A Community REDD+ Project from Northeast India

PART II – Chapter 13

Khasi responses to forest pressures: A community REDD+ project from Northeast India

Mark Poffenberger

Abstract: This paper examines the experiences of 10 indigenous Khasi kingdoms in Meghalaya, India, that are responding to rapid deforestation by developing a federated sub-watershed management institution that will build the capacity of their traditional governance bodies to conserve and restore ancient community forest lands. The Khasi have protected their forests for centuries but have been experiencing accelerating deforestation over the past decade due to growing demands for agricultural land, fuel wood, charcoal, coal, and limestone. The Khasi seek to finance this initiative through the sale of carbon offset credits (under REDD+) and through payments for other environmental services (PES), including protecting a major water source for the state capital in Shillong. Carbon and other PES mechanisms are providing an effective cata- lyst and programmatic framework for institutional innovation, mapping and boundary demarcation, and long-term planning, with potential funding for mitigation, restoration, and income-generating activities.

Keywords: Community forestry, REDD+, indigenous governments, northeast India, payments for environmental services, PES

13.1 Forests under pressure for civil society at the local level. These institutions set and enforce traditional social norms and rules through transparent and democratic processes that hasi communities of Northeast India possess characterise Khasi society. Through the project a Kindigenous forest conservation values reflected number of new village institutions have also been in an unbroken 500-year-old tradition of sacred for- established, including the watershed federation to ests possessing ancient stone megaliths. Threats to coordinate resource management and local working these valued ecosystems have catalysed 62 villages committees at the micro-watershed level. The new and 10 indigenous governments to establish a fed- institutions are developing capacity to use scientific eration to coordinate the protection and restoration forest monitoring systems, which include remotely of their community forests within the Umaim sub- sensed data and field-based measurement conducted watershed. The Khasi Hills initiative represents a by community members. This initiative is India’s first unique locally driven response to forest pressures PES/REDD(1) project to be certified under the inter- that utilises innovative financing mechanisms. Indig- national Plan Vivo standard.(2) In understanding the enous institutions including indigenous multi-village significance of the Khasi Hills Community REDD+ governments (hima) and tribal village councils dor- project as a local response to growing pressures and bar) still remain the active governance organisations global issues, it is helpful to review the larger forest

(1) Payments for environmental services (PES); Reducing Emissions from Deforestation and Forest Degradation plus enhancing 229 forest carbon stocks in developing countries through conservation and sustainable forest management (REDD+). (2) A Plan Vivo certificate is an environmental service certificate representing the long-term sequestration or avoided emission of one tonne CO2, plus additional livelihood and ecosystem benefits.

PART II: CASE STUDIES 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India

sector context in India as a whole. This case study environmental conditions and economic condition examines some of the historically based underlying of forest dependent communities. causes of deforestation and forest conflict in India, as Over the past 30 years, Maoist insurgency well as local drivers of forest loss and degradation. groups have spread throughout many of India’s for- The paper then examines some of the conditions that est districts (Singh 2006). Dissatisfaction of forest- support positive adaptation and change by communi- dependent communities, including many of India’s ties, analysing the case study of the Khasi Hills. 60 million tribal people, with government policies and agencies, including state forest departments ac- cused of corruption and poor implementation of the JFM program, has created a fertile environment for 13.1.1 India’s forest context insurgency (Singh 2006). Over the past two decades, India’s forests have Over the past century, India’s upper watersheds and been increasingly engulfed in social and armed con- forests have been commercially exploited for the flict. More than 20 of India’s 28 states are affected by benefit of urban industrial and agricultural centres. Maoist insurgencies. In the words of Home Secretary Exploitation has been facilitated by the centralisa- G. K. Pillai, these insurgencies are one of “the grav- tion of legal control over forest resources in state est threats to India’s national security” (BBC News forest departments that dictate management goals 2010). In states such as Jharkhand and Orissa, local and controlled-use operations. The 150 years of for- non-governmental organisations (NGOs) report that est governance under this management system has up to two-thirds of these heavily forested regions are resulted in a gradual depletion of natural resources either controlled by insurgents or tribal communi- and a deterioration of the capacity of forest eco- ties, who often restrict the movements of government systems to deliver important environmental services officials. and socio-economic benefits. This management para- The apparent alienation of forest-dependent com- digm has frequently created conflicts with India’s munities in many parts of India appears linked to forest-dependent communities, currently estimated the following factors: 1) a failure of government to at 250 to 300 million people. effectively transfer forest rights to communities and During the colonial period, indigenous communi- local governments, 2) antiquated state forest depart- ties periodically resisted outside encroachment into ments that ineffectively manage government natural their ancestral domains by the state and the private resource management (NRM) and livelihood proj- sector (Arnold and Guha 1995, Duyker 1987, Pof- ects, 3) illegal logging, 4) corruption among foresters fenberger and McGean 1996). During the 1980s and and local government, and 5) leasing of forest lands 1990s, grassroots resistance from forest-dependent to mining and industrial concession interests (Pof- communities spread as India’s multiparty politi- fenberger and McGean 1996). cal system expanded in a number of regions of the In 2006, under pressure to address the tenure country, including southwest Bengal, southern Bihar, problems of forest-dependent communities, the Jharkhand, Orissa, the Western Ghats, Uttarakhand, government of India approved a Forest Rights North Bengal, and other areas (Poffenberger and Act (FRA) to strengthen the forest rights of tribal McGean 1996). At that time, tribal communities in communities. The implementation of the FRA has the Chota Nagpur region of eastern India, as well been slow and is frequently resisted by state forest as in some other forest districts, began actively pro- departments, leaving the problem of forest tenure tecting local forests, often resulting in rapid natural conflicts among communities, forestry agencies, forest regeneration. and the private sector unresolved. At the national In 1990, the government of India established level, the Indian government has yet to finalise a a national Joint Forest Management (JFM) initia- national REDD policy. The continuing struggles of tive to provide a programmatic framework for for- many of India’s forest-dependent communities for est communities to participate in management. The greater tenure security and ongoing conflicts with JFM strategy extended to communities certain rights government agencies raise concerns for the future and responsibilities related to local forests, based on of REDD initiatives in India. government JFM orders passed in 28 Indian states. While the tenure situation raises barriers to com- The JFM program currently covers more than 22 munity-based REDD project development, strong million hectares and involves 100 000 villages that community tenure rights granted under the Sixth share management responsibilities for one-third of Schedule of the Indian Constitution that apply in India’s forests (World Bank 2006). While the pro- many upland areas of the Northeast may provide 230 gram represents one of the largest public land-reform better opportunities for community-based forest initiatives in Asia in recent history, it has been criti- carbon initiatives. The Sixth Schedule was formu- cised for failing to sufficiently empower community lated for selected upland tribal areas in Northeast tenure rights and management authority to improve India after independence, providing indigenous

