines.

Diaz. L, and Chua. 1984. Economic significance of 11. Aguila, T. 1980. Participants' perceptions of Leucaena and A1bizia tree farming to small farm some aspects of the family approach to reforestation holders. at Malaybalay, Sukldnon. Macasaet et al. 1979. Attitudes of Sicol River 12. Cardenas, L 1986. Acceptability of the Watershed inhabitants to soil erosion control and Integrated social forestry program polleies to upland water yield improvement. farmers. Santos, M. 1980. Socio-economics and cultural 13. Pulhin, J. 1987. Recipients' compliance to profile of mangrove communities in the uplands. the stewardship agreement: a study of selected ISF Projects in Region 4. Saplaco, M. 1983. Perception of farmers and their attitude towards tree farming and development 14. Saplaco, M. 1978. Communities' perceptions plantations. of and attitudes towards research centers of the Forest Research Institute. Velasco. A.• et al. 1979. Rinconada Watershed: socia-economic study. 15. Shamsuddin, A. 1987. The developmental interface between a social-action research project with an upland farmers association in Jala-jala. Rlzal.

EROS

EROS (formerfy the Forest Research Institute, FORI) is also active in research for upland development. EROS has completed the following social and economic studies:

I

19 Community Forestry Extension: A Perspective from the DoJakha District of Nepal

K H. Gautam

Dolakha District Forest OffIce Charlkot, Nepal

THE NEED FOR FORESTRY EXTENSION disenchanted at the prospect of Investing their resources In forestry activities that have a long -. Conventional conservation forestry minimized the fruition period. Until the people clearly understand beneficiaries' role In forest management and has the new policies, even newly created forests will proved Ineffective. As a result, the community not be cared for whefl external support Is forestry approach to forest management was withdrawn. Formulation and enactment of policies developed, and community forestry legislation Is not an end In Itself; the extension program must enacted in Nepal In 1978. International aid agencies serve as a medium to simplify and communicate responded by assisting In the establishment of these policies to the people. projects in most hill districts (Gautam 1986). Often even those involved In forestry extension are In the past ten years, the estabHshment of unaware of the full extent of their activities' legal panchayat nurseries, creation of panchayat forests, provisions (Gautam 1986). The extension agents and distribution of seedlings for private planting must first Inform themselves of policies, legislation, have achieved much In these areas. Now we must and their possibilities before they can correctly review the fact that in reality, these programs pay answer the queries of local people. village~s to grow nursery seedlings, which they are then paid to plant, and later paid to protect from For forestry field staff working in villages, good themselves (Gautam and Roc~e 1987). relations with the local people is a prerequisite for effective extension. On the other hand, local communities have demonstrated that they can protect forests from OOLAKHA PERSPECTIVE further degradation and control harvesting by various means (Campbell, Shrestha, and Euphrat Although community forestry programs have been 1987). Forests are managed by the local people implemented since 1980, people's Interest In them alone in areas of Nuwakot Distract, Bhumesthan has not been substantially enhanced. Forestry staff Devasthan in Bhusapheda Panchayat, and the Singh were given sole responsibility to achieve the and Karndal forests In the Dolakha Panchayat of program's goals. Studies found that local people Dolakha District. Given appropriate conditions, and forestry field staff were not fully acquainted there is enormous potential for local people to with community forestry legislation (Kusle and Roch manage the forests. At present, the major 1986, and Gautam 1986). constraint is flow of information. In this, forestry extension can act as a bridge (Roche 1986). A series of In-house discussions among forestry field staff addressed the program, its problems, STATUS OF FORESTRY EXTENSION .~l!9.~!!C?-I!~ f0l".-th~~~.2L~lo~, an.c!.~xtensl0.!1 _ methods and materials. Aspects of the community Many extension services tend to stress the forestry legislation were then simplified for transmission of a technical package from the agent pressntatlon In the local tongue. With these to ihe local people, forgetting that extension Is a materials, field stations developed their own two-way communication process. extension file and fllpcharts for extension use, In addition to their development and regular duties. An Important purpose of the forestry extension The extension activities, however, were concentrated program In Nepal is to disseminate Information In a small part of the area for which each ranger regarding community forestry policy and legislation. was responsible. Without this Information, villagers become 20 In March, 1988 a district workshop was organized to CONa.uSION share the experiences of forestry staff in community forestry extension. Open discussions examine~ Effective forestry extension is not easily achieved approaches, existing extension materials, people's within a short period, but It is crucial to the responses, problems, and possible courses of action. creation of a system for sustainable management of As a result, confidence grew among the field staff forest resources. In this context, large Investment so that they could expand the forestry extension in incentives and external resources cannot be activities effectively within about one year. They Justified. Instead, effort should go to the found that indigenous-based extension programs and investigation of indigenous traditional forest materials developed in the district were more useful management, so that lessons gained therein could be than those prepared centrally. transmitted back to the forest service staff, whose responsibility it is to work with the people on forestry development and management activities.

REFERENCES

Campbell, J. G., R. J. Shrestha. and F. Euphrat. Gautam, K H., and N. H. Roche. 1987. The 1987. Socia-economic factors in traditional community forestry experience in Dolakha forest use and management: preliminary District. Banko Janakari, Vol. 1, No.4. results from a study of community forest Kathmandu: Forestry Research and Infor­ management in Nepal Bank, Janakari, Vol. 1, mation Centre. Forest Survey and Research No.4. Kathmandu: Forestry Research and Office. Information Centre, Forest Survey and Kusle. R. K, and N. Roche. 1986. The Bonch Research Office. survey, Integrated Hill Development Project Gautam, K H. 1986. Private planting: forestry (IHOP) Forestry Sector Report. Kathmandu: practices outside the forest by rural people. SATA. Forestry Research Paper series No.1. Roche, N. H. 1986. Perception of Forestry in Kathmandu: HMG/USAIO/GTZ/IDRC/­ Nepal. A discussion paper IHDP Report. FordfWinrock Project. Kathmandu: SATA.

)

21 -

Social and Economic Research on Fann and Village Forestry in Indonesia: Some case Studies .. J. Kartasubrata

Forestry Faculty, Bogor Agricultural University Bogor, Indonesia

INTRODUCTION In a village located about 330 km from Samarinda, and one In the Telen River area In a village located Most forest land In Indonesia Is found on the about 140 km from Samarlnda. Islands outside Java (I.e., Kalimantan, Sumatra, Sulawesi, Irian Jaya, and Maluku}. Degraded forest The study forms part of the research program, land outside of Java Is increasing ,'t a rate of Interactions Between People and Forests in East - 500,000 ha/year due to misuse of forest resources. Kalimantan, jointly sponsored by the Indonesian and ~ In Java, great population pressure and small-scale UNESCO Man and Biosphere (MAB) programs. The land ownership have caused deterioration of land study's objectives are to know: 1) the range of and forest resources, particularly In the uplands. people's forest-related knowledge, 2) their repertoire of forest-related activities, 3) the variety A campaign to rehabilitate forest and village lands, of situations In which decisions to engage in those known popularly as the ·reforestatlon and greening activities or to change them afe made, and 4) the program,· began In the early 1960s and has environmental and social effects of the activities. Intensified since 1966 through presidential decrees. This program alms to enhance the prosperity of The study first identified particular activities that rural communities and ameliorate degraded ecological can affect the forest, trying then to understand conditions. those activities and their effects through Investigation of the context In which they occur, This paper will discuss case studies of farm and Including relevant social, economic, and village forestry on forest fallow Oi swidden environmental factors. Using this ·progressive agriculture (); the garden, mixed contextuallzatlon· approach (Vadya In Kartawinata tree garden, and homeyard (kebun, talun, and et al. 1984), an activity's context Is not defined pekarangan) system; and the greening program. before an investigation, but rather by tracing the relevant influences and effects of an activity FOREST FAU.OW OR SWiDDEN AGRICULTURE outward, It Is possible to discover which factors are significant for an understanding of the activity and Swidden agriculture, or shifting cultivation, is Its Impact on the forest. widely practiced In the islands outside Java. GOI/IIED (1985) estimates that seven million ha of In the Ape Kayan, almost all the forest cleared for forest land Is under shifting cultivation annually, agricultural fields Is , usually after ___ . carried out by one. mil![Q!!_~Q!:!~QIl()J~~.S....,idden a. faIl9WJlerlod.oLtOto_3Q.years•..LocaI Jarmers..____ _ agriculture is considered one of the causes of hold the view that regular fallow periods should be environmental degradation in the outer islands. long enough to reduce weeds and thereby prevent the short-term degradation of the forest Into scrub, Kartawinata et al. (1984) argue that any occasionally leaving sites for longer periods. The generalization about shifting cultivation's effects, fact that the farmers recognize the value of long- destructive or non-destructive, ignores the fact that term management and conservation and know how shifting cultivation Includes a great variety of to achieve these goals belles the popular Image of practices occurring in diverse environments under shifting cultivators as careless and destructive many specific circumstances. These conclusions nomads. result from two case studies, one in the Apo Kayan 22 People In Long Segar, the other study site, grow