FORESTS UNDER PRESSURE – LOCAL RESPONSES TO GLOBAL ISSUES 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India

communities representation and rights over lands plateau is highly dissected; steep regular slopes to and forests through autonomous district councils. the south border Bangladesh, into which the Umiam The following case study focuses on early REDD River drains. The Central Plateau region within the project experiences among the Khasi communities project area consists of rolling uplands intersected of Meghalaya. The case is significant as it is one of by rivers and dotted with rounded hills of soft rock. India’s first REDD+ projects and could provide a The Umiam River is one of the state’s major riv- model for expansion, both in the Northeast as well ers and an important source of water for the state’s as in the rest of India. capital, Shillong. While indigenous governance structures have continued to operate with reasonable effectiveness in the Khasi Hills, the landscape has changed dra- 13.1.2 Khasi Hills context matically. It is clear from historical records that the East Khasi Hills have experienced heavy land-use The Khasi Hills of Meghalaya is a propitious site pressures for more than 150 years. Limestone quar- for REDD+ pilot projects because of the long-estab- rying and coal mining have been expanding for more lished traditions of community forest management, than a century, while clearing forest for agriculture the resurgence of community interest in strengthen- and settlements has progressed rapidly as the popula- ing protection of sacred groves and communal for- tion has grown. One 78-year-old village man noted: ests, and the unique flora and fauna of this region. “Our land was once covered with dark green hills Khasi community leaders approached Community and deep blue streams. We were once the rice bowl Forestry International (CFI) staff at a workshop in of the East Khasi Hills, but now the hills are barren Shillong in 2005 to request institutional, technical, and the streams run dry.” A recent socio-economic and financial assistance to strengthen the capacity baseline survey for the newly formulated community of their traditional management systems to conserve REDD+ project in the Khasi Hills found that nearly and restore community forests. This request was in three-quarters of the respondents from 15 villages response to community concerns about degradation reported declining availability of water (CFI 2012) of forests and growing pressures on sacred groves during the dry season from October to May. Water and other natural resources both from their own com- shortages result from declining steam and spring munity fuelwood needs as well as from private sector flows during the dry season, which may be caused firms engaged in quarrying, mining, and logging. by the loss of vegetative cover as well as climatic The ecosystems of the Khasi Hills of Meghalaya changes. are unique in the world. Cyclonic air masses churn- The Khasi communities place a high cultural val- ing in the Bay of Bengal during the heat of sum- ue on their forests, as reflected in their oral histories. mer generate storms that slam into the Meghalaya Khasi clans residing in the project area can trace their Plateau, which rises sharply from the flood plains ties to the sacred groves, which retain many stone of Bangladesh, creating torrential monsoon rains megaliths dedicated to historic figures and fallen that make the Khasi Hills one of the earth’s raini- warriors, back five centuries. Rituals continue to be est places. The wet, subtropical forests represent a performed in sacred places within and around the unique habitat with impressive biodiversity, includ- forest, while rules for forest conservation and use ing 400 tree species, unusual and unique orchids, are generally well-respected by the community. The mushrooms, amphibians, and birds. Ancient stone Khasi also value their forests for their capacity to megaliths dedicated to fallen warriors stand sentry protect springs and stream beds and conserve wild- throughout the dense forest of oaks, rhododendrons, life. Equally important, the forests provide a diversity chestnuts, alder, and figs; a prolific variety of epi- of food products including mushrooms, green leaves, phytic growth includes aroids, piper, ferns, fern al- fruits, and nuts that are an important contribution to lies, and orchids. The Khasi classify their forests as the family kitchen. Bamboo and timber for construc- those with ritual significance, which are viewed as tion and tools are drawn from community forests, sacred groves and are usually well-protected, and while demands for firewood from community forests various types of production forests where manage- are high for most households – 20 to 30 kg of fuel ment varies from good to poor. Over the past seven required each day. This high social and economic years, the project sought to strengthen community dependency upon the forests has catalysed the Khasi management of these unique habitats and assist response to forest loss reported here. villages to expand and restore community forests Analysis of SPOT satellite imagery between 2006 throughout the Khasi Hills watershed. and 2010 indicates annual forest loss of 4% per year, The Umiam sub-watershed defines the 27 000 reflecting rapid deforestation and degradation occur- 231 hectare project area situated at an elevation that var- ring in the area (see Figure II 13.1). Red-coloured ies from 150 m to 1961 m above the mean sea level areas indicate “hot spots” where forests are being and is characterised by a great diversity in relief. The converted to non-forest areas. During discussions

PART II: CASE STUDIES 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India

Figure II 13.1 Land-use change in Khasi Hills REDD+ project area 2006–2010.

of forest-cover change in the map, members of the duction forests and conservation of sacred forests. 10-kingdom federation expressed clear understand- Resources outside the jurisdiction of the village or ing of site-specific drivers of forest loss, including that cross village lines are managed through an apex charcoal making and clearing of forest for commer- council, with representatives from the communities cial farming of broom grass. and clans within the area. The apex council, called the dorbar hima, may include a few villages or up to several dozen villages and hamlets. The hima is responsible for mediating inter-village boundary 13.1.3 Challenges facing indigenous disputes, approving land sales, discussing ways to institutions in forest management secure development grants, and coordinating with the district council. According to the Sixth Sched- ule, these indigenous institutions are overseen by the According to the Sixth Schedule of the Indian Con- autonomous district council. stitution, the state of Meghalaya has a dual system While the Khasi have a long tradition of forest of administration that includes the modern bureau- conservation, in recent decades a growing demand cratic structure common to other Indian states and for timber, fuelwood, limestone, and coal has re- the traditional (customary) system found within the sulted in the disappearance of extensive forest tracts state (Nongkynrih 2002). Khasi villages retain au- of upland watersheds throughout the Khasi Hills. tonomy through traditional organisations to man- The privatisation of community and clan forests age their own affairs and collectively control their has often resulted in clearing forest for agricultural natural and human resources. All affairs within the land. Privatisation may occur when clan leaders sell jurisdiction of the village are controlled through the communal forest lands to outsiders without consult- village council, or dorbar shnong. Each adult male ing community members. Privatisation is driven, in 232 member of the village may participate in the village part, by the growth of land markets and entrance of council. The council is responsible for ensuring the private-sector investors in commercial agricultural maintenance of forests, paths, and water sources; crops and mines, as well as by the breakdown of control of fire; and sustainable harvesting of pro- traditional institutions. In such cases the hima may

or may not have authorised the sale of land. Problems use, these are often unwritten and may not reflect stemming from deforestation have been compounded the growing pressures on forests, land, and water. by widespread quarrying for stone, limestone, coal, Typically, such traditional forest-use regulations and other construction materials. Forest loss, soil were established generations ago and continue to erosion, and mining have all had significant impact be accepted social norms that guide behaviour. on the hydrology of these critical watersheds. Due Nonetheless, as demands on the forest have grown to the high demand for quality stones produced from through population growth and market expansion, quarries in the project area, the communities face and as outside cultural communities have moved into some loss of income by closing these enterprises, the area, systems for monitoring and enforcing these which REDD project revenues must address. In the regulations lack technical and financial support to project area, most quarries are relatively small and allow effective operation. Updated rules that respond income to the indigenous government (hima) that to current resource pressures need to be adopted and leases the mining rights is modest. However, low- codified with adequate enforcement mechanisms in income families working as day labourers in the place. Furthermore, indigenous communities rarely quarries can lose income with quarry closings. The have short-, medium-, and long-term management REDD+ project has created income-generating ac- plans for their forests and watersheds that reflect a tivities for these family members within community clear set of goals. As a consequence, the communities microfinance organisations. are unable to address management problems or take While indigenous communities control approxi- proactive measures to improve management. This mately 90% of the forests of Meghalaya, growing project may provide an opportunity to systematically political, economic, and demographic pressure on address these weaknesses in ways that strengthen traditional institutions and customary management and build the capacity of indigenous institutions to systems have eroded their capacity to sustainably better manage their forest resources. manage natural resources. Throughout Northeast India, while community institutions continue to play a vital role in managing village society and 13.2 Early responses to local natural resources, these institutions receive limited or no recognition or support from federal or state issues – lessons learned from agencies. They frequently have weak linkages with the Mawphlang Pilot Project government and line departments and agencies, in (2005–2010) part due to their diversity, complexity, and varied constitutions, composition, and functions. While government of India legislation supports The Khasi Hill Community REDD+ project is an the land and forest tenure rights of indigenous com- expansion of an earlier PES strategy that CFI sup- munities in the northeast hills according to the Sixth ported in the kingdom of Mawphlang Lyngdohship Schedule of the Constitution, the state government (Hima Mawphlang), one of 10 kingdoms (hima) that has done little to document community forest lands comprise the federation (synjuk). This early experi- or support indigenous community institutions or ence involving two Khasi hamlets provided useful their resource management capacity. Community, lessons regarding the effectiveness of socio-econom- clan, and private forests are generally categorised as ic, technical, and institution building interventions “unclassified” forests by the state forest department. that strengthened the capacity of indigenous govern- This status implies that they may be eligible to be ments to participate in the program. Key learning reclassified as reserved forests or protected forests at emerging from the initial pilot project includes the some point in the future. Some Khasi communities following: have expressed anxiety over potential encroachment by government, particularly state forest departments, ◆ Communities in the project area were aware and and have often rejected overtures by this agency to concerned about forest loss, erosion, changes in participate in national forestry schemes such as JFM stream flows, and shortages of forest products but activities. This alienation is exacerbated by a ten- lacked the financial and technical resources to ad- dency of the Indian Forest Service to appoint outsid- dress the problem. ers to senior positions in the forest department who ◆ When financial and technical assistance asw possess limited understanding of the Khasi language provided, local leaders and community institu- and culture. tions mobilised members to renew and strengthen Another institutional weakness that has under- resource management rules and regulations and mined forest cover in the East Khasi Hills district is implement them through consensus-based com- 233 the breakdown of community forest-use rules and munity action. regulations. While indigenous community institu- ◆ Community discussions were held to identify the tions have rules and regulations governing resource opportunity costs of conservation and restoration