rice for sale as well as for their own consumption. 2) Forest exploitation zones, In primary and - - In contrast to the Apo Kayan. surplus rice 11"1 this secondary forest, where forest products can area Is easily disposed of through trade boats or be collected falny intensively. local markets. For this reason, and with the availability of chalnsaws and fuel, the area cleared 3) Protected zones, where activities are limited Is 33% greater than In Sungal Barang. Of the total to those which do not significantly disturb area cultivated In 1979-80. 82% was cleared primary the forest, for example hunting. - forest. Not only do people In Long Segar clear more forest per capita than In the Apo Kayan, but KEGUN, TAWN, AND PEKARANGAN the size of single clearings also Is greater. There is a danger that In Long Segar, shifting cultivators The traditional farm forestry system of kebun- are degrading extensive areas of forest land. talun-pekarangan In Java, particularly West Java, has been discussed by several authors (Iskandar Besides practicing swidden agriculture, farmers in 1980, SoemaM'otoand Soemarwoto 1981, Michon both study areas collect wood and other forest 1983, Widagda et al. 1984). The system usually - products for their own use and sale to others. In consists of three stages. The first stage following - the Apo Kayan, most forest products are for local forest-clearing is garden, or kebun, Including a use. such as selectively-cut timber for buildings and mixture of annual crops such as peanuts, melons, canoes. rattan for weaving, bamboo for carriers and chill peppers, eggplant, and maize or cassava. After -= fences. leaves for roofing and weaving, and damar two years. tree seedlings contribute to changing the (resin) for caulking boats (Roemantyo 1982, Soedjito area to a mixed garden, or kebun campuran. of 1982). taro, cassava, bananas and scattered other trees. ...- After harvest of the mixed garden's annual crops. People in Long Segar use fewer forest products the field is usually abandoned for two to three than in the Apo Kayan due to the availability of. years to a mixed tree garden of perennials and manufactured substitutes and the fact that some of bamboo, or ta/un, the climax stage of the kebun- the products used in the Apo Kayan are not found talun system. near Long Segar (Colfer 1983). People in Long Segar collect more forest products for sale, such as The homegarden, or pekarangan, is an integrated ulln (Eus/deroxylom zwage"1 for making shingles, mixture of annual crops. perennial crops, and posts. beams, and railroad ties. Trade and Jobs are animals (Including Insects and wild animals) on the more accessible In Long Segar than In the Apo land surrOUnding a house. The system originated In Kayan. Central Java and spread to West Java In the mid- eighteenth century (Terra 1953). The typical To develop sound farm and village forestry In the homegarden Is a multi-storie<.! system with a low - Ape Kayan, t<'.artawinata et aJ. suggest that story (0-1 m) of starch food plants, vegetables and agricultural development and forest resource spices. a second level (1-2m) of food plants like management should be based on existing practices cassava and ganyong (Canna edulls), another layer rather than on more intensive commercial methods. (2-5m) dominated by bananas, papayas and other They recommend tha't shifting cultivation not be fruit trees, a layer (5-10m) of Jackfruit, pisitan prohibited or discouraged as long as It can be (Lans/cum domest/cum), guava and other cash crops. .- restricted to secondary forest areas. Planning such such as cloves; and above 10 meters, coconut and a land-use system could be based on zones of forest other trees such as A1blzla, for building materials ~--_ .. ~- -uwioiiowillgmErpaicilwOIK oj pi it Il8ryand andftrewOOCf.·TfiEfoveralTeffecfis avefticaT-······ -...... -.--~.. secondary forest communities. The order in which structure similar to a natural forest. the zones are listed below is generally proportional to the distance of the nearest village. The seasonal schedule of work in the kebun and ricefields Is complemented by the labor demands of 1) Agricultural zones, In secondary forest with the homegarden. Homegardens are more for home scattered fields. These zones should be large consumption than kebun or ricefields. enough to allow fallow periods of about 20 ~ ye:ars, with some sites out of rotation for up Although homegardens owned by the poor tend to - to, 50 years. generate less Income than those owned by wealthier

23 people, they contribute a larger proportion of total Project activities consist of "physical" activities ­ Income and household requirements for the poor su(:h as bench terrace construction, gully repair, than for the rich. and nursery preparation - and socioeconomic activities, which Include home economics extension, GREENING PROGRAM non-formal education, and handicrafts development.

Indonesia's greening program Involves the planting In this study the net income from agriCUlture Is of perennial crops, horticultural as well as wood defined as the production value at current market :: crops, on private or communal village land. The prices minus the costs Incurred by production. greening program follows the pattern of the Production values were obtained for rice field, traditional village forest and village garden. dryland, and homegarden production, and Include According to Sumadl (1987), village forests are seed purchases, fertilizer, pesticides, hired labor, characterized as: 1) scattered between other land and occasional costs such as land tax. The cash uses, 2) containing about 2,000 trees/ha, and 3) value of the farm household's labor, however, Is not having fast-growing and multipurpose species. Included. Both Income and land productivity are Characteristics of the village garden are: 1) a expressed at local market prices. Labor employment density of about 400 trees/ha, and 2) the Is calculated in mandays per ha, with a day of application of an agroforestry system. animal labor equalling 3.6 mandays.

Two types of demonstration plots are being Farmer participation and attitudes as expressed In established as model farms to spread these Interviews are quantified using an Index. sustainable practices. Labor input on model farms is rather high, mainly for terrace construction. The data show that dryland and homegarden This high labor input will be understandably cropping patterns were enhanced in the project discouraging If not compensated by adequate area, with farmers there using their land more incomes. Studies in this respect are not yet C'.arried Inlenslvely through diversification of species out in agroforestry model farms. inclUding trees. The Increase in homegarden cultivation Is most significant because homegardens The Upper Solo river basin, In Central Java, with in rural Java are safeguards against crop failure and the Wiroko watershed located In the south, Is 'the provide the poorest households with their largest 1<. object of a joint effort between the Indonesian single income source. The stUdy also showed an Government and UNDP/FAO to manage a watershed Increased labor use in the project area. for sustained :>roductlon through people's participation and income generation. The Wirc>ko For the first year of the study, per capita Income watershed covers about 21,000 ha, with 40 villages from agriculture was lower in the project area than and sume 127,000 inhabitants. For their study, Daru in the control area. This could be due to the and Tips (1985) sampled the Demangan area s!tuated deduction of the costly initial project inputs from in the most western part of the Wiroko watershed, total Income while benefits may not have been fully comprising about 2,300 ha, 4 villages, and 1,100 realized. households. Concell1lng farmer participation and attitudes, A management program in the Demangan area will farmers tend to participate most in more visible be evaluated through the study, with an emphasis project activities, such as bench terrace, gully plug, on income, land productivity, agricultural labor, and and drop and waterways construction, grass ---'.... - ... the·wdensftj·efthe-sea5Of"lftt-eropping-patiern. The productiorr,aoolnnrptanttng:· TneValUes anne'­ influence of income and other factors on the Index, classified according to the total net income participation of local farmers in the watershed per capita for the agricultural year 1982-83, Indicate development program will also be evaluated. a strong correlation between income, participation, and attitudes. Therefore, it Is necessary for the A random sampling of 100 respondents in the project to generate higher Incomes as soon as Demangan area was made, comprised of 50 people possible. from the project area and 50 from a control area. A strong correlation also exists between the Index values for participation and attitudes and the

24 educatlonallevef of household heads, suggesting looking at the socioeconomic background of a that further training could be helpful In sustaining successful village forest, It appears that much of project activities among the less educated. the village population has some business or Is engaged In seasonal labor In the neighboring area, Furthermore, participation and attitude are strongly particularly the provincial capital. In their small correlated with size of total landholding. Those patches of land, these people plant trees and ('Ither with larger holdings may benefit more In terms of perennial crops Instead of seasonal crops because Incr ~sed production, as there Is a strong linear most of their time Is spent In off-farm actlvi:les. correlation between the participation ~nd attitudes The tr68S become their savings and are harvested Index and land productivity. In this respect efforts for cash needs. Thus off-farm labor Is Important to should focus on motivating and training the smaller the development of sustainable village forests. farmers to avoid unequal distribution of benefits (Daru and Tips 1985). Improved homegarden techniques may be most Important for the poor because aside from their LeSSONS LEARNED AND PROSPECTS income from wage labor, their homegarden may be the only source of sustenance. Even the landless While Kartawlnata et al. (1984) suggested a model of have homegardens. Although their house is rented Improved village forestry based on traditional property, they are usually entitled to keep the swidden agriculture for out-migration areas such as entire ho~negarden harvest. This contrasts with the Apo Kayan, no specific suggestions were made other land that they farm, for which they must pay for In-migration areas like Long Segar with easy a portion of the harvest as sharecroppers. access to modern tools and equipment. The government has attempted various development Despite subsidies, the study of Daru and Tips (1985) programs In such areas to control shifting shows that even with Increased incomes from cultivation (e.g., the resettlement program of the seasonal and perennial crops, the net Income of 1970'S), which were generally unsuccessful. This project farmers for 1982-83 was less th~n that of was due to, among other things, Insufficient the control farms. Although farmers in the project attention to site conditions and to tribal norms and show a high spirit In participation In project values, attempts to Introduce Irrelevant Java activities, one has to be concerned that a agricultural techniques, top-down planning, and continuous low net profit may discourage the Inexperienced field workers (Colfer and Soedjito fanners. Activities should be found to facilitate 1981). More study should lead to better solutions additional earnings to make the program sustainable. for development of farm and village forestry. It is also important to realize that well-planned and Large-scale reforestation and the nucleus estate efficient training courses on soli and water type of perennial agriCUltural programs promise good conservation contribute substantially to program production results, but attention should be paid to success. the soclo-culturallmpact of such advanced technologies on rural conditions. Acknowledgments

The kebun-talun system can be considered as The author wishes to thank W1nrock Intemational advanced stages of shifting cultivation, with a for the Invitation to attend this workshop, the fallow period of only one to two years instead of Government and people of Nepal for the hospitality the traditional 10 to 20 years. In the kebun-talun and hard work to make this gathering pleasant and sySet'1l-G~- tt'ra.takn,-nt&y-be cOnvet1ed Bgaitt it-no Sticcessfur; and iheEiearr ofthe iUIesjr y Facuityof·· kebun, but may also be managed as a sustainable, the Bogor Agricultural University for allowing his mUltispecles and multipurpose forest witn a selective participation. or harvesting system. This would be an Ideal village forest.

25 REFERENCES

Achmad, H., A. Martadihardja, Suharto, W. Gunawan, Roemantyo, H.M. 1982. Use of wild plants by the and Handyana. 1978. Sociocultural aspects of people of Long Sungal Barang In the Apo the homegarden (Ind.). Presented at the Kayan. Unpublished final report for Seminar on the IEcoiogy of the Homegarden II, Interactions Between People and Forests. Octot'8r 25-26. 13andung, Indonesia: Inst. Jakarta. Ecology, Padjadjaran University. Soedjito, H. 1982. Vegetation clfld ethnobotany In Colfer, C. J. P. 1983. Change and Indigenous Long Sungai Barang and Long Segar. Un­ agroforestry In East Kalimantan, Borneo published final report for Interactions - Research Bul/eUn 15(1): 3·20. Between People and Forests. Jakarta. L Daru, R. D. and W. E.•J. Tips. 1985. Farmers Soemarwoto, 0., and J. Soemarwoto. 1979. The participation anel soclo-economlc effects of village homegarden: a traditional integrated watershed mana.gement programme in Central system of man-plants-animals. Paper Java (Solo Alver Basin, Wiroko Watershed), In presented to the Conference of Integrated Agroforestry Systems vol. 3, no. 2. System Development, September. Arion, GOI/IIED. 1985. A review ofpolicies affect.:ng the Belgium. offorest lands In Sumadl, G. 1987. Implementation of social forestry Indonesia. Jakarta: GovemmfJl1t of on private land. Workshop organized by the IndonesiafThe International Institute for Faculty of Forestry, SMU, in collaboration Environment and Development. with FONC and FAO/AWED, December 1-3, Iskandar, J. 1980. Plant architecture and structure 1987. Yogyakarta. In the homegarden, Cihampelas Village, West Terra, G. J. A. 1953. The distribution of mixed Java. Masters Thesis. Bandung, Indonesia: gardening in Java. LandbolJW 25: 163-223. Department of Biology, Padjadjaran University. Widagda, L C., O. Abdoellah, G. Marten, and J. KarC8subrata, J., B. Saleh, B. Kuncahyo, and K Iskandar. 1984. Traditional agroforestry In Abbas. 1988. A study on fuelwood supply in West Java: the pekarangan (homegarden) West Java. Paper presented at a seminar on and kebun-talun (perennlal-ar;'1ual rotation) Regional Energy Development, January 27, cropping systems. Honolulu: East-We~t 'i 988. J::tkarta: Ofr. Gen. Electriety and New Center. Energy. Wiradinata, S. and E. Husaen!. 1987. Land Kartawina~, K H. Soedjito, T. Jessup, A.P. Vayda, rehabilitation with agroforestry systems in and C.J.P. Colver. 1984. The impact of Java. Indonesia. Philippines: SEARCA with development on interactions between people the East-West Center. and forests in East Kalimantan: a comparison oftwo areas ofKenyah Dayak settlement. Honolulu, HawaJi: East-West Center.