PART II: CASE STUDIES 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India

Figure II 13.2 Forest cover change in the Mawphlang Pilot Project areas.

and find mutually agreeable activities to gener- closed and soil and watershed restoration work un- ate alternative income to compensate for lost in- dertaken, while incidence of forest fires has been come. dramatically reduced, with no outbreak in the proj- ◆ Performance-based conservation award money ect area \not quickly controlled by the community. provided effective incentives for implementation A fuel-efficient stove program was initiated in the of watershed restoration activities and funded a community to reduce fuel consumption, while lower- revolving community bank account that sustained ing smoke levels in homes through the introduction the community resource-management system af- of piped outlets. Initial stove models were tested ter the project ended (Poffenberger 2012). by community women, with a number of problems identified in the design of the stoves. This led to a At the beginning of the project, CFI was invited by redesign and the improved stoves have been adopted the hima to improve traditional community forest- by the majority of village households, with reduc- management systems. Discussions with community tions in wood consumption of 25% to 30%. members and leaders, as well as the executive com- Open grazing has been halted by transitioning mittee of the larger hima, identified a number of animal husbandry systems to stall feeding, and fuel- resource management problems, including stone wood is now collected on a rotation basis, allowing quarrying, uncontrolled grazing, forest fires, illegal harvest sites time to recover. As a result of commu- logging, and unsustainable fuelwood collection. nity actions to control ground fires and reduce pres- These activities were widely recognised drivers of sures from grazing and fuelwood gathering, forests deforestation and forest degradation. Dry season have begun to regenerate rapidly, while loss of the ground fires, open grazing by low-value goats and dense forest has slowed. Both of these trends are cattle, and continuous hacking and felling of trees creating forest carbon assets in terms of sequestra- and shrubs was suppressing natural forest regeneration as well as improved storage that can be certified tion and supporting a gradual loss of biomass. under emerging REDD+ protocols. After a series of discussions between the proj- Satellite images from 2006 and 2010 indicate ect team, the indigenous governments, and village that during this period the Mawphlang sacred forest members, the participating communities agreed to suffered no loss, while the community reforestation 234 pass a conservation resolution signed by all members area experienced significant regeneration (see Fig- to control fires, grazing, and illegal logging, while ure II 13.2). Without the project, it is likely that the the hima cancelled all stone quarrying leases in the open forests in the pilot project area would not have project area. Since that time, the quarries have been regenerated to the extent shown in the time series