26 The Northe~~ Thailand Upland Social Forestry Prolect

A. Pattaratuma

Faculty of Forestry, Kasetsart University Bangkok, Thailand

As a result of population pressure In Northeast land-use changes and rates of forest depletion. Thailand, shifting cultivation agriculture is reducing Rapid rural appraisal gathered more information at forest cover and destabilizing soils and land-use the sub-district level. Criteria for selection of patterns. Government agencies have attempted to critical sub-watersheds for study sites of upland solve the conflict between forest and agricultural social forestry Included biological factors such as land uses by examining trade-offs. The land of slope, soil condition, crops, and demographic and Northeast Thailand was formerly 60% dry dipterocarp village information. forest on low-fertility, p:Jorly drained soils. Under short-cultivation, short-rotation agricultural systems, As a result, research teams from the Faculty of erosion has degraded the soil. Crops such as cassava Forestry, Royal Forest Deparment, and Khon Kaen have caused further soil deterioration in a short University were formed to undertake a case study time. for the project to determine the relationship between reserved forest land and the local In February 1983, the Faculty of Forestry at community. Specifically, the studies investigated Kasetsart University and the Remote Sensing Office, communiiy dependency on forest land, settlement in consultation with the National Research Council history, agricultural land use, marketing, social and other institutions, developed the initial proposal, organization, land occupancy and tenure, and forest "Land-Use Studies of Northeast Thailand Project." land management programs. The Faculty of The proposal sought to clarify methodologies on key Forestry has collected data for this study. The research Issues for planning and management of RFD has conducted pilot projects to demonstrate resource use In the Northeast. Priority was given to the feasibility of engaging community organizers to developing cooperative links among research and assist RFD field staff to meet local needs and Implementing institutions, preparing a baseline land­ government policy. The RFD has trained the use classification map for research planning, and community organizers, who are now working the formulating a long-term interdisciplinary study of villages. The RFD will develop a social forestry land use In the Northeast. program to include agroforestry and watershed management activities. The project used aerial photographs to determine

REFERENCES

Ch!.!.n.tan::lFrb.- L and ~_ LWeed. 19S5. M.a.n.agmr4".1 Tr,aJlarrd Plar,,·...,l,-,g Divlslori. 8artQkok~·- RFD~· ofdegraded forest land In Thailand. Northeast .1987. Thailand --~:---:-:::--o;-:-=--:- Thailand Upland Social Forestry Project, final Upland Social Forestry; a proposal submitted report 1. 91 pp. Bangkok: NTUSFP. to ford Foundation. Bangkok. 28 pp. Faculty of rorestry, Kasetsart University. 1985. Land Subhahlra, S., Y. Aplchartvullop, P. Kunurat, and use resource management In Northeast Thailand. J.A. Hafner. 1987. Case studies ofhuman­ Northeast Thailand Upland Social Forestry forest Interactions In Northeast Thailand. KU/Ford final report. 149 pp. Bangkok: Northeast Thailand Upland Social rorestry NTUSFP. Project final report 2. 417 pp. Bangkok: Royal Forest Department. 1986. Forestry statistics of NTUSFP.

27 = Assessing Upland Population Pressure and Evaluating Conservation Programs

w. Cruz and M. C. Cruz

- University of the Philippines at Los Banos -~ College, Laguna, Philippines

INTRODUcnON 2) What are the monetary and non-monetary, Two approaches to organizing data requirements for direct and Indirect costs of conservation resource management are 1) a 'framework' approach, activities? in which Information Is gathered according to variables or relationships suggested by an analytical 3) What are the Implications of current systems framework, and 2) an 'Issue-oriented' approach, in of property rights for promoting or which data are collected to provide scientific constraining conservation? responses to specific management policy questions. Both approaches are valuable, but due to pressing The answers to these questions will help determine resource management problems in developing the extent to and manner by which government countries, we have followed the Issue-oriented should promote and subsidize conservation. approach. Before proceeding to the discussion of the data Two basic themes that underlie upland resource ileeds for assessing population pressure (Part I) and management relate to: 1) the true eXlent of for valuation of conservation (Part II), the close population pressure as the fundamental source of relationship between socioeconomic and technical resource degradation, and 2) the value of data-gathering should be clarified. With the conservation efforts against environmental interdisciplinary requirements for addressing degradation. The scientific information generated on resource management Issues, social scientists no these topics lags far behind the rhetoric advanced In longer have the convenience of worrying only about their names. their own partiCUlar types of economic, anthropological, or sociological variables. From the With respect to demographic considerations, three start, research programs must establish the questions should be asked: combinations of socioeconomic and technical data required for analysis. 1) To what extent is the population dependent on the uplands, and are current programs adequate DATA NEEDS FOR AS..~~~ING UPLAND to addr~ss the needs of this sector? POPULATION PRESSURE • 2) What are the characteristics of this sector ­ The Need for Uplands Demographic Data their migration patterns and cultural background? Current trends and projections of Increasing popuiaiionpressure-urrme-upiancTresources-ofmany ..~--~ 3) What are the trends In land and forest developing countries Indicate a crisis that will availability, especially In relation to property worsen without Immediate action on a large scale. rights over resources? A comparative population datRbase could help In designing programs more responsive to this problem, To evaluate conservation efforts, three more and to the needs of this large group of forest questions need to be posed: users. Adoption of a realistic and comparative population base figure on national and raglanai 1) What are the private and social losses from levels Is the first step required toward Improving environmental degradation? farm and village forestry development programs. 28 -- Most forest dwellers have been traditional shifting Estimating Upland Population cultivators who have cultivated the forest with very little permanent damage to the land. These have The Philippine government defines 'upland' as: 1) recently been Joined by large communities of landless marginal lands with slopes of 18% or more, 2) lands migrants whose adoption of a variation of slash-and­ within Identified mountain zones, including table bum techniques transforms the forest to degraded lands and high-elevation plateaux, and 3) lands grassland. The upland migrants are pushed into within terrain classified as hilly to mountainous marginal environments as both access to cultivable (BFD 1985). Thus about 14.9 million ha, or roughly lowlands and unemployment worsen (Myers 1984). half the country's land area, are classified as upland. This process Is taking place In many Asian countries. For the Philippines, the average upland population The lack of correspondence of administrative density tripled from 1970 to 1988. The country has boundaries with this definition of 'upland' has made already lost half of its forests, and with the estimating upland population extremely difficult. demographic pressures associated with large numbers Until very recently few documented estimates were of upland frUlners, there Is very little scope for the hazarded. The project's population estimate (14.4 forest to regenerate. million as of 1980) contrasts markedly with the Bureau of Forest Development's figure of 1.3 million If such trends in upland population continue in the persons in 1980 (BFD 1985). region, two major consequences may be expected. First, more forests will be converted to agriculture An upland population count is made more to meet food requirements. Second, increasing problematic due to the controversial 18% slope demands on the forest for Industrial wood and criterion of upland definition. Suggestions for fuelwood will outstrip the rate of forest refining the definition include the use of non­ regeneration. pnysical criteria such as socioeconomic characteristics and forestry-related production PopUation Estimation Methods and Application for activities. the Philippines Important Demographic Variables The Philippines Institute for Development Studies (PIDS) and the University of the Philippines at Los The set of demographic variables used for this Banos (UPLB) jointly conducted a project on upland project may be useful for inclusion in generation of popUlation and migration trends for the Philippines. comparative data throughout Asia. These variables The project included three studies, the first focusing were estimated for the Philippines at the regional, on census-based population and migration estimates provincial, and municipal levels. Population density for the country, together with a breakdown of the and dependency burden variables were cross­ population Into age and sex distribution, population tabulated with major land-use classifications and density, and dependency burden. The second study slope categories. :ii estimated the determinants of upland migration. and the third evaluated household-level determinants of 1. Population growth and distribution upland migration through a case study of a 1.1 annual population growth rates community In Laguna province. 1.2 upland population relative to regional and national population The study was motivated by three factors: 1) the 1.3 population distribution (broken down by signlficance~L'1n!.!n.,ho .. andpropo...tlo...., of the region, province-,"and TTIU'licipaiiiYT --_ ..-'-----.- growing upland population, 2) the urgency of 1.4 population distribution by age and sex resolving crucial problems associated with demographic stress on forest resources and 2. Migration pattern identifying critically overpopulated areas, and 3) the 2.1 Population of major migration streams by need tv address problems of low income and poverty, area of origin and places of destination realizing that upland residents are among the In the uplands ·poorest of the poor.·

29 2.2 Annual growth rates In migrant 1960, although sizable migration also occurred in population by region, province, and many upland areas (Perez 1978). munlclpaltiy (through place of birth and place of residence Information) These findings Indicate that: 1) there were substantial streams of migrants into the uplands as -.... 3. Indicators of population stress early as 1948 and migration continues to increase in 3.1 Population density (region, province, many upland regions up to the present, and 2) there and municipality) exists significant Interaction between lowland and 3.2 Dependency ratio (region and upland communities. A "push" factor in upland province) r.,lgratlon Is poor access to agricultural lands.

4. Determinants of migration Aside from a predicted loss of forest cover, 4.1 "Push" factors: land distribution, population pressure In Philippine uplands will have income, population, distance factors, major effects on property rights In public lands. etc. With illegal occupants estimated at more than half 4.2 "Pull" factors: land availability, land of the total upland population In 1980, land disputes suitability, population, Income, etc. will increase, along with various forms of land­ grabbing by the more-educated lowland migrants. 5. Future trends in upland population growth This process requires documentation and evaluation and distribution before it can be controlled. 5.1 PopUlation projections (region and province) EVALUATING THE BENERTS AND COSTS OF 5.2 Projections on demographic stress CONSERVATION (population density and dependency ratio) The most graphic indicator of upland over­ 5.3 Projections of number of households exploitation is the rate of forest destruction, which relative to available forestland has enormous Implications for SOil erosion and environmental degradation. Nep'.", Philippines, and Summary d Resdts Thailand all experience high rates, with 4.3% of the forest area cleared in Nepal each The upland population grew most rapidly between year). 1960 and 1970, averaging 3.09% per year. Although the growth rate gradually declined In succeeding Measuring the Important losses due to land-use years, population size has steadily grown. The conversion and the subsequent accelerated soil attractiveness of upland sites varies markedly across erosion requires data on productivity losses due to regions, with density levels ranging from 61 to 280 erosion both on- and off-site downstream. persons/mi2. Sedimentation Is the most relevant process to off­ Over 43% of the upland population are between 0-14 site effects of erosion. Since off-site effects are years of age. Fifty-four percent are working age fairly site-specific, this component of loss receives (15-64 years). This age distribution indicates a less emphasis here. relatively high dependency burden. "Critical" areas are those having a very high Replacement Cost Approach dependency burden and located In easily erodable sites. In these areas, carrying capacity limits are On-site effects of erosion from loss of topsoil are: - reacfled mUch earlier than other sites and the need (a) loss of organic matter and nutrients and (b) to manage forest resources Is great. reduction of water-holding capacity and degradation of soi!s for plant roots. Due to the practical In general, there are two observable migration difficulties In collecting data on (h), studies should patterns since 1948. First, the earty postwar years focus on (a) to measure on-site loss. The valuation up to 1960 saw a movement of young males from the of eroslon cost can also be figured In terms of V1sayas regions Into the frontier lands of Mindanao. replacement cost of the soil nutrients carried away The second wave of predominantly urbanward by erosion, as reflected by crop yield. This movement - primarily older males - occurred after replacement cost is based on the equivalent

30 ::.

Inorganic fertilizers that must be applied to replace both establishment and maintenance costs are quite .. the organic nutrients that have been eroded. high.

The Upland Resource Poll<;y research program In the Working with the limited data, we propose that Philippines used the Universal Soli Loss Equation conservation technologies (other than bench­ (USLE) approach In conjunction with a soli map terracing) with an annual cost in the order of charted by the Bureau of Soils for estimating P1,OOO/ha will clearly be justlfaable In watersheds physical nutrient loss for 5-cm soli layers to a depth similar to Pantabangan if the practice can reduce of 50 cm. The relevant fertilizer prices were then the observed erosion by about half. This would applied to the various nutrients lost, resulting In a mean that the cost of abatement will be about replacement cost for each ton of erosion. For the P10/ton - about a third of the potential benefit Pantabangan watershed this was conservatively per ton. estimated at P30/ton (US$1 = about P20). Production Trade-dffrom Conservation Cost of Conservation Since conservation technologies compete for land While losses due to erosion are large, they do not and other Inputs with crop production, they incur necessarily justify conservation by themselves, Indirect costs based on decreased crop production considering the costly nature of some const3rvation not considered above. We need to determine if the activities. Direct costs (monetary and non-monetary indirect costs of crop production trade-off are inputs for Implementation) and IndIrect costs (non­ significant. Results from Philippine upland crop monetary production losses caused by reduction of production function studies (C. Cruz et a!. 1987) effective crop area or competition from introduced show that with current farming practices. trees) of conservation activities must be estimated diversification of corn monoculiure (which is and set against the losses Incurred by not pursuing particularly erosive) reduces corn output by more the proposed conservation measures. than half. The production trade-off from conservation may be important enough to dissuade Direct Costs upland farmers from undertaking conservation.

The two basic types of abatement practices ­ Promoting Upland Conservation and the Problem of biological vs. mechanical - make up distinct classes Property Rights of conservation technology, both in terms of the slopes for which they are practicable and the The most Important Implication ()f better potential erosion reduction that may be attained. We Information on erosion losses and costs of its observe that biological techniques are more useful prevention will be for social forestry. In our for moderate slopes of up to 25%, while mechanical example, sheet and rill erosion for shifting modifications are applicable for slopes greater than cultivation lands is in the order of 400 50%, and are generally more protective. tons/ha/year, so that the cost of nutrient losses due to erosion Is P12,000 per ha. Should this not For castings of establishment and maintenance be adequate incentive for upland cultivators to associated with different abatement practices to be practice soli conservation? practical. they must all be estimated per unit ofland area. To consolidate costs reported in terms of Not necessarily. The important point to recognize man-days or man-anlmal-days, we use appropriate Is that soil erosion does notnecessarily Impose ~.. __ ._ .~aJl~~~e.~--'~~.p!~.~!I!lg._~~~I:)I)Jn

31 A necessary condition, therefore, for the adoption of whether private costs of conservation will not be so conservation practices In u~and farming Is allocation large as to eliminate potential gains from reducing of secure claims over the land. The data on erosion soil loss. Information on property rights is needed losses and cost of conservation only help us eveluate to assess the necessary condition for conservation. the sufficient condition for conservation, and that I~

REFERENCES

Bureau of Forestry Development. 1985. Philippine David, W.P. 1987a. Upland Resource Policy Program forestry statistics. Manila: Department of Technical Report No. 87-01. Los Banos: PIDS. Environment and Natural Resources. _----:::--_. 1987b. Upland Resource Policy Cruz, Ma. Concepcion, et al. 1986. Philippine upland Program Technical Report No. 87-02. Los population and migration. Philippine Institute Banos: PIOS. for Development Studies, Working Paper No. 86­ -----::--7". 1987c. Upland Resource Policy Program 02. Technical Report No. 87-03. Los Banos: PI OS. ___-:-""':':""""_--:-__. 1987. Philippine upland Myers. Norman (Ed.). 1984. The primary source: production systems: An integrative analysis of Tropical forests and our future. New York: three sites. Los Banos, Laguna: UPLB Program W.W. Norton and Co. on Environmental Science and Management, In United Nations Food and Agriculture Organization. association with IDRC. 1965. World forest products statistics. Rome: Cruz, Ma. Concepcion and Imelda Zosa-Feranil. 1988. FAO. Policy implications of population pressure In ____---:-:--_-;- . 1977. Soil Philippine u~ans. Paper prepared for Wortd conservation and management In developing Bank seminar on forestry, fisheries. and countries. In FAO Soils Bulletin No. 33. Rome: agriculture resources management study. FAO. Cruz. Wilfrido, et aI. 1987a. Economic policy reforms .1983. Yearbook for natural resource management. Paper ---of~f,=-o-r-es-t-:p"""rod-"'u-c-ts-.-:R"""o-m-e-:-=FAO. presented to the Department of Environmental and Natural Resources for Report of the Department Polley Advisory Group. _--='.....,.,..--:~_--:".-. 1987b. Upland Resource Policy Program Technical Report No. 87-04. Los Banos: Philippine Institute for Develcpment Studies.

32 Group I Report: Priority Research Topics

I. OBJECTIVES specialists. forestry Implementors and planners, and social scientists interested In 1. Determine topics of common Interest among social forestry. applied social scientists and foresters working on social forestry In the region. The research topics were selected using the criteria that each topic should: 2. Identify topics for Immediate study on social, economic, and cultural factors affecting farm 1. provide better understanding of rural and village production and use of trees, which households and their socio-biophysical w!lI be of direct value to forestry program environment Implementors (Part III). 2. help Improve the delivery of extension 3. Develop standardized methods and common services to rural households in farm and approaches for these studies, enabling village forestry comparability and replicability of research (Part IV). 3. promote greater equity and social justice in planning and implementing farm and village 4. Determine how the results of these studies can forestry projects best be analyzed for use by forestry program Implementors, and determine if the studies can 4. help to develop more responsive policies and benefit from cross-national, cross-cultural programs for farm and village forestry research (Part V). III. TOPICS FOR IMMEDIATE RESEARCH 5. Prepare proposals for regional collaborative research on topics of common interest A. Existing Tree/Farm Forestry/Land Use concerning farm and Village forestry, which will Systems use the standardized methods and data set for data collection and analysis (Part VI). 1. Regional Zonation -- A systematic zonation of countries would form the basis for II. GROU~ DISCUSSION ME11iOOOLOGY comparative studies across the region and assist in evaluating farm and village forestry This report is the product of discussions of three systems for use in research and sub-groups. In arriving at an integrated approach implementation in other areas of Asia. This towards Identifying key research topics, the group project would seek consensus on parameters used the following prccedure. for the zonation system. The resulting maps would than be generalized for each 1. The sub-groups first met separately to allow participating country. Individuals to articulate their perceptions of the major Issues as related to their own countries. 2. Understanding Existing Farm Forestry Frcm-tt-J&~"l.--eacr.- sub-groupkientified Svsterns·· These ptojecjs woutd provide a those Issues which have cross-country basic understanding of existing local applicability. livelihood systems relating to trees. their uses and local preferences. Accumulated 2. The sUb-group leaders and secretaries then met knowledge from these studies would form a to compare and consolidate the list of topics. database for national programs and regional studies useful in Identifying local constraints 3. Each sub-group reviewed the consolidated list and developing Interventions. for making a final list, which was prioritized according to the three sets of "users": forestry