of satellite images – neighbouring open forests in season, and post-monsoon assessments of regrowth. “non-treatment” areas showed significant lack of While these activities indicated rapid regrowth, the regeneration. The Mawphlang sacred forest would changes in forest stock were difficult to quantify. In likely have continued to be protected, as it retains 2011, 40 forest inventory plots measuring 20 × 20 high cultural value for local communities. m were established to monitor forest conditions and In the past, many Khasi communities have been carbon stocks during the REDD+ project. Spot and reluctant to map their community forests for fear of Landsat satellite images are also being used to assess encroachment on their forest lands by the state forest historic trends in forest cover (1990–2010) as well department. A process of consultation by the project as to provide a baseline moving forward. team has reassured the communities that they can Indigenous institutions in Northeast India have map the forests themselves and control their own been largely bypassed by state and national govern- maps. Based on these agreements, the project area ments, in effect disempowering them and marginalis- was surveyed by community youth teams using GPS ing them from government programs and projects. units under the guidance of the local project sup- To address this, CFI sponsored a series of workshops port team. The mapping process not only identified for indigenous institutions and state technical agen- boundaries of forest areas but also the tenure sta- cies to review emerging forest management plans tus (community, clan, private, etc.) and biophysical and how existing government projects can be linked. conditions of each forest block. Using the maps, the CFI has worked with indigenous leaders to seek for- communities and hima leadership worked with the mal recognition of the project from the Khasi Hills project team to develop a micro-watershed manage- Autonomous District Council as well as from the ment plan that identified priority areas for restora- Meghalaya state government and the government tion and conservation. Management plan maps were of India. printed on large-format plastic sheets and distributed In addition to using funds for the protection and to the participating communities and hima govern- restoration of local forests and watersheds, the com- ment. Micro-watershed maps reflecting longer-term munities are utilising project financing to capitalise management plans and goals are utilised as a fo- women-administered microfinance institutions to cal point for community discussions in planning provide funds for small enterprise projects. Project management activities that include assistance with funds were also provided to community families to natural regeneration work, fire line maintenance, bio- build pens for raising pigs and chickens, allowing diversity conservation, and watershed restoration. them to shift away from low-grade grazing animals Project funds support two related strategies: as- such as cattle and goats, reducing grazing pressures sisted natural regeneration (ANR) and payments on the watershed. It also allowed village households for environmental services (PES). ANR funding is to collect manure for fertilising their fields and or- channelled through the village local working com- chards. mittee (LWC) and covers the costs of fire-line creation, forest watchers, silvicultural operations, and forest monitoring. These activities target degraded 13.3 The Khasi Hills forests and have proven to be extremely effective in stimulating rapid natural restoration of forest cover Community REDD+ Project as well as improving stream flows and the presence of biodiversity. This component also supports the Initiated by CFI in 2010, the project brought together conservation and protection of old growth forests 10 indigenous Khasi tribal kingdoms that possess and facilitates the linking of dense forest fragments legal control of the 27 000 hectare Umiam sub- with regenerating forest patches to create wildlife watershed under the Sixth Schedule of the Indian corridors. Constitution. Together, the communities formed a To create incentives for successful implementa- sub-watershed federation to create one of India’s first tion of new forest management activities, PES are community-based REDD+ initiative. This project given to the LWC and self-help groups (SHGs) at was designed to build the resource management ca- the end of each monsoon season. Payments to the pacity of the 10 indigenous Khasi kingdoms, which LWC totalled approximately USD 1000 each year, encompass 62 local communities. The pilot proj- while the SHGs Criteria for Evaluating Performance ect sought to explore how indigenous governance include the effectiveness of fire and grazing controls, institutions, coordinated through their own federa- successful conservation of old growth areas, and tion, can implement REDD+ initiatives that control the observable regrowth of degraded forests. Dur- drivers of deforestation by conserving and restoring ing the early demonstration period (2005–2008), forest cover and hydrological function, while at the 235 forest monitoring was largely done through annual same time facilitating transition to agricultural sys- photos of a small number of forest plots and water- tems that are climate-resilient. The project has been shed landscapes, walk-through at the end of the fire approved by the Khasi Hills Autonomous District

PART II: CASE STUDIES 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India

Council, with support from the chief secretary of hydrological function while facilitating transitions the state of Meghalaya. to agricultural systems that are climate-resilient. Under the REDD+ project framework, the federa- Since 2010, the synjuk has been actively working tion or synjuk plan and implement a 30-year climate with participating communities to control drivers of adaptation strategy for their upper watershed. Each deforestation and degradation operating in their area, of the 62 villages prepares a community micro- involving reduced fuelwood consumption as com- watershed management and livelihood plan. CFI munities shift to more efficient stoves and alternative provides technical and financial support to this new sources of energy, removal of grazing pressures from community institution, providing training in resource upland watersheds, and reduced impact of forest fires management that involves designing, certification and open pit quarrying. The synjuk is working with under Plan Vivo standards, and marketing carbon government agencies to integrate government of In- credits on private voluntary markets. The project is dia projects into their work plans, creating a range designed to establish a 30-year income stream to of new partnerships. This project relies on five core support the federation. Based on initial projections, strategies:

an additional 20 000 to 50 000 tCO2 will be gener- Create awareness regarding climate change and ated each year through community-based mitigation forest management. The synjuk is raising aware- activities, yielding a gross income of USD 100 000 to ness among communities regarding the importance USD 200 000 annually to finance the synjuk manage- of forests and the opportunities to restore them. ment institution and livelihood activities for partici- Since 2011, the synjuk has organised more than 80 pating communities. meetings of Khasi communities to discuss resource The project received REDD+ registration un- management problems and strategies to regenerate der Plan Vivo standards in March 2013, requiring a degraded forests. It has also contacted youth groups performance-based approach to project design and to engage in natural resource management activities implementation. Key variables that must be moni- and is hiring and training male and female youth to tored include carbon stocks, forest condition, and act as community facilitators and extension work- other environmental indicators, including changes ers within their communities and micro-watersheds in biodiversity and hydrology. Socio-economic per- under the guidance of the synjuk. formance indicators are also being monitored by the Strengthen indigenous community institutions. community including tracking changes in household The synjuk is strengthening the authority of indig- income, microfinance account balances and repay- enous organisations by recognising them as legal ment rates, participation in alternative income- representatives of their constituencies. By creating generating activities, energy use, and activities of new partnerships with national and local government newly established farmers’ clubs, such as adoption projects and representatives from non-governmental of sustainable farming practices. The project is one organisations, the synjuk is raising the profile of local of the first REDD+ initiatives in Asia to be developed hima and community dorbar institutions. Bringing by indigenous tribal governments on communal and indigenous leaders into the synjuk exposes these in- clan land. If successful, the project has potential for dividuals to information about REDD+ and govern- broad-based replication among Northeast India’s ment development schemes that they communicate 240 ethnolinguistic tribal communities. The fed- to their constituencies. eration has established agreements with companies Map and demarcate boundaries of community that focus on brokering carbon credits generated by forest lands. The project has trained community community forestry to corporate social responsibility members in the use of GPS equipment and GIS (CSR) buyers in the private sector. Project brokers in- software. The mapping process is coordinated by clude C Level of London and U & We of Stockholm. the federation and performed in a transparent process The brokers seek to establish long relationships with with broad-based community participation from lo- companies that will buy a fixed quantity of credits cal communities and indigenous governments. each year over the next five to 10 years. Update community resource rules. The synjuk is working with local communities to discuss forest- use rules and how they may need to be modified and strengthened to address forest pressures. 13.3.1 Institutional empowerment – Develop community-based landscape-level the synjuk, a 10-kingdom federation management plans. Since 2011, the synjuk team has been working with communities to review their land, forest, and water requirements to formulate 236 The project seeks to demonstrate how indigenous forward-looking management strategies, or Plan institutions coordinated by their own federation Vivos. Building community resource planning ca- (synjuk) can implement REDD+ initiatives that pacity through training, field visits, cross visits, and

lower CO2 emissions and restore forest cover and workshops is allowing members to set management

priorities and goals, and identify activities to mitigate of degraded forest lands under updated community drivers of deforestation and forest degradation. Each management systems. Forest restoration can be fur- community is identifying degraded forest areas that it ther accelerated through the use of ANR techniques, wishes to regenerate by closing it to use for a period which include thinning, multiple shoot cutting, and of time, preventing fire, and carrying out enrichment weeding. Earlier pilot activities in the area found that planting. In each treatment area, 20 × 20-m forest establishing LWCs created an institution that allowed monitoring plots are established and measured each one to three hamlets to coordinate efforts to combat year by community members. annual ground fires through the construction of fire lines and engaging village youth as fire watchers. LWCs also provide a mechanism to organise ANR activities and monitor forest re-growth. 13.3.2 Technical empowerment – Other drivers of deforestation include surface controlling drivers of deforestation mining of coal, limestone, and gravel that have sub- stantial impact in the Khasi Hills. These activities can be controlled and reduced through the action of A number of forces internal and external to the com- hima governments that hold the authority to over- munity drive deforestation and forest degradation in see leases on community lands in their jurisdiction the East Khasi Hills. Approximately 39% of forest under the Sixth Schedule of the Indian Constitution. lands in the project area are severely degraded as a Agreements to limit mining and quarrying leases by result of unsustainable fuelwood harvesting, graz- the 10 hima under the umbrella of the synjuk fed- ing, and fire, as well as by quarrying and timber eration will ensure reduction of the impact of these extraction. Many of these drivers can be controlled drivers in the future. The synjuk is already working through community actions that include improved closely with the Khasi Hills Autonomous District fuelwood harvesting rules based on rotation, adop- Council and Meghalaya state government to coor- tion of fuel-efficient stoves, changes in animal hus- dinate development planning in the forest areas of 237 bandry systems, and fire control. Early pilot project the sub-watershed. experiences documented through a time series of forest plot photographs indicate rapid regeneration