33 Two types of studies could be conducted under determination of appropriate strategies for this program. Where resources permit, both effective Involvement of different types of clientele. types should be conducted simultaneously, preferably by an Interdisciplinary team. RAsearch should answer the following key questions: a. Cataloguing existing species - Since basic Information on the use of existing trees 1. What Is the decision-making process relativo and shrubs Is generally inadequate, these to resource allocation Oand, labor, capital) projects would collect observation data on among farm households In farm and village species used by zone, country, and region. forestry projects? Each observation should Include Information on: a) the range of products 2. What is the level of work involvement of used for each species, b) the calendar of different family members in farm and village use and relative species preference (based forestry, according to the type of work, :: on quality, quantity, and growth rate, and season, and crop? c) site evaluation data. 3. In the Implementation of existing programs, b. Description and understanding of individual to what extent have labor, gender, and age farm and village forestry systems - These Issues been incorporated into planning and studies would include Information on site Implementation? How do these factors descriptions, property rights and access influence clientele Involvement? How can arrangemants, social context (e.g., considerations of these Issues influence the ethniclty, social stratification), system distribution of benefits in a project for history and evolution, management unit greater effectiveness? (composition, scale, etc.), component plant and animal species and interrelationships, C. People's Participation calendar of benefit flows from the system by type, magnitude, disposition, and value. This research should yield important benefits, such as effective strategies for sustaining and increasing 3. Comparative Studies -- These research the cost-effectiveness of farm and village forestry projects would use Information generated programs. Literature shows that projects with from studies In number 2 above to greater participation by the people from the start determine the social and economic are likely to succeed beyond the pilot stage. correlates of existing farm and village forestry systems. Increasing fiscal constraints faced by development agencies, particularly in developing countries, B. Labor, Gender, and Age Issues makes the issue of cost-effectiveness urgent. Non­ governmental organizations (NGOs), in addition to Defining the target clientele has always been a major being more efficient, can help reduce the cost of issue In development programs due to two Important services by Involving the private sector In considerations: the Involvement of the correct government programs. clientele In the program, and the targetting of program benefits. This Is especially crucial In While there is consensus on the Importance of marginal economies where traditional socioeconomic people's participation In farm and village forestry assumptions are Inappropriate. programs. little Is known about how to ensure this participation. In farm and village forestry, research on labor, gender, and age Issues become urgent in light of This research would have the following specific concerns for equity and efficiency. Data on the objectives. as divided among SUb-topics: division of labor by gender and age will provide needed clarification In determining the appropriate clientele for various phases of farm and village forestry deVelopment. A corollary is the

34 Sub-topic 1: Indigenous Rural-based Community 1. What are the existing property arrangements Organizations in the Uplands governing the use and distribution of lands, trees, and crops? How do these a. Determine indigenous rural-based arrangements vary by type of property community organizations, their structure regime (open access, government/public, and management systems. private, common property)?

b. Identify the factors that contribute to 2. How do existing government land and forest their viability. laws, forest regulatory mechanisms, and land reform programs and services affect property c. Determine potentials of such organizations arrangements in farm and village forestry? in sustaining farm and village forestry. 3. What are the implications of property change Sub-topic 2: NGOs in farm and village forestry in terms of conserving the resource? How will property change (land reform, provision a. Document NGOs in farm and village of long-term leases) affect productivity and forestry, including their structure, income in farm and village forestry? management systems, and mechanics of involvement. E. Population Dynamics

b. Identify the factors that retard or promote The adoption of a realistic and comparative upland effective involvement of NGOs in farm and population base figure on the national and Asian village forestry. regional levels will be an initial step towards the development of social forestry programs. The c. Determine appropriate policy instruments current trends of increasing demographic stress on for promoting effective NGO involvement. forest resources, and the trends up to the next century, support the need for analyzing the effects Sub-topic 3: Training in Community Organizing for of overpopulation on the use and managment of Foresters forest resources.

a. Pro:1uce materials for training foresters in In addition to the general trends in growth in community organization. upland population, increasingly large communities of landless migrants are moving into forestlands b. Upgrade foresters' skills in community and adopt:, Ig forest-farming techniques. organizing work. Three consequences of rapid population growth in D. Property Arrangements the uplands will have significance for farm and village forestry. First, as migration accelerates Closely related to an understanding of landholding (through increased landlessness and declining and use patterns in forestlands is the nature of employment opportunities in the lowlands), property arrangements governing forest resources encroachment of previously occupied lands (e.g., (lands, trees, crops). Such arrangements include the ancestral lands) will result in the displacement of tenurial, usufruct, and other use-rights affecting land tribal communities who have for years engaged in acquisitions, crop and tree planting, and the sustainable shifting cultivation practices. management and distribution of forest resources. As examples of over-used "open access" resources and Second, as a result of encroachment, land disputes more sustainably managed private and community­ will emerge along with increased competition for managed resources show, villagers' perceptions and forest resources. In many instances, destructive actual practices affecting their role in managing the forms of have been adopted to meet forest are important topics requiring investigation. the population's requirements for food, fuelwood, fodder, and other forest products, leading to Research on this topic would address three basic increased soil erosion, flooding, and other questions: environmental side effects.

35 Third, upland settlers are among the 'poorest of the syste1ms In terms of promoting more labor-intensive poor" In society, with average Incomes below the yet environmentally sustainable technologies. poverty cut-off defined for the bottom 40% of households. As upland POPulations Increase, there The rosearch would attempt to answer the will be a corresponding demand for opening up new following: !ands and expanding employment opportunities. Thus, there Is a need to address the needs at the farm or 1. Which agroforestry systems have been the village level, and to understand the patterns of most profitable (i.e., increased net farm movement of upland households. Income the most)?

The following questions are particularly relevant for 2. What are the dynamics of market and labor planning farm and village forestry. arrangements (production and selling, labor hiring and sharing, etc.)? 1. What Is the extent (and trend) of population dependence on forest resources? What are the 3. What are the trends and patterns in the cultural, social, and economic characteristics? development of markets for agroforestry Are the current programs adequate to address products (seasonality, spatial variations, the needs of this growing population? etc.)?

2. What are the consequences of population 4. What are the inter-industry linkages for pressure on the production and distribution of agroforestry products (e.g., processing)? forest resources? How does population growth affect the carrying capacity of the resource? 5. What are the market structures for these products? Is there monopolizfltion? 3. What are the patterns of upland migration? What are the environmental, cultural, social, 6. Are there possibilities for linkages batween and economic determinants of upland migration? agroforestry producers and buyers/manufacturers? Is there a potential 4. What programs or projects should be introduced for developing local skills for improved to reduce the effects of demographic stress on marketing of agroforestry products? forest resources? 7. What are the important constraints to F. Markets, Labor, and Unemployment Issues development of effective markets for these products? How can Increased marketing Interest In agroforestry ofte, stems from the address problems of unemployment and commercial value of r,roducts obtained from the underemployment? forest. While the nOflcommerclal benefits of agroforestry, such as fuelwood and fodder, are G. L.andl~), Social Stratification,and Oass Import3nt, agroforestry systems having commercial Issues value are of special interest due to their profitability (value added) and Income- and employment-generating As a structural variable, social class and potential. It Is, however, essential to examine the stratification will cover Issues like social class nature of local and regional markets in tarms of positions and stratification patterns of the people i~·effect5on-ihe-fafffifiT1d~et.'-oIiOfTtle8,afld fotwhom-aprogramwiii-bedesiglled:--- -. _H __ ----- on the quality of the environment. Planners need to know differential class and ihe specific objectives of this research are: 1) to stratification positions of the target group to understand how Interest In agroforestry Is linked to understand tree species choices and use patterns. the marketability of Its products, 2) to examine the Also, as with any other development program, ro'lJ of markets with respect to various agroforestry projoct planners must know the class Interests of systems, Including Intersectoralllnkages, 3) to the people In the project area to avoid Irrelevance determine policies and programs for Improving the and monopolization by any specific non-target profltabHlty tt certain agroforestry systems, and 4) group. to evaluate the potentials of altematlve agroforestry 36 .. H. Program and Project Evaluation: Extension c. Identify ways In which successful projects c.an be replicated for wider application. The need for Improved effectiveness and efficiency of the extension delivery system Is undebatable. IV. STANDARD METHODS FOR REGIONAL Increased effoctiveness means Increased RESEARCH responsiveness rl the system to the needs of the clientele. likewise, ImprOVed efficiency means Collaborative research in Asia would be useful if greater cost-effectiveness of the system. .'Ie results can be compared on a cross-national . asls. Such regional researcg would be Important The current debate In many Asian countries on the tor three reasons. First, it would allow Asian rising cost of extension and the limited ability of countries to share solutions to common problems extension to effect rural modernization Is a and to learn from the experience In other reflection of the current need to improve the countries in dealing with such problems. Second, extension delivery system. Studies in this area it would promote regional cooperation and would make for more informed decisions and policies. understanding, particularly among researchers, poIicymakers, and program Implementors. Lastly, it An analysis of extension should concentrate on two would develop international coordination for important areas: structure and quality of manpower. resolving regional or cross-national problems Data on the structure and delivery mechanism (related to illegal trade of timber, uncontrolled provide information on structural efficiency, such as migration into common border forestlands, etc.). its level of responsiveness to village needs. Analysis of the needs of technicians would examine the The following activities would help to achieve capability of extension personnel to achieve comparability of research results. predetermined goals. 1. Creation of a common, regional database The sub-topics and specific objectives ')f this research follows. Program planners and researchers in the region need a common database to facilitate comparison Sub-topic 1: Training Needs of Extension of programs for farm and village forestry. The Personnel Involved in Farm and database would provide baselines and up-to-date Village Forestry information useful for activities such as resource inventory and monitoring. Individual researchers a. Identify the in-service training needs of could compare production and use trends across personnel involved in farm and village the region. The regional perspective would be forestry. significant in evaluating future trends, as many environmental and cultural similarities exist In b. DevelOp appropriate training materials and different areas within the region. Alternatively, programs to upgrade the capability of lessons may be learned from cOIJntries with personnel in this area. different environmental and cultural contexts whenever common themes emerge from the c. Identify strengths and weaknesses of collected information (e.g., differences in Income current pre-service training programs of distribution and resource allocation among forestry extension agents and determine egalitarian vs. class societies). ways to- improve curricuta. 2. Adoption of standardized units of measure Sub-topic 2: Case Studies of Research-Extension i Linkage in Farm and Village Forestry Quantifiable information, such as land size and forest products output, would have to be a. Identify successful research-extension standardized for regional comparison. Common linkages In farm and village forestry. systems of variable construction, specification, and measurement would be required together with b. Determine the factors Influencing project standard unit measurements for these variables. success. In addition to quantifiable data, there may be qualitative Indicators and variables for which an

37 Information system could be constructed to Informal ways of creating these linkages ensure comparability. For example, a common Include conducting a series of consultations, set of definitions and classifications (or meetings, and visits, and the periodic ~ taxonomies) of terms could be designed for the feedback of research findings. organization of Information using such variables 2. De\felopment of participatory research - as type of government system, nature of social -

- organization, and existing forestry laws and approaches

~ regulations. - Research results can be made more - = 3. Development of a common research approach responsive to community needs in two ways.

....ii First, Increase use of participant observation - Another means of standardizing research results and similar techniques that maximize would be to promote a common research researcher field experience and ensure lhat approach, two characteristics of which would be farmers' preferences and needs are properly Important for Improving farm and village communicated to program Implementors. forestry programs: 1) the research must be interdisciplinary, and 2) the method of data- The second way is to conduct a series of gathering and analysis must be participatory, consultations and dialogues for devising • InVolving both pollcymakers and farmer means of involving the community in clientele. Proper structuring of incentives to different phases of research. For example, encourage interdisciplinary and participatory measurements of the size of forest farmlands research should be Incorporated into funding and slope can use local residents. An arrangements for network research. arrangement can be made through the local community organization wherein payments or 4. Promotion of regional research methodologies other benefits are channeled for such services. An effective way of devising standardized methodologies for cross-national and cross- 3. Increased involvement of poIicymakers and cultural applicability Is by conducting regional ImpiementOfS collaborative researc:,. The results of such collaborative efforts can then be translated Into There are at least three ways of involving standardized methodologies and measurements as poIicymakers and Implementors in research. experience and knowledge in this type of cross- First, they can playa major role in national research improve. evaluating the research proposal and design through meetings and seminars. Second, V. COMMUNICATING RESEARCH RESULTS they can be actively involved in data- gathering, and can receive results of data The workshop organizers Identified five reasons why analysis and tabulations. Third, they can social science research in farm and village forestry contribute by cross-ehecklng information and "falls short of its potential contribution to results. For example, with their experience development of social forestry (see executive In day-to-day management, they may be in a Summary).- To address these problems, the group better position to judge whether trends or recommends five activities for possible use In the pattems in data are realistic or merely

",rtlf",,,tc. nf tho rf",t", ""lIn"tnrf ._-~- .na.tworiL _~·"""'"--_"""~-"''''''i''''''''''O''''.

1. Development of research-extew.Jon linkages 4. Increased involvement of NGOs

A system for involving clientele (specialists, In some Instances, community organizers or poIicymakers, Implementors, and farmers) In NGOs working in the research area should different phases of the research can be devised be included. Their longstanding involvement - to ensure thc:t the research is responsive to in the community and the associated trust their needs. Formal linkages, such as joint developed would facilitate data-gathering and projects with governmental implementing communication of research results. agencies Is an example of such a linkage.

38 =-

=~ c;;

5. Role-piaying Participants in Group 1A -. A useful exercise for assessing the Eliseo Ponce (Chair) responsiveness of different actors In the Don Messerschmidt (co-secretary) research to local and clientele needs is to Patrick Robinson (co-secretary) . engage In role-playing. Techniques for this Deepak Bajracharya -

- have been well developed to permit Its use even Bob Fisher ~ - - among top poIicymakers. K. H. Gautam Nimal Gunatatflleke VI. MECHANISMS FOR COUABORATIVE RESEARCH Junus Kartasubrata Komol Pragtong Many social science research networks exist in Mahesh Sapkota various regions of the world. Many of them have Munni Sharma successfully involved different institutions. For this William Stewart

Asian network, the group recommends the following Irene Tinker - activities. - Participants in Group 1B 1. Formalized institutional cooperation Concepcion Cruz (Chair) - This can take place through normal institutional Syed Sadeque (secretary) channels or directly through personal contracts U. R. Bhattaral with Individual researchers. John Cool ,:I Chun Lai 2. Information exchange Apichart Pattaratuma Lucylen Ponce These activities would Include regional Shalardchal Ramitanondh workshops, a newsletter, a directory of Ramrajya Shrestha members, occasional papers publication series, Cor Veer common database and exchange service, and Millidge Walker regional seminars. Participants in Group 1C 3. Collaborative research Songkram Thammlncha (Chair) This would take place through regional proposal David Thomas (secretary) review committees, short-term familiaiization Herminia Francisco visits, and publications support. Soveig Freudenthal Romy Raros 4. Short-term tJaining Gyan Shrestha Vijaya Shrestha This would take place through short-term Khaleel Tetlay training courses, regional fellowships, and Varun Vidyarthi development of training materials and manuals. B. van der Borg Baharl Yatim

=

39 Group II Report: Formulating a Minimum Data set

...- The group working on quantitative aspects of the 3. Supply and Demand minimum data set formulated a strategy to address four main goals. Supply and demand should be studied at the micro and macro levels. At the farm level, scientists 1. Determine common Interest topics among applied should quantify use pat:t~ms of forest products, social science and forestry in Asian social develop hypotheses on future changes, and forestry. determine the factors that Influence demand for MPTS products, Including price, preferences, 2. Identify topics for Immediate study on social, Income, and technology changes. economic, and cultural aspects affecting farm and village production and use of trees of 4. Forestry Contribution to Farm Income direct value to forestry program Implementors. On most mixed small farms, crops and livestock 3. Determine how results of these studies can be provide the major source of farm Income. Income, analyzed fo:, use by forestry program however, should not be the sole determinant of Implementors, and which topics can most benefit economic contribution. Other secondary benefits from cross-national and cross-cultural research. should be quantified and documented to assess the actual value of trees to farm families. Attention 4. Determine needs of a data set on selected should be given to potential Impacts of new forest­ social, economic, and cultural factors of farm related technologies on other aspects of fan n and Village production and use of trees, production, such as livestock. Including standardized methods used for collecting the minimum data set. 5. Use of MUtipurpose Trees

The group sought to clarify 13 key issues before Preferences for particular species and their uses proceeding with questions of information collection, should be documented. The exchange of database formulation, and information dissemination. Information and technology at the farm level These Issues formulate the basis of recommendations should receive priority, perhaps through a strong drawn up by the group. Each issue Is briefly on-farm research program. elaborated below. 6. legal Constrnints 1. SmaD Farmer and Landless Poor Legal constraints often pose the greatest obstacles Because average farm size varies among countries In to farmer participation In social forestry. In many Asia, it should l~.:>t be the sole criteria for defining cases legislation restricts farmers' tree-cutting ·small farm~r.· Land size should be considered with rights, and so discourages them from p1ar.tlng Income on a case-by-case basis to determine the trees. Research should clarify how these Issues target group of social forestry projects, the major may be resolved at the polley level In order to ooneflb':{ which are fuel, fodder, and timber. enhance farmer cooperation.

2. Production and h;cess to Forest Products 7. Local Institutions, Customs. and Knowledge

Information Is needed on how much to grow, what Further research needs to Investigate the effects tree spec;es to produce, when and where to produce, of local Institutions, beliefs, and needs on farmers - and in what quantities to produce. Village-level use of trees. LocaJ knowledge on species and uses surveys on land rights Issues and problems of should be recorded. common property rights could be compared within agrQ-EY..;QIoglcaJ zones.

40 8. l.Bnd and Tree Tenure conservation can Increase their Interest and Involvement In programs. While this Information may have limited value In comparison studies, performance of social forestry 13. Infrasfn~re Development programs under alternative land and tree tenure arrangements can be useful, particularly those Supporting Infrastructures In marketing, processing, involving technology adoption when tree ownership transportation, and price formulation require better rights are granted to tenams. Information. Extension and foresters are often iII­ eqUipped technically and financially to assist small 9. Economic Constraints farmers. Possible roles of non-governmental organizations (NGOs) should be explored. Under this heading, Information on Income, prices of Inputs and outputs, transportation, employment, GENERAL COMMENTS subsidies, taxation, market Imperfections, Investment and budgeting should be gathered at the micro and Investigation and data collection should be guided macro levels. Although labor Is not seen as a by one or more theoretical hypotheses. serious constraint to small-farm tree-planting, Information should not be collected haphazardly Information on labor needs for tree management but according to a predetermined value and guided would settle the matter. Village level studies should by a paradigm or conceptual framework. identify major economic constraints and assess their Impact quantitatively, as well as gather farmers' Protocols for exchange of data should address views on removing these constraints. This would issues such as the use of sensitive Information and help determine appropriate Incentive Instruments, what care should be taken before data on variables such as subsidies, tax rebates, and other supports. such as tenure, tree cover, and political climate can be shared in cross-national studies. 10. Effective Participation ofWomen PROPOSALS FOR COUABORATIVE RESEARCH While there Is little debate about the role of women in social forestry, the role of women In the decision­ The following topics merit further consideration by making process is not often appreciated, leading to donors for financial support. poor decisions regarding recipients of training and extension programs. Approaches should help Increase 1. Access, use, and preferences for trees on women's participation and make their role more small farms and associated aspects effective. 2. Intercountry comparison of alternative common resource property managment arrangements 11. Sol Conservation and Erosion 3. Prevalent management practices In social Researchers, extension workers, and foresters differ forestry in different countries on the actual contribution of social forestry to soil conservation. Further documentation is needed on 4. Development of an annotated bibliography the SUbject. for each country and a master bibliography for all member ,..nl 'ntries 12. VlJage leadership 5. Forest laws and their Impact on social Social forestry clearly requires a community-based forestry In different countries approach. The promotion of tree production on small farms Is more likely to occur through persuasion of 6. Training needs at various levels of villager elders and leaders than by demonstration of Information collection technology alona. The role of local village leaders In forestry development should be identified. It Is 7. Impact of on-going social forestry projects. likely that training village leaders In forestry and major problems. and alternatives being rursued

41 I

8. Economic and financial analyses of alternative c. Climate agroforestry Investment opportunities 1) rainfall 2) wind 9. Village level quantification of major constraints 3) temperature/solar radiation and risks, and the Impact of these constraints on the village economy d. Water resources 1) type/source A MINIMUM DATA SET FOR FARM AND VIllAGE 2) availability (seasonal or continuous) FORESTRY II. Socioeconomic Data In determining the types and categories of Information to be Included In a minimum data set on a. Population farm and village forestry (or social forestry), the 1) cultural and ethnic composition and group considered that the Information would be used Interaction by researchers, project managers, and poIlcymakers 2) settlement patterns for comparative analysis and planning. 3) migration flows 4) density and growth NATURE OF THE DATA SET 5) labor force employment

The following data set Is deliberately ·generlc· b. Tenurial arrangements rather than specific, to provide sufficient fiexibility 1) land ten-.:ro for target users to modify for specific Information 2) tree tenure needs and purposes. c. Policies and regulations affecting tree As formulated, the data set Includes a ·macro· planting and uses portion (regional or national level), which would 1) agricultural contain primarily ·soft data· that does not lend itself 2) forestry readily to computerized or quantified collation and 3) livestock and fisheries storage, but which Is extremely Important In 4) settlemant establishing a framework or background for projects. The second part of the data set Is the ·mlcro· d. Physical and social Infrastructures protlon, which would contain ·hard· data at the 1) transportation and markets Village or household levels. 2) extension services 3) agroforestry research THE MINIMUM DATA SET 4) formal credit and subsidies 5) farmers' cooperatives and associations A. NationaI/ReglonaJ Level (Macro) B. VlJage and Farm Level (Micro) I. Biophysical Data I. Resources a. land characteristics = 1) topography a. landholding (In different land-use 2) soli categories) ~ .. , .-...... _ ''''...... __.1_ 1_... , __.... _ t_ 1_...... ,\ ",",,_O"''''''I'''U'''''"Ii.,,.."f'V\ •, ''C1tU10 \vnfT, r'C1to nrrvuo, r=.,... nrrvuo, 4) land classification free use) 5) vegetation 2) fragmentation (size and number of parcels per household) b .....nd uses 1) forest b. Land quality 2) annual crops 1) soil 3) perennial crops 2) Irrigability 4) fallow 3) slope 5) grazing 6) fisheries