PART II: CASE STUDIES 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India

13.3.3 Financial empowerment – indigenous governments and communities that own creating multi-sourced capital flows much of the region’s upland forest. Building local and building assets institutional capacity to adapt to climate change and create sustainable forest management systems while strengthening resource rights is a key to reversing Poverty is difficult to alleviate, in part due to the forest loss. persistent dearth of capital in poor communities. In 2012, 57 villages have prepared initial natu- Community resource-management institutions are ral-resource management maps and plans for their also grossly underfunded. PES provide a potential communities using GPS equipment, with five ad- mechanism to channel capital into low-income rural ditional villages to be covered in 2013. While rural communities that are well-positioned to protect and Khasi communities have been reluctant in the past restore critical ecosystems. REDD is one of the first to have outsiders map their community lands, by PES strategies to be widely discussed and could es- owning the mapping process, strengthening their tablish capital flows into the East Khasi Hills, where community institutions, and adopting a unified ap- financial inputs are badly needed. In 2008−2009, the proach to landscape-level management, they are bet- East Khasi Hills District in Meghalaya had a rural ter prepared to address the external pressures they per capita income of INR 21 000 (NEDFi Databank currently confront. Parallel processes of participatory 2009); less than USD 1.50 per day. rural appraisals were also held in all communities to This project is helping communities build capi- identify livelihood needs and set priorities for eco- tal through payments into the synjuk based on their nomic development. By linking resource manage- demonstrated capacity to slow deforestation and fa- ment goals with income-generating strategies, the cilitate natural regeneration. Since 2011, the project project recognises that the problems are interrelated has supported the establishment of 39 SHGs made and require a coordinated approach, relying in part up of 10 to 15 members that can act as microfinance on payments for environmental services. While the institutions within their villages. The SHGs are pri- initial mapping and Participatory Rural Appraisal marily organised and led by women, providing an (PRA) provided important opportunities for com- opportunity to empower women and link them to munity resource discussions, it became apparent that resource management by building their role in sup- the planning process needs to be an ongoing exer- porting microenterprises. The synjuk, together with cise. The synjuk is still gaining capacity to manage a local NGO (Bethany Society), is helping the SHGS community-based information and will need time establish bank accounts and register with the govern- to develop an adequate database management sys- ment of India rural banking program. Once carbon tem that can be updated regularly. It is considering revenues begin to flow to the synjuk, it may be pos- seeking assistance from the regional Northeast Hill sible to contract with the SHGs to implement ANR University (NEHU) to assist with this task. activities. Paying a resource management subsidy to Awareness is being raised about climate change women’s SHGs may create a win-win-win situation: and forest restoration needs and is being discussed the SHG receives a measure of non-loan finance; through a network of community facilitators and the finance pays for a tangible and measurable ser- extension workers drawn from the 62 participating vice (such as fire control in local forests); and the villages and 10 kingdoms. Federation members and money is used to create a microenterprise, which in community forest-management groups (LWCs) are turn creates income, thus establishing a sustainable being trained to establish environmental baseline in- financing mechanism. dicators utilising cost-effective methodologies designed by the project. Carbon monitoring data being used follows international (Plan Vivo) standards to 13.4 A vision for the future – create a REDD+ project that will provide a long-term source of financing for community-based climate ad- indicators of success aptation and resource management activities. These innovations will be developed and field tested for Innovations being developed in this project include broad-based replication in Northeast India. institutional strategies that build on indigenous insti- In India, there are more than 100 000 commu- tutions and forest management traditions, as well as nity-based resource management groups that could carbon, environmental and socioeconomic measure- transition into PES/REDD projects of this type, ment methods that communities can use to monitor provided tenure issues are addressed either under changes in their environment. The project also seeks the Sixth Schedule in the Northeast or through the 238 to create new approaches to sustainable financing of Forest Rights Act or other existing legal mechanisms. resource management systems and livelihood pro- Early learning from the Umiam sub-watershed proj- grams. The project has created the first community ect would suggest that the following factors may be forestry federation in Northeast India composed of associated with the likelihood that the next genera-

tion of community-based PES projects can achieve strengthens traditional land tenure rights by focusing improved resource management in terms of sustain- attention on communal forest resources whose man- able environmental and social benefit flows. agement has been neglected in recent decades.