42 c. Labor III. Infrastructure 1) type (gender) 2) availability (number per household In a. Irrigation or drainage systems various seasons) b. Access to village roads, forest, forest office 3) quality (skilled or unskilled) c. Farmers' groups d. Village organizations d. Capital inputs 1) leadership 1) equipment 2) decision-making 2) livestock 3) participation 3) tree (natural or planted) 4) credit/subsidies/capital IV. Indigenous Agroforestry Knowledge and 5) land improvements (terraces, fences, Practices

- others) ~ a. Species type selection II. Production Systems b. Tree planting and management c. Harvesting and use a. Production enterprises d. Regeneration 1) cropping (types, patterns) 2) livestock and fisheries (components, V. Needs and Potentials management) 3) trees (types, species, planting patterns) a. Basic househo1n needs (food, energy, shelter, fodder) - = b. Use of inputs b. Production systems to fill needs 1) types 1) annual cropping 2) quantity and combinations 2) perennial cropping 3) costs 3) Integrated cropping

c. Outputs VI. Potential Constraints (Above-farm Level) 1) types of outputs 2) quantity a. Tenure 3) value b. Marketing c. Extension and research d.lnteractions among enterprif>es d. Laws and regulations

Participants In Sub-group 2A Participants in Sub-group 2B

Kailash Pyakuryal (Chair) Napoleon Vergara (Chair) Pervaiz Amir (Secretary) Wilfredo Cruz (Secretary) Marian de los Angeles UmaGurung Yongyuth Chalamwong Dirk Hoekstra Jaya Chaterji Tongroj Onchan Yam Malia Jamil Qureshi Thomas McKenzie Radha Ranganathan Bhola Pokharel Soleh Sukmana Neeru Shrestha Nongluch Suphanchamat C.A. Sirengar RulzTabora

43 Appendices ..- Appendix 1

Participants

Mr. S. M. Amatya Dr. Yongyuth ChaJamwong Forest Survey and Research Center for Applied Economics Research Office Faculty of Econ. & Business Department of Forest Administration Kathmandu, Nepal Kasetsart University Bangkok 10900, Thailand Dr. Pervalz Amlr Wlnrock International Dr. Jaya Chatterji 833 JI. Hasanuddln Council for Social Development Salatiga B/2 M.S. Flats Central Java, Indonesia Pandara Park New Delhi, India Dr. Marian S. delos Angeles Philippine Institute for Dr. John C. Cool Development Studies Winrock International 106 Amorsolo Street Kasetsart University Legazpi Village Kasetsart P.O. Box 1107 Makati, Metromanila Bangkok 10903, Thailand Philippines Dr. Maria Concepcion Cruz Dr. Deepak Bajracharya Institute of Environmental Science International Centre for Integrated and Management (IESAM) Mountain Development (ICIMOD) University of the Philippines, P.O. 3226 Los Banos (UPLB) Kathmandu, Nepal College, Laguna 4031 Philippines Mr. Sribindu Bajracharya USAID/Nepal Dr. Wilfrido Cruz Ravl Bhawan Economics Department Kathmandu, Nepal College of Economics & Management UPLB Dr. Mahesh Banskota College, Laguna ICIMOD 4031 Philippines Kathmandu. Nepal Mr. Bob Fisher Mr. U.R. Battarai Nepal/Australia Forest Project CARE-Nepal P.O. Box 208 G.P.O. Box 1661 Kathmandu. Nepal Kathmandu, Nepal Dr. Herminia A. Francisco Benguet State University ICIMOD La Trinidad Kathmandu. Nepal Benguit. Philippines

Dr. B. van der Borg Dr. Solveig Freudenthal FAO Rural Wood Energy Department of Social Anthropology Development Project University of Stockholm c/o FAO/RAPA 10691 Stockholm, Sweden Phra Atit Road Bangkok 10200. Thailand

47 Mr. K H. Gautam Mr. Yam Malia District Forest Controller Nepal/Australia Forestry Project District Forest OffIce P.O. Box 208 Dolakha, Charlkot, Nepal Kathmandu. Nepal

Dr. Gerry Gill Dr. Thomas McKenzie Wlnrock International Center for Research and Education APROSC In Tropical Agriculture (CATIE) P.O. Box 1440 Turrialba, Costa Rica Ramshah Path Kathmandu, Nepal Dr. E. Lee Medema Wlnrock International-F/FRED Dr. IAU. Nimal Gunatilleke P.O. Box 1038

- Department of Botany Kasetsart Post Office .. University of Peradeniya Bangkok 10903, Thailand Peradeniya, Sri Lanka Dr. Charles B. Mehl Dr. S. B. Gurung Winrock International-F/FRED Director, Centre for Economic P.O. Box 1038 Development and Administration Kasetsart Post Office Tribhuwan University Bangkok 10903, Thailand Kathmandu, Nepal Dr. Donald Messerschmidt Ms. Uma Gurung Forestry Support Program Institute of Agriculture and USDA/FS/IF, Rm LL-50-RPE Animal Sciences (IAAS) P.O. Box 96090 Rampur Washington, DC 20090-6090 U.SA Chilwan, Nepal Dr. Tongroj Onchan Dr. Dirk A. Hoekstra Asian Productivity Organization International Council for Research 4-14 Akasaka 8 Chome In Agroforestry (ICRAF) Minato-ku, Tokyo, Japan P.O. Box30sn Nairobi, Kenya Dr. Apichart Pattaratuma Faculty of Forestry Mr. Chun La! Kasetsart University Winrock International Bangkok 10900, Thailand P.O. Box 6032 Gulshan, Dhaka-12 Mr. Bhola Pokharel Bnagladesh lAAS Rampur Mr. George Lewis Chilwan, Nepal Program Officer USAID/Nepal Dr. Elisio Ponce KatnmafldLi, Nepal Visayas State College of Agriculture (VISCA) Dr. Junus Kartasubrata Baybay 7127-A Forestry Faculty Leyte, Philippines Bogor Agricultural University P.O. Box 69 Dr. Lucylen Ponce Bogor, Indonesia ViSCA Kathmandu, Nepal Baybay 7127-A Leyte, Philippines

48 Mr. Komol Pragtong Mr. Maheshwar Sapkota National Forest Land Management IAAS DMsion Rampur Royal Forest Department Chilwan, Nepal Paholyothin Road Bangkok 10900, Thailand Ms. Munnl Sharma Agricultural Project Services Dr. Kailash Pyakuryal Centre (APROSC) Dean,lAAS P.O. Box 1440 Rampur Kathmandu, Nepal Chilwan, Nepal Dr. Gyan K. Shrestha Mr. Jamil Qureshi IAAS Winrock International Rampur 58 Margolis Road Chilwan, Nepal F-7/2 Islamabad, Pakistan Dr. Neeru Shrestha Centre for Economic Development Mr. Shalardchai Ramitanondh and Administration (CEDA) Department of Sociology and Kathmandu, Nepal Anthropology Faculty of Social Sciences Ms. Ramrajya Shrestha Chiang Mal University APROSC Chiang Mal 50002, Thailand P.O. Box 1440 Ramshah Path Ms. Radha Ranganathan Kathmandu, Nepal International Center for Research in the Semi-Arid Tropics (ICRISAT) Dr. Vljaya Shrestha Patancheru 502324 P.O. Box 3067 Andhra Pradesh, India Kathmandu, Nepal

Dr. Romero Raros Mr. Chairil Anwar Siregar ViSCA Forest Research and Development Centre Baybay 7127-A Ji. Gunung Batu Leyte, Philippines No.5, P.O. Box 66 Bogor, Indonesia Mr. William Stacy Rhodes Deputy Director Dr. William Stewart USAID/Nepal Ford Foundation Rabi Bhawan 55 Lodi Estate Kathmandu, Nepal New Delhi 110003, India

Mr. Patrick Robinson Dr. Seleh Sukmana Forest Research Project Director Departmenfofr=orest UACP-FSR c/o British Embassy JI. Hasanuddin 833 P.O. Box 106 Salatiga Kathmandu, Nepal Central Java, Indonesia

Dr. Syed Z. Sadeque Ms. Nongluk Suphanchalmat Department of Sociology Department of Agricultural Economics Rajshahi University Faculty of Agriculture RaJshahl, Bangladesh Khon Kaen University Khon Kaen 40002, Thailand

49 Mr. Rulz Tabora Dr. Cor Veer F/FRED Global Research Unit FAO Wood Energy Development Project P.O. Box 186 c/o FAO/RAPA Pala, HawaII 96n9 U.S.A. Phra AUt Road Bangkok 10200. Thailand Mr. George Taylor OffIce of Agriculture and Dr. Napoleon Vergara Rural Development Royal Forest Department USAID/Nepal c/o UNDP Rabl Bhawan G.P.O. Box 618 Kathmandu, Nepal Bangkok 10200, Thailand

Mr. Khaleel Tetlay Mr. Varun Vldyarthi Aga Khan Rural Support Programme L-111/32 Sector 0 P.O. Box 506 AJigang BabarRoad Lucknow 226 020. India Gllgit Northern Areas, Pakistan Dr. Millidge Walker USEF/Nepal Dr. Songrkram Thammlncha P.O. Box 380 Faculty o' Forestry Kathmandu, Nepal Kasetsart University Bangkok 10903, Thailand Dr. Ram Yadav ICIMOD Dr. David Thomas P.O. Box 3226 National Forest Land Management Kathmandu, Nepal Division Royal Forest Department Dr. Bahari bin Yatim Paholyothin Road Centre for Extension and Bangkok10900,Thaiiand ContinUing Education Unlversitl Pertanlan Malaysia Mr. Robert Thurston Serdang 43400 Office of Agriculture and Selangor, Malaysia Rural Development USAID/Nepal Rabi Bhawan Kathmandu, Nepal

Dr. Irene Tinker U.S.E.F./Nepal P.O. Box 380 Kathmandu, Nepal

Mr. Amulya Ratna Tuladhar Institute of Forestry P.O. Box 43 Pokhara, Nepal

Mr. Batuk Upadhya Office of Agriculture and Rural Development USAID/Nepal Ravl Bhawan Kathmandu, Nepal

50 Appendix 2

DRAFT PROPOS.AJ... FOR A REGIONAL SOENCE NETWORK STUDY = SOCIAl ON FARM AND V1LU\GE FORESTRYlLANO USE PRACTICES·

;. ~esearch Goals

o Analyze the effects of selected social and economic factors on village and farm forestry use practices at the community, national, and regional levels, in order to make research design (for both biological and social scientists) and implementation more appropriatE~ to the goal of improving the livelihood of the rural poor through improved use and management of mUltipurpose trees.

o Determine the needs for and uses of tree products by farm size, to better understand and meet needs of landless and small-scale farm households.

This will include:

o classifying farm and village forestry systems in Asia according to major ecological conditions. Communities will be compared within and contrasted among agro-ecological zones.

o providing a basic understanding of the role of trees, their products and uses, in villagers' livelihood, through collection of basic information on use of trees and other woody perennials, such as: (a) range of products derived from each species, (b) calendar of use, (c) relative species preference.

u providing basic social and economic information on existing tree/farm and village forest/land-use practices. As a comparative regional research project, this study will focus on social and economic factors that can be compared cross-nationally and crOSS-CUlturally. The general social and economic categories for analysis in this study will be: (1) extent of government intervention in services and information available for tree production, (2) forms of community organization, (3) land use, distribution, and tenure, and (4) socioeconomic stratification.

II. Statement of the Probfem

Although there is a growing literature in the social sciences on Asian villagers' management and use of trees, there remains a lack of comparative research in this field. Even regional programs (the Ford Foundation's social forestry studies in Southeast Asia; the studies on farmer access to, management, and use of trees, sponsored by the F/FRED Project; the East-West Center studies on fuelwood in Asia) tend to consist of distinct case studies, independently conceived, conducted, and analyzed, and tied together only loosely by common themes. An understanding of regional trends can be drawn only from the conclusions of the- individuai siudies, rather than through an analysis of the information gathered ill an the studies.

Researchers attempting, in a systematic way, to ascertain general trends throughout the region must necessarily concentrate on social and economic factors that can be compared reasonably across cultures and societies. A complete picture of social, cultural, and economic Influences on forest management at

·Prepared in July-August 1988 by a working group of four participants from the workshop. After final revls;on, the proposal will be implemented on a preliminary basis in four of the countries participating In the F/FRED Project.

51 each site Is not possible In a regional study. That is a function of case studies, In which the unique social and economic conditions of an area are described. This comparative study will, by contrast, determine whether a few selected social and economic relations, institutions, and processes affect how people use and manage trees, and whether variations In these factors contribute to differences in forest management and use.

Because agro-cllmatic conditions (soli, topography, rainfall, temperature, etc.) IImtt the growth and range of species that a site can support, the first requirement of this regional analysis Is classification of the study communities according to basic agro-cllmatic zones.

Basic characteristics of farm and village forestry use will be studied over the course of one year to allow observation of seasonal practices. Selected social and economic factors Oand distribution, size, and tenure; degree of government Intervention of services and Informa!lon; village leadership; physical and Institutional infrastructure) also will be studied within a sample of the village population.

To understand better the practices under study, and the context of the compar::ttlve data, the researchers involved in the study will record detailed descriptions of the farm and village forestry systems at each site. The data collected for comparative analysis will' be a major, but not the or.'··, component of the Information used for these studies. The descriptions will provide a context for understanding variations in the factors compared within the country and across the region.

The data collected for this study is divided Into seven major categories. Two categories consist of basic backgroUnd data. The first (Background Information) helps place the studies In context using population characteristics, livestock population, and available Infrastructure. The second (Agro-ecologlcal Conditions) will be used to classify the sites by agro-climatic zor.es. The next four (Govemment Intervention; Social Organization; Land Use, Tenure and Property Rights; and Socioeconomic Stratification) are the socioeconomic factors that are expected to affect farm and village tree- and forest-use practices.

The data from all sites will be analyzed at three levels:

1) community-level data will be studied separately as a part of the general analysis of that village

2) national analysis will be conducted by selected researchers In countries with a sufficient number of studies.

3) regional analysis within broad regional agro-c1imatic zones willlncludA all sites studied.

If the social and economic factors studied are shown to affect the nature of farm and village forestry throughout Asia, It will be possible to predict with reasonable accuracy the forestry- and land-use practices In areas with similar agro-ecologlcal, social. and economic conditions. It also will be possible to recommend Interventions in farm and village forestry and land use systems to Improve forest management and the production and use of trees by the rural poor, with reasonable probability of success.

III. Plan of Research

A. Definition of Agro-climatlc Zonp,s

Considerable work has been done In agriCUlture and, more recently. In forestry to determine broad agro-climatic zones for comparative biological and socioeconomic research. Various zonation systems will be reviewed, and the one most appropriate for the study of farm and village forestry systems on all topographies in tropical and sub-tropical A~ •.:1 will be selected.

52 Agr

B. Field Research

1. Site seloctlon

To the extent possible, villages proximate to the researchers' homes will be selected to minimize transportation time and costs. Researchers will visit each site at least six and preferably sever. times during the year. Wheie possible, the researchers should already be familiar with the study site to avol,. the lengthy process of familiarization with the communities' residents before research can be started.

Each site will consist of two villages proximate (though not necessarily adjacent) to each other. This will allow greater coverage of communities "Ilthln agro-climatic zones. :... Villagers should have more than 50 households, since the sample size for the study will be 50 households In each village. Villages of more than 200 households can be Included, but the number of households covered In the initial "household census· should not exceed 200.

2. Macro-level data

Macro-level data will be collected from secondary sources. Forestry and land officials should be consulted to determine the relevant laws and regulations. The degree of enforcement can be determined from observation and discussion with forestry officials, extension workers, and villagers. The most recent census Is preferred for macro-level data on population. Aerial = photography Is preferred to determine land use. If aerial photographs are not available, other sources of this Information will be acceptable.

Selection of district or sub-dlstrict level for data collection depends on the area I)f the political unit and the availability of information at that level in each country. Where possiUe, the smaller unit should be selected.

3. Observation and discussion

Research at each site will begin with a rapid appraisal of the tree and forest use practices, and the role of tree products In the lives of the villagers. Where the researcher is not already familiar with the site, the rapid appraisal will consider social composition, major occupations and socioeconomic strntlflcatlon, and other background Information.

A primary means of gathering Information throughout the period of this study will be observation of villagers' management and use of trees, observations of social and economic relations, and Informal (Jlscussion~ with villag(!~.Re.secm:hers shpuldselectkey InformantsJor reiiular~detail8ddiscusslon of tree prOduction, management, and use.

The researcher should visit the study sites at least once every two months to observe seasonal practices. During each visit, the researcher should discuss with villagers the tree management practices and uses employed since the last visit. Although much of this information will be collected through surveys from each of the 50 sample households In each village, detailed discussions with key Informants from those 50 households will help the researcher understand the practices desci ~bed In the survey responses.

-.

- ..: 53 A key element of the study Is the identification of tree species used by villagers. Forestry researchers (preferably those Involved In research with the MPTS Research Network) should .. assist at key Intervals to Identify species and understand tree use and its seasonality. One method of species identification. to be employed ear1y In the study, Is for the researcher (assisted by the forestry researcher) to photograph trees In various settings In the village ­ around homes, along trails, scattered In fields, as windbreaks, In common areas. They should then discuss with groups of villagers the species' identities, reasons for planting or maintaining the trees in those locatlollS. timing and method of use, etc.

4. Surveys

Surveys will be conducted to collect most of the mlcro-level data at the household level. The researcher will conduct an Initial census of all households In the village (up to 200) to determine stratification by land size and land tenure. In villages of more than 200 households, the cen!iUS will consist 01 a random sample of 200 households. SUbsequent surveys will be based on a stratiTled random sample of 50 households, to ensure adequate representation of small-scale and marginal farmers and landless villagers.

The Information to be collected from the household surveys Is explained in the descriptions of each of the major categories In the minimum data set. Where data collection is Indicated for both the census and the survey, only a portion of the data will be collected for the census, with detailed information gathered In the survey. For example. data Oil "Labor/Employment" will be collected In both: the census will record only a ranking of importance of occupations and employment as a source of livelihood; the detailed information on age and sex distribution and seasonality of labor will be collected In the surveys.

5. Traiillng

To ensure consistency and the comparability of collected data, a training course on standard field methods will be organized for all study participants. The course will be taught by individuals Involved in the design of the study.

C. Analysis

1. Individual reports

Researchers will prepare reports of the sites studied. Software for data storage, manipulation. and analysis will be provided by the F/FRED Project. The reports will be published in a series l'v Winrock Internatlonal-F/FRED and other participating donors and international agencies.

2. Comparative analysis

Data collected by the researchers will be cumplied and analyzed at the national and regional lE)velst()detE!rmJ!1f:! the effE!Ctsof the selectedSQCIaI and _ecoDomic ~e.tors()ntreE!/fc!rm _~fl9_ village forestry/land use practices. Each researcher who submits data to the central pool will receive data from all other participating researchers. If there are ten study participants, each studying two Villages. then each will obtain comparative data from 20 villages In Asia. The software provided by F/FRED will allow each researcher to manipulate and analyze the regional data.

National-level analysis will be conducted for three or four countries where there are sufficient sites for comparison. Data will be collected and stored In each of these countries at the location of the com~iQtive analysis. Institutions will be designated as data compilation centers

54 In each of the other countries with participating researchers, so that national-level analysis can be conducted when adequate data Is collected.

Regional-level analysis will be supported by F/FRED. Data from all sites will be collected by Winrock International-F/FRED for the analysis, which will be conducted by at least two regional researchers, with the assistance of the F/FRED Land and Forest Management Network Specialist.

- 3. Statistical analysis

• Data at the national and district/subdistrict levels will assist in 1) understanding the study communities and their land and forest use practices In national and local contexts, and 2) comparing site characteristics (popul2.tions, climate, topography, land use patterns) with general national characteristics and with conlditlons elsewhere In the region.

Household data will be aggregated In categories (population characteristics, farm size, tenure status, participation In local organizations, etc.) at the village level. Household data from the the four "dependent categories" (Government Intervention, Social Organization, etc.) will be correlated with the household data on Forestry Use Patterns. Chi square tests of specific Forestry Use Patterns and variables from the "dependent categories· will be made.

National and regional analysis will take place through comparison of data among communities. The village data (both village-level data and household data aggregated in categories at the Village level) will be comp2~~J among sites using regression and analysis of variance.

IV. Research Schedlie

The study Is scheduled to begin early In 1989. Participating researchers will complete data collection and preliminary analysis by the end of that year, with final analysis and reports scheduled for completion in June 1990.

Iii•

55