◆ Social capital – accrued through strong local leadership, broad-based community participation, and Afterword: January 2014 support from experienced NGOs ◆ Ecological capital – developed through the regeneration of currently degraded forest ecosystems The Khasi Hills Community REDD+ Project was and watersheds certified under The Plan Vivo Standard in April ◆ Secure land tenure/or user rights – provided 2013. For mitigation activities undertaken during through national laws and community forestry 2012, 21 805 tons of carbon certificates were issued policies during 2013. By the end of 2013, 5193 tons were ◆ Lower transaction costs – achieved by using lo- sold by brokers at prices ranging from USD 6 to cally appropriate management, implementation, USD 7 per ton. After the deduction of issuance fees, and project monitoring the federation managing the project received USD ◆ Gender and social balance – achieved by target- 25 947 in revenues. The federation is working with ing women and the marginalised and landless as carbon brokerage firms in India, North America, and beneficiaries of project income through a process Europe to market the remaining 2012 vintage carbon of community/elite buy-in certificates and is anticipating the issuance of another ◆ Socio-cultural values – reinforced by empower- 22 000 tons of 2013 carbon certificates in the spring ment of traditional institutions and cultural values of 2014. If marketing is successful, the federation that support environmental conservation should receive USD 100 000 to USD 150 000 each ◆ Environmental restoration at a landscape level – year, allowing an increasing percentage of carbon achieved through regenerating forests, sustained revenues to flow to eco-restoration and economic biodiversity, improved hydrological functioning development activities. The federation has proposed of watersheds, and more productive and sustain- establishing an Umiam Watershed Trust Fund with able farming systems additional carbon revenues to act as a long-term fi- ◆ Forest conservation – achieved by protection and nancing mechanism. conservation of scarce primary forest In 2013, carbon revenues supported project man- ◆ Enterprise development – achieved through pro- agement and monitoring, public awareness raising, liferation of alternative income-generating activi- the establishment of 20 community nurseries, and ties support to women’s micro-finance groups and farm- ◆ Capital asset building – achieved by establish- ers’ clubs. Participating communities also initiated ment of women’s microfinance institutions with forest restoration activities on 505 ha of land, with increased capital assets plans to add 500 ha each year over the ten year project period in order to restore 5000 ha of degraded The success of any community-based resource man- forest. agement system depends on the community itself The environmental impact of the project is al- and its commitment to sustaining the land, forest, ready visible, with the incidence and extent of dry and water it depends upon. The 10 kingdoms in the season forest fires in 2013 substantially reduced Umiam sub-Watershed have agreed to federate, pro- through fire line construction, fire watchers, and tect, and restore their forests, not because of any community fire control groups. Community rules financial incentive but because of their own sense and regulations, patrolling, and other human actions of an urgent need to halt deforestation and restore to restrict access and unauthorised use of forests and important ecosystems that are central to their history pastures have supported natural regeneration in many and culture. REDD, PES, or any other project support parts of the project area. While it is premature to will facilitate this process, but it is simply a means, assess the socio-economic impact of this REDD+ not an end. What is perhaps more significant is that project on community livelihoods in the Umiam sub- important socio-cultural institutions in Khasi soci- watershed, the project appears to have catalysed new ety that have been largely bypassed by national and cooperation among the ten participating indigenous state government are now emerging as key elements governments and created a common vision based in a grassroots attempt to protect and restore local on forest conservation and sustainable development. forests that possess valuable biological and cultural Training and capacity building of 52 women-run diversity. Communal governance structures like the micro-finance groups and 12 farmers’ clubs, sup- 239 dorbar and hima that rely on democratic processes ported by a team of federation funded community to enable consensus-based decision making are be- facilitators is mobilising a local network of leaders ing re-empowered through this project. This process and micro-institutions well-positioned to implement

PART II: CASE STUDIES 13 Khasi responses to forest pressures: A community REDD+ project from Northeast India

development activities. References The empowerment of indigenous government institutions through the creation of the watershed Arnold, D. & Guha, R. (eds.). 1995. Nature, culture, and impe- federation is one of the most significant outcomes rialism: Essays on the environmental history of South Asia. Oxford University Press, New Delhi, India. 376 p. of the project to date. In contrast to Government of BBC News 2010. Inside the Maoist insurgency in India’s Jharkand India sponsored schemes and projects being imple- state. Tuesday, 4 May 2010. Available at: http://news.bbc. mented by state-level agencies, this project is under co.uk/2/hi/8659501.stm [Cited 14 Dec 2012]. the sole direction of the indigenous governments and CFI 2012. Socio-economic Baseline Survey for Khasi Hills Com- the 62 participating villages. The federation commit- munity REDD+ Project Area. Community Forestry Interna- tional, Antioch, California, USA. tee comprised of community representatives makes Duyker, E. 1987. Tribal guerrillas: The Santals of West Bengal all management decisions, including the budgeting and the Naxalite Movement. Oxford University Press, New of income from the REDD+ project. Recognition Delhi, India. 201 p. of the Federation by international technical advi- NEDFi Data Bank 2009 [Internet site]. Per Capita NSDP. Avail- sory organisations such as Community Forestry able at: http://db.nedfi.com/content/capita-nsdp-2 [Cited 14 Dec 2012]. International, Plan Vivo, brokering agents, foreign Nongkynrih, A.K. 2002. Khasi Society of Meghalaya: a sociologi- researchers, and carbon market registries has given cal understanding. Indus Publishing Company. New Delhi, indigenous government and traditional community India. 184 p. institutions new confidence to interact with the Poffenberger, M. & McGean, B. (eds.). 1996. Village Voices: For- state government and promote community water- est Choices. Oxford University Press, New Delhi. 356 p. Poffenberger, M. 2012. Land tenure and forest carbon in India: A shed management and development priorities. The Khasi approach to REDD+ project development. In: Naugh- establishment of communication channels and co- ton-Treves, L. & Day, C. (eds.). 2012. Lessons about land operative action between communities that own and tenure, forest governance and REDD+. Case studies from manage watershed resources and the state and central Africa, Asia and Latin America. UW-Madison Land Tenure government that controls investment resources is an Center, Madison, Wisconsin, USA. Singh, P. 2006. The Naxalite Movement in India. Rupa & Co., important achievement that could help address the New Delhi. 318 p. environmental crisis and rural poverty that charac- World Bank 2006. India: Unlocking opportunities for forest- terises Meghalaya’s watersheds. dependent people. Oxford University Press, New Delhi, This project was designed as a learning activity to India. 86 p. foster improved approaches to sustainable resource management and community development. The initiative is already informing larger projects funded by the Government of India, bi-lateral and multi-lateral agencies within Meghalaya, as well as in other parts of India and abroad. In 2013−2014, three graduate students conducted research on the project with support from the Federation and it is proposed that a community watershed research and training centre be established in the area in the future.

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